Regulation (EC) No 1592/2002 of the European Parliament and of the Council of 15 July 2002 on common rules in the field of civil aviation and establishing a European Aviation Safety Agency (Text with EEA relevance)
Date: 2002-07-15
Institutions: Council of the European Union, European Parliament
Subjects: EU competence, EU office or agency, administrative transparency, air safety, civil aviation, operation of the Institutions, technical regulations

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I

(Acts whose publication is obligatory)

REGULATION (EC) No 1592/2002 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 15 July 2002

on common rules in the field of civil aviation and establishing a European Aviation Safety Agency

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

Having regard to the Treaty establishing the European Commu-
nity, and in particular Article 80(2) thereof,

Having regard to the proposal from the Commission (1),

Having regard to the Opinion of the Economic and Social
Committee (2),

Having consulted the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty (3),

Whereas:

A high and uniform level of protection of the European
citizen should at all times be ensured in civil aviation, by
the adoption of common safety rules and by measures
ensuring that products, persons and organisations in the
Community comply with such rules and those adopted
to protect the environment. This will contribute to facili-
tating the free movement of goods, persons and organi-
sations in the internal market.

As a consequence, aeronautical products should be
subject to certification to verify that they meet essential
airworthiness and environmental protection require-
ments relating to civil aviation. Appropriate essential
requirements should be developed within one year after
the entry into force of this Regulation to cover opera-
tions of aircraft and flight crew licensing and application
of the Regulation to third-country aircraft and, there-
after, other areas in the field of civil aviation safety.

In order to respond to increasing concerns over the
health and welfare of passengers during flights,
it is
necessary to develop aircraft designs which better protect
the safety and health of passengers.

(1)

(2)

(3)

(4)

Results of air accident investigations should be acted
in particular when they
upon as a matter of urgency,

(8)

(1) OJ C 154 E, 29.5.2001, p. 1.
(2) OJ C 221, 7.8.2001, p. 38.
(3) Opinion of the European Parliament of 5 September 2001 (OJ C 72
E, 21.3.2002, p. 146), Council Common Position of 19 December
2001 (OJ C 58 E, 5.3.2002, p. 44) and Decision of the European
Parliament of 9 April 2002 (not yet published in the Official
Journal). Council Decision of 18 June 2002.

(5)

(6)

(7)

relate to defective aircraft design and/or operational
matters, in order to ensure consumer confidence in air
transport.

The Convention on International Civil Aviation, signed
in Chicago on 7 December 1944 (‘Chicago Convention’),
to which all Member States are parties, already provides
for minimum standards to ensure the safety of civil avia-
tion and environmental protection relating thereto.
Community essential requirements and rules adopted for
their implementation should ensure that Member States
fulfil the obligations created by the Chicago Convention,
including those vis-à-vis third countries.

Aeronautical products, parts and appliances should be
certified once they have been found in compliance with
essential airworthiness and environmental protection
requirements laid down by the Community in line with
standards set by the Chicago Convention. The Commis-
sion should be empowered to develop the necessary
implementing rules.

In order to achieve Community objectives as regards the
freedom of movement of goods, persons and services, as
well as those of the common transport policy, Member
States should, without further requirements or evalua-
tion, accept products, parts and appliances, organisations
or persons certified in accordance with this Regulation
and its implementing rules.

Enough flexibility should be provided for addressing
special circumstances such as urgent safety measures,
unforeseen or limited operational needs and provisions
should also be made for reaching an equivalent safety
level by other means. Member States should be entitled
to grant exemptions from the requirements of this Regu-
lation and its implementing rules, provided that they are
to appropriate
strictly limited in scope and subject
Community control.

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(9)

(10)

(11)

(12)

The fulfilment of the objectives of this Regulation may
be efficiently achieved through cooperation with third
countries. In such a case, the provisions of this Regula-
tion and its implementing rules may be adapted through
agreements concluded by the Community with these
countries. In the absence of such agreements, Member
States should nevertheless be allowed, subject to appro-
priate Community control, to recognise the approvals
granted to foreign products, parts and appliances, orga-
nisations and personnel by a third country.

is necessary to establish appropriate measures to
It
ensure both the necessary protection of sensitive safety
data and to provide the public with adequate informa-
tion pertaining to the level of civil aviation safety and
environmental protection relating thereto,
taking into
account Regulation (EC) No 1049/2001 of the European
Parliament and of the Council of 30 May 2001 regarding
public access
to European Parliament, Council and
Commission documents (1) and relevant national legisla-
tion.

There is a need for better arrangements in all the fields
covered by this Regulation, so that certain tasks currently
performed at Community or national
level should be
carried out by a single specialised expert body. There is,
therefore, a need within the Community's existing insti-
tutional structure and balance of powers to establish a
European Aviation Safety Agency which is independent
in relation to technical matters and has legal, administra-
tive and financial autonomy. To that end, it is necessary
and appropriate that it should be a Community body
having legal personality and exercising the implementing
powers which are conferred on it by this Regulation.

In order to properly assist the Community, the Agency
should be allowed to develop its expertise in all aspects
of civil aviation safety and environmental protection
covered by this Regulation. It should assist the Commis-
sion in the preparation of the necessary legislation and
assist the Member States and the industry in its imple-
mentation. It should be able to issue certification specifi-
cations and guidance material and to make technical
findings and issue certificates as required and it should
assist the Commission in monitoring the application of
this Regulation and of its implementing rules and should
be given the necessary authority to fulfil its tasks.

appropriate financial rules, establish transparent working
procedures for decision making by the Agency and
appoint the Executive Director. It is also appropriate that
the Agency be allowed to conduct research and to orga-
nise appropriate coordination with the Commission and
the Member States. It is desirable that the Agency assist
the Community and its Member States in the field of
international relations,
including the harmonisation of
rules, recognition of approvals and technical coopera-
tion, and be entitled to establish the appropriate relations
with the aeronautical authorities of third countries and
international organisations competent in matters covered
by this Regulation.

Public interest requires the Agency to base its safety-
related action solely on independent expertise, strictly
applying this Regulation and the rules adopted by the
Commission for its implementation. To that end, all
safety-related Agency decisions should be made by its
Executive Director, who should be left with a high
degree of flexibility to obtain advice and to organise the
internal functioning of the Agency. When, however, the
Agency has to develop draft rules of a general nature to
be implemented by national authorities, Member States
should be involved in the decision-shaping process.

It is necessary to ensure that parties affected by decisions
made by the Agency enjoy the necessary remedies in a
manner which is suited to the special character of the
field of aviation. An appropriate appeal mechanism
the Executive
should be set up so that decisions of
Director can be subject to appeal to a specialised Board
of Appeal, whose decisions are, in turn, open to action
before the Court of Justice.

In order to guarantee the full autonomy and indepen-
dence of the Agency, it should be granted an autono-
mous budget whose revenue comes essentially from a
contribution from the Community and from fees paid by
the users of
the system. The Community budgetary
procedure should be applicable as far as the Community
contribution and any other subsidies chargeable to the
general budget of the European Union are concerned.
The auditing of accounts should be undertaken by the
Court of Auditors.

(14)

(15)

(16)

(13)

The Commission and the Member States should be
represented within a Management Board in order to
control effectively the functions of
the Agency. This
Board should be entrusted with the necessary powers to
the
establish the budget, verify its execution, adopt

(17)

The measures necessary for the implementation of this
Regulation should be adopted in accordance with
Council Decision 1999/468/EC of 28 June 1999 laying
down the procedures for the exercise of implementing
powers conferred on the Commission (2).

(1) OJ L 145, 31.5.2001, p. 43.

(2) OJ L 184, 17.7.1999, p. 23.

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(18)

Since the objectives of the proposed action, namely the
establishment and uniform application of common rules
in the field of civil aviation safety and environmental
protection, cannot be sufficiently achieved by the
Member States and can therefore, by reason of
the
Europe-wide scope of this Regulation, be better achieved
at Community level,
the Community may adopt
measures,
in accordance with the principle of subsi-
diarity, as set out in Article 5 of the Treaty. In accor-
dance with the principle of proportionality, as set out in
that Article, this Regulation does not go beyond what is
necessary in order to achieve those objectives.

(19)

Before any local offices of the Agency are set up, general
rules should be established to clarify what requirements
need to be met and what contribution the Member State
concerned must provide.

(20)

(21)

(22)

It has been recognised that the involvement of European
countries not Members of the European Union should be
pursued, so as to ensure a proper pan-European dimen-
sion in order to facilitate the improvement of civil avia-
tion safety throughout Europe. European countries that
have concluded agreements with the Community to
adopt and apply the Community acquis in the field
covered by this Regulation should be associated with its
work according to conditions to be agreed in the frame-
work of these agreements.

It is a general objective that the transfer of functions and
tasks from the Member States, including those resulting
from their cooperation through the Joint Aviation
Authorities, to the Agency should be effected efficiently,
without any reduction in the current high levels of
safety, and without any negative impact on certification
schedules. Appropriate measures need to be adopted to
provide for the necessary transition.

This Regulation establishes an appropriate and compre-
hensive framework for the environmental certification of
aeronautical products as well as for the definition and
implementation of common technical requirements and
administrative procedures in the field of civil aviation.
Council Directive 80/51/EEC of 20 December 1979 on
the
from subsonic
aircraft (1) and Annex II to Council Regulation (EEC) No
3922/91 of 16 December 1991 on the harmonisation of
technical requirements and administrative procedures in
the field of civil aviation (2) should therefore be repealed
in due time, without prejudice to the certification of

limitation of noise

emissions

products, persons and organisations already performed
in accordance with these legislative acts.

(23)

This Regulation will apply to any other area related to
civil aviation safety on the basis of a future proposal in
accordance with the Treaty,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

PRINCIPLES

Article 1

Scope

1.

This Regulation shall apply to:

(a) the design, production, maintenance and operation of aero-
nautical products, parts and appliances, as well as personnel
and organisations involved in the design, production and
maintenance of such products, parts and appliances;

(b) personnel and organisations involved in the operation of

aircraft.

This Regulation shall not apply when products, parts,
2.
appliances, personnel and organisations referred to in para-
graph 1 are engaged in military, customs, police, or similar
services. The Member States shall undertake to ensure that such
services have due regard as far as practicable to the objectives
of this Regulation.

Article 2

Objectives

The principal objective of this Regulation is to establish
1.
and maintain a high uniform level of civil aviation safety in
Europe.

Additional objectives are,

2.
Regulation, as follows:

in the fields covered by this

(a) to ensure a high uniform level of environmental protection;

(b) to facilitate the free movement of goods, persons and

services;

(1) OJ L 18, 24.1.1980, p. 26. Directive as last amended by Directive

83/206/EEC (OJ L 117, 4.5.1983, p. 15).

(2) OJ L 373, 31.12.1991, p. 4. Regulation as last amended by Commis-
sion Regulation (EC) No 2871/2000 (OJ L 333, 29.12.2000, p. 47).

(c) to promote cost-efficiency in the regulatory and certifica-
tion processes and to avoid duplication at national and
European level;

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(d) to assist Member States in fulfilling their obligations under
the Chicago Convention, by providing a basis
for a
common interpretation and uniform implementation of its
provisions, and by ensuring that its provisions are duly
taken into account in this Regulation and in the rules
drawn up for its implementation;

(e) to promote Community views regarding civil aviation safety
standards and rules throughout the world by establishing
appropriate cooperation with third countries and interna-
tional organisations.

(g) ‘certificate’ means any approval, licence or other document

issued as the result of certification.

CHAPTER II

SUBSTANTIVE REQUIREMENTS

Article 4

The means of achieving the objectives set out in para-

3.
graphs 1 and 2 shall be:

Basic principles and applicability

(a) the preparation, adoption and uniform application of all

necessary acts;

Aircraft, including any installed product, part and appli-

1.
ance, which are:

(b) the recognition, without additional requirements, of certifi-
cates,
licences, approvals or other documents granted to
products, personnel and organisations in accordance with
this Regulation and its implementing rules;

(a) designed or manufactured by an organisation for which the
Agency or a Member State ensures safety oversight; or

(b) registered in a Member State; or

(c) the establishment of an independent European Aviation

Safety Agency;

(c) registered in a third country and used by an operator for
which any Member State ensures oversight of operations;

(d) the uniform implementation of all necessary acts by the
national aviation authorities and the Agency within their
respective areas of responsibility.

shall comply with this Regulation unless their regulatory safety
oversight has been delegated to a third country and they are
not used by a Community operator.

Article 3

Definitions

Paragraph 1 shall not apply to aircraft referred to in

2.
Annex II.

3.
This Regulation shall not affect the rights of third coun-
tries as specified in international conventions, in particular the
Chicago Convention.

For the purpose of this Regulation:

(a) ‘continuing oversight’ means the tasks to be conducted to
verify that the conditions under which a certificate has been
granted continue to be fulfilled at any time during its period
of validity, as well as the taking of any safeguard measure;

(b) ‘Chicago Convention’ means the Convention on Interna-
tional Civil Aviation and its Annexes, signed in Chicago on
7 December 1944;

(c) ‘product’ shall mean an aircraft, engine or propeller;

(d) ‘parts and appliances’ shall mean any instrument, equip-
ment, mechanism, part, apparatus, appurtenance or acces-
sory, including communications equipment, that is used or
intended to be used in operating or controlling an aircraft
in flight and is installed in or attached to the aircraft. It
includes parts of an airframe, engine or propeller;

(e) ‘certification’ means any form of recognition that a product,
part or appliance, organisation or person complies with the
applicable requirements including the provisions of this
Regulation and its implementing rules, as well as the issu-
ance of the relevant certificate attesting such compliance;

(f) ‘qualified entity’ means a body which may conduct certifica-
tion tasks under the control and the responsibility of the
Agency;

Article 5

Airworthiness

Aircraft referred to in Article 4(1) shall comply with the

1.
essential requirements for airworthiness laid down in Annex I.

2.
Compliance of aircraft registered in a Member State, and
of products, parts and appliances mounted thereon shall be
established in accordance with the following.

to that

(a) Products shall have a type-certificate. The type-certificate,
type-certificate,
changes
and certification of
including supplemental
type-certificates, shall be issued
when the applicant has shown that the product complies
with a type-certification basis as specified in Article 15,
established to ensure compliance with the essential require-
ments referred to in paragraph 1, and when it has no
feature or characteristic making it unsafe for operation. The
type-certificate shall cover the product, including all parts
and appliances fitted thereon.

(b) Parts and appliances may be issued with specific certificates
when they are shown to comply with detailed airworthiness
specifications established to ensure compliance with the
essential requirements referred to in paragraph 1.

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(c) Each aircraft shall be issued with an individual certificate of
airworthiness when it is shown that it conforms with the
type design approved in its type-certificate and that relevant
documentation, inspections and tests demonstrate that the
aircraft is in condition for safe operation. This certificate of
is not
airworthiness shall
suspended, revoked or terminated and as long as the aircraft
is maintained in accordance with the essential requirements
related to continuing airworthiness set out in point 1.d of
Annex I and the implementing rules referred to in para-
graph 4.

remain valid as long as it

(d) Organisations responsible for the design, manufacture and
maintenance of products, parts and appliances shall demon-
strate their capability and means to discharge the responsi-
bilities associated with their privileges. Unless otherwise
accepted these capabilities and means shall be recognised
through the issuance of an organisation approval. The privi-
leges granted to the approved organisation and the scope of
the approval shall be specified in the terms of approval.

In addition:

(e) personnel responsible for the release of a product, part or
appliance after maintenance may be required to hold an
appropriate certificate (‘personnel certificate’);

(f) the capability of maintenance training organisations to
discharge the responsibilities associated with their privileges
in relation to the issuance of the certificates referred to in
point (e) may be recognised by the issuance of an approval.

3.

By way of derogation from paragraphs 1 and 2:

(a) a permit to fly may be issued when it is shown that the
aircraft is capable of performing safely a basic flight. It shall
be issued with appropriate limitations,
in particular to
protect third parties' safety;

(b) a restricted certificate of airworthiness may be issued to
aircraft for which a type certificate has not been issued
according to paragraph 2(a). In this case, the aircraft shall
be shown to comply with specific airworthiness specifica-
requirements
tions and deviations
referred to in paragraph 1 shall nevertheless ensure
adequate safety with regard to the purpose. Aircraft eligible
for these restricted certificates, and limitations for use of
these aircraft, shall be defined according to the imple-
menting rules referred to in paragraph 4;

from the essential

(c) when the number of aircraft of the same type eligible for a
restricted certificate of airworthiness so justifies, a restricted
type certificate may be issued and an appropriate type certi-
fication basis shall be established.

The Commission shall adopt,

in accordance with the
4.
procedure laid down in Article 54(3), the rules for the imple-
mentation of this Article, specifying in particular:

(b) conditions to establish and notify to an applicant

the
detailed airworthiness specifications applicable to parts and
appliances;

(c) conditions to establish and notify to an applicant

the
specific airworthiness specifications applicable to aircraft
eligible for a restricted certificate of airworthiness;

(d) conditions to issue and disseminate mandatory information
continuing airworthiness of

to ensure

the

in order
products;

(e) conditions to issue, maintain, amend, suspend or revoke
restricted type-certificates, approval of
type-certificates,
certificates of
individual
changes
airworthiness,
airworthiness,
of
permits to fly and certificates for products, parts or appli-
ances, including:

to type-certificates,
restricted

certificates

(i) conditions on the duration of these certificates, and
conditions to renew certificates when a limited dura-
tion is fixed;

(ii) restrictions applicable to the issue of permits to fly.
These restrictions should in particular concern the
following:

— purpose of the flight,

— airspace used for the flight,

— qualification of flight crew,

— carriage of persons other than flight crew;

(iii) aircraft eligible for restricted certificates of airworthi-

ness, and associated restrictions;

(f) conditions to issue, maintain, amend, suspend or revoke
organisation approvals required in accordance with para-
graph 2(d) and (f) and conditions under which such
approvals need not be requested;

(g) conditions to issue, maintain, amend, suspend or revoke
personnel certificates required in accordance with para-
graph 2(e);

(h) responsibilities of the holders of certificates;

(i) how aircraft referred to in paragraph 1 which are not
covered by paragraph 2 or 3 are to show compliance with
the essential requirements.

5. When establishing the implementing rules referred to in
paragraph 4, the Commission will take specific care that they:

(a) reflect the state of the art and the best practices in the field

of airworthiness;

(b) take into account worldwide aircraft experience in service,

and scientific and technical progress;

(a) conditions to establish and notify to an applicant the type-

(c) allow for immediate reaction to established causes of acci-

certification basis applicable to a product;

dents and serious incidents.

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Article 6

Essential requirements for environmental protection

Products, parts and appliances shall comply with the
1.
environmental protection requirements contained in Annex 16
to the Chicago Convention as issued in November 1999, except
for its Appendices.

In accordance with the procedure referred to in Article
2.
54(3), paragraph 1 of this Article may be adapted, in order to
bring it in line with subsequent amendments to the Chicago
Convention and its Annexes, which enter into force after the
adoption of this Regulation and which become applicable in all
Member States, in so far as such adaptations do not broaden
the scope of this Regulation.

3.
The Commission shall prescribe the rules for the imple-
mentation of paragraph 1, using as necessary the content of the
Appendices mentioned in paragraph 1, in accordance with the
procedure laid down in Article 54(3).

Article 7

Air operations and flight crew licensing

With regard to the basic principles, applicability and essential
requirements for the fields covered by Article 1(1)(b),
the
Commission shall, as
submit proposals
thereon to the European Parliament and to the Council.

soon as possible,

Article 8

Recognition of certificates

1. Member States shall, without further technical require-
ments or evaluation, recognise the certificates issued in accor-
dance with this Regulation. When the original recognition is
for a particular purpose, or purposes, any subsequent recogni-
tion shall cover only the same purpose(s).

2.
Pending adoption of the implementing rules referred to in
Article 5(4), and without prejudice to Article 57(2), certificates
which cannot be issued in accordance with this Regulation may
be issued on the basis of the applicable national regulations.

Article 9

Acceptance of third-country approval

By way of derogation from the provisions of this Regula-
1.
tion and the rules adopted for its implementation, the Agency
or the aviation authorities in the Member State may issue certi-
ficates on the basis of certificates issued by aeronautical authori-
ties of a third country, as provided for in recognition agree-
ments between the Community and that third country.

2.

(a) In the absence of an agreement concluded by the
Community, a Member State or the Agency may issue
certificates on the basis of certifications issued by the
competent authorities of a third country in application

of an agreement concluded by that Member State with
the third country in question before the entry into force
of the related provisions of this Regulation and notified
to the Commission and the other Member States. The
Agency may also issue such certificates on behalf of any
Member State in application of an agreement concluded
by one of the Member States with the third country in
question.

(b) If the Commission considers that:

— the provisions of an agreement between a Member
State and a third country would not provide for a
level of safety equivalent to that specified by this
Regulation and its implementing rules, and/or

— such agreement would discriminate among Member
States without compelling safety reasons or
is
contrary to Community foreign policy vis-à-vis a
third country,

it may, in accordance with the procedure laid down in
Article 54(2) require the Member State concerned to
modify the agreement or to suspend its application or to
the
renounce it,
Treaty.

in conformity with Article 307 of

(c) Member States shall

take the necessary measures to
renounce agreements as soon as possible after the entry
into force of an agreement between the Community and
the third country in question, for those domains covered
by that latter agreement.

Article 10

Flexibility provisions

1.
The provisions of this Regulation and of rules adopted for
its implementation shall not prevent a Member State from
reacting immediately to a safety problem which involves a
product, person or organisation subject to the provisions of this
Regulation.

If the safety problem is the result of:

(a) an inadequate level of safety resulting from the application

of this Regulation; or

(b) a shortcoming in this Regulation or its implementing rules;

the Member State shall immediately notify to the Agency, the
Commission and the other Member States the measures taken
and the reasons therefor.

The Commission shall decide,

2.
in accordance with the
procedure referred to in Article 54(3), whether an inadequate
level of safety or a shortcoming in this Regulation or its imple-
menting rules justify the continuing application of the measures
adopted pursuant to paragraph 1. In that event, it shall also
take the necessary steps to amend the related rule.
the
Member State's measures are found not to be justified, the
Member State shall revoke or amend the measures in question.

If

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3. Member States may grant exemptions from the substan-
tive requirements laid down in this Regulation and its imple-
menting rules in the event of unforeseen urgent operational
circumstances or operational needs of a limited duration,
provided the level of safety is not adversely affected thereby.
The Agency, the Commission and the other Member States
shall be notified of any such exemptions as soon as they
become repetitive or where they are granted for periods of
more than two months.

4. Where the measures decided on by a Member State are
less restrictive than the applicable Community provisions, the
Commission shall examine whether the exemptions comply
with the general safety objective of this Regulation or any other
rule of Community law.
If the exemptions granted do not
comply with the general safety objectives of this Regulation or
any other rule of Community law, the Commission shall take a
decision in accordance with the procedure referred to in Article
54(4). In such a case, the Member State shall revoke the exemp-
tion.

5. Where an equivalent level of protection to that attained
by the application of the implementing rules for Articles 5 and
6 can be achieved by other means, Member States may, without
discrimination on grounds of nationality, grant approval dero-
gating from those implementing rules.
the
Member State concerned shall notify the Commission that it
intends to grant such approval and shall give reasons demon-
strating the need to derogate from the rule concerned, as well
as the conditions laid down to ensure that an equivalent level
of protection is achieved.

In such cases,

6. Within three months of being notified by a Member State
in accordance with paragraph 5, the Commission shall initiate
the procedure referred to in Article 54(3), in order to decide
whether an approval proposed in accordance with paragraph 5
fulfils the conditions laid down in that paragraph and can be
granted. In such a case, it shall notify its decision to all Member
States, which shall also be entitled to apply that measure. The
provisions of Article 8 shall apply to the measure in question.
The relevant
implementing rules may also be amended to
reflect such measure, using transparent procedures in accor-
dance with Article 43.

Article 11

Information network

The Commission, the Agency, and the national aviation
1.
authorities shall exchange any information available to them in
the context of the application of this Regulation and its imple-
menting rules. Entities entrusted with the investigation of civil
aviation accidents and incidents, or with the analysis of occur-
rences, are entitled to access to that information.

2. Without prejudice to the public's right of access to the
Commission's documents as laid down in Regulation (EC) No
1049/2001, the Commission shall adopt, in accordance with

the procedure referred to in Article 54(3), measures for the
dissemination to interested parties on the Commission's own
initiative of the information referred to in paragraph 1 of this
Article. These measures, which may be generic or individual,
shall be based on the need:

(a) to provide persons and organisations with the information

they need to improve aviation safety;

(b) to limit the dissemination of information to what is strictly
in order to ensure

required for the purpose of its users,
appropriate confidentiality of that information.

3.
The national aviation authorities shall, according to their
national legislation, take necessary measures to ensure appro-
priate confidentiality of the information received by them in
application of paragraph 1.

In order to inform the public of the general safety level, a

4.
safety review shall be published annually by the Agency.

CHAPTER III

THE EUROPEAN AVIATION SAFETY AGENCY

SECTION I

TASKS

Article 12

Establishment and functions of the Agency

1.
For the purpose of the implementation of this Regulation,
a European Aviation Safety Agency, hereinafter referred to as
‘the Agency’, shall be established.

For the purposes of ensuring the proper functioning and

2.
development of civil aviation safety, the Agency shall:

(a) undertake any task and formulate opinions on all matters

covered by Article 1(1);

(b) assist the Commission by preparing measures to be taken
for the implementation of this Regulation. Where these
comprise technical rules and in particular rules relating to
the
construction and design and operational aspects,
Commission may not change their content without prior
coordination with the Agency. The Agency shall also
provide the Commission with the necessary technical, scien-
tific and administrative support to carry out its tasks;

(c) take the necessary measures within the powers conferred
on it by this Regulation or other Community legislation;

(d) conduct inspections and investigations as necessary to fulfil

its tasks;

(e) in its fields of competence, carry out, on behalf of Member
States, functions and tasks ascribed to them by applicable
the Chicago
international Conventions,
Convention.

in particular

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Article 13

Agency measures

The Agency shall, where appropriate:

(a) issue opinions addressed to the Commission;

(b) issue certification specifications,

including airworthiness
codes and acceptable means of compliance, as well as any
guidance material for the application of this Regulation and
its implementing rules;

(c) take the appropriate decisions for the application of Articles

15, 45 and 46.

Article 14

Opinions,

certification

specifications

and

guidance

material

In order to assist the Commission in the preparation of
1.
proposals
for basic principles, applicability and essential
requirements to be presented to the European Parliament and
to the Council and the adoption of the implementing rules, the
Agency shall prepare drafts thereof. These drafts shall be
submitted by the Agency as opinions to the Commission.

The Agency shall, in accordance with Article 43 and the

2.
implementing rules adopted by the Commission, develop:

(a) certification specifications,

including airworthiness codes

and acceptable means of compliance; and

(b) guidance material;

to be used in the certification process.

These documents shall reflect the state of the art and the best
practices in the fields concerned and be updated taking into
account world wide aircraft experience in service, and scientific
and technical progress.

features of a particular product or the experience in opera-
tion render any of the airworthiness code provisions inade-
quate or inappropriate to ensure conformity with essential
requirements;

(b) for each product

for which a restricted certificate of
airworthiness is requested, establish and notify the specific
airworthiness specifications;

(c) for each part or appliance for which a certificate is
requested, establish and notify the detailed airworthiness
specifications;

(d) for each product for which environmental certification is
required in accordance with Article 6, establish and notify
the appropriate environmental requirements;

(e) conduct, itself or through national aviation authorities or
inspections associated with

qualified entities,
products, parts and appliances certification;

technical

(f) issue the appropriate type-certificates or associated changes;

(g) issue certificates for parts and appliances;

(h) issue the appropriate environmental certificates;

(i) amend, suspend or revoke the relevant certificate when the
conditions according to which it was issued are no longer
fulfilled or if the legal or natural person holding the certifi-
cate fails to fulfil the obligations imposed on it by this
Regulation or by its implementing rules;

(j) ensure the continuing airworthiness functions associated
with the products, parts and appliances it has certified,
including reacting without undue delay to a safety problem
and issuing and disseminating the applicable mandatory
information.

2. With regard to organisations, the Agency shall:

(a) conduct, itself or through national aviation authorities or
qualified entities, inspections and audits of the organisations
it certifies;

Article 15

(b) issue and renew the certificates of:

Airworthiness and Environmental Certification

(i) design organisations; or

1. With regard to products, parts and appliances referred to
in Article 4(1), the Agency shall, where applicable and as speci-
fied in the Chicago Convention or its Annexes, carry out on
behalf of Member States the functions and tasks of the State of
design, manufacture or
registry when related to design
approval. To that end, it shall in particular:

(a) for each product for which a type-certificate or a change to
a type-certificate is requested, establish and notify the type-
certification basis. That certification basis consists of the
applicable airworthiness code, the provisions for which an
equivalent level of safety has been accepted and the special
detailed technical specifications necessary when the design

(ii) production organisations located within the territory of
the Member States, if requested by the Member State
concerned; or

(iii) production and maintenance organisations
outside the territory of the Member States;

located

(c) amend, suspend or revoke the relevant organisation certifi-
cate when the conditions according to which it was issued
are no longer fulfilled, or if the organisation concerned fails
to fulfil the obligations imposed on it by this Regulation or
by its implementing rules.

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Article 16

Monitoring the application of rules

SECTION II

INTERNAL STRUCTURE

The Agency shall conduct standardisation inspections in
1.
the fields covered by Article 1(1), in order to monitor the appli-
cation by national aviation authorities of this Regulation and of
its implementing rules, and shall report to the Commission.

Article 19

Legal status, location, local offices

The Agency shall conduct

2.
investigations to
monitor the effectiveness of the application of this Regulation
and its implementing rules, having regard to the objectives set
out in Article 2.

technical

The Agency shall be consulted and give its opinion to the

3.
Commission on the application of Article 10.

4.
The working methods of the Agency for conducting the
tasks referred to in paragraphs 1, 2 and 3 will be subject to
requirements to be adopted in accordance with the procedure
referred to in Article 54(2), and taking into account the princi-
ples laid down in Articles 43 and 44.

Article 17

Research

1.
The Agency may develop and finance research in so far as
it strictly relates to the improvement of activities in its field of
competence, without prejudice to Community law.

2.
The Agency shall coordinate its research and development
activities with those of the Commission and the Member States
so as to ensure that policies and actions are mutually consis-
tent.

The results of research funded by the Agency shall be

3.
published, provided it does not classify them as confidential.

Article 18

International relations

The Agency shall assist the Community and its Member
1.
States in their relations with third countries in accordance with
the relevant Community law. It shall, in particular, assist in the
harmonising of
recognition regarding
and mutual
approvals attesting the satisfactory application of rules.

rules

The Agency may cooperate with the aeronautical authori-
2.
ties of
third countries and the international organisations
competent in matters covered by this Regulation in the frame-
work of working arrangements concluded with those bodies, in
accordance with the relevant provisions of the Treaty.

The Agency shall be a body of the Community. It shall

1.
have legal personality.

2.
In each of the Member States, the Agency shall enjoy the
most extensive legal capacity accorded to legal persons under
their laws. It may in particular, acquire or dispose of movable
and immovable property and may be a party to legal proceed-
ings.

The Agency may establish its own local offices in the

3.
Member States subject to their consent.

4.

The Agency shall be represented by its Executive Director.

Article 20

Staff

The Staff Regulations of officials of

1.
the European
Communities, the Conditions of employment of other servants
of the European Communities and the rules adopted jointly by
the institutions of the European Communities for purposes of
the application of those Staff Regulations and Conditions of
employment shall apply to the staff of the Agency, without
prejudice to the application of Article 33 of this Regulation to
the members of the Board of Appeal.

2. Without prejudice to Article 30, the powers conferred on
the appointing authority by the Staff Regulations, and by the
Conditions of employment of other servants, shall be exercised
by the Agency in respect of its own staff.

3.
The Agency's staff shall consist of a strictly limited
number of officials assigned or seconded by the Commission or
Member States to carry out management duties. The remaining
staff shall consist of other employees recruited by the Agency
as necessary to carry out its tasks.

Article 21

Privileges and immunities

The Protocol on the Privileges and Immunities of the European
Communities shall apply to the Agency.

Article 22

Liability

3.
The Agency shall assist Member States to respect their
international obligations, in particular those under the Chicago
Convention.

The contractual liability of the Agency shall be governed

1.
by the law applicable to the contract in question.

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The Court of Justice of the European Communities shall
2.
have jurisdiction to give judgement pursuant to any arbitration
clause contained in a contract concluded by the Agency.

3.
In the case of non-contractual liability, the Agency shall,
in accordance with the general principles common to the laws
of the Member States, make good any damage caused by its
departments or by its servants in the performance of their
duties.

4.
The Court of Justice shall have jurisdiction in disputes
relating to compensation for the damage referred to in para-
graph 3.

The personal liability of its servants towards the Agency
5.
shall be governed by the provisions laid down in the Staff Regu-
lations or Conditions of employment applicable to them.

Article 23

Publication of documents

1. Without prejudice to decisions taken on the basis of
Article 290 of the Treaty, the following documents shall be
produced in all official languages of the Community:

(a) the safety review referred to in Article 11(4);

(b) opinions addressed to the Commission pursuant to Article

14(1);

(c) the annual general report and programme of work referred

to in Article 24(2)(b) and (c) respectively.

The translation services required for the functioning of
2.
the Agency shall be provided by the Translation Centre for
bodies of the European Union.

Article 24

Powers of the Management Board

The Agency shall have a Management Board.

The Management Board shall:

1.

2.

(a) appoint the Executive Director, and the Directors on a
proposal from the Executive Director in accordance with
Article 30;

(b) before 31 March each year, adopt the general report of the
Agency for the previous year and forward it
to the
European Parliament, the Council, the Commission and the
Member States;

of

adopt

the Commission,

(c) before 30 September each year, and after receiving the
opinion
the Agency's
programme of work for the coming year and forward it to
the European Parliament, the Council, the Commission and
the Member States;
this programme of work shall be
adopted without prejudice to the annual Community
budgetary procedure
and the Community legislative
programme in relevant areas of aviation safety;

(f) carry out its functions relating to the Agency's budget

pursuant to Articles 48, 49 and 52;

(g) appoint the members of the Board of Appeal pursuant to

Article 32;

(h) exercise disciplinary authority over the Executive Director
and over the Directors, in agreement with the Executive
Director;

(i) give its opinion on the fees and charges regulation as

referred to in Article 53(1);

(j) establish its Rules of Procedure;

(k) decide on the linguistic arrangements for the Agency;

(l) complement, where appropriate,

the list of documents

mentioned in Article 23(1);

(m) establish the organisational structure of the Agency and

adopt the Agency's staffing policy.

The Management Board may advise

3.
the Executive
Director on any matter strictly related to strategic development
of aviation safety, including research as defined in Article 17.

4.
The Management Board shall establish an advisory body
of interested parties, which it shall consult prior to making
decisions in the fields referred to in paragraph 2(c), (e), (f) and
(i). The Management Board may also decide to consult the advi-
sory body on other issues referred to in paragraphs 2 and 3.
The Management Board shall not be bound by the opinion of
the advisory body.

Article 25

Composition of the Management Board

1.
The Management Board shall be composed of one repre-
sentative of each Member State and one representative of the
Commission. To this effect, each Member State and the
Commission shall appoint a member of the Management Board
as well as an alternate who will represent the member in his/
her absence. The duration of the terms of office shall be five
years. This term of office shall be renewable.

2. Where appropriate, the participation of representatives of
European third countries and the conditions thereof shall be
established in the arrangements referred to in Article 55.

Article 26

Chairmanship of the Management Board

1.
The Management Board shall elect a Chairperson and a
Deputy Chairperson from among its members. The Deputy
Chairperson shall ex-officio replace the Chairperson in the
event of his/her being prevented from attending to his/her
duties.

(d) adopt guidelines for the allocation of certification tasks to
national aviation authorities or qualified entities in agree-
ment with the Commission;

(e) establish procedures for making decisions by the Executive

Director as referred to in Articles 43 and 44;

The term of office of the Chairperson and Deputy Chair-
2.
person shall expire when their respective membership of the
Management Board ceases. Subject to this provision, the dura-
tion of the terms of office of the Chairperson or Deputy Chair-
person shall be three years. These terms of office shall be
renewable.

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Article 27

Meetings

1. Meetings of the Management Board shall be convened by
its Chairperson.

The Executive Director of the Agency shall take part in

2.
the deliberations.

3.
The Management Board shall hold at least two ordinary
meetings a year. In addition it shall meet at the instance of the
Chairperson or at
its
members.

least one third of

the request of at

4.
The Management Board may invite any person whose
opinion can be of interest to attend its meetings as an observer.

The members of the Management Board may, subject to
5.
the provisions of its Rules of Procedure, be assisted by advisers
or experts.

6.
The secretariat
provided by the Agency.

for

the Management Board shall be

Article 28

Voting

1. Without prejudice to Article 30(1),
the Management
Board shall take its decisions by a two-thirds majority of its
members. At the request of a member of the Management
Board, the decision referred to in Article 24(2)(k) shall be taken
by unanimity.

2.
Each member shall have one vote. The Executive Director
of the Agency shall not vote. In the absence of a member, his/
her alternate shall be entitled to exercise his/her right to vote.

3.
The rules of procedure shall establish the more detailed
voting arrangements, in particular, the conditions for a member
to act on behalf of another member as well as any quorum
requirements, where appropriate.

Article 29

Functions and powers of the Executive Director

1.
The Agency shall be managed by its Executive Director,
who shall be completely independent in the performance of
his/her duties. Without prejudice to the respective competencies
of the Commission and the Management Board, the Executive
Director shall neither seek nor take instructions from any
government or from any other body.

2.
The European Parliament or the Council may invite the
Executive Director of the Agency to report on the carrying out
of his/her tasks.

(b) to decide on inspections and investigations as provided for

in Articles 45 and 46;

(c) to allocate certification tasks to National Aviation Authori-
ties or qualified entities according to guidelines set by the
Management Board;

(d) to undertake any international

functions and technical

cooperation with third countries pursuant to Article 18;

(e) to take all necessary steps,

including the adoption of
internal administrative instructions and the publication of
notices, to ensure the functioning of the Agency in accor-
dance with the provisions of this Regulation;

(f) to prepare each year a draft general report and submit it to

the Management Board;

(g) to exercise in respect of the staff the powers laid down in

Article 20(2);

(h) to draw up estimates of the revenues and expenditure of
the Agency pursuant to Article 48, and implement the
budget pursuant to Article 49;

(i) to delegate his/her powers to other members of the Agen-
cy's staff subject to rules to be adopted in accordance with
the procedure referred to in Article 54(2);

(j) with the consent of the Management Board, to take a deci-
local offices in the

sion regarding the establishment of
Member States in accordance with Article 19(3).

Article 30

Appointment of senior officials

1.
The Executive Director of the Agency shall be appointed
on grounds of merit and documented competence and experi-
ence relevant for civil aviation, or dismissed by the Manage-
ment Board on the proposal of the Commission. The Manage-
ment Board shall take its decision by a three-quarters majority
of its members.

2.
The Executive Director may be assisted by one or more
Directors. If the Executive Director is absent or indisposed, one
of the Directors shall take his/her place.

The Directors of the Agency shall be appointed, on the
3.
grounds of professional competence relevant for civil aviation,
or dismissed by the Management Board on the proposal of the
Executive Director.

The term of office of the Executive Director and of the
4.
Directors shall be five years. This term of office shall be renew-
able.

Article 31

Powers of the Boards of Appeal

The Executive Director shall have the following functions

3.
and powers:

1. Within the Agency, there shall be one or more Boards of
Appeal.

(a) to approve the measures of the Agency as defined in Arti-
cles 13 and 15 within the limits specified by this Regula-
tion, its implementing rules and any applicable law;

2.
The Board or Boards of Appeal shall be responsible for
deciding on appeals against the decisions referred to in Article
35.

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The Board or Boards of Appeal shall be convened as
3.
necessary. The number of Boards of Appeal and the work allo-
cation shall be determined by the Commission according to the
procedure referred to in Article 54(3).

Article 32

Composition of the Boards of Appeal

A Board of Appeal shall consist of a Chairperson and two

1.
other members.

The Chairperson and the two members shall have alter-

2.
nates who will represent them in their absence.

3.
The Chairperson, the other members and their respective
alternates shall be appointed by the Management Board from a
list of qualified candidates adopted by the Commission.

4. Where the Board of Appeal considers that the nature of
the appeal so requires, it may call up to two further members
from the aforesaid list for that case.

5.
The qualifications required for the members of each Board
of Appeal, the powers of individual members in the preparatory
phase of the decisions and the voting conditions shall be deter-
mined by the Commission according to the procedure referred
to in Article 54(3).

Article 33

Members of the Boards of Appeal

1.
The term of office of the members of the Boards of
Appeal, including their Chairperson and their respective alter-
nates, shall be five years. This term shall be renewable.

2.
The members of the Boards of Appeal shall be indepen-
dent. In making their decisions they shall not be bound by any
instructions.

3.
The members of the Boards of Appeal may not perform
any other duties in the Agency. The function of the members
of the Boards of Appeal may be a part-time function.

The members of

4.
the Boards of Appeal may not be
removed either from office or from the list during their respec-
tive terms, unless there are serious grounds for such removal
and the Commission, after obtaining the opinion of
the
Management Board, takes a decision to this effect.

Article 34

Exclusion and objection

1. Members of the Boards of Appeal may not take part in
any appeal proceedings if
interest
therein, or if they have previously been involved as representa-
tives of one of the parties to the proceedings, or if they partici-
pated in the decision under appeal.

they have any personal

If, for one of the reasons mentioned in paragraph 1 or for
2.
any other reason, a member of a Board of Appeal considers

that he/she should not take part in any appeal proceedings, he/
she shall inform the Board of Appeal accordingly.

3. Members of the Boards of Appeal may be objected to by
any party to the appeal proceedings on any of the grounds
mentioned in paragraph 1, or if suspected of partiality. An
objection shall not be admissible if, while being aware of a
reason for objecting, the party to the appeal proceedings has
taken a procedural step. No objection may be based on the
nationality of members.

4.
The Boards of Appeal shall decide as to the action to be
taken in the cases specified in paragraphs 2 and 3 without the
participation of the member concerned. For the purposes of
taking this decision, the member concerned shall be replaced
on the Board of Appeal by his/her alternate.

Article 35

Decisions subject to appeal

1.
the
An appeal may be brought against decisions of
Agency which have been taken pursuant to Article 15, 46 or
53.

An appeal lodged pursuant to paragraph 1 above shall
2.
not have suspensory effect. The Agency may, however,
if it
considers that circumstances so permit, suspend the application
of the contested decision.

3.
An appeal against a decision which does not terminate
proceedings as regards one of the parties may only be made in
conjunction with an appeal against the final decision, unless the
decision provides for separate appeal.

Article 36

Persons entitled to appeal

Any natural or legal person may appeal against a decision
addressed to that person, or against a decision which, although
in the form of a decision addressed to another person, is of
direct and individual concern to the former. The parties to
proceedings may be party to the appeal proceedings.

Article 37

Time limit and form

The appeal, together with the statement of grounds thereof,
shall be filed in writing at the Agency within two months of
the notification of the measure to the person concerned, or, in
the absence thereof, of the day on which it came to the knowl-
edge of the latter, as the case may be.

Article 38

Interlocutory revision

1.
If the Executive Director considers the appeal to be admis-
sible and well founded, he/she shall rectify the decision. This
shall not apply where the appellant is opposed to another party
to the appeal proceedings.

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If the decision is not rectified within one month after
2.
receipt of the statement of grounds for the appeal, the Agency
shall forthwith decide whether or not to suspend the applica-
tion of the decision pursuant to the second sentence of Article
35(2), and shall remit the appeal to the Board of Appeal.

Article 39

Examination of appeals

If the appeal

1.
examine whether the appeal is well founded.

is admissible, the Board of Appeal shall

2. When examining the appeal, the Board of Appeal shall
act expeditiously. It shall as often as necessary invite the parties
to the appeal proceedings to file observations on notifications
issued by itself or on communications from the other parties to
the appeal proceedings, within specified time limits. Parties to
the appeal proceedings shall be entitled to make oral presenta-
tions.

Article 40

Decisions on appeal

The Board of Appeal may exercise any power which lies within
the competence of the Agency, or it may remit the case to the
competent body of the Agency. The latter shall be bound by
the decision of the Board of Appeal.

Article 41

Actions before the Court of Justice

1.
An appeal may be brought before the Court of Justice
against decisions of the Boards of Appeal on the terms and
conditions laid down in Article 230 of the Treaty.

2.
Should the Agency fail to take a decision, proceedings for
failure to act may be brought before the Court of Justice on the
terms and conditions laid down in Article 232 of the Treaty.

The Agency shall be required to take the necessary

3.
measures to comply with the judgment of the Court of Justice.

Article 42

Direct appeal

Member States and the Community institutions may lodge a
direct appeal before the Court of Justice against decisions of the
Agency.

SECTION III

WORKING METHODS

Article 43

Procedures for the development of opinions, certification
specifications and guidance material

As soon as possible after the entry into force of this Regu-
1.
lation, the Management Board shall establish transparent proce-

for

dures
guidance material referred to in Article 13(a) and (b).

issuing opinions, certification specifications and

Those procedures shall:

(a) draw on expertise available in the aviation regulatory

authorities of Member States;

(b) whenever necessary, involve appropriate experts from rele-

vant interested parties;

(c) ensure that the Agency publishes documents and consults
widely interested parties, according to a timetable and a
procedure which includes an obligation on the Agency to
make a written response to the consultation process.

2. When the Agency, pursuant
to Article 14, develops
opinions, certification specifications and guidance material to
be applied by Member States, it shall establish a procedure for
consulting the Member States. To this effect, it may create a
working group in which each Member State is entitled to desig-
nate an expert.

3. Measures referred to in Article 13(a) and (b) and the
procedures established pursuant to paragraph 1 of this Article
shall be published in an official publication of the Agency.

Special procedures

established to address
shall be
4.
immediate action to be taken by the Agency to react to a safety
problem and to inform the relevant interested parties of the
action they are to take.

Article 44

Procedures for taking decisions

1.
The Management Board shall establish transparent proce-
dures for taking individual decisions as provided for in Article
13(c).

Those procedures shall:

(a) ensure the hearing of the natural or legal person to be
addressed in the decision and of any other party with a
direct and individual concern;

(b) provide for notification of a decision to a natural or legal

person and its publication;

(c) provide for information to the natural or legal person to
whom a decision is addressed, and any other parties to
proceedings, of the legal remedies available to that person
under this Regulation;

(d) ensure that the decision contains reasons.

2.
The Management Board shall also establish procedures
specifying the conditions under which decisions are notified
while taking due account of the appeal procedure.

Special procedures

3.
established to address
shall be
immediate action to be taken by the Agency to react to a safety
problem and to inform the relevant interested parties of the
action they are to take.

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Article 45

(b) to take copies of or extracts from such records, data, proce-

dures and other material;

Inspections of Member States

(c) to ask for an oral explanation on site;

1. Without prejudice to the enforcement powers conferred
by the Treaty on the Commission, the Agency shall assist the
Commission in monitoring the application of this Regulation
and its implementing rules, by conducting standardisation
inspections of Member States competent authorities as specified
in Article 16(1). The officials authorised under this Regulation,
and the national authorities, are thus empowered, in compli-
ance with the legal provisions of the Member State concerned:

(a) to examine the relevant records, data, procedures and any
other material relevant to the achievement of aviation safety
levels in accordance with this Regulation;

(b) to take copies of or extracts from such records, data, proce-

dures and other material;

(d) to enter relevant premises, lands or means of transport of

undertakings.

2.
The persons authorised for the purpose of these investiga-
tions shall exercise their powers upon production of an authori-
sation in writing specifying the subject matter and purpose of
the investigation.

3.
In good time before the investigation, the Agency shall
inform the Member State concerned in whose territory the
investigation is to be made, of the investigation and of the iden-
tity of the authorised persons. Officials of the Member State
concerned shall, at
the
authorised persons in carrying out their duties.

the Agency, assist

the request of

(c) to ask for an oral explanation on the spot;

Article 47

(d) to enter any relevant premises, land or means of transport.

Transparency and communication

2.
The officials of the Agency authorised for the purpose of
these inspections shall exercise their powers upon production
of an authorisation in writing specifying the subject matter, the
purpose of the inspection and the date on which it is to begin.
In good time before the inspection, the Agency shall inform the
Member State concerned of the inspection and of the identity
of the authorised officials.

3.
The Member State concerned shall submit to such inspec-
tions and shall ensure that bodies or persons concerned also
submit to inspections.

4. When an inspection under the terms of this Article entails
an inspection of an undertaking or an association of undertak-
ings the provisions of Article 46 shall apply. Where an under-
taking opposes such inspection, the Member State concerned
shall afford the necessary assistance to officials authorised by
the Agency to enable them to make their inspection.

5.
Reports drawn up in application of this Article shall be
made available in the official language(s) of the Member State
where the inspection took place.

Article 46

1.
The Agency shall be subject to Regulation (EC) No 1049/
2001 when handling applications for access to documents held
by it.

2.
The Agency may communicate on its own initiative in
the fields within its mission. It shall ensure in particular that, in
addition to the publication specified in Article 43(3), the public
and any interested party are rapidly given objective, reliable and
easily understandable information with regard to its work.

The Management Board shall

3.
arrangements for the application of paragraphs 1 and 2.

lay down the practical

4.
Any natural or legal person shall be entitled to address
himself/herself in writing to the Agency in any of the languages
referred to in Article 314 of the Treaty. He/she has the right to
receive an answer in the same language.

SECTION IV

FINANCIAL REQUIREMENTS

Article 48

Budget

Investigation of undertakings

1.

The revenues of the Agency shall consist of:

For the application of Article 15, the Agency may itself
1.
conduct or allocate to national aviation authorities or qualified
entities all necessary investigation of undertakings. Investiga-
tions shall be carried out in compliance with the legal provi-
sions of the Member States in which they are to be undertaken.
To that end, the persons authorised under this Regulation are
empowered:

(a) to examine the relevant records, data, procedures and any
other material relevant to the execution of the tasks of the
Agency;

(a) a contribution from the Community and from any
European third country with which the Community has
concluded agreements referred to in Article 55;

(b) the fees paid by applicants for, and holders of, certificates

and approvals issued by the Agency; and

(c) charges for publications, training and any other services

provided by the Agency.

The expenditure of the Agency shall

2.
administrative, infrastructure and operational expenses.

include the staff,

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The Executive Director shall draw up an estimate of the
3.
revenues and expenditure of
the Agency for the following
financial year and shall forward it to the Management Board
together with an establishment plan.

4.

Revenue and expenditure shall be in balance.

5.
The Management Board shall, by 31 March, at the latest,
adopt the draft estimates, including the provisional establish-
ment plan accompanied by the preliminary work programme,
and forward them to the Commission and to the States with
which the Community has concluded the agreements referred
to in Article 55.

On the basis of that draft budget, the Commission shall estab-
lish the relevant estimates in the preliminary draft general
budget of the European Union, which it shall put before the
Council pursuant to Article 272 of the Treaty. The scope of the
approved budget outlook of the Community for the coming
years has to be observed.

After receiving the draft budget, the States referred to in the
first subparagraph will establish their own preliminary draft
budget.

6.
After the adoption of the general budget by the budgetary
authority, the Management Board shall adopt the Agency's final
budget and work programme, adjusting them where necessary
to the Community contribution. It shall forward them without
delay to the Commission and to the budgetary authority.

7.
Any modification to the budget, including the establish-
ment plan, shall follow the procedure referred to in paragraph
5.

Article 49

Implementation and control of the budget

The Executive Director shall implement the budget of the

1.
Agency.

Control of commitment and payment of all expenditure
2.
and control of the existence and recovery of all revenue of the
Agency shall be carried out by the Financial Controller of the
Commission.

By 31 March each year at

the Executive
3.
Director shall submit to the Commission, the Management
Board and the Court of Auditors the detailed accounts of all
revenue and expenditure from the previous financial year.

the latest,

The Court of Auditors shall examine those accounts in accor-
dance with Article 248 of the Treaty. It shall publish a report
on the Agency's activities every year.

4.
The European Parliament, acting on a recommendation
from the Council, shall give a discharge to the Executive
Director of the Agency in respect of the implementation of the
budget.

Article 50

Combating fraud

the European Parliament and of the Council of 25 May 1999
concerning investigations conducted by the European Anti-
fraud Office (OLAF) (1) shall apply without restriction.

2.
The Agency shall accede to the Interinstitutional Agree-
ment of 25 May 1999 concerning internal investigations by the
European Anti-fraud Office (OLAF) (2) and shall issue, without
delay,
the
employees of the Agency.

appropriate provisions

applicable

to all

the

The decisions concerning funding and the implementing
3.
agreements and instruments resulting from them shall explicitly
stipulate that the Court of Auditors and OLAF may carry out, if
necessary, on-the-spot checks among the recipients of
the
Agency's funding and the agents responsible for allocating it.

Article 51

Evaluation

1. Within three years from the date of the Agency having
taken up its responsibilities, and every five years thereafter, the
Management Board shall commission an independent external
evaluation on the implementation of this Regulation.

2.
The evaluation shall examine how effectively the Agency
fulfils its mission. It shall also assess the impact of this Regula-
tion, the Agency and its working practices in establishing a
high level of civil aviation safety. The evaluation shall take into
the views of stakeholders, at both European and
account
national level.

3.
The Management Board shall receive the findings of the
evaluation and issue recommendations regarding changes to
this Regulation, the Agency and its working practices to the
Commission, which may forward them, together with its own
opinion as well as appropriate proposals, to the European
Parliament and to the Council. An action plan with a timetable
if appropriate. Both the findings and the
shall be included,
recommendations of the evaluation shall be made public.

Article 52

Financial provisions

The Management Board, having received the agreement of the
Commission and the opinion of the Court of Auditors, shall
adopt the Agency's Financial Regulation, which shall in parti-
cular specify the procedure to be used for drawing up and
implementing the Agency's budget, in accordance with Article
142 of
the Financial Regulation applicable to the general
budget of the European Communities.

Article 53

Fees and charges regulation

The Commission, acting in accordance with the procedure
1.
laid down in Article 54(3) and after consulting the Management
Board, shall adopt a regulation on fees and charges.

2.
The fees and charges regulation shall determine in parti-
cular the matters for which fees and charges pursuant to Article
48(1) are due, the amount of the fees and charges and the way
in which they are to be paid.

In order to combat fraud, corruption and other unlawful
1.
activities the provisions of Regulation (EC) No 1073/1999 of

(1) OJ L 136, 31.5.1999, p. 1.
(2) OJ L 136, 31.5.1999, p. 15.

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3.

Fees and charges shall be levied for:

(a) the issuing and renewal of certificates, as well as the related

continuing oversight functions;

(b) the provision of services; they shall reflect the actual cost of

each individual provision;

(c) the processing of appeals.

All fees and charges shall be expressed, and payable, in euro.

4.
The amount of the fees and charges shall be fixed at such
a level as to ensure that the revenue in respect thereof is in
principle sufficient to cover the full cost of the services deliv-
ered.

The contribution referred to in Article 48(1), may cover, for a
transitional period ending on 31 December of the fourth year
from the entry into force of this Regulation, the expenditure
relating to the initial running phase of the Agency. In accor-
dance with the procedure laid down in Article 54(3), this
period may be extended, if necessary, for no more than one
year.

CHAPTER IV

FINAL PROVISIONS

Article 54

Committee

1.

The Commission shall be assisted by a committee.

2. Where reference is made to this paragraph, Articles 3 and
7 of Decision 1999/468/EC shall apply having regard to the
provisions of Article 8 thereof.

3. Where reference is made to this paragraph, Articles 5 and
7 of Decision 1999/468/EC shall apply having regard to the
provisions of Article 8 thereof.

The period laid down in Article 5(6) of Decision 1999/468/EC
shall be set at one month.

4. Where reference is made to this paragraph, Article 6 of
Decision 1999/468/EC shall apply.

Before adopting its decision, the Commission shall consult the
committee referred to in paragraph 1 of this Article.

The period provided for in Article 6(b) of Decision 1999/468/
EC shall be set at three months.

When a Commission decision is referred to the Council by a
Member State, the Council, acting by a qualified majority, may
take a different decision within a period of three months.

5.

The Committee shall adopt its Rules of Procedure.

Convention and which have entered into agreements with the
European Community whereby they have adopted and are
applying Community law in the field covered by this Regula-
tion and its implementing rules.

Under the relevant provisions of these agreements, arrange-
ments will be developed which shall,
inter alia, specify the
nature and extent of, and the detailed rules for, the participation
by these countries in the work of the Agency, including provi-
sions on financial contributions and staff.

Article 56

Commencement of the Agency's operation

1.
The Agency shall undertake the certification tasks incum-
bent upon it pursuant to Article 15 as from 28 September
2003. Until that date, Member States shall continue to imple-
ment applicable legislation and regulations.

During an additional transition period of 42 months from
2.
the date referred to in paragraph 1, Member States may
continue to issue certificates and approvals by way of deroga-
tion from the provisions of Articles 5, 6, 9 and 15 under the
conditions specified by the Commission in the implementing
rules adopted for their application. When in that context
Member States issue certificates on the basis of certificates
issued by third countries, the Commission implementing rules
shall give due consideration to the principles laid down in
Article 9(2)(b) and (c).

3.
By way of derogation from the provisions of Article 43,
pending the adoption of essential requirements in accordance
with Article 7, the execution of the corresponding tasks by the
Agency may be subject to working procedures agreed upon
with the joint aviation authorities.

Article 57

Repeal

Directive 80/51/EEC and Annex II to Regulation (EEC) No

1.
3922/91 shall be repealed as from 28 September 2003.

2.
The provisions of Article 8 shall apply to products, parts
and appliances, organisations and persons that have been certi-
fied in accordance with the provisions referred to in paragraph
1 of this Article.

Article 58

Entry into force

Article 55

Participation of European third countries

This Regulation shall enter into force on the 20th day following
that of its publication in the Official Journal of the European
Communities.

The Agency shall be open to the participation of European
third countries which are Contracting Parties to the Chicago

Articles 5 and 6 shall apply as from the dates specified in the
implementing rules.

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This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 15 July 2002.

For the European Parliament

The President

P. COX

For the Council

The President

M. FISCHER BOEL

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ANNEX I

Essential requirements for airworthiness referred to in Article 5

1.

1.a.

Pr oduc t i n teg r i ty : 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.

Str u c tur e s a n d ma te r i a ls: the integrity of the structure must be ensured throughout, and sufficiently
beyond, the operational envelope for the aircraft, including its propulsion system, and maintained for the opera-
tional life of the aircraft.

1.a.1.

All parts of the aircraft, the failure of which could reduce the structural
integrity, must comply with the
following conditions without detrimental deformation or failure. This includes all items of significant mass and
their means of restraint.

1.a.1.a. All combinations of load reasonably expected to occur within, and sufficiently beyond, the weights, centre of
gravity range, operational envelope and life of the aircraft must be considered. This includes loads due to gusts,
manoeuvres, pressurisation, movable surfaces, control and propulsion systems both in flight and on the ground.

1.a.1.b. Consideration must be given to the loads and likely failures induced by emergency landings either on land or

water.

1.a.1.c. Dynamic effects must be covered in the structural response to these loads.

1.a.2.

The aircraft must be free from any aeroelastic instability and excessive vibration.

1.a.3.

1.a.4.

1.b.

The manufacturing processes and materials used in the construction of the aircraft must result in known and
reproducible structural properties. Any changes in material performance related to the operational environment
must be accounted for.

The effects of cyclic loading, environmental degradation, accidental and discrete source damage must not reduce
the structural
integrity below an acceptable residual strength level. All necessary instructions for ensuring
continued airworthiness in this regard must be promulgated.

Pr opu lsi on: the integrity of the propulsion system (i.e. engine and, where appropriate, propeller) must be
demonstrated throughout, and sufficiently beyond, the operational envelope of the propulsion system and must
be maintained for the operational life of the propulsion system.

1.b.1.

The propulsion system must produce, within its stated limits, the thrust or power demanded of it at all required
flight conditions, taking into account environmental effects and conditions.

1.b.2.

The fabrication process and materials used in the construction of the propulsion system must result in known
and reproducible structural behaviour. Any changes in material performance related to the operational environ-
ment must be accounted for.

1.b.3.

The effects of cyclic loading, environmental and operational degradation and likely subsequent part failures must
not reduce the integrity of the propulsion system below acceptable levels. All necessary instructions for ensuring
continued airworthiness in this regard must be promulgated.

1.b.4. All necessary instructions, information and requirements for the safe and correct interface between the propul-

sion system and the aircraft must be promulgated.

1.c.

Sy stems a nd e q ui pm en t

1.c.1.

The aircraft must not have design features or details that experience has shown to be hazardous.

1.c.2.

The aircraft, including those systems, equipment and appliances required for type-certification, or by operating
rules, must function as intended under any foreseeable operating conditions, throughout, and sufficiently
beyond, the operational envelope of the aircraft, taking due account of the system, equipment or appliance
operating environment. Other systems, equipment and appliance not required for type-certification, or by oper-
ating rules, whether functioning properly or improperly, must not reduce safety and must not adversely affect
the proper functioning of any other system, equipment or appliance. Systems, equipment and appliances must
be operable without needing exceptional skill or strength.

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1.c.3.

The aircraft systems, equipment and associated appliances, considered separately and in relation to each other,
must be designed such that any catastrophic failure condition does not result from a single failure not shown to
be extremely improbable and an inverse relationship must exist between the probability of a failure condition
and the severity of its effect on the aircraft and its occupants. With respect to the single failure criterion above,
it is accepted that due allowance must be made for the size and broad configuration of the aircraft and that this
may prevent this single failure criterion from being met for some parts and some systems on helicopters and
small aeroplanes.

1.c.4.

Information needed for the safe conduct of the flight and information concerning unsafe conditions must be
provided to the crew, or maintenance personnel, as appropriate,
in a clear, consistent and unambiguous
manner. Systems, equipment and controls, including signs and announcements must be designed and located to
minimise errors which could contribute to the creation of hazards.

1.c.5.

Design precautions must be taken to minimise the hazards to the aircraft and occupants from reasonably prob-
able threats, both inside and external to the aircraft, including protecting against the possibility of a significant
failure in, or disruption of, any aircraft appliance.

1.d.

Conti n u i n g a i rw or thi ne ss

1.d.1.

Instructions for continuing airworthiness must be established to ensure that the aircraft type certification
airworthiness standard is maintained throughout the operational life of the aircraft.

1.d.2. Means must be provided to allow inspection, adjustment, lubrication, removal or replacement of parts and

appliances as necessary for continuing airworthiness.

1.d.3.

The instructions for continuing airworthiness must be in the form of a manual, or manuals, as appropriate for
the quantity of data to be provided. The manuals must cover maintenance and repair instructions, servicing
information, trouble-shooting and inspection procedures, in a format that provides for a practical arrangement.

1.d.4.

The instructions for continuing airworthiness must contain airworthiness limitations that set forth each manda-
tory replacement time, inspection interval and related inspection procedure.

2.

Ai r w or thi ne ss a spe c ts of p rodu ct ope ra tion

2.a.

The following must be shown to have been addressed to ensure a satisfactory level of safety for those onboard
or on the ground during the operation of the product:

2.a.1.

The kinds of operation for which the aircraft is approved must be established and limitations and information
necessary for safe operation, including environmental limitations and performance, must be established.

2.a.2.

The aircraft must be safely controllable and manoeuvrable under all anticipated operating conditions including
following the failure of one or, if appropriate, more propulsion systems. Due account must be taken of pilot
strength, flight deck environment, pilot workload and other human-factor considerations and of the phase of
flight and its duration.

2.a.3.

It must be possible to make a smooth transition from one flight phase to another without requiring exceptional
piloting skill, alertness, strength or workload under any probable operating condition.

2.a.4.

The aircraft must have such stability as to ensure that the demands made on the pilot are not excessive taking
into account the phase of flight and its duration.

2.a.5.

Procedures for normal operations, failure and emergency conditions must be established.

2.a.6. Warnings, or other deterrents intended to prevent exceedance of the normal flight envelope, must be provided,

as appropriate to type.

2.a.7.

The characteristics of the aircraft and its systems must allow a safe return from extremes of the flight envelope
that may be encountered.

2.b.

2.c.

2.c.1.

The operating limitations and other information necessary for safe operation must be made available to the crew
members.

Product operations must be protected from hazards resulting from adverse external and internal conditions,
including environmental conditions.

In particular, no unsafe condition must occur from exposure to phenomena such as, but not limited to, adverse
weather, lightning, bird strike, high frequency radiated fields, ozone, etc., reasonably expected to occur during
product operation.

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2.c.2.

2.c.3.

3.

3.a.

3.a.1.

3.a.2.

3.a.3.

3.a.4.

Cabin compartments must provide passengers with suitable transport conditions and adequate protection from
any expected hazard arising in flight operations or resulting in emergency situations, including fire, smoke, toxic
gases and rapid decompression hazards. Provisions must be made to give occupants every reasonable chance of
avoiding serious injury and quickly evacuating the aircraft and to protect them from the effect of the decelera-
tion forces in the event of an emergency landing on land or water. Clear and unambiguous signs or announce-
ments must be provided, as necessary, to instruct occupants in appropriate safe behaviour and the location and
correct use of safety equipment. Required safety equipment must be readily accessible.

Crew compartments must be arranged in order to facilitate flight operations, including means providing situa-
tional awareness, and management of any expected situation and emergencies. The environment of crew
compartments must not jeopardise the crew's ability to perform their tasks and its design must be such as to
avoid interference during operation and misuse of the controls.

O rg a n i sa ti ons (including natural persons undertaking design, manufacture or maintenance)

Organisation approvals must be issued when the following conditions are met:

the organisation must have all the means necessary for the scope of work. These means comprise, but are not
limited to, the following: facilities, personnel, equipment, tools and material, documentation of tasks, responsi-
bilities and procedures, access to relevant data and record-keeping;

the organisation must implement and maintain a management system to ensure compliance with these essential
requirements for airworthiness, and aim for continuous improvement of this system;

the organisation must establish arrangements with other relevant organisations, as necessary, to ensure conti-
nuing compliance with these essential requirements for airworthiness;

the organisation must establish an occurrence reporting and/or handling system, which must be used by the
management system under point 3.a.2 and the arrangements under point 3.a.3, in order to contribute to the
aim of continuous improvement of the safety of products.

3.b.

In the case of maintenance training organisations, the conditions under points 3.a.3 and 3.a.4 do not apply.

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ANNEX II

Aircraft referred to in Article 4(2)

Aircraft to which Article 4(1) does not apply are aircraft for which a type-certificate or a certificate of airworthiness has
not been issued on the basis of this Regulation and its implementing rules, and which fall in one of the following
categories:

(a) aircraft having a clear historical relevance, related to:
(i) participation in a noteworthy historic event; or

(ii) a major step in the development of aviation; or

(iii) a major role played in the armed forces of a Member State;

and meeting one or more of the following criteria:

(i) its initial design is established as being more than 40 years old;

(ii) its production stopped at least 25 years ago;

(iii) fewer than 50 aircraft of the same basic design are still registered in the Member States;

(b) aircraft specifically designed or modified for research, experimental or scientific purposes, and likely to be produced

in very limited numbers;

(c) 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;

(d) aircraft whose initial design was intended for military purposes only;

(e) aeroplanes having no more than two seats, the stall speed or the minimum steady flight speed in landing configura-
tion not exceeding 35 knots calibrated air speed (CAS), and a maximum take-off mass (MTOM) of no more than:

(i) 300 kg for a land plane, single seater; or

(ii) 450 kg for a land plane, two seater; or

(iii) 330 kg for an amphibian or floatplane single seater; or

(iv) 495 kg for an amphibian or floatplane two seater, provided that, where operating both as a floatplane and as a

land plane, it falls below both MTOM limits, as appropriate;

(f) ‘gliders’ with a structural mass of less than 80 kg when single seater or 100 kg when two seater, including those

which are foot launched;

(g) unmanned aircraft with an operating mass of less than 150 kg;

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