Proposal for a Regulation of the European Parliament and of the Council amending Regulation (EC) No 1592/2002 of 15 July 2002 on common rules in the field of civil aviation and establishing a European Aviation Safety Agency
Date: 2005-11-15
Institutions: European Commission
Subjects: EU competence, EU office or agency, administrative transparency, air safety, civil aviation, operation of the Institutions, technical regulations

COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 15.11.2005 
COM(2005) 579 final 

2005/0228 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 1592/2002 of 15 July 2002 on common rules in the field of 
civil aviation and establishing a European Aviation Safety Agency 

(presented by the Commission) 

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EXPLANATORY MEMORANDUM 

1. 

BACKGROUND 

Since Regulation (EC) No 1592/20021 entered into force in September 2002, the Community 
has had exclusive competence regarding the airworthiness and environmental compatibility of 
aeronautical products, parts and appliances. These, together with the organisations responsible 
for  their  design,  manufacture  and  maintenance,  now  have  to  comply  with  uniform  binding 
rules adopted by the Commission2.  

The Regulation establishes a European Aviation Safety Agency (EASA) which provides the 
Commission with all the technical expertise it requires and assists it, inter alia, in the exercise 
of its legislative and regulatory tasks. The Agency is also setting up a system to monitor the 
application  of  Community  legislation,  evaluate  its  effects  and  make  any  useful  suggestions. 
Certificates and approvals attesting that  products and organisations conform to the  common 
rules  are  issued  either  by  the  EASA  or  by  the  competent  national  authorities:  the  EASA 
carries out the type certification of products and issues certificates for organisations located in 
third  countries;  the  national  authorities  issue  individual  certificates  and  approvals  for  most 
organisations located on their territory, on the basis of common rules and under the Agency's 
supervision.  

The Agency's competences are defined by the scope of Regulation (EC) No 1592/2002. When 
the  text  was  adopted,  it  was  already  understood  that  the  objectives  laid  down  in  Article  2, 
which are, primarily, to guarantee a high, uniform level of safety and provide a level playing 
field  for  Community  air  operators,  could  not  be  achieved  unless  its  scope  was  extended  to 
include  air  operations  and  flight  crew  licensing.  The  legislator  gave  the  Commission  an 
explicit  mandate  to  submit  a  proposal  to  this  end,  and  to  reconsider  the  question  of  the 
regulation of third-country aircraft3. 

2. 

CURRENT CHALLENGES 

For  a  long  time  the  Joint  Aviation  Authorities  (JAA)4  have  been  developing  rules  on  the 
operation  of  aircraft  for  the  purpose  of  commercial  air  transportation5,  flight  crew  licensing 
and crew training6, but their application is left to the discretion of the States which sign up to 
them  and  which  implement  them  in  very  different  ways,  or  do  not  implement  them  at  all. 
Consequently,  there  is  no  uniform  level  of  safety.  In  addition,  national  disparities  interfere 
with the smooth functioning of the internal market.  

1 

2 

3 
4 

5 
6 

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 (OJ L 
240, 7.9.2002, p. 1). 
Commission  Regulations  (EC)  No 1702/2003  of  24  September  2003  (OJ  L  243,  27.9.2003,  p.  6)  and 
(EC)  No  2042/2003  of  20  November  2003  (OJ  L  315,  28.11.2003,  p.  1),  concerning  respectively  the 
certification and the maintenance of aeronautical products, parts and appliances. 
Article 7 and recital 2 of Regulation (EC) No 1592/2002. 
The JAA is a group of 37 European countries which develop common aviation safety rules, the Joint 
Aviation Requirements (JAR). 
JAR-OPS 1 and 3. 
JAR-FCL and JAR-STD. 

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The inclusion of the JAR-OPS rules in Community legislation, via the pending amendment of 
Regulation  (EEC)  No 3922/91,7  will  undeniably  be  a  step  forward  but  will  not  procure  a 
sufficient degree of harmonisation because it will only cover commercial air transport. Other 
types  of  aircraft,  other  commercial  operations  and  non-commercial  operations  will  not  be 
covered by these common rules; nor will the rules cover flight crew licensing or third-country 
aircraft. 

The  safety  of  third-country  aircraft  operating  in  the  Community  needs  however  to  be  more 
effectively  ensured.  The  Annexes  to  the  Chicago  Convention  lay  down  minimum  standards 
with which aircraft, air carriers and crews involved in international flights must comply. The 
State  in  which  an  aircraft  is  registered  has  primary  responsibility  for  checking  that  these 
obligations  are  fulfilled,  but  the  other  contracting  States  can  inspect  aircraft  which  overfly 
their  territory  to  verify  their  safety.  In  the  Community,  this  is  done  under  the  "SAFA" 
Directive8, which refers to Annexes 1, 6 and 8 to the Chicago Convention. However, SAFA 
inspections  carried  out  by  the  Member  States  will  relate  only  to  these  minimum  standards, 
which do not cover all aspects of air safety.  

3. 

OPINION  OF  THE  EUROPEAN  AVIATION  SAFETY  AGENCY  AND  CONSULTATION  OF 
INTERESTED PARTIES 

This  is  the  context  in  which  the  Commission  has  decided  to  comply  with  the  legislator's 
request and propose that the common safety rules be extended to air operations, pilot licensing 
and third-country aircraft.  

To do this, the Commission was required, under the terms of Article 14 of Regulation (EC) 
No 1592/2002,  to  first  obtain  the  opinion  of  the  EASA.  The  Agency,  for  its  part,  in 
accordance  with  its  internal  rules9  and  international  practice  in  this  area,  had  to  carry  out 
extensive consultation of all the interested parties and take their comments into account before 
delivering an opinion. On 27 April 2004 it published a consultation document on its internet 
site10,  on  "the  applicability,  basic  principles  and essential  requirements  for  pilot  proficiency 
and  air  operations  and  for  the  regulation  of  third  country  aircraft  operated  by  third  country 
operators"11.  Between  30 April  and  31 July  2004,  1 695  comments  on  the  document  were 
submitted by 93 individuals, national authorities, undertakings and organisations. The Agency 
replied  in  writing  to  the  comments  and  the  interested  parties  were  able  to  comment  on  the 
reply12. 

On the basis of the comments received during these consultations, the Agency examined the 
question and on 15 December 2004 it sent the Commission an opinion recommending that the 

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12 

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 (OJ L 373, 31.12.1991, p. 4) 
and COM(2004) 73, 10.2.2004. 
Directive 2004/36/EC of the European Parliament and of the Council of 21 April 2004 on the safety of 
third-country aircraft using Community airports (OJ L 143, 30.4.2004, p. 76). 
Decision  MB/7/03  of  27 June  2003  concerning  the  procedure  to  be  applied  by  the  Agency  for  the 
issuing of opinions, certification specifications and guidance material, adopted pursuant to Article 43 of 
Regulation (EC) No 1592/2002. 
www.easa.eu.int. 
NPA No 2/2004. 
A list of the comments and their authors can be found on the EASA's website. 

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common rules be extended to air operations, pilot licensing and third-country aircraft13. The 
opinion, which is on the Agency's website "reflects the majority of the views expressed during 
the consultation and contains compromises likely to ensure a high level of consensus".  

4. 

IMPACT STUDY 

This  proposal  for  a  Regulation  was  preceded  by  an  impact  study  carried  out  by  the 
Commission. Two options in particular were examined:  

–  extending  the  scope  of  Regulation  (EC)  No 1592/2002,  and  hence  of  the  European 

Aviation Safety Agency’s remit; this was the option favoured by the legislator;  

–  transposing  into  Community  law,  via  Regulation  (EEC)  No 3922/91,  the  rules  defined 

through intergovernmental cooperation within the JAA.  

The study showed clearly that it would be better for aviation safety, and for the functioning of 
the  internal  market,  to  introduce  specific  Community  measures:  the  Commission  therefore 
opted to extend the scope of Regulation (EC) No 1592/2002. 

5. 

PROPOSAL FOR A REGULATION 

5.1. 

Instrument and method 

Extending  the  scope  of  Regulation  (EC)  No 1592/2002  is  the  most  appropriate  legislative 
instrument for extending the common rules to cover air operations, pilot licensing and third-
country  aircraft  because  the  EASA,  established  by  that  Regulation,  will  also  be  given  new 
tasks in these areas, notably in the field of rulemaking and certification. 

To spare the parties concerned disruption and unnecessary additional cost, the common rules 
will be based on those developed thus far by the JAA, i.e. the JAR-OPS, JAR-FCL and JAR-
STD. They will thus become mandatory and be applied uniformly throughout the Community. 
The  same  method  had  been  chosen,  when  Regulation  (EC)  No 1592/2002  was  adopted,  for 
the rules on airworthiness.  

5.2. 

Content 

5.2.1.  Amendments to the Agency's opinion 

1. 

The  Commission's  proposal  is  based  on  the  EASA's  opinion;  on  some  points 
however, the Commission wished to differ in order to achieve an even higher level of 
civil aviation safety in Europe. In accordance with the provisions of Article 12(2)(b) 
of  Regulation  (EC)  No 1592/2002, 
in 
coordination with the Agency: 

these  amendments  were 

introduced 

–  Primarily,  the  Commission  wanted  to  extend  the  scope  of  the  Regulation  to  include  all 
aircraft  used,  for  whatever  purpose,  in  the  Community,  within  the  limits  imposed  by  the 

13 

Opinion No 3/2004. 

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Chicago  Convention.  The  scope  of  paragraphs  1(b)  and  1(c)  of  Article 4  is  therefore 
broader than the EASA's opinion proposed. 

–  Concerning  cabin  crew,  the  Agency  proposed  subjecting  them  to  common  safety 
requirements  but,  taking  account  of  the  majority  view  expressed  during  the  consultation, 
not to a certification process. However, the EASA drew the Commission's attention to the 
incongruous situation of this category of staff who are now, in most of the Member States, 
the  only  ones  assigned  to  aviation  safety  and  security  tasks  not  to  be  certified,  although 
they play an essential role in ensuring passenger safety, as shown by the fortunate outcome 
of  the  accident  in  Toronto  on  2  August  2005.  The  Commission  believes  that  if  this 
situation persists, it will contravene the objectives set out in Article 2 of Regulation (EC) 
No 1592/2002.  The  Commission  therefore  proposes,  following  on  from  the  pending 
amendment  of  Regulation  (EEC)  No 3922/91,  that  cabin  crew  hold  an  attestation 
[Article 6b(4)] showing that they meet the specific essential requirements laid down in the 
new Annex IV to Regulation (EC) No 1592/2002. 

–  The  Commission  considered  that  ultralight  aircraft  should  perhaps  no  longer  be 
systematically exempted from common rules, as the performance of some of these aircraft 
now matches that of light aircraft. It would therefore like work to begin as soon as possible 
to  examine  if,  and  to  what  extent,  certain  types of  ultralight  aircraft  should  be  subject  to 
common rules (recital 4). 

5.2.2.  Extension of the scope of the Regulation 

2. 

With  regard  to  air  operations,  pilot  licensing  and  third-country  aircraft,  the  EASA 
options  were  accepted  and  the  main  lines  of  the  proposal  can  be  summarised  as 
follows:  

–  Air operations:  

To improve public safety, notably on the ground, and facilitate the free movement of services 
within the internal market, the proposed Regulation would extend the common rules to all air 
operations  [Article 4(1b)]  and  the  certification  requirement  to  all  commercial  operators 
[Article 6b(2)]. Certificates would be issued by the Member States or, where appropriate, the 
EASA [Article 15b(1)], which could also, wherever necessary, impose operational directives 
[Article 15b(2)]. 

For non-commercial operations, the rules would be tailored to the complexity of the aircraft 
used and there would be no certification, as is already the case in most Member States. Where 
such  operations  are  conducted  with  complex  aircraft  [Article 3(j)],  the  operators  concerned 
should however declare that they are able to meet all the essential requirements relating to air 
operations [Article 6b(3) and Annex IV]. 

–  Pilot licensing: 

The  proposed  Regulation  would  require  most  pilots  operating  in  the  Community  to  hold  a 
licence issued on the basis of common requirements regarding their theoretical and practical 
knowledge  and  physical  aptitude  [Article 4(1a)].  Organisations,  flight  synthetic  training 
devices  and  persons  involved  in  the  training,  testing,  checking  and  medical  assessment  of 
pilots must also be certified on the basis of common rules [Article 6a(1), (2), (3), (4) and (5)]. 
The  EASA  would  be  responsible  for  checking  that  these  rules  are  correctly  applied  by  the 

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national  certification  bodies,  and  would  itself  certify  the  organisations  and  flight  synthetic 
training devices of third countries [Article 15a]. 

However,  not  all  pilots  would  be  subject  to  the  same  rules,  which  in  some  cases  would  be 
disproportionate.  So  while  commercial  transport  would  be  subject  to  the  maximum 
requirements, other aviation sectors should be governed by rules adapted to the complexity of 
the  aircraft  used  and  that  of  the  airspace  in  which  they  fly.  In  particular,  better  provision 
should  be  made  for  recreational  flying:  the  specific  rules  developed  by  the  JAA  (JAR-FCL 
PPL)  are  often  considered  excessive.  The  proposed  Regulation  would  therefore  introduce  a 
new category of licence, the "recreational pilot licence", tailored more closely to this category 
of airspace user. This licence would be issued by assessment bodies approved by the Agency 
or  by  the  competent  national  authority,  as  the  applicant  chooses  [Articles 6a(2)  and 
15a(1)(b)]. Sports federations could, for example, fulfil this function. 

–  Third-country aircraft: 

To ensure effective protection of public safety, on the ground and on board these aircraft, the 
proposed  Regulation  would  impose  common  rules  on  third-country  aircraft  operating  in  the 
Community,  within  the  limits  imposed  by  the  Chicago  Convention  [Articles 5(1),  5(4)(j), 
5(5)(d),  6a(1),  6b(1)].  In  addition,  for  third-country  operators  engaged  in  commercial 
operations in the Community, compliance with the common rules would have to be attested 
by a certificate [Articles 6b(2) and (6) and 15b(1)]. 

5.2.3.  Other amendments to the Regulation 

3. 

As  Regulation  (EC)  No 1592/2002  entered  into  force  in  September  2002  and  the 
EASA has been operational since 28 September 2003, the Commission believes that 
lessons should be drawn from the experience acquired since then to improve the text 
whenever  necessary.  Besides  extending  its  scope,  some  of  its  provisions  should  be 
amended including, primarily: 

–  Qualified  entities  conducting  certification  tasks  on  behalf  of  the  Agency,  or  on  behalf  of 
national  aeronautical  authorities  where  the  Agency  assigns  such  tasks  to  the  Member 
States, should be accredited by the Agency, which would thus ascertain their capability to 
perform the tasks in question (Article 9a). 

–  Derogation management should be simplified: as far as possible, the Commission should 
only have to take decisions on derogation measures adopted by the Member States if the 
measures  are  not  in  conformity  with  this  Regulation  and  its  implementing  rules 
(Article 10). 

–  The  composition  of  the  Management  Board  should  be  changed,  notably  to  increase 
transparency: it should therefore include observers representing the interested parties. The 
governance of the Agency would also be improved, by having an Executive Board which 
would  adopt  strategic  guidelines  and  monitor  the  implementation  of  the  Management 
Board's decisions (Articles 25, 28a, 28b and 28c). 

–  In addition, in accordance with the Agency's opinion, an effective mechanism for checking 
all aircraft operating in the Community should be established to ensure that all the common 
safety rules are properly complied with (Article 7). 

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6. 

CORRELATION  TABLE  SHOWING  THE  NEW  AND  FORMER  NUMBERING  OF  THE 
ARTICLES  AND  INDICATING  THE  AMENDMENTS  MADE  TO  REGULATION  (EC) 
NO 1592/2002 

New 
number 

Former 
number  

Changes 

1 

2 

3 

4 

1 

2 

3 

4 

Unchanged 

Establishment  of  conditions  for  fair  competition  is  also  one  of  the 
objectives pursued: addition of point (2)(f) 

Addition  of  new  definitions  (h)  to  (n)  and  amendment  of  the 
definition of qualified entity (f) 

To  guarantee  public  safety,  all  aircraft  used  in  the  Community  are 
governed by common rules: 

- Amendment of points (1)(b) and (c) 

- Addition of point (1)(d) 

- Addition of paragraphs (1a) and (1b) 

- Redrafting of paragraph (2) 

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5 

Addition  of  provisions  concerning  the  certification  of  products 
designed  and  manufactured  in  the  Community.  Demonstration  of 
conformity  with  essential  airworthiness  requirements  for  aircraft 
registered in third countries: 

- Redrafting of paragraph (2) 

- Addition of paragraph (2a) 

- Amendment of points (4)(e) and (f) 

- Addition of points (4)(j) and (5)(d) 

Unchanged 

Pilot licensing 

Air operations 

Amendment  of  the  article:  establishment  of  a  mechanism  for 
checking aircraft safety  

Amendments necessary owing to the insertion of Articles 6a and 6b: 

- Redrafting of paragraph (2) 

6 

6a 

6b 

7 

8 

6 

New 

New 

7 

8 

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- Addition of paragraph (3) 

9 

9a 

10 

11 

9 

Rules  governing  the  recognition  of  certificated  issued  by  third 
countries: amendment of paragraph (1) 

New 

Qualified entities 

10 

11 

The article is amended to simplify the application of derogations 

Amendment of paragraph (4), in the light of the new Article 7 

11a 

New 

Introduction of provisions on protection of sources of information 

12 

13 

14 

15 

15a 

15b 

16 

17 

18 

19 

20 

21 

22 

12 

13 

14 

15 

Unchanged 

Redrafting  of  paragraph  (c)  and  addition  of  paragraph  (d),  as 
standardisation inspections are followed up by reports, not decisions 

Redrafting of paragraph (2)(a) 

Issue  of  permits  to  fly  by  the  EASA,  certification  of  personnel 
responsible  for  the  release  of  products  after  maintenance  and 
certification of maintenance organisations by the EASA: 

- Redrafting of points (1)(e) and (i) 

- Addition of points (1)(k) and (l) 

- Amendment of point (2)(b)(ii) 

- Redrafting of point (2)(c) 

Nouveau 

Certification of personnel 

Nouveau 

Certification of commercial operators 

16 

17 

18 

19 

20 

21 

22 

Redrafting 

Unchanged 

The  EASA's  relations  with  authorities  and  organisations  in  third 
countries must be compatible with the Community's general foreign 
policy: amendment of paragraph (2) 

Unchanged 

Unchanged 

Unchanged 

Unchanged 

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23 

24 

23 

24 

25 

25 

Unchanged 

In  the  interests  of  transparency,  the  Commission's  opinion  on  the 
EASA's work programme must be accessible to the public [(2)(c)]. 
the  EASA  can  allocate 
(2)(d): 
Clarification  of  paragraph 
certification  tasks  both  to  national  authorities  and  to  qualified 
entities,  as  stated  elsewhere  in  the  text.  The  Management  Board 
appoints the members of the Executive Board (5) 

New  rules  on  the  composition  of  the  Management  Board  which 
include  the  relevant  provisions  of  the  draft  interinstitutional 
agreement  on  the  regulatory  agencies14:  amendment  of  paragraph 
(1) and addition of paragraph (3) 

26 

27 

28 

28a 

28b 

28c 

29 

30 

31 

32 

33 

34 

35 

36 

26 

27 

28 

New 

New 

New 

29 

30 

31 

32 

33 

34 

35 

36 

Amendment of paragraph (2) 

Unchanged 

New  rules  on  Management  Board  voting  rights  which  include  the 
relevant  provisions  of  the  draft  interinstitutional  agreement  on  the 
regulatory agencies: amendment of paragraph (2) 

Establishment of an Executive Board 

Composition of the Executive Board 

Decision-making procedures of the Executive Board 

Functions  and  powers  of  the  Executive  Director:  redrafting  of 
paragraph (3) 

Amendment  of  procedures  for  selecting  and  extending  the  term  of 
office of the Executive Director and of the Directors of the EASA, 
in  accordance  with  the  provisions  of  the  draft  interinstitutional 
agreement on the regulatory agencies: amendment of paragraphs (1) 
and (4) 

Unchanged 

Unchanged 

Unchanged 

Unchanged 

Redrafting of paragraph (1) 

Unchanged 

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COM(2005) 59, 25.2.2005. 

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37 

38 

39 

40 

41 

42 

43 

44 

45 

46 

46a 

46b 

47 

48 

49 

50 

51 

52 

53 

54 

55 

15 

37 

38 

39 

40 

41 

42 

43 

44 

45 

46 

New 

New 

47 

48 

49 

50 

51 

52 

53 

54 

55 

Unchanged 

Unchanged 

Unchanged 

Unchanged 

New  provision  relating  to  action  before  the  Court  of  Justice: 
amendment of paragraphs (1) and (2) 

Unchanged 

Unchanged 

Unchanged 

New, clearer wording of paragraph (1) 

Investigation  of  qualified  entities:  redrafting  of  paragraph  (1)  and 
addition of paragraph (1a) 

Content and form of the annual work programme  

Content and form of the annual general report 

Application  of  Regulation  (EC)  No 1049/2001  and  reference  to 
Regulation (EC) No 45/2001:15 addition of paragraphs (5) and (6) 

Alignment  with  the  Agency's  Financial  Regulation:  redrafting  of 
paragraph (1) 

Unchanged 

Unchanged 

Unchanged 

Unchanged 

Paragraph (4): the transitional provisions relating to the Community 
contribution are deleted 

Unchanged 

Unchanged 

Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on 
the  protection  of  individuals  with  regard  to  the  processing  of  personal  data  by  the  Community 
institutions and bodies and on the free movement of such data (OJ L 8, 12.1.2001, p. 1). 

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56 

57 

58 

56 

57 

58 

Deletion of paragraph (3), which is now redundant 

Unchanged  (Article  2  of  the  proposal  contains  new  provisions  on 
repeal 

Unchanged  (Article  3  of  the  proposal  contains  new  provisions  on 
the entry into force) 

Annex I 

Annex I 

Unchanged 

Annex II  Annex II  Amendments 

Annex III  New 

Essential requirements for pilot licensing  

Annex IV  New 

Essential requirements for air operations 

Annex V  New 

Criteria for qualified entities 

7. 

SUBSIDIARITY AND PROPORTIONALITY 

European countries have been cooperating for many years within the JAA to develop common 
aviation safety rules, which by their very nature cannot be purely national. However, as the 
application of these rules is left to the discretion of the countries which sign up to them, the 
Member States soon agreed that a high, uniform level of safety could only be attained through 
action at Community level.  

Thus,  Regulations  (EEC)  No 3922/91  and  (EC)  No 1592/2002  gradually  transferred  to  the 
Community  the  competences  of  the  Member  States  regarding  the  airworthiness  and 
environmental  compatibility  of  aeronautical  products.  Directive  91/670/EEC  introduced 
common rules on personnel licences and Directive 2004/36/EC introduced common rules on 
the safety of third-country aircraft. 

In adopting Directive 91/670/EEC, the legislator already gave the Commission a mandate to 
submit measures for harmonised requirements in respect of licences and training programmes. 
A year later, Regulation (EEC) No 2407/9216 on licensing of air carriers referred to a future 
Council  Regulation  on  air  operators'  certificates.  Likewise,  in  adopting  Regulation  (EC) 
No 1592/2002,  the  legislator  recognised  that  a  high,  uniform  level  of  safety  could  not  be 
achieved unless its scope was extended to include air operations and flight crew licensing; it 
also wished to see the text applied to third-country aircraft.  

The  need  for  Community  action  to  attain  this  objective,  i.e.  the  establishment  and  uniform 
application  of  common  rules  on  pilot  licensing,  air  operations  and  third-country  aircraft,  is 
therefore  clearly  recognised.  The  proposal  for  a  regulation  does  not  go  beyond  what  is 
necessary  to  achieve  this.  It  therefore  complies  with  the  principles  of  subsidiarity  and 
proportionality established in Article 5 of the Treaty establishing the European Community.  

16 

Council Regulation (EC) No 2407/92 of 23 July 1992 on licensing of air carriers (OJ L 240, 24.8.1992). 

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8. 

EVALUATION 

The measures introduced by this Regulation and its implementing rules are to be evaluated in 
accordance with Article 51 of Regulation (EC) No 1592/2002. 

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2005/0228 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

amending Regulation (EC) No 1592/2002 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 Community, and in particular Article 
80(2) thereof, 

Having regard to the proposal from the Commission17, 

Having regard to the Opinion of the European Economic and Social Committee18, 

Having consulted the Committee of the Regions19, 

Acting in accordance with the procedure laid down in Article 251 of the Treaty20, 

Whereas: 

(1) 

(2) 

The recital (2) of Regulation (EC) No 1592/2002 of 15 July 2002 on common rules in 
the  field  of  civil  aviation  and  establishing  a  European  Aviation  Safety  Agency21 
specifies,  inter  alia,  that  appropriate  essential  requirements  should  be  developed  to 
cover  operations  of  aircraft  and  flight  crew  licensing,  and  application  of  that 
Regulation  to  third  country  aircraft.  Article  7  of  that  Regulation  requires  the 
Commission to submit as soon as possible proposals to the European Parliament and 
to  the  Council  with  regard  to  the  basic  principles,  applicability  and  essential 
requirements  regarding  personnel  and  organisation  involved  in  the  operation  of 
aircraft. 

The  Community  should  lay  down,  in  line  with  standards  set  by  the  Convention  on 
Civil Aviation, signed in Chicago on 7 December 1944 (“the Chicago Convention”), 
essential  requirements  applicable  to  persons  and  organisations  involved  in  the 
operation  of  aircraft,  as  well  as  to  persons  and  product  involved  for  the  training  and 
medical examination of pilots. The Commission should be empowered to develop the 
necessary implementing rules. 

17 
18 
19 
20 
21 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ L 240, 7.9.2002, p. 1. 

EN 

13 

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(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

European  citizens  should  enjoy  at  all  times  a  high  and  uniform  level  of  protection. 
Consequently, third country aircraft operated into, within or out of the territory where 
the Treaty applies, should be subject to an appropriate oversight at Community level 
within the limits set by the Chicago Convention. 

It would not be appropriate to subject all aircraft to common rules, in particular aircraft 
that are of simple design or operate mainly on a local basis, and those that are home-
built or particularly rare or only exist in a small number; such aircraft should therefore 
remain  under  the  regulatory  control  of  Member  States.  However,  proportionate 
measures  should  be  taken  to  generally  increase  the  level  of  safety  of  recreational 
aviation.  

Consideration  should  notably  be  given  to  aeroplanes  and  helicopters  with  a  low 
maximum  take-off  mass  and  whose  performance  is  increasing,  can  circulate  all  over 
the  Community  and  are  produced  in  an  industrial  manner,  which  therefore  might  be 
better  regulated  at  Community  level  to  provide  for  the  necessary  uniform  level  of 
safety and environmental protection. 

The  scope  of  Community  action  should  be  clearly  defined  so  that  persons, 
organisations  and  products  subject  to  this  Regulation  and  its  implementing  rules  can 
be identified without ambiguity. Such scope should be clearly defined by referring to a 
list of aircraft to which are exempted from the application of this Regulation. 

Aeronautical  products,  parts  and  appliances,  operators  involved  in  commercial  air 
transport,  as  well  as  pilots  and  persons,  products  and  organisations  involved  in  their 
training and medical examination, should be certified or licensed once they have been 
found to comply with essential requirements to be laid down by the Community in line 
with standards set by the Chicago Convention. The Commission should be empowered 
to develop the necessary implementing rules. 

Appropriately approved assessment bodies should be entitled to issue licenses to pilots 
involved in recreational operations. 

The European Aviation Safety Agency (“the Agency”) should be authorised to issue 
certificates  or  licences  to  persons,  organisations  and  products  subject  to  this 
Regulation when centralised action is more efficient than certification at Member State 
level.  The  Agency  should,  for  the  same  reason,  be  allowed  to  take  the  necessary 
measures related to the operation of aircraft, the qualification of crew or the safety of 
third country aircraft when this is the best means to ensure uniformity and facilitate the 
functioning of the internal market. 

(10)  The  effective  functioning  of  a  Community  civil-aviation  safety  scheme  in  the  fields 
covered  by 
the 
Commission, the Member States and the Agency to detect unsafe conditions and take 
remedial measures as appropriate. 

this  Regulation  requires  strengthened  co-operation  between 

(11)  The promotion of a safety culture and the proper functioning of a regulatory system in 
the  fields  covered  by  this  Regulation  require  that  incidents  and  occurrences  are 
spontaneously reported by their witnesses. Such reporting would be facilitated by the 
establishment  of  a  non-punitive  environment,  and  appropriate  measures  should  be 

EN 

14 

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taken  by  Member  States  to  provide  for  the  protection  of  such  information  and  of  its 
reporters. 

(12) 

In the interests of transparency, observers of interested parties should be represented 
within the Management Board of the Agency. To ensure the proper governance of the 
Agency,  an  Executive  Board  should  also  be  established  to  adopt  strategic  guidelines 
and to monitor the implementation of the decisions of the Management Board. 

(13)  This  Regulation  establishes  an  appropriate  and  comprehensive  framework  for  the 
definition  and  implementation  of  common  technical  requirements  and  administrative 
procedures  in  the  field  of  civil  aviation.  Annex  III  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  aviation22  and  Council  Directive 
91/670/EEC of 16 December 1991 on mutual acceptance of personnel licences for the 
exercise of functions in civil aviation23, in its entirety, should therefore be repealed in 
duecourse, without prejudice to the certification or licensing of products, persons and 
organisations already effected in accordance with those legislative acts. 

(14)  The  measures  provided  by  this  Regulation  are  based  on  the  opinion  issued  by  the 
European  Aviation  Safety  Agency24  in  accordance  with  point  (b)  of  Article  12(2)  of 
Regulation (EC) No 1592/2002 and with Article 14(1) thereof. 

(15)  Regulation (EC) No 1592/2002 should therefore be amended accordingly, 

HAVE ADOPTED THIS REGULATION: 

22 
23 
24 

OJ L 373, 31.12.1991, p. 4. 
OJ L 373, 31.12.1991, p. 21. 
Opinion of the European Aviation Safety Agency No 3/2004. 

EN 

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CHAPTER I 

AMENDMENTS TO BASIC REGULATION 

Article 1 

Regulation (EC) No 1592/2002 is amended as follows: 

(1) 

In Article 2(2), the following point is added: 

“(f) to provide a level playing field for all actors in the internal aviation market.” 

(2) 

Article 3 is amended as follows: 

(a) 

point (f) is modified as follows: 

“(f)  ‘qualified  entity’  means  an  accredited  body  which  may  conduct 
certification tasks under the control and the responsibilty of the Agency 
or of a national aviation authority;” 

(b) 

the following points (h) to (n) are added: 

“(h)  ‘operator’  means  any  legal  or  natural  person,  operating  or  proposing  to 

operate one or more aircraft; 

(i) ‘commercial operation’ means a remunerated aeronautical activity covered 
by a contract between an operator and a customer, where the customer is 
not, directly or indirectly, an owner of the aircraft used for the purpose of 
this contract and the operator is not, directly or indirectly, an employee of 
the customer; 

(j) ‘complex-motor-powered aircraft’ means: 

(i) 

an aeroplane: 

– 

– 

– 

with a maximum certificated take-off mass exceeding 5 700kg or; 

with a maximum approved passenger seating configuration of more 
than 9 or; 

certificated for operation with a minimum crew of at least 2 pilots 
or; 

– 

equipped with (a) turbojet engine(s); or 

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(ii) 

a helicopter: 

– 

– 

– 

with a maximum certificated take-off mass exceeding 3 175kg or; 

with a maximum approved passenger seating configuration of more 
than 5 or; 

certificated for operation with a minimum crew of at least 2 pilots; 
or 

(iii)  a tilt rotor aircraft; 

(k)  ‘recreational  operation’  means  any  non  commercial  operation  with  a  non 

complex-motor-powered aircraft; 

(l)  ‘assessment  body’  means  an  approved  body  which  may  assess  conformity 
of  legal  or  natural  persons  with  the  rules  established  to  ensure 
compliance with the essential requirements laid down in this Regulation 
and issue the related certificate; 

(m) ‘flight synthetic training device’ means any type of device in which flight 
conditions  are  simulated  on  the  ground;  they  include  flight  simulators, 
flight training devices, flight navigation and procedures trainers and basic 
instrument training devices; 

(n) ‘rating’ means a statement entered on a pilot licence, setting forth special 

conditions, privileges or limitations pertaining to such licence.” 

(3) 

Article 4 is amended as follows: 

(a) 

paragraph 1 is amended as follows: 

(i) 

point (b) is replaced by: 

“(b) registered in a Member State, unless their regulatory safety oversight 
has  been  delegated  to  a  third  country  and  they  are  not  used  by  a 
Community operator; or” 

(ii)  point (c) is replaced by: 

“(c)  registered  in  a  third  country  and  used  by  an  operator  for  which  a 
Member State ensures oversight of operations or used into, within 
or out of the Community by an operator established or residing in 
the Community; or” 

(iii) 

the following point (d) is added: 

“(d) registered in a third country, or registered in a Member State which 
has  delegated  their  regulatory  safety  oversight  to  a  third  country, 
and  used  by  a  third  country  operator  into,  within  or  out  of  the 
Community;” 

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17 

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(iv) 

in  the  last  sentence  of  paragraph  1,  the  words  “unless  their  regulatory 
safety  oversight  has  been  delegated  to  a  third  country  and  they  are  not 
used by a Community operator” are deleted. 

(b) 

the following paragraph 1a is added: 

“(1a) Personnel involved in the operations of aircraft referred to in paragraph 

1(b) or (c) shall comply with this Regulation.” 

(c) 

the following paragraph 1b is added: 

“(1b)  Operations  of  aircraft  referred  to  in  paragraph  1  (b),  (c)  or  (d)  shall 

comply with this Regulation.” 

(d)  paragraph 2 is modified as follows: 

“2. Paragraphs 1, 1a and 1b shall not apply to aircraft referred to in Annex II.” 

(4) 

Article 5 is amended as follows: 

(a) 

paragraph 2 is amended as follows: 

(i) 

(ii) 

in  the  introductory  part,  the  words  “registered  in  a  Member  State”  are 
replaced by “referred to in point (b) of Article 4(1)”; 

in the first sentence of point (d), the words “the design, manufacture and 
maintenance of products” are replaced by the words “the maintenance of 
products”; 

(iii) 

the following point (dd) is inserted: 

“(dd)  Organisations  responsible  for  the  design  and  manufacture  of 
products,  parts  and  appliances  shall  demonstrate  their  capability 
and  means  to  discharge  the  responsibilities  associated  with  their 
privileges. Unless otherwise accepted these capabilities and means 
shall  be  recognised  through  the  issuance  of  an  organisation 
approval.  The  privileges  granted to  the  approved  organisation  and 
the  scope  of  the  approval  shall  be  specified  in  the  terms  of 
approval.” 

(b) 

the following paragraph 2a is added: 

“2a.  Aircraft  referred  to  in  point  (a)  of  Article  4(1)  and  products,  parts  and 
appliances mounted thereon shall comply with points (a) (b) and (dd) of 
paragraph 2 of this Article.” 

(c) 

paragraph 4 is amended as follows: 

(i) 

under point (e) the following points (iv), (v) and (vi) are added: 

“(iv)  the  minimum  syllabus  of  maintenance  certifying  staff  type  rating 

training to ensure compliance with paragraph (2)(e); 

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18 

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(v) the minimum syllabus of pilot type rating to ensure compliance with 

Article 6a; 

(vi)  the  master  minimum  equipment  list  as  appropriate  and  additional 
airworthiness specifications for a given type of operation to ensure 
compliance with Article 6b.” 

(ii)  point (f) is replaced by the following: 

“(f) conditions to issue, maintain, amend, suspend or revoke organisation 
approvals  required  in  accordance  with  points  (d),  (dd)  and  (f)  of 
paragraph 2 and conditions under which such approvals need not be 
requested;” 

(iii) 

the following point (j) is added: 

“(j)  how  aircraft  referred  to  in  points  (c)  and  (d)  of  Article  4(1)  are  to 

show compliance with the essential requirements.” 

(d) 

in paragraph 5, the following point (d) is added: 

“(d) do not impose on aircraft referred to in points (c) and (d) of Article 
4(1)  requirements  which  would  be  incompatible  with  the  ICAO 
obligations of Member States.” 

(5) 

The following Articles 6a and 6b are inserted after Article 6: 

“Article 6a 
Pilot licensing 

1. 

Pilots involved in the operation of aircraft referred to in Article 4(1)(b) and (c) 
and organisations, flight synthetic training devices and persons involved in the 
training, testing, checking and medical assessment of pilots shall comply with 
the essential requirements laid down in Annex III. 

2.  A pilot may only operate an aircraft if he or she holds a licence and a medical 

certificate appropriate to the operation performed. 

A pilot shall be issued a licence when it is shown that he or she complies with 
the  rules  established  to  ensure  compliance  with  the  essential  requirements 
related to theoretical knowledge, practical skill and language proficiency. This 
licence may be issued by an assessment body when the privileges it confers are 
limited to recreational flying. 

A  pilot  shall  be  issued  a  medical  certificate  when  it  is  shown  that  he  or  she 
complies  with  the  rules  established  to  ensure  compliance  with  the  essential 
requirements governing medical fitness. This medical certificate shall be issued 
by  aero  medical  examiners  or  aero  medical  centres;  however,  in  the  case  of 
pilots  involved  in  recreational  operations,  the  certificate  may  be  issued  by  a 
general medical practitioner. 

EN 

19 

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The privileges granted to the pilot and the scope of the licence and the medical 
certificate shall be specified therein. 

The  requirements  of  the  second  and  third  subparagraphs  may  be  satisfied  by 
the acceptance of licences and medical certificates issued by or on behalf of a 
third country as far as pilots involved in the operation of aircraft referred to in 
point (c) of Article 4(1) are concerned. 

3. 

The  capability  of  assessment  bodies,  pilot  training  organisations  and  of 
organisations  responsible  for  assessing  the  medical  fitness  of  pilots  to 
discharge the responsibilities associated with their privileges in relation to the 
issuance  of  licenses  and  medical  certificates  shall  be  recognised  by  the 
issuance of an approval. 

Organisation  approvals shall be issued  when it  is shown that the organisation 
complies  with  the  rules  established  to  ensure  compliance  with  the  relevant 
essential requirements as laid down in Annex III. 

The privileges granted by the approvals shall be specified thereon. 

4.  A  flight  synthetic  training  device  used  for  the  training  of  pilots  shall  be  the 
subject of a certificate. This certificate shall be issued when it is shown that the 
device  complies  with  the  rules  established  to  ensure  compliance  with  the 
relevant essential requirements as laid down in Annex III. 

5.  A  person  responsible  for  providing  training  for  pilots,  or  for  assessing  their 

competence or medical fitness shall hold an appropriate certificate. 

That  certificate  shall  be  issued  when  it  is  shown  that  the  applicant  complies 
with  the  rules  established  to  ensure  compliance  with  the  relevant  essential 
requirements as laid down in Annex III. 

The privileges granted by the certificate shall be specified therein. 

6. 

The  Commission  shall  adopt,  in  accordance  with  the  procedure  laid  down  in 
Article  54(3),  the  rules  for  the  implementation  of  this  Article.  In  doing  so,  it 
shall specify in particular: 

(a)  the  different  ratings  for  pilot’s  licences  and  the  medical  certificates 

adequate for the different types of activities performed; 

(b) the conditions for issuing, maintaining, amending, limiting, suspending or 
revoking licences, ratings for licenses, medical certificates, approvals for 
organisations, assessment bodies and personnel certificates; 

(c)  the  privileges  and  responsibilities  of  the  holders  of  licenses,  ratings  for 
licenses,  medical  certificates,  organisation  approvals  and  personnel 
certificates. 

7.  When  establishing  the  implementing  rules  referred  to  in  paragraph  6,  the 
Commission will take specific care that they reflect the state of the art and the 

EN 

20 

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best practices in the field of pilots training, and that they allow for immediate 
reaction to established causes of accidents and serious incidents. 

Article 6b 
Air operations 

1. 

The operation of aircraft referred to in Article 4(1) (b) (c) and (d) shall comply 
with the essential requirements laid down in Annex IV. 

2.  Operators engaged in commercial operations shall demonstrate their capability 
and means to discharge the responsibilities associated with their privileges. 

These  capabilities  and  means  shall  be  recognised  through  the  issuance  of  a 
certificate. 

The privileges granted to the operator and the scope of the operations shall be 
specified in the certificate. 

The  requirement  of  this  paragraph  may  be  satisfied  by  acceptance  of 
certificates  issued  by  or  on  behalf  of  a  third  country  as  far  as  operators 
involved  in  the  operation  of  aircraft  referred  to  in  Article  4(1)(d)  are 
concerned. 

3.  Operators  engaged  in  the  non-commercial  operation  of  complex  motor-
powered  aircraft  shall  declare  their  capability  and  means  to  discharge  the 
responsibilities associated with the operation of the aircraft. 

4. 

5. 

Cabin  crew  involved  in  the  operation  of  aircraft  referred  to  in  Article  4(1)(b) 
and  (c)  shall  comply  with  the  essential  requirements  laid  down  in  Annex  IV. 
They  shall  hold  an  attestation  and  a  medical  certificate  appropriate  to  the 
operation performed. 

The  Commission  shall  adopt,  in  accordance  with  the  procedure  laid  down  in 
Article  54(3),  the  rules  for  the  implementation  of  this  Article.  In  doing  so,  it 
shall specify in particular: 

(a)  the  conditions  to  operate  an  aircraft  in  compliance  with  the  essential 

requirements laid down in Annex IV; 

(b) the conditions for issuing, maintaining, amending, limiting, suspending or 

revoking the operator’s certificate referred to in paragraph 2; 

(c) the privileges and responsibilities of the holders of certificates; 

(d)  the  conditions  and  procedures  for  oversight  and  inspection  of  operators 

referred to in paragraph 3. 

(e)  the  conditions  for  issuing,  maintaining,  amending,  limiting,  suspending  or 

revoking the cabin crew attestation referred to in paragraph 4. 

EN 

21 

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(f) the conditions under which operations shall be prohibited, limited or subject 
to  certain  conditions  in  the  interest  of  safety  in  accordance  with  Article 
15b(2). 

6. 

The implementing rules referred to in paragraph 5 shall reflect the state of the 
art and the best practices in the field of air operations. 

The  implementing  rules  shall  also  take  into  account  worldwide  aircraft 
experience in service, and scientific and technical progress. 

They shall allow for immediate reaction to established causes of accidents and 
serious incidents. 

They  shall  not  impose  on  aircraft  referred  to  in  Article  4(1)  (c)  and  (d) 
requirements  which  would  be  incompatible  with  the  ICAO  obligations  of 
Member States.” 

(6) 

Article 7 is replaced by the following: 

“Article 7 
Collective oversight 

1.  Member  States  and  the  Agency  shall  co-operate  in  ensuring  through 
appropriate  collection,  including  ramp  inspection,  and  sharing  of  information 
that  the  provisions  of  this  Regulation  and  its  implementing  rules  are  actually 
implemented. 

2. 

The  Commission  shall  adopt,  in  accordance  with  the  procedure  laid  down  in 
Article  54(3),  the  rules  for  the  implementation  of  paragraph  1,  specifying  in 
particular the following conditions: 

(a) 

conditions for the collection, exchange and dissemination of information; 

(b) 

conditions for conducting ramp inspections, including systematic ones; 

(c) 

conditions  for  the  grounding  of  aircraft  that  do  not  comply  with  the 
requirements of this Regulation or its implementing rules.” 

(7) 

Article 8 is modified as follows: 

(a) 

paragraph 2 is replaced by the following: 

“2.  Pending  adoption  of  the  implementing  rules  referred  to  in  Articles  5(5) 
and  6a(6),  and  without  prejudice  to  Article  2(3)  of  this  Regulation, 
certificates  which  cannot  be  issued  in  accordance  with  this  Regulation 
may be issued on the basis of the applicable national regulations.” 

(b) 

the following paragraph 3 is added: 

“3.  Pending adoption of the implementing rules referred to in Article 6b(5), 
certificates  which  cannot  be  issued  in  accordance  with  this  Regulation 

EN 

22 

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may be issued on the basis of the applicable national regulations or, when 
applicable, on the basis of the relevant requirements of Regulation (EEC) 
No 3922/1991.” 

(8) 

Article 9 is amended as follows: 

(a) 

paragraph 1 is replaced by the following: 

“1.  By  way  of  derogation  from  the  provisions  of  this  Regulation  and  the 
rules  adopted  for  its  implementation,  the  Agency,  within  its  fields  of 
competence, shall issue certificates on the basis of certificates issued by 
aeronautical authorities of a third country, as provided for in recognition 
agreements between the Community and that third country.” 

(9) 

The following Article 9a is inserted after Article 9: 

“Article 9a 
Qualified entities 

1.  Qualified entities conducting specific certification tasks in accordance with the 
applicable certification procedures on behalf of the Agency, or on behalf of the 
Member States when those latter carry out certification tasks in application of 
this Regulation, shall comply with the criteria laid down in Annex V and shall 
demonstrate  possession  of  the  necessary  organisation  and  expertise.  These 
capabilities  and  means  shall  be  recognised  through  the  issuance  of  an 
accreditation by the Agency. 

2.  With regard to qualified entities, the Agency shall: 

(a)  conduct  itself  or  through  national  aviation  authorities,  inspections  and 

audits of the entities it accredits;  

(b) issue and renew the accreditations; 

(c) amend, limit, suspend or revoke the relevant entity’s accreditation when the 
conditions according to which it was issued by the Agency are no longer 
fulfilled, or if the entity concerned fails to fulfil the obligations imposed 
on it by this Regulation or by its implementing rules.” 

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(10) 

Article 10 is replaced by the following: 

“Article 10 
Flexibility provisions 

1. 

2. 

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

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

Pursuant  to  Article  16(3),  the  Agency  may  determine  within  one  month  of 
being  notified  in  accordance  with  paragraph  1  of  this  Article,  whether  the 
safety problem can be addressed within the framework of this Regulation and 
its  implementing  rules,  provided  the  Commission  has  not  raised  objections 
within  the  same  period.  The  Agency  shall  then  take  the  appropriate  decision, 
with copy to the Commission and the other Member States. 

If,  on  the  other  hand,  the  Agency  determines  that  the  safety  problem  is  the 
result of a shortcoming in, or an inadequate level of safety resulting from the 
application of, this Regulation or its implementing rules, it shall then develop 
and issue an opinion on whether this Regulation or its implementing rules shall 
be  amended  and  whether  the  measures  shall  be  revoked  or  maintained.  In 
accordance  with  the  procedure  referred  to  in  Article  54(3),  the  Commission 
may  make  a  decision  on  the  basis  of  this  opinion.  If  the  measures  are  to  be 
continued, they shall be implemented by all Member States and the provisions 
of Article 8 shall apply to them. 

3.  Member  States  may  grant  exemptions  from  the  substantive  requirements  laid 
down in this Regulation and its implementing rules in the event of unforeseen 
urgent  operational  circumstances  or  operational  needs  of  a  limited  duration, 
provided that 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. 

Pursuant  to  Article  16(3),  the  Agency  shall  determine  within  one  month  of 
being  notified  in  accordance  with  paragraph  3  of  this  Article,  whether  the 
exemptions comply with the general safety objectives of this Regulation or any 
other  rule  of  Community  law.  The  Agency  shall  issue  an  opinion  to  the 
Commission. 

On the basis of this opinion and in accordance with the procedure referred to in 
Article 54(4), the Commission may make a decision on the revokation of these 
exemptions. 

5.  Where  an  equivalent  level  of  protection  to  that  attained  by  the  application  of 
the  rules  implementing  this  Regulation  can  be  achieved  by  other  means,  a 

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24 

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Member  State  may,  without  discrimination  on  grounds  of  nationality,  grant 
approval derogating from those implementing rules. 

In such cases, the Member State shall notify the Agency and the Commission 
that it intends to grant such approval and shall give reasons demonstrating 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. 

6. 

Pursuant  to  Article  16(3),  within  two  months  of  being  notified  in  accordance 
with paragraph 5 of this Article, the Agency shall issue an opinion on whether 
the proposed approval fulfils the conditions laid down in that paragraph. 

Within  one  month  of  receiving  the  Agency’s  opinion,  the  Commission  may 
initiate the procedure referred to in Article 54(3), in order to decide whether the 
proposed approval can be granted or must be  rejected. If the  approval can be 
granted, the Commission 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.” 

(11) 

In Article 11, the following sentence is added to paragraph 4: 

“From the entry into force of the implementing rules referred to in Article 7(2), this 
safety review shall contain an analysis of all information received in accordance with 
Article  7.  This  analysis  shall  be  simple  and  easy  to  understand  and  shall  indicate 
whether  there  is  an  increased  safety  risk  to  air  passengers.  In  this  analysis,  the 
sources of information shall be concealed.” 

(12) 

The following Article 11a is inserted after Article 11: 

“Article 11a 
Protection of the source of information 

1.  When  information  referred  to  in  Article  11  has  been  provided  by  a  natural 
person  on  a  voluntary  basis,  the  reports  shall  not  reveal  the  source  of  such 
information. 

2.  Without  prejudice  to  the  applicable  rules  of  penal  law,  Member  States  shall 
refrain from instituting proceedings in respect of unpremeditated or inadvertent 
infringements of the law which come to their attention only because they have 
been reported in pursuance of this Regulation and its implementing rules.  

This rule shall not apply in cases of gross negligence. 

3. 

In accordance with the procedures defined in their national laws and practices, 
Member  States  shall  ensure  that  employees  who  provide  information  in 
application of this Regulation and its implementing rules are not  subjected to 
any prejudice by their employer, except in cases of gross negligence. 

4. 

This Article shall apply without prejudice to national rules relating to access to 
information by judicial authorities.” 

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(13) 

Article 13 is amended as follows:  

(a) 

point (c) is replaced by the following: 

“(c)  take  the  appropriate  decisions  for the  application  of  Articles  9a,  15,  15a, 

15b and 46;” 

(b) 

the following point (d) is added: 

“(d)  issue  the  reports  following  standardisation  inspections  carried  out 
pursuant to Articles 16(1) and 45.” 

(14) 

In point (a) of Article 14(2), the words “including airworthiness codes” are deleted. 

(15) 

Article 15 is amended as follows: 

(a) 

paragraph 1 is amended as follows: 

(i) 

the first sentence is replaced by the following: 

“With regard to products, parts and appliances referred to in Article 4(1) 
(a) and (b), the Agency shall, where applicable and as specified 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.” 

(ii)  point (e) is replaced by the following: 

“(e)  conduct,  itself  or  through  national  aviation  authorities  or  qualified 
entities, technical investigations associated with products, parts and 
appliances certification;“ 

(iii)  point (i) is replaced by the following: 

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

(iv) 

the following points (k) an (l) are added: 

“(k)  for  each  aircraft  for  which  a  permit  to  fly  is  requested  for  a  single 

flight, establish the appropriate limitations; 

(l) issue permits to fly to aircraft when such permits are required for the 

execution of a series of flights.” 

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(b)  paragraph 2 is amended as follows: 

(i) 

in point (b), subpoint (ii) is replaced by the following: 

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

(ii)  point (c) is replaced by the following: 

“(c) amend, suspend or revoke the relevant organisation certificate when 
the conditions according to which it was issued by the Agency 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.” 

(16) 

The following Articles 15a and 15b are inserted after Article 15: 

“Article 15a 
Personnel certification 

1.  With  regard  to  personnel  and  organisations  referred  to  in  Article  6a(1),  the 

Agency shall: 

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

(b) issue and renew the certificates of: 

(i) 

personnel  training  organisations  and  aero-medical  centres  located 
within  the  territory  of  the  Member  States,  if  requested  by  the 
Member State concerned; or 

(ii)  personnel  training  organisations  and  aero-medical  centres  located 

outside the territory of the Member States; or 

(iii)  assessment bodies if requested by such bodies; 

(c) amend, limit, suspend or revoke the relevant organisation certificate when 
the  conditions  according  to  which  it  was  issued  by  the  Agency  are  no 
longer  fulfilled,  or  if  the  legal  or  natural  person  holding  the  certificate 
fails  to  fulfil  the  obligations  imposed  on  it  by  this  Regulation  or  by  its 
implementing rules. 

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2.  With regard to flight synthetic training devices referred to in Article 6a(1), the 

Agency shall: 

(a) conduct, itself or through national aviation authorities or qualified entities, 

technical inspections of the devices it certifies; 

(b) issue and renew the certificates of; 

(i) 

flight  synthetic  training  devices  used  by  training  organisations 
certified by the Agency; or 

(ii) 

flight  synthetic  training  devices  located  within  the  territory  of  the 
Member States, if requested by the Member State concerned; or 

(iii)  flight synthetic training devices located outside the territory of the 

Member States; 

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

Article 15b 
Air Operator certification 

1.  With regard to operators engaged in commercial operations, the Agency shall: 

(a) conduct, itself or through national aviation authorities or qualified entities, 

inspections and audits of the operators it certifies;  

(b) issue and renew the certificates of: 

(i) 

operators  located  within  the  territory  of  the  Member  States,  if 
requested by the Member State concerned; or 

(ii)  operators located outside the territory of the Member States, unless 
a Member State carries out the functions and tasks of the State of 
operator for these operators;  

(c) amend, limit, suspend or revoke the relevant operator’s certificate when the 
conditions according to which it was issued by the Agency 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. 

2. 

The  Agency  may  mandate  by  means  of  an  operational  directive  that  an 
operation  shall  be  prohibited,  limited  or  subject  to  certain  conditions  in  the 
interest of safe operations. 

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3.  With regard to flight time limitation the Agency shall: 

(a)  issue  the  applicable  certification  specifications  to  ensure  compliance  with 
the  essential  requirements  and,  as appropriate,  the  related  implementing 
rules.  In  particular,  with  regard  to  commercial  transportation  by 
aeroplane, pending adoption of the related implementing rules referred to 
in  Article  6b(5),  the  Agency  shall  issue  the  applicable  certification 
specifications  to  ensure  compliance  with  Subpart  Q  of  Annex  III  to 
Regulation (EEC) No 3922/1991. 

(b)  approve  individual  flight  time  specification  schemes  of  operators  when 
such  schemes  cannot  be  approved  under  an  applicable  certification 
specification.” 

(17) 

In Article 16, paragraphs 1 and 2 are replaced by the following: 

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

2. 

The Agency shall conduct technical investigations of undertakings to monitor 
the application of this Regulation and its implementing rules, having regard to 
the objectives set out in Article 2.” 

(18) 

In Article 18(2), the following subparagraph is added: 

“Working arrangements shall comply with Community law and shall duly take into 
account Community foreign policy vis-à-vis third countries. They shall have received 
the Commission’s prior approval.“ 

(19) 

Article 24 is amended as follows: 

(a) 

paragraph (2) is amended as follows: 

(i) 

point (b) is replaced by the following: 

“(b)  adopt  the  annual  general  report  on  the  Agency’s  activities  and 
forward it by 15 June at the latest to the European Parliament, the 
Council,  the  Commission,  the  Court  of  Auditors  and  the  Member 
States; acting on behalf of the Agency, it shall forward annually to 
the budgetary authority any information relevant to the outcome of 
the evaluation procedures;” 

(ii) 

the following phrase is added to point (c): 

“the  opinion  of  the  Commission  shall  be  attached  to  the  adopted 

Agency’s programme of work;” 

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(iii)  point (d) is replaced by the following: 

“(d)  adopt  guidelines  for  the  allocation  of  certification  tasks  to  national 
aviation  authorities  and  qualified  entities  in  agreement  with  the 
Commission;” 

(b) 

the following paragraph 5 is added: 

“5. The Management Board shall appoint the members of the Executive Board 

pursuant to Article 28b.” 

(20) 

Article 25 is amended as follows: 

(a) 

paragraph 1 is replaced by the following: 

“1.  The Management Board shall be composed of one representative of each 
Member State and one representative of the Commission. To this effect, 
the Council shall designate a representative from each Member State as 
well  as  an  alternate  who  will  represent  the  member  in  his/her  absence. 
The Commission shall also designate its representative and alternate.The 
duration  of  the  terms  of  office  shall  be  five  years.  This  term  of  office 
shall be renewable once.” 

(b) 

the following paragraph 3 is added: 

“3. 

In the interests of transparency, four representatives of interested parties 
shall  sit  on  the  Management  Board,  as  observers.  They  shall  be 
designated  by  the  Commission  among  a  list  laid  down  by  the  advisory 
body  referred  to  in  Article  24(4),  and  represent,  as  broadly  as  possible, 
the  different  parties  represented  in  this  advisory  body.  The  duration  of 
their term of office shall be thirty months, renewable once.” 

(21) 

In Article 26(2), the last sentence is replaced by the following: 

“These terms of office shall be renewable once.” 

(22) 

Article 28(2) is replaced by the following: 

“2.  Each  member  designated  by 

the  Council  shall  have  one  vote.  The 
representative  from  the  Commission  shall  have  an  equal  number  of  votes  in 
total  to  the  number  of  members  designated  by  the  Council.  Neither  the 
representatives of interested parties nor the Executive Director of the Agency 
shall vote. In the absence of a member, his or her alternate shall be entitled to 
exercise his or her right to vote.” 

(23) 

The following Articles 28a to 28c are inserted after Article 28: 

“Article 28a 
Powers of the Executive Board 

1. 

The Agency shall have an Executive Board. 

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2.  Without prejudice to the powers of the Management Board and to the functions 

and powers of the Executive Director, the Executive Board shall: 

(a) establish its Rules of Procedure; 

(b) adopt strategic guidelines on the tasks of the Agency referred to in Article 

12, and on its organization and functioning; 

(c)  prepare,  and  monitor  the  implementation  of,  the  decisions  of  the 

Management Board; 

(d)  monitor  the  implementation  of  the  budget  adopted  by  the  Management 

Board. 

Article 28b 
Composition of the Executive Board 

1. 

The Executive Board shall be composed of: 

(a) three members designated by the Management Board, among its members 

appointed by the Council; 

(b) three members designated by the Commission; 

(c)  two  observers  designated  among,  and  by,  the  representatives  of  interested 

parties sitting on the Management Board. 

2. 

3. 

The terms of office of the members and observers of the Executive Board shall 
expire  when  their  respective  membership  of  the  Management  Board  ceases. 
Subject  to  this  provision,  the  duration  of  their  terms  of  office  shall  be  thirty 
months, renewable once. 

The Executive 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 or her being prevented from attending to his or 
her  duties.  The  terms  of  office  of  the  Chairperson  and  Deputy  Chairperson 
shall expire when their respective membership of the Executive Board ceases. 

Article 28c 
Meetings of the Executive Board 

1.  Meetings of the Executive board shall be convened by its Chairperson. 

2. 

3. 

The  Executive  Board  shall  meet  at  the  instance  of  the  Chairperson  or  at  the 
request of at least three of its members. 

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

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4. 

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

5.  Meeting facilities and secretariat for the Executive Board shall be provided by 

the Agency. 

6. 

7. 

8. 

The Executive Board shall take its decisions by a majority. 

Each member of the Executive Board shall have one vote. The representatives 
of  interested  parties,  referred  to  in  point  (c)  of  Article  28b(1),  as  well  as 
observers, advisers or experts referred to in paragraphs 3 and 4 of this Article, 
shall not vote. 

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.” 

(24) 

Article 29(3) is amended as follows: 

(a) 

point (a) is replaced by the following: 

“(a) to approve the measures of the Agency as defined in Article 13 within the 
limits  specified  by  this  Regulation,  its  implementing  rules  and  any 
applicable law;” 

(b)  point (b) is replaced by the following: 

“(b)  to  organize  inspections  and  investigations  as  provided  for  in  Articles  45 

and 46;” 

(c) 

the following points (k) and (l) are added: 

“(k) to prepare and to implement the annual programme of work; 

(l) to respond to requests for assistance from the Commission.” 

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(25) 

Article 30 is amended as follows: 

(a)  The following sentence is added to paragraph 1: 

“Before  being  appointed,  the  candidate  selected  by  the  Management 
Board  may  be  asked  to  make  a  declaration  before  the  competent 
committee  or  committees  of  the  European  Parliament  and  answer 
questions from its, or their, members.” 

(b)  Paragraph 4 is replaced by the following: 

“4.  The term of office of the Executive Director and of the Directors shall be 
five years. On a proposal from the Commission and after an evaluation, 
their term of office may be extended once, for a period of not more than 
five years. In the evaluation the Commission shall assess in particular: 

- 

- 

the results achieved in the first term of office and the way in which 
they have been achieved; 

the Agency’s duties and requirements in the coming years.” 

(26) 

In Article 35, paragraph 1 is replaced by the following: 

“1.  An  appeal  may  be  brought  against  decisions  of  the  Agency  which  have  been 

taken pursuant to Articles 9a, 15, 15a, 15b, 46 or 53.” 

(27) 

Article 41 is amended as follows: 

(a)  Paragraph is replaced by the following: 

“1.  Actions may be brought before the Court of Justice for the annulment of 
acts carried out by the Agency which are legally binding on third parties, 
for failure to act and for damages caused by the Agency in the course of 
its activities.” 

(b)  Paragraph 2 is replaced by the following: 

“2.  Actions  for  the  annulment  of  decisions  of  the  Agency  which  have  been 
taken  pursuant  to  Articles  9a,  15,  15a,  15b,  46  or  53  may  be  brought 
before the Court of Justice only after all the appeal procedures within the 
Agency have been exhausted.” 

(28) 

In Article 45, the introductory part of paragraph 1 is replaced by the following: 

“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, in co-
ordination  with  the  national  authorities,  are  thus  empowered,  in  compliance 
with the legal provisions of the Member State concerned:” 

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(29) 

Article 46 is amended as follows: 

(a) 

the first sentence of paragraph 1 is replaced by the following: 

“For the application of Articles 15, 15a and 15b, the Agency may itself 
conduct or allocate to national aviation authorities or qualified entities all 
necessary investigation of undertakings as specified in Article 16(2).” 

(b) 

the following paragraph 1a is inserted: 

“1a.  For  the  application  of  Article  9a,  the  Agency  may  itself  conduct  or 
allocate  to  national  aviation  authorities  all  necessary  investigation  of 
qualified entities as specified in Article 16(2).” 

(30) 

The following Articles 46a and 46b are inserted after Article 46: 

“Article 46a 
Annual programme of work 

The annual programme of work shall comply with the objectives, mandates and tasks 

of the Agency, as defined in this Regulation. 

The  presentation  of  the  annual  programme  of  work  shall  be  based  on  the 
methodology  developed  by  the  Commission  as  part  of  Activity-Based 
Management. 

Article 46b 
Annual general report 

The  annual  general  report  shall  describe  the  way  in  which  the  Agency  has 

implemented its annual programme of work. 

The  report  shall  outline  the  activities  conducted  by  the  Agency  and  evaluate  the 
results with respect to the objectives and timetable set, the risks associated with 
the activities carried out, the use of resources and the general operations of the 
Agency.” 

(31) 

In Article 47, the following paragraphs 5 and 6 are added: 

“5.  Decisions  taken  by  the  Agency  pursuant  to  Article  8  of  Regulation  (EC)  No 
1049/2001 may give rise to the lodging of a complaint to the Ombudsman or 
may  form  the  subject  of  an  action  before  the  Court  of  Justice,  under  Articles 
195 and 230 of the EC Treaty respectively. 

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6. 

The  information  gathered  by  the  Agency  in  accordance  with  this  Regualtion 
shall  be  subject  to  Regulation  (EC)  No  45/2001  of  the  European  Parliament 
and of the Council as regards the protection of personal data*.” 

----------------------- 

*OJ L 8, 12.1.2001, p.1.” 

(32) 

Article 48(1) is amended as follows: 

(a) 

Paragraph 1 is replaced by the following: 

“1.  The revenues of the Agency shall consist of:  

(a) a contribution from the Community; 

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

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

approvals issued by the Agency;  

(d) charges for publications, training and any other services provided by 

the Agency. 

The Agency may also receive financial contribution from Member States, 
third countries or other entities.” 

(33) 

In Article 53(4), the second subparagraph is deleted. 

(34) 

Article 56(3) is deleted. 

(35) 

Annex II is replaced by the text set out in the Annex to this Regulation. 

(36) 

Annexes III, IV and V, as shown in the the Annex to this Regulation, are added. 

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CHAPTER II 

FINAL PROVISIONS 

Article 2 
Repeal 

1. 

Council  Directive  91/670/EEC  is  repealed  as  from  the  entry  into  force  of  the 
implementing rules referred to in Article 6a(6). 

2.  Annex  III  to  Regulation  (EEC)  No  3922/91  is  deleted  as  from  the  entry  into 

force of the implementing rules referred to in Article 6b(5). 

3. 

The  provisions  of  Article  8  shall  apply  to  products,  parts  and  appliances, 
organisations  and  persons  whose  certification  has  been  performed,  or 
recognised, 
the  provisions  of  Council  Directive 
91/670/EEC and Annex III to Regulation (EEC) No 3922/91. 

in  accordance  with 

Article 3 
Entry into force 

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

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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(1) 

Annex II is amended as follows: 

ANNEX  

“ANNEX II 

Aircraft referred to in Article 4(2) 

Aircraft to which Article 4(1), (1a) and (1b) do not apply are aircraft that are within one or 
more of the categories of this annex set out below: 

(a) historic aircraft meeting the criteria below: 

(i) non complex aircraft whose: 

- initial design was established before 1.1.1955 and 

- production has been stopped before 1.1.1975. 

or 

(ii) aircraft having a clear historical relevance, related to: 

- a participation in a noteworthy historical event; or 

- a major step in the development of aviation; or 

- a major role played into the armed forces of a Member State. 

(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  making 
association  of  amateurs,  for  their  own  purposes  and  without  any  commercial 
objective; 

(d) aircraft that have been in the service of military forces, unless the aircraft is of a 

type for which a design standard has been adopted by the Agency; 

(e) aeroplanes, helicopters and powered parachutes having no more than two seats, a 
maximum  take-off  mass  (MTOM),  as  recorded  by  the  Member  States,  of  no 
more than: 

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

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

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

(iv) 495 kg for an amphibian or floatplane/helicopter two-seater, provided that, 
land 
where  operating  both  as  a  floatplane/helicopter  and  as  a 
plane/helicopter, it falls below both MTOM limits, as appropriate; 

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(v)  472.5  kg  for  a  land  plane,  two-seater  equipped  with  an  airframe  mounted 

total recovery parachute system; 

(vi) 315 kg for a land plane single-seater equipped with an airframe mounted 

total recovery parachute system; 

and, for aeroplanes, having the stall speed or the minimum steady flight speed 
in  landing  configuration  not  exceeding  35  knots  calibrated  air  speed 
(CAS); 

(f)  single  and  two-seater  gyroplanes  with  a  maximum  take  off  mass  not  exceeding 

560 kg; 

(g)  gliders  with  a  maximum  empty  mass,  of  less  than  80kg  when  single-seater  or 

100kg when two-seater, including those which are foot launched; 

(h) replicas of aircraft meeting the criteria of (a) or (d) above, for which the structural 

design is similar to the original aircraft; 

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

(j) any other aircraft which has a maximum empty mass, including fuel, of less than 

70 kg.” 

(2) 

The following Annexes III, IV and V are added: 

“ANNEX III 

Essential requirements for pilot licensing referred to in Article 6a 

1. 

Training 

1.a. 

General 

1.a.1.  A  person  undertaking  training  to  fly  an  aircraft  must  be  sufficiently  mature 
educationally, physically and mentally to acquire, retain and demonstrate the relevant 
theoretical knowledge and practical skill. 

1.b. 

Theoretical Knowledge 

1.b.1.  A pilot must acquire and maintain a level of knowledge appropriate to the functions 
exercised  on  the  aircraft  and  proportionate  to  the  risks  associated  to  the  type  of 
activity. Such knowledge must include at least the following: 

(i) 

air law; 

(ii) 

aircraft general knowledge; 

(iii) 

technical matters related to the category of the aircraft; 

(iv) 

flight performance and planning; 

(v)  human performance and limitations; 

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(vi)  meteorology; 

(vii)  navigation; 

(viii)  operational procedures, including resource management; 

(ix)  principles of flight; and 

(x) 

communications. 

1.c. 

Demonstration and maintenance of theoretical knowledge 

1.c.1.  The  acquisition  and  retention  of  theoretical  knowledge  must  be  demonstrated  by 

continuous assessment during training, and where appropriate, by examinations. 

1.c.2.  An  appropriate  level  of  competence  in  theoretical  knowledge  must  be  maintained. 
Compliance  must  be  demonstrated  by  regular  assessments,  examinations,  tests  or 
checks. The frequency of examinations, tests or checks must be proportionate to the 
level of risk associated with the activity. 

1.d. 

Practical skill 

1.d.1.  A  pilot  must  acquire  and  maintain  the  practical  skills  as  appropriate  to  exercise 
his/her  functions  on  the  aircraft.  Such  skills  must  be  proportionate  to  the  risks 
associated  to  the  type  of  activity  and  must  cover,  if  appropriate  to  the  functions 
exercised on the aircraft, the following: 

(i) 

pre-flight  and  in-flight  activities,  including  aircraft  performance,  mass  and 
balance determination, aircraft inspection and servicing, fuel planning, weather 
appreciation, route planning, airspace restrictions and runway availability; 

(ii) 

aerodrome and traffic pattern operations; 

(iii)  collision avoidance precautions and procedures; 

(iv)  control of the aircraft by external visual reference; 

(v) 

flight  manoeuvres,  including  in  critical  situations,  and  associated  “upset” 
manoeuvres, as technically achievable; 

(vi)  normal and cross-wind take-offs and landings; 

(vii)  flight by reference solely to instruments, as appropriate to the type of activity; 

(viii)  operational  procedures,  including  team  skills  and  resource  management,  as 

appropriate to the type of operation, whether single or multi-crew; 

(ix)  navigation and implementation of rules of the air and related procedures, using 

as appropriate, visual reference or navigation aids; 

(x) 

abnormal  and  emergency  operations,  including  simulated  aircraft  equipment 
malfunctions; 

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(xi)  compliance with air traffic services and communications procedures; 

(xii)  aircraft type or class specific aspects; and 

(xiii)  additional  practical  skill  training  that  may  be  required  to  mitigate  risks 

associated with specific activities. 

1.e. 

Demonstration and maintenance of practical skill 

1.e.1.  A pilot must demonstrate the ability to perform the procedures and manoeuvres with 

a degree of competence appropriate to the functions exercised on the aircraft, by: 

(i) 

operating the aircraft within its limitations; 

(ii) 

completing all manoeuvres with smoothness and accuracy; 

(iii)  exercising good judgement and airmanship; 

(iv)  applying aeronautical knowledge; and 

(v)  maintaining  control  of  the  aircraft  at  all  times  in  a  manner  such  that  the 

successful outcome of a procedure or manoeuvre is assured. 

1.e.2.  An  appropriate  level  of  competence  in  practical  skill  must  be  maintained. 
Compliance  must  be  demonstrated  by  regular  assessments,  examinations,  tests  or 
checks. The frequency of examinations, tests or checks must be proportionate to the 
level of risk associated with the activity. 

1.f. 

Language Proficiency 

Except  where  the  related  safety  risk  can  be  mitigated  by  other  means,  a  pilot  must 
have demonstrated proficiency in English, which must include: 

(i) 

the ability to understand weather information documents; 

(ii) 

the use of aeronautical en-route, departure and approach charts and associated 
aeronautical information documents; and 

(iii) 

the ability to communicate with other flight crew and air navigation services in 
English during all phases of flight, including flight preparation. 

1.g. 

Flight synthetic training devices 

When  a  flight  synthetic  training  device  (FSTD)  is  used  for  training,  or  for 
demonstration  that  practical  skill  is  acquired  or  maintained,  this  FSTD  must  be 
qualified  to  a  given  level  of  performance  in  those  areas,  which  are  relevant  to 
completing  the  related  task.  In  particular,  the  replication  of  configuration,  handling 
qualities, aircraft performance, and systems behaviour must adequately represent the 
aircraft. 

1.h. 

Training Course 

1.h.1.  Training must be executed through a training course. 

EN 

40 

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1.h.2.  A training course must meet the following conditions: 

(i) 

a syllabus must be developed for each type of course; and 

(ii) 

the  training  course  must  comprise  a  breakdown  of  theoretical  knowledge  and 
practical flight instruction (including synthetic training ), if applicable. 

1.i. 

Instructors 

1.i.1. 

Theoretical instruction. 

Theoretical  instruction  must  be  given  by  appropriately  qualified  instructors.  They 
must: 

(i) 

have appropriate knowledge in the field where instruction is to be given; and 

(ii)  be capable of using appropriate instructional techniques. 

1.i.2. 

Flight and synthetic flight instruction. 

Flight  and  synthetic  flight  instruction  must  be  given  by  appropriately  qualified 
instructors, who have the following qualifications: 

(i)  meet  the  theoretical  knowledge  and  the  experience  requirements  appropriate 

for the instruction being given; 

(ii)  be capable of using appropriate instructional techniques; 

(iii)  have  practised  instructional  techniques  in  those  flight  manoeuvres  and 

procedures in which it is intended to provide flight instruction; 

(iv)  have  demonstrated  the  ability  to  instruct  in  those  areas  in  which  flight 
instruction  is  to  be  given,  including  pre-flight,  post-flight  and  ground 
instruction; and 

(v) 

receive regular refresher training to ensure that the instructional standards are 
maintained up to date. 

Flight instructors must also be entitled to act as pilot in command on the aircraft for 
which instruction is being given, except for training on new aircraft types. 

1.j. 

Examiners 

1.j.1. 

Persons responsible for assessing the competence of pilots must: 

(i)  meet or have met the requirements for flight instructors; 

(ii)  be  capable  of  assessing  pilot  performance  and  conducting  flight  tests  and 

checks. 

EN 

41 

   EN 

 
2. 

Training Organisations 

2.a. 

Training Organisation requirements 

2.a.1.  A 

training  organisation  providing  pilot 

training  must  meet 

the  following 

requirements: 

(i) 

have  all  the  means  necessary  for  the  scope  of  responsibilities  associated  with 
their  activity.  These  means  comprise,  but  are  not  limited  to,  the  following: 
facilities,  personnel,  equipment,  tools  and  material,  documentation  of  tasks, 
responsibilities and procedures, access to relevant data and record-keeping; 

(ii) 

implement  and  maintain  a  management  system  relating  to  safety  and  the 
standard of training, and aim for continuous improvement of this system; and 

(iii)  establish  arrangements  with  other  relevant  organisations,  as  necessary,  to 

ensure continuing compliance with the above requirements. 

3. 

Medical fitness 

3.a. 

Medical criteria 

3.a.1.  All pilots must periodically demonstrate medical fitness to satisfactorily execute their 
functions,  taking  into  account  the  type  of  activity.  Compliance  must  be  shown  by 
appropriate assessment based on aero-medical best practice, taking into account the 
type of activity and the possible mental and physical degradation due to age. 

Medical  fitness,  comprising  physical  and  mental  fitness,  means  not  suffering  from 
any disease or disability, which makes the pilot unable: 

(i) 

to execute the tasks necessary to operate an aircraft; or  

(ii) 

to perform assigned duties at any time; or 

(iii) 

to perceive correctly his/her environment. 

3.a.2.  Where  medical  fitness  cannot  be  fully  demonstrated,  mitigation  measures  that 

provide equivalent flight safety may be implemented. 

3.b. 

Aero-medical examiners 

3.b.1  An aero-medical examiner must: 

(i) 

be qualified and licensed in the practice of medicine;  

(ii)  have  received  training  in  aviation  medicine  and  regular  refresher  training  in 

aviation medicine to ensure that assessment standards are maintained;  

(iii)  have acquired practical knowledge and experience of the conditions  in  which 

pilots carry out their duties. 

EN 

42 

   EN 

 
3.c 

Aero-medical Centres 

3.c.1  Aero-medical centres must meet the following conditions: 

(i) 

have  all  the  means  necessary  for  the  scope  of  responsibilities  associated  with 
their  privileges.  These  means  comprise,  but  are  not  limited  to,  the  following: 
facilities,  personnel,  equipment,  tools  and  material,  documentation  of  tasks, 
responsibilities and procedures, access to relevant data and record-keeping;  

(ii) 

implement  and  maintain  a  management  system  relating  to  safety  and  the 
standard  of  medical  assessment,  and  aim  for  continuous  improvement  of  this 
system; 

(iii)  establish  arrangements  with  other  relevant  organisations,  as  necessary,  to 

ensure continuing compliance with these requirements. 

EN 

43 

   EN 

 
ANNEX IV 

Essential requirements for air operations referred to in Article 6b 

1. 

General 

1.a. 

1.b. 

1.c. 

1.d. 

1.e. 

A  flight  must  not  be  performed  if  the  crew  members  and,  as  appropriate,  all  other 
operations personnel involved in its preparation and execution are not familiar with 
applicable  laws,  regulations  and  procedures,  pertinent  to  the  performance  of  their 
duties,  prescribed  for  the  areas  to  be  traversed,  the  aerodromes  planned  to  be  used 
and the air navigation facilities relating thereto. 

A flight must be performed in such a way that the operating procedures specified in 
the Flight Manual or, where required the Operations Manual, for the preparation and 
execution  of  the  flight  are  followed.  To  facilitate  this,  a  checklist  system  must  be 
available  for  use,  as  applicable,  by  crew  members  in  all  phases  of  operation  of  the 
aircraft under normal, abnormal and emergency conditions and situations. Procedures 
must be established for any reasonably foreseeable emergency situation. 

Before every flight, the roles and duties of each crew member must be defined. The 
pilot in command must be responsible for the operation and safety of the aircraft and 
for the safety of all crew members, passengers and cargo on board. 

Articles  or  substances,  which  are  capable  of  posing  a  significant  risk  to  health, 
safety,  property  or  the  environment,  such  as  dangerous  goods,  weapons  and 
ammunition,  must  not  be  carried  on  any  aircraft,  unless  specific  safety  procedures 
and instructions are applied to mitigate the related risks. 

All necessary data, documents, records and information to record the respect of the 
conditions specified in point 5.c must be retained for each flight and kept available 
for a minimum period of time compatible with the type of operation. 

2. 

Flight preparation 

2.a. 

A flight must not be commenced unless it has been ascertained by every reasonable 
means available that all the following conditions are complied with: 

2.a.1.  Adequate  facilities  directly  required  for  the  flight  and  for  the  safe  operation  of  the 
aircraft, including communication facilities and navigation aids, are available for the 
execution of the flight, taking into account available AIS documentation. 

2.a.2.  The crew must be familiar with and passengers informed of the location and use of 
relevant  emergency  equipment.  Sufficient  related  information  regarding  emergency 
procedures  and  use  of  cabin  safety  equipment  must  be  made  available  to  crew  and 
passengers using specified information. 

2.a.3.  The pilot in command must be satisfied that: 

(i) 

the aircraft is airworthy as specified in point 6; 

(ii) 

if required, the aircraft is duly registered and that appropriate certificates with 
respect thereto are aboard the aircraft; 

EN 

44 

   EN 

 
(iii) 

instruments and equipment as specified in point 5 required for the execution of 
that flight are installed in the aircraft and are operative, unless waived by the 
applicable MEL or equivalent document; 

(iv) 

the  mass  of  the  aircraft  and  centre  of  gravity  location  are  such  that  the  flight 
can be conducted within limits prescribed in the airworthiness documentation; 

(v) 

all cabin baggage, hold luggage and cargo is properly loaded and secured; and 

(vi) 

the aircraft operating limitations as specified in point 4 will not be exceeded at 
any time during the flight. 

2.a.4. 

Information  regarding  meteorological  conditions  for  departure,  destination  and, 
where  applicable,  alternate  aerodromes,  as  well  as  en-route  conditions,  must  be 
available to the flight crew. Special attention must be given to potentially hazardous 
atmospheric conditions. 

2.a.5. 

In  case  of  flight  into  known  or  expected  icing  conditions,  the  aircraft  must  be 
certified, equipped and/or treated to operate safely in such conditions. 

2.a.6.  For a flight based on visual flight rules, meteorological conditions along the route to 
be flown must be such as to render compliance with these flight rules possible. For a 
flight  based  on  instrument  flight  rules  a  destination  and  where  applicable  alternate 
aerodrome(s)  where  the  aircraft  can  land  must  be  selected,  taking  into  account  in 
particular the forecasted meteorological conditions, the availability of air navigation 
equipment, the availability of ground facilities and the instrument flight procedures 
approved by the State in which the destination and/or alternate aerodrome is located. 

2.a.7 

The  amount  of  fuel  and  oil  on  board  must be  sufficient  to  ensure  that  the  intended 
flight  can  be  completed  safely,  taking  into  account  the  meteorological  conditions, 
any  element  affecting  the  performance  of  the  aircraft  and  any  delays  that  are 
expected  in  flight.  In  addition,  a  fuel  reserve  must  be  carried  to  provide  for 
contingencies.  Procedures  for  in-flight  fuel  management  must  be  established  when 
relevant. 

3. 

Flight operations 

3.a.  With regard to flight operations, all the following conditions must be complied with: 

3.a.1.  Taking into account the type of aircraft, during take-off and landing, and whenever 
deemed  necessary  by  the  pilot  in  command  in  the  interest  of  safety,  each  crew 
member  must  be  seated  at  their  crew  station  and  must  use  the  provided  restraint 
systems, taking into account the type of aircraft. 

3.a.2.  All  flight  crew  members  required  to  be  on  flight  deck  duty  must  be  and  remain  at 
their  station,  with  their  seatbelts  fastened  except  en-route  for  physiological  or 
operational needs. 

3.a.3.  Taking into account the type of aircraft, before take-off and landing, during taxiing 
and whenever deemed necessary in the interest of safety, the pilot in command must 
ensure  that  each  passenger  occupies  a  seat  or  berth  with  the  safety  belt  properly 
secured. 

EN 

45 

   EN 

 
3.a.4.  A  flight  must  be  performed  in  such  a  way  that  appropriate  separation  from  other 
aircraft  is  maintained  and  that  adequate  obstacle  clearance  is  ensured,  during  all 
phases of the flight. Such separation must at least be those required by the applicable 
rules of the air. 

3.a.5.  A  flight  must  not  be  continued  unless  known  conditions  continue  to  be  at  least 
equivalent  to  those  in  point  2.  Furthermore,  for  a  flight  based  on  instrument  flight 
rules,  an  approach  toward  an  aerodrome  must  not  be  continued  below  certain 
specified heights or beyond a certain position, if prescribed visibility criteria are not 
met. 

3.a.6. 

In an emergency, the pilot in command must ensure that all passengers are instructed 
in such emergency action as may be appropriate to the circumstances. 

3.a.7.  A  pilot  in  command  must  take  all  necessary  measures  so  as  to  minimise  the 

consequences on the flight of disruptive passenger behaviour. 

3.a.8.  An  aircraft  must  not  be  taxied  on  the  movement  area  of  an  aerodrome,  or  its  rotor 
must  not  be  turned  under  power,  unless  the  person  at  the  controls  is  appropriately 
qualified. 

3.a.9.  The applicable in-flight fuel management procedures must be used, when relevant. 

4. 

Aircraft performance and operating limitations 

4.a. 

4.b. 

4.c. 

An aircraft must be operated in accordance with its airworthiness documentation and 
all  related  operating  procedures  and  limitations  as  expressed  in  its  approved  flight 
manual  or  equivalent  documentation,  as  the  case  may  be.  The  flight  manual  or 
equivalent documentation must be available to the crew and kept up to date for each 
aircraft. 

The  aircraft  must  be  operated  in  accordance  with  the  applicable  environmental 
documentation. 

A  flight  must  not  be  commenced  or  continued  unless  the  aircraft's  scheduled 
performance, considering all factors which significantly affect its performance level, 
allows  all  phases  of  flight  to  be  executed  within  the  applicable  distances/areas  and 
obstacle  clearances  at  the  planned  operating  mass.  Performance  factors  which 
significantly affect take-off, en-route and approach/landing are, particularly: 

(i) 

operating procedures; 

(ii)  pressure altitude of the aerodrome; 

(iii) 

temperature; 

(iv)  wind; 

(v) 

size, slope and condition of the take-off/landing area; and 

(vi) 

the  condition  of  the  airframe,  the  power  plant  or  the  systems,  taking  into 
account possible deterioration. 

EN 

46 

   EN 

 
4.c.1.  Such  factors  must  be  taken  into  account  directly  as  operational  parameters  or 
indirectly  by  means  of  allowances  or  margins,  which  may  be  provided  in  the 
scheduling of performance data, as appropriate to the type of operation. 

5. 

Instruments, data and equipment 

5.a. 

An  aircraft  must  be  equipped  with  all  navigation,  communication  and  other 
equipment necessary for the intended flight, taking account of air traffic regulations 
and rules of the air applicable during any phase of the flight. 

5.b.  When  relevant,  an  aircraft  must  be  equipped  with  all  necessary  safety,  medical, 
evacuation and survival equipment, taking account of the risks associated to the areas 
of operation, the routes to be flown, the flight altitude and the duration of the flight. 

5.c. 

All data  necessary for the  execution of the  flight  by  the  crew  must  be  updated  and 
available  on  board  the  aircraft  taking  account  of  applicable  air  traffic  regulations, 
rules of the air, flight altitudes and areas of operation. 

6. 

Continuing Airworthiness 

6.a. 

The aircraft must not be operated unless: 

(i) 

the aircraft is in an airworthy condition; 

(ii) 

the  operational  and  emergency  equipment  necessary  for  the  intended  flight  is 
serviceable; 

(iii) 

the airworthiness document of the aircraft is valid; and 

(iv) 

the maintenance of the aircraft is performed in accordance with its maintenance 
programme. 

Before  each  flight,  the  aircraft  must  be  inspected,  through  a  pre-flight  check,  to 
determine whether it is fit for the intended flight. 

The  maintenance  programme  must  contain  in  particular,  maintenance  tasks  and 
intervals, especially those that have been specified as mandatory in the instructions 
for continuing airworthiness. 

The aircraft must not be operated unless it is maintained and released to service by 
persons or organisations qualified for these tasks. The signed release to service must 
contain in particular, the basic details of the maintenance carried out. 

All  records  demonstrating  the  airworthiness  of  the  aircraft  must  be  kept  until  the 
information contained has been superseded by new information equivalent in scope 
and  detail  but  not  less  than  one  year  in  the  case  of  detailed  maintenance  records. 
When  an  aircraft  is  permanently  withdrawn  from  service,  a  minimum  period  of  90 
days applies. When the aircraft is leased, all records demonstrating the airworthiness 
of the aircraft must be kept at least for the length of the lease. 

6.b. 

6.c. 

6.d. 

6.e. 

EN 

47 

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6.f. 

All  modifications  and  repairs  must  comply  with  the  essential  requirements  for 
airworthiness. The substantiating data supporting compliance with the airworthiness 
requirements must be retained. 

7. 

Crew members 

7.a. 

The number and composition of the crew must be determined taking into account: 

(i) 

the certification limitations of the aircraft, including if applicable, the relevant 
emergency evacuation demonstration; 

(ii) 

the aircraft configuration; and 

(iii) 

the type and duration of operations. 

7.b. 

Cabin crew members must: 

(i) 

be  trained  and  checked  on  a  regular  basis  to  attain  and  maintain  an  adequate 
level of competency in order to perform their assigned safety duties; and 

(ii)  be  periodically  assessed  for  medical  fitness  to  safely  exercise  their  assigned 
safety duties. Compliance must be shown by appropriate assessment based on 
aero medical best practice. 

The  pilot  in  command  must  have  the  authority  to  give  all  commands  and  take  any 
appropriate  actions  for  the  purpose  of  securing  the  operation  and  the  safety  of  the 
aircraft and of persons and/or property carried therein. 

In an emergency situation, which endangers the operation or the safety of the aircraft 
and/or persons on board, the pilot in command must take any action he/she considers 
necessary  in  the  interest  of  safety.  When  such  action  involves  a  violation  of  local 
regulations or procedures, the pilot in command must be responsible for notifying the 
appropriate local authority without delay. 

Emergency abnormal situations must not be simulated when passengers or cargo are 
being carried. 

No crew member  must  allow  their task achievement/decision making to deteriorate 
to the extent that flight safety is endangered because of the effects of fatigue, fatigue 
accumulation,  sleep  deprivation,  number  of  sectors  flown,  night  hours,  etc.  Rest 
periods must provide sufficient time to enable crew members to overcome the effects 
of the previous duties and to be well rested by the start of the following flight duty 
period. 

7.c. 

7.d. 

7.e. 

7.f. 

7.g. 

A crew member must not perform allocated duties on board an aircraft when under 
the  influence  of  psychoactive  substances  or  alcohol  or  when  unfit  due  to  injury, 
fatigue, medication, sickness or other similar causes. 

8. 

Additional  requirements  for  operation  for  commercial  purposes  and  operation  of 
complex motor-powered aircraft. 

EN 

48 

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8.a. 

The operation for commercial purposes and the operation of complex motor-powered 
aircraft must not be undertaken unless the following conditions are met: 

8.a.1. 

the operator must have directly or indirectly through contracts the means necessary 
for the scale and scope of the operations. These means comprise but are not limited 
to  the  following:  aircraft,  facilities,  personnel,  equipment,  documentation  of  tasks, 
responsibilities and procedures, access to relevant data and record keeping. 

8.a.2. 

the  operator  must  use  only  properly  qualified  and  trained  personnel  and  implement 
and  maintain  training  and  checking  programmes  for  the  crew  members  and  other 
relevant personnel. 

8.a.3. 

the  operator  must  establish  a  Minimum  Equipment  List  (MEL)  or  equivalent 
document, taking account of the following: 

(i) 

the  document  must  provide  for  the  operation  of  the  aircraft,  under  specified 
conditions,  with  particular  instruments,  items  of  equipment  or  functions 
inoperative at the commencement of the flight; 

(ii) 

the document must be prepared for each individual aircraft, taking account of 
the operator’s relevant operational and maintenance conditions; and 

(iii) 

the MEL must be based on the Master Minimum Equipment List (MMEL), if 
available, and must not be less restrictive than the MMEL; 

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

the  operator  must  establish  and  maintain  an  accident  prevention  and  safety 
programme,  including  an  occurrence  reporting  programme,  which  must  be  used  by 
the management system in order to contribute to the aim of continuous improvement 
of the safety of operations. 

The operation for commercial purposes and the operation of complex motor-powered 
aircraft  must  only  be  undertaken  in  accordance  with  an  operator's  Operations 
Manual.  Such  manual  must  contain  all  necessary  instructions,  information  and 
procedures  for  all  aircraft  operated  and  for  operations  personnel  to  perform  their 
duties. Limitations applicable to flight time, flight duty periods and rest periods for 
crew members must be specified. The Operations manual and its revisions must be 
compliant with the approved Flight manual and be amended as necessary. 

The  operator  must  establish  procedures,  as  appropriate,  so  as  to  minimise  the 
consequences to safe flight operations of disruptive passenger behaviour. 

The operator must develop and maintain security programmes adapted to the aircraft 
and the type of operation including particularly: 

8.a.4. 

8.a.5. 

8.b. 

8.c. 

8.d. 

(i) 

security of the flight crew compartment; 

(ii) 

aircraft search procedure checklist; 

EN 

49 

   EN 

 
(iii) 

training programmes; 

(iv)  protection  of  electronic  and  computer  systems  to  prevent  intentional  system 

interference and corruption; and 

(v) 

reporting acts of unlawful interference. 

8.e. 

8.f. 

When security measures may adversely affect the safety of operations, the risks must 
be assessed and appropriate procedures developed to mitigate safety risks, this may 
necessitate the use of specialist equipment. 

The  operator  must  designate  one  pilot  amongst  the  flight  crew  as  the  pilot  in 
command. 

The prevention of fatigue must be managed through a rostering system. For a flight, 
or series of flights, such a rostering system needs to address flight time, flight duty 
periods,  duty  and  adapted  rest  periods.  Limitations  established  within  the  rostering 
system must take into account all relevant factors contributing to fatigue such as, in 
particular, number of sectors flown, time zone crossing, sleep deprivation, disruption 
of circadian cycles, night hours, positioning, cumulative duty time for given periods 
of time, sharing of allocated tasks between crew members, and also the provision of 
augmented crews. 

8.g. 

The tasks specified in point 6.a and those described in points 6.d. and 6.e. must be 
controlled  by  an  organisation  responsible  for 
the  continuing  airworthiness 
management that must meet, in addition to those requirements of Annex I point 3.a, 
the following conditions: 

(i) 

(ii) 

the  organisation  must  be  qualified  for  the  maintenance  of  products  parts  and 
appliances  under  its  responsibility  or  have  established  a  contract  with  such  a 
qualified organisation for these products, parts and appliances; and 

the organisation must establish an organisation manual providing, for use and 
guidance of personnel concerned, a description of all continuing airworthiness 
procedures  of  the  organisation  including  when  applicable  a  description  of 
administrative  arrangements  between  the  organisation  and  the  approved 
maintenance organisation. 

EN 

50 

   EN 

 
ANNEX V 

Criteria for qualified entities referred to in Article 9a 

1. 

2. 

3. 

The  entity,  its  Director  and  the  staff  responsible  for  carrying  out  the  checks, 
may  not  become  involved,  either  directly  or  as  authorised  representatives,  in 
the  design,  manufacture,  marketing  or  maintenance  of  the  products,  parts, 
appliances, constituents or systems or in their operations, service provision or 
use.  This  does  not  exclude  the  possibility  of  an  exchange  of  technical 
information between the involved organisations and the qualified entity. 

The  entity  and  the  staff  responsible  for  the  certification  tasks  must  carry  out 
their  duties  with  the  greatest  possible  professional  integrity  and  the  greatest 
possible technical competence and must be free of any pressure and incentive, 
in particular of a financial type, which could affect their judgment or the results 
of their investigations, in particular from persons or groups of persons affected 
by the results of the certification tasks. 

The  entity  must  employ  staff  and  possess  the  means  required  to  perform 
adequately  the  technical  and  administrative  tasks  linked  with  the  certification 
process;  it  should  also  have  access  to  the  equipment  needed  for  exceptional 
checks. 

4. 

The staff responsible for investigation must have: 

– 

– 

– 

5. 

6. 

7. 

sound technical and vocational training; 

satisfactory knowledge of the requirements of the certification tasks they carry 
out and adequate experience of such processes; 

the  ability  required  to  draw  up  the  declarations,  records  and  reports  to 
demonstrate that the investigations have been carried out. 

The  impartiality  of  the  investigation  staff  must  be  guaranteed.  Their 
remuneration  must  not  depend  on  the  number  of  investigations  carried  out  or 
on the results of such investigations . 

The  entity  must  take  out  liability  insurance  unless  its  liability  is  assumed  by 
one Member State in accordance with its national law. 

The  staff  of  the  entity  must  observe  professional  secrecy  with  regard  to  all 
information acquired in carrying out their tasks under this Regulation.” 

EN 

51 

   EN 

 
LEGISLATIVE FINANCIAL STATEMENT 

1.  NAME OF THE PROPOSAL: 

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  amending 
Regulation (EC) No 1592/2002 of 15 July 2002 on common rules in the field of civil aviation and 
establishing a European Aviation Safety Agency.  

2.  ABM / ABB FRAMEWORK  

0602 – Inland, air and maritime transport. 

3.  BUDGET LINES 

3.1. Budget  lines  (operational  lines  and  related  technical  and  administrative  assistance 

lines (ex- B.A lines)) including headings : 

06 02 01 (European Aviation Safety Agency) 

3.2. Duration of the action and of the financial impact: 

Unlimited period (annual contribution) 

3.3. Budgetary characteristic (add rows if necessary): 

Budget 
line 

Type of expenditure 

New 

EFTA 
contribution  

Contributions 
from applicant 
countries  

Heading in 
financial 
perspective 

060201 

Non-
comp 

Diff25 

NO 

YES26 

NO 

No 3 

25 
26 

Differentiated appropriations. 
Participation of European third countries associated with the Agency (Switzerland, Norway and Iceland). 

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4.  SUMMARY OF RESOURCES 

4.1. Financial Resources 

4.1.1.  Summary of commitment appropriations (CA) and payment appropriations (PA) 

Section 
No 

Expenditure type  

Operational expenditure27 

EUR million (to 3 decimal places) 

Year 

n +1 

n + 2 

n +3 

n +4 

n+5 
and 
later 

Total 

Commitment 
Appropriations  (CA) 

8.1 

a 

2,365 

2,412 

2,461 

2,510 

2,560 

2,611 

14,919 

Payment  Appropriations  
(PA) 
Administrative expenditure within reference amount28 

2,365 

2,412 

b 

2,461 

2,510 

2,560 

2,611 

14,919 

and 
Technical 
administrative  assistance 
(NDA) 

8.2.4 

c 

TTOOTTAALL  RREEFFEERREENNCCEE  AAMMOOUUNNTT2299 

0,484 

0,494 

0,504 

0,514 

0,524 

0,534 

3,053 

Commitment 
Appropriations 

Payment 
Appropriations 

2,849 

2,906 

2,964 

3,023 

3,084 

3,146 

17,972 

2,849 

2,906 

2,964 

3,023 

3,084 

3,146 

17,972 

a+c 

b+c 

Administrative expenditure not included in reference amount30 

27 
28 
29 

30 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within Article xx 01 04 of Title xx. 
On  the  basis  of  the  average  cost  of  EASA  staff  in  2005,  all  expenditure  included  (salaries  and  benefits, 
missions, equipment and accommodation), i.e. 112 260 euros per agent, indexed by 2% a year and reduced 
by the contribution of European third countries associated with the EASA (see table on page 3). 
Expenditure within Chapter xx 01, other than Articles xx 01 04 or xx 01 05. 

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53 

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Human 
associated 
(NDA)31 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
associated 
not 
included in reference amount 
(NDA)32 

costs, 

0,108 

0,110 

0,112 

0,114 

0,116 

0,119 

0,679 

0,052 

0,053 

0,054 

0,055 

0,056 

0,057 

0,327 

8.2.5 

d 

8.2.6 

e 

Total indicative financial cost of intervention 

TOTAL  CA 
cost 
Resources 

including 
of  Human 

TOTAL  PA 
cost 
of 
Resources 

including 
Human 

a+c
+d+
e 

b+c
+d+
e 

3,009  3,069 

3,130 

3,192 

3,256 

3,322 

18,978 

3,009  3,069 

3,130 

3,192 

3,256 

3,322 

18,978 

Co-financing details 

If the proposal involves co-financing by Member States, or other bodies (please specify which), 
an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in  the  table  below  (additional 
lines may be added if different bodies are foreseen for the provision of the co-financing): 

EUR million (to 3 decimal places) 

Cofinancing body  

European 
countries33 

third 

f 

TOTAL  CA  including 
cofinancing 

a+c+d
+e+f 

Year 
n 

n + 1

n + 2 

n + 3 

n + 4 

n+5 
and 
later 

Total 

0,146 

0,149 

0,152 

0,155 

0,158 

0,161 

0,922 

3,155 

3,218 

3,282 

3,347 

3,414 

3,483 

19,899 

31 
32 
33 

See table 8.2.5. 
See table 8.2.6. 
Participation  of  European  third  countries  associated  with  the  EASA  under  Article  55  of  Regulation  (EC) 
No 1592/2002. This participation is estimated at 7% of the Agency's budget, excluding revenue from fees. 

EN 

54 

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4.1.2.  Compatibility with Financial Programming 

(cid:133)X  Proposal is compatible with existing financial programming. 

(cid:133) 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  interinstitutional 
agreement 34 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on revenue 

(cid:133)X  Proposal has no financial impact on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

[n+1] [n+2] [n+3

] 

[n+4]  [n+5]

35

Prior to 
action 
[Year 
n-1] 

a) Revenue in absolute  terms   

b) Change in revenue 

 ∆ 

(Please specify each revenue budget line involved, adding the appropriate number of 
rows to the table if there is an effect on more than one budget line.) 

4.2. Human Resources FTE (including officials, temporary and external staff) – see detail 

under point 8.2.1. 

This table shows the requirements of the EASA (20 temporary agents) and the Commission 
(1 official) created by implementation of the proposed measure. 

Annual requirements 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n+5 
and 
later 

number 

Total 
human resources  

of 

20 

20 

20 

20 

20 

20 

34 
35 

See points 19 and 24 of the interinstitutional agreement. 
Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years. 

EN 

55 

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5.  CHARACTERISTICS AND OBJECTIVES 

Details of the context of the proposal are required in the Explanatory Memorandum. This 
section  of  the  Legislative  Financial  Statement  should  include  the  following  specific 
complementary information: 

5.1. Need to be met in the short or long term 

In the internal air transport market there is a need to improve the overall level of safety 
and further harmonise the conditions of competition between operators. 

5.2. Value-added of Community involvement and coherence of the proposal with other 

financial instruments and possible synergy 

Uniformly applied, mandatory Community rules will achieve the desired harmonisation. 

5.3. Objectives, expected results and related indicators of the proposal in the context of the 

ABM framework 

To harmonise the rules concerning air operations, pilot licensing and the safety of third-
country aircraft. Everyone will benefit from the improvement of aviation safety, whether 
they  are  travelling  by  plane  or  on  the  ground.  Operators  will  benefit  from  the 
harmonisation  of  the  conditions  of  competition.  Lastly,  the  automatic  recognition  of 
flight crew licences will give mobility to this category of personnel, which will be good 
for them and for their employers.  

5.4. Method of implementation (indicative) 

Show below the method(s)36 chosen for the implementation of the action. 

(cid:133)X Centralised management 

(cid:133)x 

directly by the Commission 

(cid:133)  

indirectly by delegation to: 

  (cid:133)  

Executive Agencies, 

  (cid:133)X  Bodies set up by the Communities as referred to in Art. 185 
of the Financial Regulation, 

  (cid:133)      National  public-sector  bodies/bodies  with  public-service 
mission. 

36 

If more than one method is indicated please provide additional details in the "Relevant comments" section 
of this point. 

EN 

56 

   EN 

 
 
 
                                                 
(cid:133) Shared or decentralised management 

(cid:133)  With Member States 

(cid:133)  With third countries 

(cid:133) Joint management with international organisations (please specify) 

Relevant comments: 

The Commission and the European Aviation Safety Agency will be jointly involved in the 
implementation of the measures introduced by this Regulation.  

6.  MONITORING AND EVALUATION 

6.1. Monitoring system 

Each year, the work of the EASA is monitored and evaluated in the annual general report (for the 
previous  year)  and  the  work  programme  (for  the  following  year).  These  two  documents  are 
adopted by the Agency's Management Board and sent to the European Parliament, the Council, 
the Commission, the Court of Auditors and the Member States. 

6.2. Evaluation 

6.2.1.  Ex-ante evaluation  

In accordance with the provisions of Regulation (EC) No 1592/2002, the Commission asked the 
EASA  for  its  opinion  on  extending  the  scope  of  this  Regulation  to  cover  air  operations,  flight 
crew  licensing  and  the  safety  of  third-country  aircraft.  The  Agency,  in  accordance  with  its 
internal rules and international practice in this area, carried out extensive consultation of all the 
interested parties and took account of the comments it received before delivering its opinion. On 
27  April  2004  it  published  a  consultation  document  on  "the  applicability,  basic  principles  and 
essential  requirements  for  pilot  proficiency  and  air  operations  and  for  the  regulation  of  third 
country  aircraft  operated  by  third  country  operators"  (NPA  No 2/2004)  on  its  website 
(www.easa.eu.int). Between 30 April and 31 July 2004, 1 695 comments on the document were 
individuals,  national  authorities,  undertakings  and  organisations.  An 
submitted  by  93 
overwhelming majority of the parties consulted were in favour of introducing common rules on 
air operations, flight crew licensing and the safety of third-country aircraft. On the basis of these 
comments,  the  EASA  examined  the  question  and  sent  the  Commission  its  opinion  on 
15 December 2004 (Opinion No 3/2004). 

The  Commission  assessed  the  impact  of  extending  the  common  rules  to  air  operations,  pilot 
licensing and the safety of third-country aircraft, to check whether it was appropriate and see how 
it  could be done. The study supported the views of  the legislator, the interested parties and the 
EASA,  who  were  in  favour  of  extending  the  scope  of  Regulation  (EC) No  1592/2002  to  cover 
these areas. 

EN 

57 

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6.2.2.  Measures taken following an intermediate/ex-post evaluation (lessons learned 

from similar experiences in the past) 

6.2.3.  Terms and frequency of future evaluation 

Every five years, an independent external evaluation is carried out to see how well the EASA has 
fulfilled  its  tasks  and  evaluate  the  impact  of  the  common  rules  and  the  Agency's  work  on  the 
general level of aviation safety. 

7.  ANTI-FRAUD MEASURES 

The  Executive  Director  implements  the  Agency's  budget.  Each  year,  he  presents  detailed 
accounts for the previous year showing revenue and expenditure to the Commission, the Court of 
Auditors and the Agency's Management Board. In addition, the Commission's internal auditor has 
the same terms of reference with respect to the EASA as it does with respect to the Commission 
departments, and the Agency has an internal audit system similar to that of the Commission. 

Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 May 1999 
concerning  investigations  conducted  by  the  European  Anti-Fraud  Office  (OLAF),  and  the 
interinstitutional  agreement  of  25  May  1999  concerning  internal  investigations  conducted  by 
OLAF apply without restriction to the EASA. 

EN 

58 

   EN 

 
8.  DETAILS OF RESOURCES 

8.1. Objectives of the proposal in terms of their financial cost 

Headings 
of 
actions 
Objectives, 
and outputs should be 
provided 

Type 
of 
output 

Av. 
cost 

Year  n 

Year  n+1 

Year  n+2 

Year  n+3 

Year  n+4 

Year  n+5 and 
later 

TOTAL 

No. 
outputs  

No. 
outputs  

Tota
l 
cost 

No. 
outputs  

Tota
l 
cost 

No. 
outputs  

Tota
l 
cost 

Tota
l 
cost 

No. 
outputs  

Tota
l 
cost 

No. 
outputs  

No. 
outputs  

Tota
l 
cost 

Tota
l 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE 
No137… 

Development of common rules concerning air operations, pilot licensing and the safety of third-country aircraft 

Action 1………… 

Rulemaking 

Action 2………… 

Standardisation 

Action 3………… 

Tech. assistance  

Sub-total 
Objective 1 

TOTAL COST 

1,168 

1,197 

0,484 

2,849 

1,191 

1,221 

0,494 

2,906 

1,215 

1,245 

0,504 

2,964 

1,240 

1,270 

0,514 

3,023 

1,264 

1,295 

0,524 

3,084 

1,290 

1,321 

0,534 

3,146 

2,849 

2,906 

2,964 

3,023 

3,084 

3,146 

7,368 

7,548 

3,053 

17,972 

17,972 

37 

As described in part 5.3. 

EN 

59 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2. Administrative expenditure 

This  expenditure  is  covered  by  the  appropriations  allocated  annually  to  the  Commission's 
authorising department. 

8.2.1.  Number and type of human resources 

Types of post 

Staff to be assigned to the management of the action using existing and/or 
additional resources (number of posts/FTEs) 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 

1 

1 

1 

1 

1 

Official38 

(XX 01 01) 

(new post) 

1 

A*/
AD 

B*, 
C*/
AST 

Staff financed39 by Art. 
XX 01 02 

Other  staff  financed40 
by Art. XX 01 04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

Preparation  of  technical  rules  and  regulations,  and  implementation  of  these 
regulations,  including  technical  and  administrative  assistance  and  standardisation 
inspections. 

8.2.3.  Sources of human resources (statutory) 

 (When more than one source is stated, please indicate the number of posts originating from 
each of the sources). 

(cid:133) 

Posts currently allocated to the management of the programme to be replaced 
or extended 

(cid:133) 

Posts pre-allocated within the APS/PDB exercise for year n 

(cid:133) X  Posts to be requested in the next APS/PDB procedure 

(cid:133) 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

38 
39 
40 

Cost of which is NOT covered by the reference amount. 
Cost of which is NOT covered by the reference amount. 
Cost of which is included within the reference amount. 

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(cid:133) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

8.2.4.  Other administrative expenditure included in reference amount (XX 01 04/05 – 

Expenditure on administrative management) 

EUR million (to 3 decimal places) 

Year n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year n+5 

TOTAL 

and later 

0,484 

0,494 

0,504 

0,514 

0,524 

0,534 

3,053 

Budget line 

(number and heading) 

Technical 

1. 
and 
administrative 
assistance 
(including related staff costs) 

 Executive agencies41 

Other 
administrative assistance 

technical 

and 

                  - intra muros  

                  - extra muros 

Total 
administrative assistance  

technical 

and 

41 

Reference  should  be  made  to  the  specific  legislative  financial  statement  for  the  Executive 
Agency/Agencies concerned.  

EN 

61 

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8.2.5.  Financial cost of human resources and associated costs not included in the 

reference amount 

Type of human resources  

Year n 

Year 
n+1 

Year 
n+2 

EUR million (to 3 decimal places) 

Year n+3  Year n+4 

Year n+5 

and later 

0,108 

0,110 

0,112 

0,114 

0,116 

0,119 

Officials  and  temporary  staff  (XX  01 
01) 

Staff  financed  by  Art  XX  01  02 
(auxiliary, END, contract staff, etc.) 

(specify budget line) 

Total cost of human resources and 
associated costs (NOT in reference 
amount) 

Calculation – Officials and temporary agents  

Reference should be made to Point 8.2.1, if applicable 

One official at the rate of 108 000 euros (2005) indexed by 2% a year 

Calculation - Staff financed under Art. XX 01 02 

 Reference should be made to Point 8.2.1, if applicable 

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8.2.6.  Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places) 

Year 

 n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

TOTAL 

Year 
n+5 and 
later 

     XX 01 02 11 01 – Missions 

     XX 01 02 11 02 – Meetings and conferences 

     XX 01 02 11 03 - Committees42 

0,052 

0,053 

0,054 

0,055 

0,056 

0,057 

0,327 

     XX 01 02 11 04 – Studies and consultations 

     XX 01 02 11 05 – Information systems 

2.  Total  other  management  expenditure 

(XX 01 02 11) 

3. Other expenditure of an administrative 
nature  (specify  including  reference  to 
budget line) 

Total  administrative  expenditure,  other 
than  human  resources  and  associated 
costs 
reference 
included 
amount) 

(NOT 

in 

Calculation – Other administrative expenditure not included in reference amount 

Meeting of the Committee set up under Article 54 of Regulation No 1592/2002, on the basis 
of  2  meetings  of  40  experts  a  year,  at  the  rate  of  650  euros  per  meeting  per  expert  (2005) 
indexed by 2% a year. 

42 

Specify the type of committee and the group to which it belongs. 

EN 

63 

   EN