Report from the Commission to the Council and the European Parliament on the application of Regulation (EC) N° 2111/2005 regarding the establishment of a Community list of air carriers subject to an operating ban within the Community and informing air transport passengers of the identity of the operating air carrier, and repealing Article 9 of Directive 2004/36/EC SEC(2009)1735
Date: 2010-01-11
Institutions: European Commission
Subjects: air law, air safety, air transport, carrier, consumer information, exchange of information, technical cooperation, transport company, transport licence, transport user

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EUROPEAN COMMISSION  

Brussels, 11.1.2010 
COM(2009)710 final 

REPORT FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN 
PARLIAMENT 

On the application of Regulation (EC) N° 2111/2005 regarding the establishment of a 
Community list of air carriers subject to an operating ban within the Community and 
informing air transport passengers of the identity of the operating air carrier, and 
repealing Article 9 of Directive 2004/36/EC 

SEC(2009)1735 

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REPORT FROM THE COMMISSION TO THE COUNCIL AND THE EUROPEAN 
PARLIAMENT 

On the application of Regulation (EC) N° 2111/2005 regarding the establishment of a 
Community list of air carriers subject to an operating ban within the Community and 
informing air transport passengers of the identity of the operating air carrier, and 
repealing Article 9 of Directive 2004/36/EC 

1. 

INTRODUCTION 

Regulation (EC) 2111/20051 on the establishment of a Community list of air carriers subject 
to  an  operating  ban  within  the  Community  (hereinafter  referred  to  as  the  'EC  list')  and  on 
informing air transport passengers of the identity of the operating air carrier entered into force 
on  16  January  2006,  and  Regulation  (Commission  Regulation  473/2006)2  laying  down 
implementing  rules  for  the  EC  list,  the  first  such  list  based  upon  the  commonly  established 
criteria  was  adopted  on  22  March  2006  coming  into  force  on  24  March  2006  (Commission 
Regulation 474/2006)3. Since then, the list has been updated twelve times. 

This report analyses the application of Regulation (EC) 2111/2005 establishing the EC list as 
required under Article 14 of the said Regulation. 

Details regarding the application of the common criteria for deciding on the imposition of an 
operating ban (total or partial) on air carriers are presented in the Commission Staff Working 
Document SEC(2009) 1735. 

2. 

2006 - 2009: THREE YEARS OF IMPLEMENTATION AND ENFORCEMENT 

To date, the application of Regulation 2111/2005 has led to 12 updates4 of the EC list. The 
updates  have  been  the  result  of  continuous  monitoring  of  the  performance  of  air  carriers 
irrespective of their nationality and of the geographic spread of their operations. 

Since the establishment of the first list in March 2006, the Commission has investigated more 
than 400 air carriers from more than 30 countries.  

As  provided  under  Regulation  (EC)  2111/2005,  the  list  comprises  two  annexes:  Annex  A: 
containing air carriers whose commercial operations are subject to a total ban in the territory 
of  Member  States;  and  Annex  B:  containing  air  carriers  whose  commercial  operations  are 
subject to a partial ban or operating restrictions in Member States' territory. 

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OJ L 344, 27.12.2005, p. 15 
OJ L 84, 23.3.2006, p. 8 
OJ L 84, 23.3.2006, p.14 
June  2006,  October  2006,  March  2007,  July  2007,  September  2007  (following  the  imposition  of 
operating bans by certain Member States), November 2007, March 2008, July 2008, November 2008, 
April 2009, July 2009 and November 2009 

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At  the  time  of  its  twelfth  update  (25  November  2009)  the  EC  list  comprised  5  individual 
carriers5, as well as all carriers (at least 228) certified in 15 non - EU countries6 in Annex A 
and 8 air carriers7 in Annex B. 

2.1. 

Establishing and maintaining the list 

Decisions  and  opinions  in  relation  to  the  Commission's  proposals  are  based  exclusively  on 
safety considerations and have always been reached by consensus. With unfailing cooperation 
from  the  European  Parliament  and  National  Aviation  Authorities  of  Member  States,  the 
Commission  has  subsequently  always  adopted  the  agreed  draft  within  the  shortest  time 
possible,  reducing  to  a  minimum  all  procedural  and  administrative  delays  –  aware  of  the 
direct  and  immediate  importance  of  these  measures  on  aviation  safety  and  on  EU  citizens 
travelling around the world.  

As  provided  under  Article  7  of  Regulation  (EC)  2111/2005  together  with  Article  4  of  the 
implementing  Regulation  (EC)  473/2006,  air  carriers  concerned  (together  with  their 
respective regulatory authority) are notified of the intention to propose their inclusion in the 
EC list and the facts leading to such a decision.  

These  air  carriers  (together  with  their  respective  regulatory  authority)  are  invited  to  submit, 
within  a  stipulated  deadline  of  ten  days,  any  further  comments  or  documents  which  they 
might deem as appropriate in their defence. This ensures fairness and full transparency of the 
process. 

Most carriers have reacted promptly to such requests, even requesting to present and discuss 
the  case  in  person  with  the  relevant  Commission  services  and  representatives  of  Member 
States  (as  per  article  3  of  Regulation  473/2006).  Moreover,  such  carriers  are  given  the 
opportunity of a hearing before the Air Safety Committee prior to a final decision being taken 
on their inclusion in the EC list. To date all air carriers proposed for inclusion in the EC list 
have been heard before a decision was taken.  

To  date,  no  operating  ban  has  been  imposed  without  first  according  a  hearing  to  the  air 
carrier(s)  concerned,  even  in  cases  of  urgency  -  under  articles  5(1)  and  4(3)  of  Regulations 
(EC) 2111/2005 and 473/2006 respectively – where such decisions to update the EC list could 
be adopted without prior hearing. This is in particular the case where it has been determined 
that the continued operation of an air carrier in the Community is likely to constitute a serious 
risk to safety. 

It must be noted that, although not required by the rules, the same opportunities are granted to 
air  carriers  whose  operations  are  fully  or  partially  banned.  This  is  done  by  the  process  of 

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On  25  November  2009  as  per  Regulation  [--]/2009  all  operations  of  the  following  5  air  carriers  are 
banned in the Community: Air Koryo from the Democratic People's Republic of Korea; Air West from 
Sudan; Ariana Afghan Airlines from Afghanistan; Silverback Cargo Freighters from Rwanda and Siem 
Reap Airways International from Cambodia 
Benin, Djibouti, Equatorial Guinea, Indonesia, the Kyrgyz Republic, Liberia, Sierra Leone, Swaziland, 
the Democratic Republic of Congo (DRC), the Republic of Congo, Sao Tome & Principe, Zambia as 
well as Angola (save for the air carrier TAAG included in Annex B), Kazakhstan (save for the carrier 
Air Astana included in Annex B) and Gabon save for three carriers Gabon Airlines, Afrijet and SN2AG 
included in Annex B). 
TAAG Angola Airlines, Air Astana from Kazakhstan, Gabon Airlines, Afrijet and SN2AG from Gabon, 
Air Bangladesh, Air Service Comores, Ukraine Mediterranean Airlines from Ukraine 

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periodic assessment of their ability to ensure a safe operation, with the final prospect of their 
removal  from  the  list  based  upon  verification  of  full  compliance  with  the  relevant  safety 
standards. 

Over the past three years several on-site fact-finding missions, conducted by teams of experts 
provided  by  Member  States,  the  European  Aviation  Safety  Agency  (EASA)  and  the 
Commission,  have  been  organised  to  verify  the  situation  of  civil  aviation  authorities 
(including air carriers certified by these authorities) in more than 10 countries. These missions 
have been organised both with regard to the inclusion in as well as the potential removal of air 
carriers from the list.  

2.2. 

The criteria for imposing a total or partial operating ban 

The common criteria for imposing a total or partial operating ban and for updating the list by 
removing an individual or group of air carriers are set out in the Annex to Regulation (EC) 
2111/2005. Any one of these criteria, on its own, or in combination with others, may be used 
as the basis for proposing the inclusion or exclusion of a carrier, or a number of carriers, in 
the list. 

The  criteria  themselves  are  all  based  upon  the  relevant  international  safety  standards  as 
defined in article 2 of Regulation (EC) 2111/2005 – namely those established by the Chicago 
Convention  and  its  Annexes  under  the  auspices  of  ICAO  (the  International  Civil  Aviation 
Organisation) where non-European carriers are concerned and the EC air safety acquis where 
Community carriers are involved. 

As provided in Articles 1 and 2, the Regulation applies to all carriers which for safety reasons 
are  banned  from  operating  into  the  Community  irrespective  of  their  nationality  and  the 
network of operations. Also the Regulation applies only to air carriers engaged in commercial 
air transport. Hence, the Regulation does also apply to air carriers which do not operate into 
the Community, as the Regulation also requires that passengers be informed when they travel 
inside and outside the Community (Article 11) whether the airline with which they travel is 
banned  from  operating  into  the  Community.  In  that  way  the  Regulation  pursues  a  twofold 
objective: ensuring that those airlines which do not meet the common criteria are banned from 
operating into the Community and informing European passengers about airlines banned and 
thus protecting them when they travel within and outside the Community. 

The common criteria are grouped in three areas: a) objective evidence showing deficiencies 
on the part of the air carrier; b) lack of ability or willingness by an air carrier to address safety 
deficiencies  and  c)  lack  of  ability  or  willingness  of  the  civil  aviation  authority  with 
responsibility of oversight of the air carrier(s) in question to address safety deficiencies. 

2.3. 

Updating the List 

Article 4 of EC Regulation 2111/2005 allows for the Commission, acting on its own initiative 
or at the request of a Member State, to update the Community list as soon as this is required. 
Article  4  also  requires  the  Commission  to  decide  at  least  every  three  months  whether  it  is 
appropriate to update the Community list. 10 updates have been based on this regular cycle. 

Article  6  of  the  Regulation  allows,  in  cases  of  urgency,  a  Member  State  to  react  to  an 
unforeseen  safety  problem  by  imposing  an  immediate  operating  ban  in  respect  of  its  own 
territory. Where Member States impose operating (total or partial) bans in their territory the 

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Regulation  requires  them  to  immediately  inform  the  Commission  and  request  the  update  of 
the list in order to examine whether such partial or total operating bans should be extended to 
the  Community.  Exceptional  measures  in  the  form  of  partial  or  total  bans  at  national  level 
have been imposed 10 times with 1 update of the list being adopted in accordance with this 
exceptional  procedure  in  September  2007,8  and  other  bans  having  been  extended  to  the 
Community during regular updates. 

Article  5  of  the  Regulation  allows  for  the  situation  where  it  is  evident  that  the  continued 
operation  of  an  air  carrier  in  the  Community  is  likely  to  constitute  a  serious  risk  to  safety. 
Where such a risk has not been resolved satisfactorily by means of urgent measures taken by 
the  Member  State(s)  concerned  in  accordance  with  Article  6,  the  Commission  may 
provisionally  impose  an  operating  ban  on  an  air  carrier  or  modify  the  conditions  of  an 
operating  ban  already  imposed  on  an  air  carrier.  To  date  no  such  situations  have  been 
identified and therefore no provisional measures have been imposed. 

2.4. 

Communication and information to passengers 

Regulation (EC) 2111/2005 attaches equal importance to the communication and information 
to passengers regarding such carriers in order that they may be in an informed position when 
making their air travel arrangements. 

The  regulation  stipulates  that  all  passengers  must  be  informed  about  the  identity  of  the  air 
carrier  (or  carriers)  operating  a  flight  for  which  they  are  making  a  reservation  when  such 
flight  is  departing  from  or  arriving  at  a  Community  airport  or  is  part  of  a  trip  that  starts  or 
finishes  in  the  territory  of  a  Member  State.  Moreover,  wherever  the  operating  air  carrier  or 
carriers is or are changed after reservation, passengers must be informed as soon as possible 
regarding  the  identity  of  the  new  air  carrier  (or  carriers)  operating  any  part  of  the  trip  in 
question. 

The  Commission  has  taken  various  initiatives  to  inform  passengers  about  their  right  to 
information  established  under  Regulation  (EC)  2111/2005  -  such  as  through  posters  and 
leaflets distributed throughout Community airports. 

In  addition,  in  order  to  provide  specific  information  concerning  the  identity  of  air  carriers 
subject  to  an  EC  ban,  the  Commission  has  set  up  a  dedicated  website9    which  is  updated 
whenever  the  EC  list  itself  is  updated.  As  obliged  under  the  Regulation,  Member  States' 
national aviation authorities also undertake several initiatives to inform passengers about their 
rights  and  indeed  provide  various  links  to  more  detailed  information  on  the  Commission's 
website. 

Furthermore over 40,000 travel agents in the EU are immediately notified of any changes in 
the EC list in order that they may inform their customers accordingly as required under EC 
law.This information also puts them in a better position to offer suitable alternatives to their 
clients whose itinerary has become affected by the banning of a carrier. Similar liaisons have 
been established with international travel agent lobbies, regional and international airline and 
airport  organisations,  non-European  national  aviation  authorities  and  several  sections  of  the 
media  focussing  on  air  transport  (including  a  number  of  voluntary  sites  run  by  air  safety 

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Italy  and  Germany  (with  regard  to  Ukrainian  Mediterranean  Airlines  -  Ukraine)  and  the  United 
Kingdom (with regard to Mahan Air - Iran) 
http://ec.europa.eu/transport/air-ban 

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enthusiasts), tourism and consumer rights. The Commission reiterates its gratitude to all these 
parties  for  their  support  in  ensuring  the  widest  possible  dissemination  of  the  EC  list  in  the 
overall interest of European and international aviation safety. 

Moreover,  the  new  Regulation  on  a  code  of  conduct  for  computerised  reservation  systems 
(CRS)  adopted  in  January  2009  also  complemented  these  provisions  by  ensuring  that:  a) 
flights  operated  by  air  carriers  featured  in  the  EC  list  must  be  clearly  and  specifically 
identified in CRS displays; and b) CRS system vendors must introduce a specific symbol in 
the  CRS  display  which  shall  be  identifiable  by  the  users  for  the  purposes  of  the  informing 
passengers  on  the  identity  of  the  operating  air  carrier  provided  for  in  Regulation  (EC)  No 
2111/2005. 

Within  this  context  the  Commission  has  established  channels  of  communication  such  that 
CRSs are briefed in detail, clearly and in a timely manner whenever the EC list is updated. 

3. 

AN ASSESSMENT OF THE FUNCTIONING OF THE REGULATION IN PRACTICE  

The  creation  and  evolution  of  the  EC  list  over  the  past  three  years  can  be  described  as  a 
success  story  from  every  angle.  It  is  now  regarded  internationally  as  an  effective  tool  in 
ensuring a high level of safety to the benefit of the travelling public by the enforcement of the 
relevant air safety standards. 

3.1. 

The temporary nature of a ban 

There have been a number of cases where air carriers subject to a ban have acknowledged that 
their safety performance fell below the internationally accepted standards and embarked upon, 
and  demonstrated  the  successful  completion  of,  remedial  and  corrective  actions.  As  a  result 
these air carriers have been removed from the list. This shows that the ban is a temporary and 
proportionate  measure,  maintained  only  until  a  banned  (or  restricted)  air  carrier  can 
demonstrate  that  it  has  addressed  in  a  sustainable  manner  all  previously  identified  serious 
safety deficiencies and is operating in compliance with the relevant safety standards. This has 
also  been  the  case  where  air  carriers  had  been  included  in  the  EC  list  following  safety 
deficiencies identified by the civil aviation authority of their State. In these cases the progress 
achieved by both air carriers and their authorities in the certification and exercise of oversight 
of their operations led to the removal of the total ban on their operations and in certain cases 
to the transfer to Annex B. 

The temporary nature of a total or partial ban is ensured by the continuous monitoring of the 
performance of banned air carriers. This is achieved by means of regular reporting from the 
banned air carriers and their authorities, exchange of information with the authorities of other 
non-EU countries and international organisations as well as fact finding missions to verify the 
completion of actions identified in recovery action plans. All this information is continuously 
put  at  the  disposal  of  the  Air  Safety  Committee  thus  allowing  it  to  arrive  at  fully  informed 
opinions about the level of safety of the carriers concerned as well as their authorities. 

On a different but related note, a number of carriers are regularly 'removed' from the EC list 
as a result of their cessation of operations and the revocation of their air operator's certificate 
by their regulatory authorities, in many cases as a direct result of the EC ban. 

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3.2. 

Preventive and dissuasive effect 

In  a  number  of  instances  States,  when  presented  with  verified  evidence  of  serious  safety 
deficiencies  by  the  Commission  concerning  one  or  more  of  their  air  carriers,  have  acted 
proactively by either suspending the Air Operator’s Certificates of the relevant air carriers or 
imposing  strict  restrictions  on  their  operation  into  the  airspace  of  Member  States. 
Subsequently these States initiated comprehensive remedial and corrective actions until they 
were  able  to  verify  that  the  air  carriers  had  implemented  adequate  corrective  actions  which 
prevent  a  reoccurrence  of  the  previously  identified  safety  deficiencies.  At  this  stage  the 
suspension  or  strict  restrictions  have  been  lifted.  This  process,  whereby  cases  are  solved 
through a cooperative exchange between the Commission and the parties concerned without 
the need to resort to a ban as a punitive measure of last resort, have been an increasing trend. 

3.3. 

Global relevance 

A clear indication of the relevance ascribed to the EC list beyond Europe, is the decision by a 
number  of  non-European  States  to  voluntarily  follow  the  list  as  updated  and  issued  by  the 
Commission; implying that carriers included on the list are also considered as not complying 
with  the  relevant  safety  standards  and  are  therefore  also  banned  by  these  States  from 
operating into their territory.  

The increasing significance of results of ICAO USOAP audit reports for the update of the EC 
list  has  also  demonstrated  that  the  Community  has  been  imposing  operating  bans  on  air 
carriers  from  States  whose  performance  is  characterised  by  a  very  high  level  of  non-
compliance  with  ICAO  Standards  and  Recommended  Practices  (SARPS)  or  indeed  where 
ICAO audits have resulted in the publication of significant safety concerns as per article 54 of 
the Chicago Convention. The application of Regulation 2111/2005 has demonstrated that the 
Community has strived to enforce international safety standards by requiring air carriers and 
the  authorities  responsible  for  their  safety  oversight  to  satisfactorily  resolve  the  safety 
deficiencies identified in USOAP audit reports before they can resume (or begin) operations 
into the European Community. 

Of  note  is  that  States,  which  have  been  shown  by  the  ICAO  USOAP  process  to  have 
considerable problems fulfilling their safety oversight obligations (i.e. more than 75% lack of 
implementation  of  ICAO  SARPS),  including  those  for  which  ICAO  has  raised  significant 
safety concerns, have seen their air carriers subject to a full operating ban in the Community. 
In that sense, where ICAO USOAP reports show a particularly high lack of implementation of 
safety  standards  combined  with  significant  safety  concerns,  the  inclusion  on  the  EC  list 
constitutes the common response of the EU Member States to apply those provisions of the 
Chicago Convention which require that certificates, licences and equipment are recognised by 
the  Contracting  States  when  these  are  issued  according  to  requirements  that  are  equal  or 
above the minimum (ICAO) standards.  

Through regular exchange of safety information with ICAO the Commission has been able to 
further refine its understanding of the safety situation in various regions in the world and be 
able to adapt, where necessary, its technical assistance projects.  

Since  the  establishment  of  the  first  EC  list,  where  continuous  monitoring  of  the  safety 
situation  in  any  given  country  has  shown  that  safety  deficiencies  persist  despite  the 
implementation of technical assistance projects by ICAO, other regional organisations or by 

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the  Commission,  banning  the  operations  of  air  carriers  has  remained  the  precautionary 
measure of last resort.  

3.4. 

Closer cooperation with third countries and international organisations  

The EC list has fostered a closer cooperation between the Community and non-EU countries 
as  well  as  international  organisations,  in  order  to  verify  compliance  by  air  carriers  with  the 
relevant safety standards and therefore improve international air safety oversight in general.  

Within this context, In addition the Commission cooperates closely with ICAO’s Secretariat 
and  the  Air  Navigation  Commission  to  ensure  a  better  understanding  of  the  projects 
undertaken  by  ICAO  in  various  regions  of  the  world  (COSCAP  projects).  This  cooperation 
also  enables  the  Commission  to  gain  a  better  understanding  of  ICAO’s  evaluation  of  the 
safety situation of the various States audited in the framework of the USOAP programme and 
in particular to gain insight into the results of the continuous monitoring of developments in 
these States through their cooperation with ICAO’s regional offices.  

Also, since 2005 the Commission has been financially contributing in various projects led by 
ICAO  (COSCAP  Projects).  In  broad  terms,  the  projects  are  mainly  intended  to  improve  air 
the 
safety,  promote 
harmonisation/convergence  of  rules,  provide  training  to  civil  aviation  administration 
personnel and further assistance regarding operations, aerodromes, ATM, environment.  

the  adoption  of 

international  air 

standards  and 

safety 

Overall,  the  Commission  has  been  pursuing  technical  assistance  projects  having  in  mind 
ICAO's  safety  targets  for  2008-2011  and  with  a  view  to  also  helping  the  civil  aviation 
authorities  of  other  ICAO  Contracting  States  to  consistently  implement  international 
standards by building up their capacity to exercise effectively regulatory oversight. 

4. 

LESSONS FOR THE FUTURE 

The application of the EC list has demonstrated, on the one hand, that it is a successful tool to 
contribute  to  ensuring  a  high  level  of  safety  in  the  Community.  On  the  other  hand  this  tool 
cannot  be  see  as  a  blanket  cover  for  the  safety  performance  of  airlines.  It  has  twofold 
limitations:  1)  inclusion  on  the  EC  list  depends  on  available  and  verifiable  information;  2) 
inclusion  on  the  EC  list  constitutes  an  operating  ban  only  to  Europe,  while  banned  airlines 
continue  to  fly  to  other  regions  of  the  world.  Therefore,  exchange  of  verifiable  and  reliable 
information needs to be promoted and further strengthened at the international level. 

Indeed the application of the EC list over the last three years has shown that the objective of 
establishing and maintaining a high level of safety world-wide can only be reached if ICAO 
safety standards are actually complied with. Therefore appropriate actions need to be taken to 
ensure  that  these  standards  are  effectively  respected  both  at  the  level  of  the  State  and  by 
individual air carriers. 

There  are  therefore  a  number  of  areas  where  the  Commission  intends  to  further  develop  its 
policy both in terms of internal and external measures. 

A. 

1. 

EN 

Internal measures 

Refining the regulatory framework for imposing/removing operating bans 

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The valuable experience acquired over the past three years in applying Regulation 2111/2005 
has  also  given  rise  to  a  number  of  instances  regarding  its  application  which  require  more 
detailed provisions.  

The Commission will therefore launch, in parallel with its activities at international level, the 
formulation  of  more  detailed  provisions  through  an  amendment  to  the  implementing 
legislation. These proposals will clarify certain aspects of the Regulation such as: actions to 
be taken by Member States affected by an attempted breach of the EC ban (including over-
flight);  definitions  of  flights  that  are  not  affected  by  an  operating  ban  (e.g.  ferry  flights, 
inspection flights, private flights, state flight, technical flights etc.); and a way to record the 
decision taken by countries around the world to limit the air operator certificates of their air 
carriers concerning flights into the EU. 

2. 

Strengthening the EC SAFA Programme 

Improvements  in  the  functioning  of  the  SAFA  Programme  in  2008,  have  helped  the 
Commission  and  Member  States  to  better  understand  the  performance  of  various  carriers. 
Such  improvements  included  the  regular  analyses  of  the  information  in  the  database  by 
EASA,  the  harmonisation  of  inspector  training  and  qualifications,  and  the  introduction  of 
"targeted"  inspections.  Ramp  inspections  of  aircraft  performed  under  the  EC  SAFA 
programme, and in particular prioritisation of such inspections, have proven a powerful tool to 
detect  safety  deficiencies  and  allow  Member  States  to  react  promptly  to  mitigate  any  risks. 
The  Commission  is  therefore  looking  to  further  refine  the  existing  legal  instruments  by 
introducing minimum number of inspections by Member States to strengthen the reliability of 
the results of such inspections.  

3. 

Modernising the EC system for accident investigation 

Information  resulting  from  the  investigation  of  accidents  and  incidents  investigation  is 
increasingly  a  source  of  information  considered  in  the  framework  of  updating  the  EC  list. 
Since  its  enactment,  Directive  94/56/EC  concerning  accident  investigation  has  shown  that 
there is much more divergence in the investigating capacity of EU Member States compared 
with the situation in 1994. The institutional and legal framework for aviation safety in the EU 
has changed substantially since the adoption of the Directive. Aircraft and their systems are 
increasingly  complex,  which  also  means  that  accident  investigation  requires  substantially 
more diversified and specialised skills and equipment than a decade ago.  

The Commission adopted on 29 October proposals (COM(2009) 611 final) to modernise the 
existing legal framework on accident investigation and strengthen the investigating capacity 
of Europe by proposing the creation of a network of accident investigation bodies, clarify the 
role  of  EASA  in  this  area,  strengthen  the  implementation  of  safety  recommendations, 
strengthen  the  protection  of  sensitive  safety  information  and  establish  common  standards 
concerning the availability of passenger manifests. 

4. 

Increasing technical assistance projects and activities 

The application of Regulation 2111/2005 has shown that while the ban of an air carrier or a 
group  of  air  carriers  is  necessary  to  mitigate  risks  to  safety,  appropriate  measures  through 
technical assistance can also be put in place to help the civil aviation authorities which have 
the responsibility to oversee such carriers.  

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The Commission remains committed and engaged in various technical assistance projects to 
help civil aviation authorities to overcome their problems in the most effective way. It intends 
to  continue  and  further  broaden  its  activities  on  technical  assistance  notably  in  the  African 
continent  with  the  support  of  EASA.  This  should  also  contribute  to  the  establishment  of 
privileged  partnerships  with  civil  aviation  authorities  to  ensure  a  high  and  uniform  level  of 
aviation safety and reduce the administrative costs on the aviation industry. 

At international level, the Commission intends to further support ICAO's efforts at addressing 
the needs of international civil aviation in the framework of the Global Aviation Safety Plan 
by improving the coordination of the global efforts to help countries to strengthen their safety, 
notably  those  for  which  ICAO  publishes  significant  safety  concerns  and  those  where  audit 
reports show a very high lack of implementation of international safety standards. This should 
lead  to  global  harmonization  in  the  area  of  safety  and  increase  the  efficiency  of  technical 
assistance projects through consistent coordination, including of major regional programmes 
such as the 'Comprehensive Regional Plan for Aviation Safety in Africa'. 

B. 

1. 

International measures 

Stronger ties with non-EU countries 

The application of the EC list has shown that safety can be considered as a "catalyst" in the 
development  of  relations in  the  aviation sector with non-EU countries. The  Community has 
benefited  considerably  through  the  continuous  cooperation  with  partners.  Therefore  the 
Commission  will  seek  to  build  strong  ties  with  partners  which  share  the  same  safety 
objectives.  

The Commission intends to strengthen its ongoing cooperation with strategic partners in order 
to  facilitate  the  exchange  of  safety  data  and  establish  a  network  of  trusted  interlocutors  for 
evaluating  not  only  the  safety  aspects  of  various  organisations  involved  in  the  manufacture, 
operation,  maintenance  and  training,  but  also  the  application  of  safety  programmes  at  State 
level. Such cooperation should also include the exchange of comparable safety data relating to 
ramp  inspections  of  aircraft,  the  objective  being  to  align  as  much  as  possible  the  overall 
format of the reporting system of safety data to improve the capability of data used. 

Beyond the cooperation in the field of information sharing, such ties should encourage further 
convergence  between  the  assessment  made  and  actions  taken  to  remedy  the  deficiencies 
detected by third countries.  

2. 

Broadening the exchange of safety data 

Reliable  and  verifiable  safety  data  have  been  at  the  heart  of  the  application  of  Regulation 
2111/2005. Exchanges of safety data relating to the performance of air carriers, the State of 
Registry  of  aircraft,  and  the  level  of  oversight  activities  carried  out  by  authorities  has  often 
enabled the adoption of measures in the Community to mirror those taken by other countries. 

However,  these  exchanges  have  also  shown  that  safety  data  need  to  be  traceable,  objective, 
quantifiable  and  based  on  a  common  understanding  of  the  criteria  that  they  are  depending 
upon in order to be used as reliable performance indicators. 

The  relevant  ICAO  requirements  (Annex  6,  Part  I,  4.2.2.2)  have  been  modified  since 
November 2008 to ensure that Contracting States have an obligation to establish a programme 
with procedures for the surveillance of the operation of foreign air carriers in their territory, 

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and for taking appropriate action. Hence, the results of the EC SAFA Programme as used in 
the  application  of  Regulation  2111/2005  show  that  the  Community  is  well  equipped  to 
cooperate  with  non-EU  States  by  proposing  to  develop,  at  international  level,  a  programme 
for  ramp  inspections  of  aircraft  following  procedures  which  are  very  familiar  to  the 
Community. This would allow information obtained from such inspections to be harmonised 
and  standardised.  This  would  render  such  important  information  interchangeable  and  would 
further promote the cooperation between  States for  the  benefit of taking objective decisions 
on the safety performance of air carriers. 

3.  World-wide banning of unsafe air carriers 

In  the  course  of  the  application  of  Regulation  (EC)  2111/2005  it  has  become  evident  how 
much Member States, EEA partners and Switzerland, are basing their safety decisions on the 
results of ICAO safety audits carried out in the framework of the USOAP programme. 

It is precisely by following a continuous monitoring of the various remedies that air carriers 
and civil aviation authorities put in place that operating bans have not only been imposed but 
also  lifted.  Moreover,  in  countries  where  ICAO  publishes  significant  safety  concerns 
following a  USOAP audit, or where audit reports reveal numerous and  serious deficiencies, 
the Commission intends to continue to ensure that airlines certified in such countries are not 
allowed to fly in the Community until their authorities can guarantee conformity with ICAO 
standards. Banning (partial or total of some or all carriers licensed in a State) will remain the 
necessary course of action when cooperation is not sufficient to alleviate the risks to safety. 

The  application  of  Regulation  (EC)  2111/2005  has  demonstrated  that  the  international 
community  should  consistently  follow  ICAO  Standards  and  Recommended  Practices 
(SARPS).To  encourage  respect  for  these  standards,  the  Commission  intends  to  propose  that 
within the remit of its competencies under Article 54 of the Chicago Convention, the Council 
of ICAO proceeds to: 

(a) 

(b) 

The open publication of significant safety concerns raised after USOAP audits 
for the information of the public at large; 

The  determination  of  an  acceptable  risk  to  safety  beyond  which  it  should 
recommend  that  States  waive  the  acceptance  of  certificates  of  air  carriers 
certified  in  States  whose  lack  of  implementation  of  ICAO  standards  places 
them above such threshold; 

(c) 

A  decision  for  ICAO  to  take  a  more  active  role  to  coordinate  assistance 
activities of major "donors" to improve the safety situation following its audits. 

Such  a  move  should  promote  respect  for  international  safety  standards  by  all  ICAO 
Contracting  States  thus  ensuring  a  high  level  of  safety  throughout  the  world  and  not  only 
where legal tools, such as the Regulation, apply. It would de facto act as an international list 
of banned carriers.  

The  proposals  to  reinforce  international  activities  in  all  matters  of  aviation  safety  will  be 
further developed and presented to the forthcoming International Safety Conference organised 
by ICAO in March 2010, as the European contribution to that event. This Conference should 
prepare  the  ground  for  the  development  of  a  new  policy  for  safety  and  lead  to  ambitious 

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decisions  in  the  framework  of  ICAO  during  its  General  Assembly  meeting  in  September 
2010. 

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