Commission Regulation (EU) No 965/2012Dangos y teitl llawn

ANNEX II U.K. AUTHORITY REQUIREMENTS FOR AIR OPERATIONS [PART-ARO]

ARO.GEN.005 Scope U.K.

This Annex establishes requirements for the administration and management system to be fulfilled by the Agency and Member States for the implementation and enforcement of Regulation (EC) No 216/2008 and its Implementing Rules regarding civil aviation air operations.

SUBPART GEN GENERAL REQUIREMENTS U.K.

SECTION I U.K. General

ARO.GEN.115 Oversight documentation U.K.

The competent authority shall provide all legislative acts, standards, rules, technical publications and related documents to relevant personnel in order to allow them to perform their tasks and to discharge their responsibilities.

ARO.GEN.120 Means of compliance U.K.

(a) The Agency shall develop acceptable means of compliance (AMC) that may be used to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules. When the AMC are complied with, the related requirements of the Implementing Rules are met. U.K.

(b) Alternative means of compliance may be used to establish compliance with the Implementing Rules. U.K.

(c) The competent authority shall establish a system to consistently evaluate that all alternative means of compliance used by itself or by organisations and persons under its oversight allow the establishment of compliance with Regulation (EC) No 216/2008 and its Implementing Rules. U.K.

(d) The competent authority shall evaluate all alternative means of compliance proposed by an organisation in accordance with ORO.GEN.120 (b) by analysing the documentation provided and, if considered necessary, conducting an inspection of the organisation. U.K.

When the competent authority finds that the alternative means of compliance are in accordance with the Implementing Rules, it shall without undue delay:

(1)

notify the applicant that the alternative means of compliance may be implemented and, if applicable, amend the approval[F1 , specialised operation authorisation] or certificate of the applicant accordingly; and

(2)

notify the Agency of their content, including copies of all relevant documentation;

(3)

inform other Member States about alternative means of compliance that were accepted.

Textual Amendments

F1 Inserted by Commission Regulation (EU) No 379/2014 of 7 April 2014 amending Commission Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council.

(e) When the competent authority itself uses alternative means of compliance to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules it shall: U.K.

(1)

make them available to all organisations and persons under its oversight; and

(2)

without undue delay notify the Agency.

The competent authority shall provide the Agency with a full description of the alternative means of compliance, including any revisions to procedures that may be relevant, as well as an assessment demonstrating that the Implementing Rules are met.

ARO.GEN.125 Information to the Agency U.K.

(a) The competent authority shall without undue delay notify the Agency in case of any significant problems with the implementation of Regulation (EC) No 216/2008 and its Implementing Rules. U.K.

(b) The competent authority shall provide the Agency with safety-significant information stemming from the occurrence reports it has received. U.K.

ARO.GEN.135 Immediate reaction to a safety problem U.K.

(a) Without prejudice to Directive 2003/42/EC of the European Parliament and of the Council(1) the competent authority shall implement a system to appropriately collect, analyse and disseminate safety information. U.K.

(b) The Agency shall implement a system to appropriately analyse any relevant safety information received and without undue delay provide to Member States and the Commission any information, including recommendations or corrective actions to be taken, necessary for them to react in a timely manner to a safety problem involving products, parts, appliances, persons or organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules. U.K.

(c) Upon receiving the information referred to in (a) and (b), the competent authority shall take adequate measures to address the safety problem. U.K.

(d) Measures taken under (c) shall immediately be notified to all persons or organisations which need to comply with them under Regulation (EC) No 216/2008 and its Implementing Rules. The competent authority shall also notify those measures to the Agency and, when combined action is required, the other Member States concerned. U.K.

SECTION II U.K. Management

ARO.GEN.200 Management system U.K.

(a) The competent authority shall establish and maintain a management system, including as a minimum: U.K.

(1)

documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules. The procedures shall be kept up to date and serve as the basic working documents within that competent authority for all related tasks;

(2)

a sufficient number of personnel to perform its tasks and discharge its responsibilities. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all tasks;

(3)

adequate facilities and office accommodation to perform the allocated tasks;

(4)

a function to monitor compliance of the management system with the relevant requirements and adequacy of the procedures including the establishment of an internal audit process and a safety risk management process. Compliance monitoring shall include a feedback system of audit findings to the senior management of the competent authority to ensure implementation of corrective actions as necessary; and

(5)

a person or group of persons, ultimately responsible to the senior management of the competent authority for the compliance monitoring function.

(b) The competent authority shall, for each field of activity, including management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s). U.K.

(c) The competent authority shall establish procedures for participation in a mutual exchange of all necessary information and assistance with other competent authorities concerned including on all findings raised and follow-up actions taken as a result of oversight of persons and organisations exercising activities in the territory of a Member State, but certified[F1 or authorised] by[F2 or making declarations to] the competent authority of another Member State or the Agency. U.K.

Textual Amendments

F2 Inserted by Commission Regulation (EU) No 800/2013 of 14 August 2013 amending Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (Text with EEA relevance).

(d) A copy of the procedures related to the management system and their amendments shall be made available to the Agency for the purpose of standardisation. U.K.

ARO.GEN.205 Allocation of tasks to qualified entities U.K.

(a) Tasks related to the initial certification[F1 , specialised operation authorisation] or continuing oversight of persons or organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules shall be allocated by Member States only to qualified entities. When allocating tasks, the competent authority shall ensure that it has: U.K.

(1)

put a system in place to initially and continuously assess that the qualified entity complies with Annex V to Regulation (EC) No 216/2008.

This system and the results of the assessments shall be documented.

(2)

established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:

(i)

the tasks to be performed;

(ii)

the declarations, reports and records to be provided;

(iii)

the technical conditions to be met in performing such tasks;

(iv)

the related liability coverage; and

(v)

the protection given to information acquired in carrying out such tasks.

(b) The competent authority shall ensure that the internal audit process and safety risk management process required by ARO.GEN.200(a)(4) covers all certification[F1 , authorisation]or continuing oversight tasks performed on its behalf. U.K.

ARO.GEN.210 Changes in the management system U.K.

(a) The competent authority shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules. This system shall enable it to take action as appropriate to ensure that its management system remains adequate and effective. U.K.

(b) The competent authority shall update its management system to reflect any change to Regulation (EC) No 216/2008 and its Implementing Rules in a timely manner, so as to ensure effective implementation. U.K.

(c) The competent authority shall notify the Agency of changes affecting its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules. U.K.

ARO.GEN.220 Record-keeping U.K.

(a) The competent authority shall establish a system of record-keeping providing for adequate storage, accessibility and reliable traceability of: U.K.

(1)

the management system’s documented policies and procedures;

(2)

training, qualification and authorisation of its personnel;

(3)

the allocation of tasks, covering the elements required by ARO.GEN.205 as well as the details of tasks allocated;

(4)

certification processes and continuing oversight of certified organisations;

(4a)

[F1 the process of authorisation of a high risk commercial specialised operation and continuing oversight of an authorisation holder;]

(5)

[F2 declaration processes and continuing oversight of declared organisations;]

(6)

details of training courses provided by certified organisations, and if applicable, records relating to FSTDs used for such training;

(7)

[F3 oversight of persons and organisations exercising activities within the territory of the Member State, but overseen, certified or authorised by the competent authority of another Member State or the Agency, as agreed between these authorities;]

(8)

[F4 oversight of operations of other-than complex motor-powered aircraft by non-commercial operators;]

(9)

the evaluation and notification to the Agency of alternative means of compliance proposed by organisations subject to certification[F1 , or authorisation] and the assessment of alternative means of compliance used by the competent authority itself;

(10)

findings, corrective actions and date of action closure;

(11)

enforcement measures taken;

(12)

safety information and follow-up measures; and

(13)

the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

Textual Amendments

F3 Substituted by Commission Regulation (EU) No 379/2014 of 7 April 2014 amending Commission Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council.

F4 Substituted by Commission Regulation (EU) 2015/140 of 29 January 2015 amending Regulation (EU) No 965/2012 as regards sterile flight crew compartment and correcting that Regulation.

[F3 (b) The competent authority shall maintain a list of all organisation certificates and specialised operations authorisations it issued as well as declarations it received.] U.K.

(c) All records shall be kept for the minimum period specified in this Regulation. In the absence of such indication, records shall be kept for a minimum period of five years subject to applicable data protection law. U.K.

SECTION III U.K. Oversight, certification and enforcement

ARO.GEN.300 Oversight U.K.

[F5 (a) The competent authority shall verify: U.K.

(1)

[F3 compliance with the requirements applicable to organisations or type of operations prior to the issue of a certificate, approval or authorisation, as applicable;

(2)

continued compliance with the applicable requirements of organisations it has certified, specialised operations it has authorised and organisations from whom it received a declaration;]

(3)

[F4 continued compliance with the applicable requirements of non-commercial operators of other-than complex motor-powered aircraft; and]

(4)

implementation of appropriate safety measures mandated by the competent authority as defined in ARO.GEN.135(c) and (d).]

Textual Amendments

F5 Substituted by Commission Regulation (EU) No 800/2013 of 14 August 2013 amending Regulation (EU) No 965/2012 laying down technical requirements and administrative procedures related to air operations pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (Text with EEA relevance).

(b) This verification shall: U.K.

(1)

be supported by documentation specifically intended to provide personnel responsible for safety oversight with guidance to perform their functions;

(2)

provide the persons and organisations concerned with the results of safety oversight activity;

(3)

be based on audits and inspections, including ramp and unannounced inspections; and

(4)

provide the competent authority with the evidence needed in case further action is required, including the measures foreseen by ARO.GEN.350 and ARO.GEN.355.

(c) The scope of oversight defined in (a) and (b) shall take into account the results of past oversight activities and the safety priorities. U.K.

(d) Without prejudice to the competences of the Member States and to their obligations as set out in ARO.RAMP, the scope of the oversight of activities performed in the territory of a Member State by persons or organisations established or residing in another Member State shall be determined on the basis of the safety priorities, as well as of past oversight activities. U.K.

(e) Where the activity of a person or organisation involves more than one Member State or the Agency, the competent authority responsible for the oversight under (a) may agree to have oversight tasks performed by the competent authority(ies) of the Member State(s) where the activity takes place or by the Agency. Any person or organisation subject to such agreement shall be informed of its existence and of its scope. U.K.

(f) The competent authority shall collect and process any information deemed useful for oversight, including for ramp and unannounced inspections. U.K.

ARO.GEN.305 Oversight programme U.K.

(a) The competent authority shall establish and maintain an oversight programme covering the oversight activities required by ARO.GEN.300 and by ARO.RAMP. U.K.

(b) For organisations certified by the competent authority, the oversight programme shall be developed taking into account the specific nature of the organisation, the complexity of its activities, the results of past certification and/or oversight activities required by ARO.GEN and ARO.RAMP and shall be based on the assessment of associated risks. It shall include within each oversight planning cycle: U.K.

(1)

audits and inspections, including ramp and unannounced inspections as appropriate; and

(2)

meetings convened between the accountable manager and the competent authority to ensure both remain informed of significant issues.

(c) For organisations certified by the competent authority an oversight planning cycle not exceeding 24 months shall be applied. U.K.

The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased.

The oversight planning cycle may be extended to a maximum of 36 months if the competent authority has established that, during the previous 24 months:

(1)

the organisation has demonstrated an effective identification of aviation safety hazards and management of associated risks;

(2)

the organisation has continuously demonstrated under ORO.GEN.130 that it has full control over all changes;

(3)

no level 1 findings have been issued; and

(4)

all corrective actions have been implemented within the time period accepted or extended by the competent authority as defined in ARO.GEN.350(d)(2).

The oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the above, the organisation has established, and the competent authority has approved, an effective continuous reporting system to the competent authority on the safety performance and regulatory compliance of the organisation itself.

[F3 (d) For organisations declaring their activity to the competent authority, the oversight programme shall be based on the specific nature of the organisation, the complexity of its activities and the data of past oversight activities and the assessment of risks associated with the type of activity carried out. It shall include audits and inspections, including ramp and unannounced inspections, as appropriate.] U.K.

[F1 (d1) For organisations holding a specialised operations authorisation, the oversight programme shall be established in accordance with (d) and shall also take into account the past and current authorisation process and the validity period of the authorisation.] U.K.

[F5 (e)] For persons holding a licence, certificate, rating, or attestation issued by the competent authority the oversight programme shall include inspections, including unannounced inspections, as appropriate. U.K.

[F5 (f)] The oversight programme shall include records of the dates when audits, inspections and meetings are due and when such audits, inspections and meetings have been carried out. U.K.

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ARO.GEN.310 Initial certification procedure — organisations U.K.

(a) Upon receiving an application for the initial issue of a certificate for an organisation, the competent authority shall verify the organisation’s compliance with the applicable requirements. This verification may take into account the statement referred to in ORO.AOC.100(b). U.K.

(b) When satisfied that the organisation is in compliance with the applicable requirements, the competent authority shall issue the certificate(s), as established in Appendices I and II. The certificate(s) shall be issued for an unlimited duration. The privileges and scope of the activities that the organisation is approved to conduct shall be specified in the terms of approval attached to the certificate(s). U.K.

(c) To enable an organisation to implement changes without prior competent authority approval in accordance with ORO.GEN.130, the competent authority shall approve the procedure submitted by the organisation defining the scope of such changes and describing how such changes will be managed and notified. U.K.

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ARO.GEN.330 Changes — organisations U.K.

(a) Upon receiving an application for a change that requires prior approval, the competent authority shall verify the organisation’s compliance with the applicable requirements before issuing the approval. U.K.

The competent authority shall prescribe the conditions under which the organisation may operate during the change, unless the competent authority determines that the organisation’s certificate needs to be suspended.

When satisfied that the organisation is in compliance with the applicable requirements, the competent authority shall approve the change.

(b) Without prejudice to any additional enforcement measures, when the organisation implements changes requiring prior approval without having received competent authority approval as defined in (a), the competent authority shall suspend, limit or revoke the organisation’s certificate. U.K.

(c) For changes not requiring prior approval, the competent authority shall assess the information provided in the notification sent by the organisation in accordance with ORO.GEN.130 to verify compliance with the applicable requirements. In case of any non-compliance, the competent authority shall: U.K.

(1)

notify the organisation about the non-compliance and request further changes;

(2)

in case of level 1 or level 2 findings, act in accordance with ARO.GEN.350.

[F2 ARO.GEN.345 Declaration — organisations U.K.

(a) Upon receiving a declaration from an organisation carrying out or intending to carry out activities for which a declaration is required, the competent authority shall verify that the declaration contains all the information required by Part-ORO and shall acknowledge receipt of the declaration to the organisation. U.K.

(b) If the declaration does not contain the required information, or contains information that indicates non-compliance with applicable requirements, the competent authority shall notify the organisation about the non-compliance and request further information. If deemed necessary the competent authority shall carry out an inspection of the organisation. If the non-compliance is confirmed, the competent authority shall take action as defined in ARO.GEN.350.] U.K.

ARO.GEN.350 Findings and corrective actions — organisations U.K.

(a) The competent authority for oversight in accordance with ARO.GEN.300(a) shall have a system to analyse findings for their safety significance. U.K.

[F3 (b) A level 1 finding shall be issued by the competent authority when any significant non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval, certificate, specialised operation authorisation or with the content of a declaration which lowers safety or seriously hazards flight safety.] U.K.

The level 1 findings shall include:

(1)

failure to give the competent authority access to the organisation’s facilities as defined in ORO.GEN.140 during normal operating hours and after two written requests;

(2)

obtaining or maintaining the validity of the organisation certificate[F1 or specialised operations authorisation] by falsification of submitted documentary evidence;

(3)

evidence of malpractice or fraudulent use of the organisation certificate[F1 or specialised operations authorisation]; and

(4)

the lack of an accountable manager.

[F3 (c) A level 2 finding shall be issued by the competent authority when any non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval, certificate, specialised operation authorisation or with the content of a declaration which could lower safety or hazard flight safety.] U.K.

(d) When a finding is detected during oversight or by any other means, the competent authority shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and its Implementing Rules, communicate the finding to the organisation in writing and request corrective action to address the non-compliance(s) identified. Where relevant, the competent authority shall inform the State in which the aircraft is registered. U.K.

(1)

In the case of level 1 findings the competent authority shall take immediate and appropriate action to prohibit or limit activities, and if appropriate, it shall take action to revoke the certificate [F1 , specialised operations authorisation] or specific approval or to limit or suspend it in whole or in part, depending upon the extent of the level 1 finding, until successful corrective action has been taken by the organisation.

(2)

In the case of level 2 findings, the competent authority shall:

(i)

grant the organisation a corrective action implementation period appropriate to the nature of the finding that in any case initially shall not be more than three months. At the end of this period, and subject to the nature of the finding, the competent authority may extend the three-month period subject to a satisfactory corrective action plan agreed by the competent authority; and

(ii)

assess the corrective action and implementation plan proposed by the organisation and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept these.

(3)

Where an organisation fails to submit an acceptable corrective action plan, or to perform the corrective action within the time period accepted or extended by the competent authority, the finding shall be raised to a level 1 finding and action taken as laid down in (d)(1).

(4)

The competent authority shall record all findings it has raised or that have been communicated to it and, where applicable, the enforcement measures it has applied, as well as all corrective actions and date of action closure for findings.

(e) Without prejudice to any additional enforcement measures, when the authority of a Member State acting under the provisions of ARO.GEN.300 (d) identifies any non-compliance with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules by an organisation certified by[F1 , or authorised by] [F2 or declaring its activity to] the competent authority of another Member State or the Agency, it shall inform that competent authority and provide an indication of the level of finding. U.K.

ARO.GEN.355 Findings and enforcement measures — persons U.K.

(a) If, during oversight or by any other means, evidence is found by the competent authority responsible for oversight in accordance with ARO.GEN.300(a) that shows a non-compliance with the applicable requirements by a person holding a licence, certificate, rating or attestation issued in accordance with Regulation (EC) No 216/2008 and its Implementing Rules, the competent authority shall act in accordance with ARA.GEN.355(a) to (d) of Annex VI (Part-ARA) to Commission [F3 Regulation (EU) No 1178/2011] (2). U.K.

(b) If, during oversight or by any other means, evidence is found showing a non-compliance with the applicable requirements by a person subject to the requirements laid down in Regulation (EC) No 216/2008 and its Implementing Rules and not holding a licence, certificate, rating or attestation issued in accordance with that Regulation and its Implementing Rules, the competent authority that identified the non-compliance shall take any enforcement measures necessary to prevent the continuation of that non-compliance. U.K.

[F1 ARO.GEN.360 Findings and enforcement measures — all operators U.K.

If, during oversight or by any other means, evidence is found showing a non-compliance with the applicable requirements by an operator subject to the requirements laid down in Regulation (EC) No 216/2008 and its Implementing Rules, the competent authority that identified the non-compliance shall take any enforcement measures necessary to prevent the continuation of that non-compliance.]

SUBPART OPS AIR OPERATIONS U.K.

SECTION I U.K. Certification of commercial air transport operators

ARO.OPS.100 Issue of the air operator certificate U.K.

(a) The competent authority shall issue the air operator certificate (AOC) when satisfied that the operator has demonstrated compliance with the elements required in ORO.AOC.100. U.K.

(b) The certificate shall include the associated operations specifications. U.K.

[F1 (c) The competent authority may determine specific operational limitations. Such limitations shall be documented in the operations specifications.] U.K.

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ARO.OPS.105 Code-share arrangements U.K.

In considering the safety of a code-share agreement involving a third-country operator, the competent authority shall:

(1)

satisfy itself, following the verification by the operator as set out in ORO.AOC.115, that the third-country operator complies with the applicable ICAO standards;

(2)

liaise with the competent authority of the State of the third-country operator as necessary.

ARO.OPS.110 Lease agreements U.K.

(a) The competent authority shall approve a lease agreement when satisfied that the operator certified in accordance with Annex III (Part-ORO) complies with: U.K.

(1)

ORO.AOC.110(d), for dry leased-in third country aircraft;

(2)

ORO.AOC.110(c), for wet lease-in of an aircraft from a third country operator;

(3)

ORO.AOC.110(e), for dry lease-out of an aircraft to any operator;

(4)

relevant requirements of continuing airworthiness and air operations, for dry lease-in of an aircraft registered in the EU and wet lease-in of an aircraft from an EU operator.

(b) The approval of a wet lease-in agreement shall be suspended or revoked whenever: U.K.

(1)

the AOC of the lessor or lessee is suspended or revoked;

(2)

the lessor is subject to an operating ban pursuant to Regulation (EC) No 2111/2005 of the European Parliament and of the Council(3).

[F6 (c) The approval of a dry lease-in agreement shall be suspended or revoked whenever: U.K.

(1)

the certificate of airworthiness of the aircraft is suspended or revoked;

(2)

the aircraft is included in the list of operators subject to operational restrictions or it is registered in a State of which all operators under its oversight are subject to an operating ban pursuant to Regulation (EC) No 2111/2005.]

Textual Amendments

F6 Substituted by Commission Regulation (EU) 2015/1329 of 31 July 2015 amending Regulation (EU) No 965/2012 as regards operations by Union air carriers of aircraft registered in a third country (Text with EEA relevance).

(d) When asked for the prior approval of a dry-lease out agreement in accordance with ORO.AOC.110(e), the competent authority shall ensure: U.K.

(1)

proper coordination with the competent authority responsible for the continuing oversight of the aircraft, in accordance with Commission Regulation (EC) No 2042/2003(4), or for the operation of the aircraft, if it is not the same authority;

(2)

that the aircraft is timely removed from the operator’s AOC.

[F7 (e) When asked for prior approval of a dry lease-in agreement in accordance with point ORO.AOC.110(d), the competent authority shall ensure proper coordination with the State of Registry of the aircraft as necessary to exercise the oversight responsibilities of the aircraft.] U.K.

Textual Amendments

F7 Inserted by Commission Regulation (EU) 2015/1329 of 31 July 2015 amending Regulation (EU) No 965/2012 as regards operations by Union air carriers of aircraft registered in a third country (Text with EEA relevance).

[F1 SECTION Ia U.K. Authorisation of high risk commercial specialised operations

ARO.OPS.150 Authorisation of high risk commercial specialised operations U.K.

(a) Upon receiving an application for the issue of a high risk commercial specialised operations authorisation, the competent authority of the operator shall review the operator’s risk assessment documentation and standard operating procedures (SOP), related to one or more planned operations and developed in accordance with the relevant requirements of Annex VIII (Part-SPO). U.K.

(b) When satisfied with the risk assessment and SOP, the competent authority of the operator shall issue the authorisation, as established in Appendix VI. The authorisation may be issued for a limited or an unlimited duration. The conditions under which an operator is authorised to conduct one or more high risk commercial specialised operations shall be specified in the authorisation. U.K.

(c) Upon receiving an application for a change to the authorisation, the competent authority of the operator shall comply with (a) and (b). It shall prescribe the conditions under which the operator may operate during the change, unless the competent authority determines that the authorisation needs to be suspended. U.K.

(d) Upon receiving an application for the renewal of the authorisation, the competent authority of the operator shall comply with (a) and (b). It may take into account the past authorisation process and oversight activities. U.K.

(e) Without prejudice to any additional enforcement measures, when the operator implements changes without having submitted an amended risk assessment and SOP, the competent authority of the operator shall suspend, limit or revoke the authorisation. U.K.

(f) Upon receiving an application for the issue of an authorisation for a cross-border high risk commercial specialised operation, the competent authority of the operator shall review the operator’s risk assessment documentation and standard operating procedures (SOP) in coordination with the competent authority of the place where the operation is planned to be conducted. When both authorities are satisfied with the risk assessment and SOP, the competent authority of the operator shall issue the authorisation. U.K.

ARO.OPS.155 Lease agreements U.K.

(a) The competent authority shall approve a lease agreement involving a third country registered aircraft or a third country operator when the SPO operator has demonstrated compliance with ORO.SPO.100. U.K.

(b) The approval of a dry lease-in agreement shall be suspended or revoked whenever the certificate of airworthiness of the aircraft is suspended or revoked.] U.K.

SECTION II U.K. Approvals

ARO.OPS.200 Specific approval procedure U.K.

(a) Upon receiving an application for the issue of a specific approval or changes thereof, the competent authority shall assess the application in accordance with the relevant requirements of Annex V (Part-SPA) and conduct, where relevant, an appropriate inspection of the operator. U.K.

[F5 (b) When satisfied that the operator has demonstrated compliance with the applicable requirements, the competent authority shall issue or amend the approval. The approval shall be specified in: U.K.

(1)

the operations specifications, as established in Appendix II, for commercial air transport operations; or

(2)

the list of specific approvals, as established in Appendix V, for non-commercial operations [F1 and specialised operations] .]

ARO.OPS.205 Minimum equipment list approval U.K.

(a) When receiving an application for initial approval of a minimum equipment list (MEL) or an amendment thereof from an operator, the competent authority shall assess each item affected, to verify compliance with the applicable requirements, before issuing the approval. U.K.

(b) The competent authority shall approve the operator’s procedure for the extension of the applicable rectification intervals B, C and D, if the conditions specified in ORO.MLR.105(f) are demonstrated by the operator and verified by the competent authority. U.K.

(c) The competent authority shall approve, on a case-by-case basis, the operation of an aircraft outside the constraints of the MEL but within the constraints of the master minimum equipment list (MMEL), if the conditions specified in ORO.MLR.105 are demonstrated by the operator and verified by the competent authority. U.K.

[F3 ARO.OPS.210 Determination of distance or local area U.K.

The competent authority may determine a distance or local area for the purpose of operations.]

ARO.OPS.215 Approval of helicopter operations over a hostile environment located outside a congested area U.K.

(a) The Member State shall designate those areas where helicopter operations may be conducted without an assured safe forced landing capability, as described in CAT.POL.H.420. U.K.

(b) Before issuing the approval referred to in CAT.POL.H.420 the competent authority shall have considered the operator’s substantiation precluding the use of the appropriate performance criteria. U.K.

ARO.OPS.220 Approval of helicopter operations to or from a public interest site U.K.

The approval referred to in CAT.POL.H.225 shall include a list of the public interest site(s) specified by the operator to which the approval applies.

ARO.OPS.225 Approval of operations to an isolated aerodrome U.K.

The approval referred to in CAT.OP.MPA.106 shall include a list of the aerodromes specified by the operator to which the approval applies.

[F1 SECTION III U.K. Oversight of operations

ARO.OPS.300 Introductory flights U.K.

The competent authority may establish additional conditions for introductory flights carried out in accordance with Part-NCO in the territory of the Member State. Such conditions shall ensure safe operations and be proportionate.]

SUBPART RAMP RAMP INSPECTIONS OF AIRCRAFT OF OPERATORS UNDER THE REGULATORY OVERSIGHT OF ANOTHER STATE U.K.

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ARO.RAMP.005 Scope U.K.

This Subpart establishes the requirements to be followed by the competent authority or the Agency when exercising its tasks and responsibilities regarding the performance of ramp inspections of aircraft used by third country operators or used by operators under the regulatory oversight of another Member State when landed at aerodromes located in the territory subject to the provisions of the Treaty.

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ARO.RAMP.100 General U.K.

(a) Aircraft, as well as their crew, shall be inspected against the applicable requirements. U.K.

(b) In addition to conducting ramp inspections included in its oversight programme established in accordance with ARO.GEN.305, the competent authority shall perform a ramp inspection of an aircraft suspected of not being compliant with the applicable requirements. U.K.

(c) Within the development of the oversight programme established in accordance with ARO.GEN.305, the competent authority shall establish an annual programme for the conduct of ramp inspections of aircraft. This programme shall: U.K.

(1)

be based on a calculation methodology that takes into account historical information on the number and nature of operators and their number of landings at its aerodromes, as well as safety risks; and

(2)

enable the competent authority to give priority to the inspections of aircraft on the basis of the list referred to in ARO.RAMP.105(a).

(d) When it so deems necessary, the Agency, in cooperation with the Member States in whose territory the inspection shall take place, shall conduct ramp inspections of aircraft to verify compliance with the applicable requirements for the purpose of: U.K.

(1)

certification tasks assigned to the Agency by Regulation (EC) No 216/2008;

(2)

standardisation inspections of a Member State; or

(3)

inspections of an organisation to verify compliance with the applicable requirements in potentially unsafe situations.

ARO.RAMP.105 Prioritisation criteria U.K.

(a) The Agency shall provide competent authorities with a list of operators or aircraft identified as presenting a potential risk, for the prioritisation of ramp inspections. U.K.

(b) This list shall include: U.K.

(1)

operators of aircraft identified on the basis of the analysis of available data in accordance with ARO.RAMP.150(b)(4);

(2)

operators or aircraft communicated to the Agency by the European Commission and identified on the basis of:

(i)

an opinion expressed by the Air Safety Committee (ASC) within the context of the implementation of Regulation (EC) No 2111/2005 that further verification of effective compliance with relevant safety standards through systematic ramp inspections is necessary; or

(ii)

information obtained by the European Commission from the Member States pursuant to Article 4(3) of Regulation (EC) No 2111/2005;

(3)

aircraft operated into the territory subject to the provisions of the Treaty by operators included in Annex B of the list of operators subject to an operating ban pursuant to Regulation (EC) No 2111/2005;

(4)

aircraft operated by operators certified in a State exercising regulatory oversight over operators included in the list referred to in (3);

(5)

aircraft used by a third-country operator that operates into, within or out of the territory subject to the provisions of the Treaty for the first time or whose authorisation issued in accordance with ART.GEN.205 is limited or reinstated after suspension or revocation.

(c) The list shall be produced, in accordance with procedures established by the Agency, after every update of the Community list of operators subject to an operating ban pursuant to Regulation (EC) No 2111/2005, and in any case at least once every four months. U.K.

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ARO.RAMP.110 Collection of information U.K.

The competent authority shall collect and process any information deemed useful for conducting ramp inspections.

ARO.RAMP.115 Qualification of ramp inspectors U.K.

(a) The competent authority and the Agency shall have qualified inspectors to conduct ramp inspections. U.K.

(b) Ramp inspectors shall: U.K.

(1)

possess the necessary aeronautical education or practical knowledge relevant to their area(s) of inspection;

(2)

have successfully completed:

(i)

appropriate specific theoretical and practical training, in one or more of the following areas of inspection:

(A)

flight deck;

(B)

cabin safety;

(C)

aircraft condition;

(D)

cargo;

(ii)

appropriate on-the-job training delivered by a senior ramp inspector appointed by the competent authority or the Agency;

(3)

maintain the validity of their qualification by undergoing recurrent training and by performing a minimum of 12 inspections in every 12-month period.

(c) The training in (b)(2)(i) shall be delivered by the competent authority or by any training organisation approved in accordance with ARO.RAMP.120(a). U.K.

(d) The Agency shall develop and maintain training syllabi and promote the organisation of training courses and workshops for inspectors to improve the understanding and uniform implementation of this Subpart. U.K.

(e) The Agency shall facilitate and coordinate an inspector exchange programme aimed at allowing inspectors to obtain practical experience and contributing to the harmonisation of procedures. U.K.

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ARO.RAMP.120 Approval of training organisations U.K.

(a) The competent authority shall approve a training organisation, having its principal place of business in the territory of the respective Member State, when satisfied that the training organisation: U.K.

(1)

has nominated a head of training possessing sound managerial capability to ensure that the training provided is in compliance with the applicable requirements;

(2)

has available training facilities and instructional equipment suitable for the type of training provided;

(3)

provides training in accordance with the syllabi developed by the Agency in accordance with ARO.RAMP.115(d);

(4)

uses qualified training instructors.

(b) If so requested by the competent authority, the verification of compliance and continuous compliance with the requirements referred to in (a) shall be performed by the Agency. U.K.

(c) The training organisation shall be approved to provide one or more of the following types of training: U.K.

(1)

initial theoretical training;

(2)

initial practical training;

(3)

recurrent training.

ARO.RAMP.125 Conduct of ramp inspections U.K.

(a) Ramp inspections shall be performed in a standardised manner using the form established in either Appendix III or Appendix IV. U.K.

(b) When performing a ramp inspection, the inspector(s) shall make all possible efforts to avoid an unreasonable delay of the aircraft inspected. U.K.

(c) On completion of the ramp inspection, the pilot-in-command or, in his/her absence, another member of the flight crew or a representative of the operator shall be informed of the ramp inspection’s results using the form established in Appendix III. U.K.

ARO.RAMP.130 Categorisation of findings U.K.

For each inspection item, three categories of possible non-compliance with the applicable requirements are defined as findings. Such findings shall be categorised as follows:

(1)

a category 3 finding is any detected significant non-compliance with the applicable requirements or the terms of a certificate that has a major influence on safety;

(2)

a category 2 finding is any detected non-compliance with the applicable requirements or the terms of a certificate that has a significant influence on safety;

(3)

a category 1 finding is any detected non-compliance with the applicable requirements or the terms a certificate that has a minor influence on safety.

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ARO.RAMP.135 Follow-up actions on findings U.K.

(a) For a category 2 or 3 finding the competent authority, or where relevant the Agency, shall: U.K.

(1)

communicate the finding in writing to the operator, including a request for evidence of corrective actions taken; and

(2)

inform the competent authority of the State of the operator and, where relevant, the State in which the aircraft is registered and where the licence of the flight crew was issued. Where appropriate, the competent authority or Agency shall request confirmation of their acceptance of the corrective actions taken by the operator in accordance with ARO.GEN.350 or ARO.GEN.355.

(b) In addition to (a), in the case of a category 3 finding, the competent authority shall take immediate steps by: U.K.

(1)

imposing a restriction on the aircraft flight operation;

(2)

requesting immediate corrective actions;

(3)

grounding the aircraft in accordance with ARO.RAMP.140; or

(4)

imposing an immediate operating ban in accordance with Article 6 of Regulation (EC) No 2111/2005.

(c) When the Agency has raised a category 3 finding, it shall request the competent authority where the aircraft is landed to take the appropriate measures in accordance with (b). U.K.

ARO.RAMP.140 Grounding of aircraft U.K.

(a) In the case of a category 3 finding where it appears that the aircraft is intended or is likely to be flown without completion by the operator or owner of the appropriate corrective action, the competent authority shall: U.K.

(1)

notify the pilot-in-command/commander or the operator that the aircraft is not permitted to commence the flight until further notice; and

(2)

ground that aircraft.

(b) The competent authority of the State where the aircraft is grounded shall immediately inform the competent authority of the State of the operator and of the State in which the aircraft is registered, if relevant, and the Agency in the case of a grounded aircraft used by a third-country operator. U.K.

(c) The competent authority shall, in coordination with the State of the operator or the State of Registry, prescribe the necessary conditions under which the aircraft can be allowed to take-off. U.K.

(d) If the non-compliance affects the validity of the certificate of airworthiness of the aircraft, the grounding shall only be lifted by the competent authority when the operator shows evidence that: U.K.

(1)

compliance with the applicable requirements has been re-established;

(2)

it has obtained a permit-to-fly in accordance with Commission Regulation (EC) No 1702/2003(5), for aircraft registered in a Member State;

(3)

a permit-to-fly or equivalent document of the State of Registry or the State of the operator for aircraft registered in a third country and operated by an EU or a third country operator; and

(4)

permission from third countries which will be overflown, if applicable.

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ARO.RAMP.145 Reporting U.K.

(a) Information collected in accordance with ARO.RAMP.125(a) shall be entered into the centralised database referred to in ARO.RAMP.150(b)(2), within 21 calendar days after the inspection. U.K.

(b) The competent authority or the Agency shall enter into the centralised database any information useful for the application of Regulation (EC) No 216/2008 and its Implementing Rules and for the accomplishment by the Agency of the tasks assigned to it by this Annex, including the relevant information referred to in ARO.RAMP.110. U.K.

(c) Whenever the information as referred to in ARO.RAMP.110 shows the existence of a potential safety threat, such information shall also be communicated to each competent authority and the Agency without delay. U.K.

(d) Whenever information concerning aircraft deficiencies is given by a person to the competent authority, the information referred to in ARO.RAMP.110 and ARO.RAMP.125(a) shall be de-identified regarding the source of such information. U.K.

ARO.RAMP.150 Agency coordination tasks U.K.

(a) The Agency shall manage and operate the tools and procedures necessary for the storage and exchange of: U.K.

(1)

the information referred to in ARO.RAMP.145, using the forms as established in Appendices III and IV;

(2)

the information provided by third countries or international organisations with whom appropriate agreements have been concluded with the EU, or organisations with whom the Agency has concluded appropriate arrangements in accordance with Article 27(2) of Regulation (EC) No 216/2008.

(b) This management shall include the following tasks: U.K.

(1)

store data from the Member States relevant to the safety information on aircraft landing at aerodromes located in the territory subject to the provisions of the Treaty;

(2)

develop, maintain and continuously update a centralised database containing all the information referred to in (a)(1) and (2);

(3)

provide necessary changes and enhancements to the database application;

(4)

analyse the centralised database and other relevant information concerning the safety of aircraft and of air operators and, on that basis:

(i)

advise the Commission and the competent authorities on immediate actions or follow-up policy;

(ii)

report potential safety problems to the Commission and to the competent authorities;

(iii)

propose coordinated actions to the Commission and to the competent authorities, when necessary on safety grounds, and ensure coordination at the technical level of such actions;

(5)

liaise with other European institutions and bodies, international organisations and third country competent authorities on information exchange.

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ARO.RAMP.155 Annual report U.K.

The Agency shall prepare and submit to the Commission an annual report on the ramp inspection system containing at least the following information:

(a)

status of the progress of the system;

(b)

status of the inspections performed in the year;

(c)

analysis of the inspection results with indication of the categories of findings;

(d)

actions taken during the year;

(e)

proposals for further improving the ramp inspection system; and

(f)

annexes containing lists of inspections sorted out by State of operation, aircraft type, operator and ratios per item.

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ARO.RAMP.160 Information to the public and protection of information U.K.

(a) Member States shall use the information received by them pursuant to ARO.RAMP.105 and ARO.RAMP.145 solely for the purpose of Regulation (EC) No 216/2008 and its implementing rules and shall protect it accordingly. U.K.

(b) The Agency shall publish an aggregated information report annually that shall be available to the public containing the analysis of the information received in accordance with ARO.RAMP.145. The report shall be simple and easy to understand, and the source of the information shall be de-identified. U.K.

Appendix I

Appendix II

Appendix III

Appendix IV

Ramp inspection report U.K.

[F2 Appendix V

List of specific approvals

Non-commercial operations

[F1 Specialised operations]

(subject to the conditions specified in the approval and contained in the operations manual or pilot’s operating handbook)

a Insertion of name and contact details.
b Insertion of the associated number.
c Issue date of the specific approvals (dd-mm-yyyy) and signature of the competent authority representative.
d Insertion of the Commercial Aviation Safety Team (CAST)/ICAO designation of the aircraft make, model and series, or master series, if a series has been designated (e.g. Boeing-737-3K2 or Boeing-777-232). The CAST/ICAO taxonomy is available at: http://www.intlaviationstandards.org/ The registration marks should be either listed in the List of Specific Approvals or in the operations manual. In the latter case the List of Specific Approvals shall refer to the related page in the operation manual.
e Specify the type of operation, e.g., agriculture, construction, photography, surveying, observation and patrol, aerial advertisement.
f List in this column any approved operations, e.g., Dangerous goods, LVO, RVSM, RNP, MNPS.
g List in this column the most permissive criteria for each approval, e.g. the decision height and RVR minima for CAT II.
Issuing Authority a :
List of Specific Approvals # b : Name of Operator: Date c : Signature:
Aircraft Model and Registration Marks d :
Types of specialised operation (SPO), if applicable:  e …
Specific Approvals f :	Specification g	Remarks
…
…
…
…

EASA FORM 140 Issue 1.]

[F1 Appendix VI]

(1)

OJ L 167, 4.7.2003, p. 23.

(2)

OJ L 100, 5.4.2012, p. 1.

(3)

OJ L 344, 27.12.2005, p. 15.

(4)

OJ L 315, 28.11.2003, p. 1.

(5)

OJ L 243, 27.9.2003, p. 6.