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Commission Regulation (EU) No 965/2012 of 5 October 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
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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.
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.
When the competent authority finds that the alternative means of compliance are in accordance with the Implementing Rules, it shall without undue delay:
notify the applicant that the alternative means of compliance may be implemented and, if applicable, amend the approval or certificate of the applicant accordingly; and
notify the Agency of their content, including copies of all relevant documentation;
inform other Member States about alternative means of compliance that were accepted.
make them available to all organisations and persons under its oversight; and
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.
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;
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;
adequate facilities and office accommodation to perform the allocated tasks;
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
a person or group of persons, ultimately responsible to the senior management of the competent authority for the compliance monitoring function.
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.
established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:
the tasks to be performed;
the declarations, reports and records to be provided;
the technical conditions to be met in performing such tasks;
the related liability coverage; and
the protection given to information acquired in carrying out such tasks.
the management system’s documented policies and procedures;
training, qualification and authorisation of its personnel;
the allocation of tasks, covering the elements required by ARO.GEN.205 as well as the details of tasks allocated;
certification processes and continuing oversight of certified organisations;
details of training courses provided by certified organisations, and if applicable, records relating to FSTDs used for such training;
oversight of persons and organisations exercising activities within the territory of the Member State, but overseen or certified by the competent authority of another Member State or the Agency, as agreed between these authorities;
the evaluation and notification to the Agency of alternative means of compliance proposed by organisations subject to certification and the assessment of alternative means of compliance used by the competent authority itself;
findings, corrective actions and date of action closure;
enforcement measures taken;
safety information and follow-up measures; and
the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.
compliance with the requirements applicable to organisations prior to the issue of an organisation certificate or approval, as applicable;
continued compliance with the applicable requirements of organisations it has certified;
implementation of appropriate safety measures mandated by the competent authority as defined in ARO.GEN.135(c) and (d).
be supported by documentation specifically intended to provide personnel responsible for safety oversight with guidance to perform their functions;
provide the persons and organisations concerned with the results of safety oversight activity;
be based on audits and inspections, including ramp and unannounced inspections; and
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.
audits and inspections, including ramp and unannounced inspections as appropriate; and
meetings convened between the accountable manager and the competent authority to ensure both remain informed of significant issues.
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:
the organisation has demonstrated an effective identification of aviation safety hazards and management of associated risks;
the organisation has continuously demonstrated under ORO.GEN.130 that it has full control over all changes;
no level 1 findings have been issued; and
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.
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.
notify the organisation about the non-compliance and request further changes;
in case of level 1 or level 2 findings, act in accordance with ARO.GEN.350.
The level 1 findings shall include:
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;
obtaining or maintaining the validity of the organisation certificate by falsification of submitted documentary evidence;
evidence of malpractice or fraudulent use of the organisation certificate; and
the lack of an accountable manager.
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 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.
In the case of level 2 findings, the competent authority shall:
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
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.
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).
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.
In considering the safety of a code-share agreement involving a third-country operator, the competent authority shall:
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;
liaise with the competent authority of the State of the third-country operator as necessary.
ORO.AOC.110(d), for dry leased-in third country aircraft;
ORO.AOC.110(c), for wet lease-in of an aircraft from a third country operator;
ORO.AOC.110(e), for dry lease-out of an aircraft to any operator;
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.
the AOC of the lessor or lessee is suspended or revoked;
the lessor is subject to an operating ban pursuant to Regulation (EC) No 2111/2005 of the European Parliament and of the Council(3).
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;
that the aircraft is timely removed from the operator’s AOC.
The competent authority may determine a local area for the purpose of flight crew training and checking requirements.
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.
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.
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.
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
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).
certification tasks assigned to the Agency by Regulation (EC) No 216/2008;
standardisation inspections of a Member State; or
inspections of an organisation to verify compliance with the applicable requirements in potentially unsafe situations.
operators of aircraft identified on the basis of the analysis of available data in accordance with ARO.RAMP.150(b)(4);
operators or aircraft communicated to the Agency by the European Commission and identified on the basis of:
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
information obtained by the European Commission from the Member States pursuant to Article 4(3) of Regulation (EC) No 2111/2005;
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;
aircraft operated by operators certified in a State exercising regulatory oversight over operators included in the list referred to in (3);
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.
The competent authority shall collect and process any information deemed useful for conducting ramp inspections.
possess the necessary aeronautical education or practical knowledge relevant to their area(s) of inspection;
have successfully completed:
appropriate specific theoretical and practical training, in one or more of the following areas of inspection:
flight deck;
cabin safety;
aircraft condition;
cargo;
appropriate on-the-job training delivered by a senior ramp inspector appointed by the competent authority or the Agency;
maintain the validity of their qualification by undergoing recurrent training and by performing a minimum of 12 inspections in every 12-month period.
has nominated a head of training possessing sound managerial capability to ensure that the training provided is in compliance with the applicable requirements;
has available training facilities and instructional equipment suitable for the type of training provided;
provides training in accordance with the syllabi developed by the Agency in accordance with ARO.RAMP.115(d);
uses qualified training instructors.
initial theoretical training;
initial practical training;
recurrent training.
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:
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;
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;
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.
communicate the finding in writing to the operator, including a request for evidence of corrective actions taken; and
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.
imposing a restriction on the aircraft flight operation;
requesting immediate corrective actions;
grounding the aircraft in accordance with ARO.RAMP.140; or
imposing an immediate operating ban in accordance with Article 6 of Regulation (EC) No 2111/2005.
notify the pilot-in-command/commander or the operator that the aircraft is not permitted to commence the flight until further notice; and
ground that aircraft.
compliance with the applicable requirements has been re-established;
it has obtained a permit-to-fly in accordance with Commission Regulation (EC) No 1702/2003(5), for aircraft registered in a Member State;
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
permission from third countries which will be overflown, if applicable.
the information referred to in ARO.RAMP.145, using the forms as established in Appendices III and IV;
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.
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;
develop, maintain and continuously update a centralised database containing all the information referred to in (a)(1) and (2);
provide necessary changes and enhancements to the database application;
analyse the centralised database and other relevant information concerning the safety of aircraft and of air operators and, on that basis:
advise the Commission and the competent authorities on immediate actions or follow-up policy;
report potential safety problems to the Commission and to the competent authorities;
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;
liaise with other European institutions and bodies, international organisations and third country competent authorities on information exchange.
The Agency shall prepare and submit to the Commission an annual report on the ramp inspection system containing at least the following information:
status of the progress of the system;
status of the inspections performed in the year;
analysis of the inspection results with indication of the categories of findings;
actions taken during the year;
proposals for further improving the ramp inspection system; and
annexes containing lists of inspections sorted out by State of operation, aircraft type, operator and ratios per item.
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