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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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Version Superseded: 09/07/2019
Point in time view as at 08/04/2019. This version of this contains provisions that are not valid for this point in time.
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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[F1, specialised operation authorisation] 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.
Textual Amendments
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.
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).
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;
[F1the process of authorisation of a high risk commercial specialised operation and continuing oversight of an authorisation holder;]
[F2declaration processes and continuing oversight of declared organisations;]
details of training courses provided by certified organisations, and if applicable, records relating to FSTDs used for such training;
[F3oversight 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;]
[F4oversight of operations of other-than complex motor-powered aircraft by non-commercial operators;]
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;
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.
Textual Amendments
[F3compliance with the requirements applicable to organisations or type of operations prior to the issue of a certificate, approval or authorisation, as applicable;
continued compliance with the applicable requirements of organisations it has certified, specialised operations it has authorised and organisations from whom it received a declaration;]
[F4continued compliance with the applicable requirements of non-commercial operators of other-than complex motor-powered aircraft; and]
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).
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.
Yn ddilys o 25/09/2019
Yn ddilys o 25/09/2019
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.
Textual Amendments
The level 1 findings shall include:
[F6failure to give the competent authority access to the facilities of the organisation in accordance with point ORO.GEN.140 of Annex III (Part-ORO) to this Regulation, or for balloons operators in accordance with points BOP.ADD.015 and BOP.ADD.035 of Annex II (Part-BOP) to Regulation (EU) 2018/395, during normal operating hours and after two written requests;]
obtaining or maintaining the validity of the organisation certificate[F1or specialised operations authorisation] by falsification of submitted documentary evidence;
evidence of malpractice or fraudulent use of the organisation certificate[F1or specialised operations authorisation]; 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 [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.
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.
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.]
[F2 [F6Commission Regulation (EU) 2018/395 of 13 March 2018 laying down detailed rules for the operation of balloons pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council ( OJ L 71, 14.3.2018, p. 10 )] ]
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).
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