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

SECTION III U.K. Oversight, certification and enforcement

ARO.GEN.300 Oversight U.K.

[F1 (a) The [F2 CAA] 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)

[F4 continued compliance with the applicable requirements of organisations it has certified, specialised operations it has authorised and organisations from which it received a declaration;]]

(3)

[F5 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 [F2 CAA] as defined in ARO.GEN.135(c) and (d).]

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 Implementing Regulation (EU) 2019/1384 of 24 July 2019 amending Regulations (EU) No 965/2012 and (EU) No 1321/2014 as regards the use of aircraft listed on an air operator certificate for non-commercial operations and specialised operations, the establishment of operational requirements for the conduct of maintenance check flights, the establishment of rules on non-commercial operations with reduced cabin crew on board and introducing editorial updates concerning air operations requirements (Text with EEA relevance).

F5 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.

Textual Amendments

F1 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).

F2 Word in Annex 2 point ARO.GEN.300(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(10)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(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 [F6 CAA] with the evidence needed in case further action is required, including the measures foreseen by ARO.GEN.350 and ARO.GEN.355.

Textual Amendments

F6 Word in Annex 2 point ARO.GEN.300(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(10)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(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.

F7 (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F7 Annex 2 point ARO.GEN.300(d)(e) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(10)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F7 (e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

(f) The [F8 CAA] shall collect and process any information deemed useful for oversight, including for ramp and unannounced inspections. U.K.

Textual Amendments

F8 Word in Annex 2 point ARO.GEN.300(f) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(10)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

ARO.GEN.305 Oversight programme U.K.

(a) The [F9 CAA] shall establish and maintain an oversight programme covering the oversight activities required by ARO.GEN.300 and by ARO.RAMP. U.K.

Textual Amendments

F9 Word in Annex 2 point ARO.GEN.305 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(11) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b) For organisations certified by the [F9 CAA], 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 [F9 CAA] to ensure both remain informed of significant issues.

(c) For organisations certified by the [F9 CAA] 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 [F9 CAA] 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 [F9 CAA] 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 [F9 CAA] has approved, an effective continuous reporting system to the [F9 CAA] on the safety performance and regulatory compliance of the organisation itself.

[F3 (d) For organisations declaring their activity to the [F9 CAA], 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.

[F10 (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.

Textual Amendments

F10 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.

[F1 (e)] For persons holding a licence, certificate, rating, or attestation issued by the [F9 CAA] the oversight programme shall include inspections, including unannounced inspections, as appropriate. U.K.

[F1 (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.

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 [F11 CAA] 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.

Textual Amendments

F11 Word in Annex 2 point ARO.GEN.310 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(12) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b) When satisfied that the organisation is in compliance with the applicable requirements, the [F11 CAA] 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 [F11 CAA] approval in accordance with ORO.GEN.130, the [F11 CAA] 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.

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

(a) Upon receiving an application for a change that requires prior approval, the [F12 CAA] shall verify the organisation’s compliance with the applicable requirements before issuing the approval. U.K.

The [F12 CAA] shall prescribe the conditions under which the organisation may operate during the change, unless the [F12 CAA] determines that the organisation’s certificate needs to be suspended.

When satisfied that the organisation is in compliance with the applicable requirements, the [F12 CAA] shall approve the change.

Textual Amendments

F12 Word in Annex 2 point ARO.GEN.330 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(13) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b) Without prejudice to any additional enforcement measures, when the organisation implements changes requiring prior approval without having received [F12 CAA] approval as defined in (a), the [F12 CAA] shall suspend, limit or revoke the organisation’s certificate. U.K.

(c) For changes not requiring prior approval, the [F12 CAA] 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 [F12 CAA] 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.

[F13 ARO.GEN.345 Declaration — organisations U.K.

[F14 (a) Upon receiving a declaration from an organisation carrying out or intending to carry out activities for which a declaration is required, the [F15 CAA] shall verify that the declaration contains all the information required: U.K.

(1)

pursuant to ORO.DEC.100 of Annex III (Part-ORO) to this Regulation;

(2)

for balloon operators pursuant to BOP.ADD.100 of Annex II (Part-BOP) to Regulation (EU) 2018/395; or

(3)

for sailplane operators pursuant to SAO.DEC.100 of Annex II (Part-SAO) to Implementing Regulation (EU) 2018/1976.

After having verified the required information, the [F15 CAA] shall acknowledge receipt of the declaration to the organisation.]

Textual Amendments

F14 Substituted by Commission Implementing Regulation (EU) 2018/1975 of 14 December 2018 amending Regulation (EU) No 965/2012 as regards air operations requirements for sailplanes and electronic flight bags.

F15 Word in Annex 2 point ARO.GEN.345 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(14) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(b) If the declaration does not contain the required information, or contains information that indicates non-compliance with applicable requirements, the [F15 CAA] shall notify the organisation about the non-compliance and request further information. If deemed necessary the [F15 CAA] shall carry out an inspection of the organisation. If the non-compliance is confirmed, the [F15 CAA] shall take action as defined in ARO.GEN.350.] U.K.

Textual Amendments

F13 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).

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

(a) The [F16 CAA] shall have a system to analyse findings for their safety significance. U.K.

Textual Amendments

F16 Word in Annex 2 point ARO.GEN.350(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(15)(a) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

[F3 (b) A level 1 finding shall be issued by the [F17 CAA] 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)

[F18 failure to give the [F17 CAA] 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;]

(2)

obtaining or maintaining the validity of the organisation certificate [F10 or specialised operations authorisation] by falsification of submitted documentary evidence;

(3)

evidence of malpractice or fraudulent use of the organisation certificate [F10 or specialised operations authorisation]; and

(4)

the lack of an accountable manager.

Textual Amendments

F18 Substituted by Commission Regulation (EU) 2018/394 of 13 March 2018 amending Regulation (EU) No 965/2012 as regards the deletion of air operations requirements for balloons.

Textual Amendments

F17 Word in Annex 2 point ARO.GEN.350(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(15)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

[F3 (c) A level 2 finding shall be issued by the [F19 CAA] 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.

Textual Amendments

F19 Word in Annex 2 point ARO.GEN.350(c) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(15)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(d) When a finding is detected during oversight or by any other means, the [F20 CAA] 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 [F20 CAA] shall inform the State in which the aircraft is registered. U.K.

(1)

In the case of level 1 findings the [F20 CAA] shall take immediate and appropriate action to prohibit or limit activities, and if appropriate, it shall take action to revoke the certificate [F10 , 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 [F20 CAA] 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 [F20 CAA] may extend the three-month period subject to a satisfactory corrective action plan agreed by the [F20 CAA]; 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 [F20 CAA], the finding shall be raised to a level 1 finding and action taken as laid down in (d)(1).

(4)

[F4 The [F20 CAA] shall record all findings it has raised or that have been communicated to it in accordance with point (e) and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the date of action closure for findings.]

Textual Amendments

F20 Word in Annex 2 point ARO.GEN.350(d) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(15)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F21 (e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

Textual Amendments

F21 Annex 2 point ARO.GEN.350(e) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(15)(c) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

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

(a) If, during oversight or by any other means, evidence is found by the [F22 CAA] 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 [F23 CAA] shall act in accordance with ARA.GEN.355(a) [F24 to (c)] of Annex VI (Part-ARA) to Commission [F3 Regulation (EU) No 1178/2011] (1). U.K.

Textual Amendments

F22 Word in Annex 2 point ARO.GEN.355(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(16)(a)(i) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F23 Word in Annex 2 point ARO.GEN.355(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(16)(a)(ii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

F24 Words in Annex 2 point ARO.GEN.355(a) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(16)(a)(iii) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(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 [F25 CAA] shall take any enforcement measures necessary to prevent the continuation of that non-compliance. U.K.

Textual Amendments

F25 Word in Annex 2 point ARO.GEN.355(b) substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(16)(b) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

[F10 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 [F26 CAA] shall take any enforcement measures necessary to prevent the continuation of that non-compliance.]

Textual Amendments

F26 Word in Annex 2 point ARO.GEN.360 substituted (31.12.2020) by The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 354(17) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)

(1)

OJ L 100, 5.4.2012, p. 1.