Commission Regulation (EU) No 1321/2014Show full title

[F1 [X1 SECTION B U.K. AUTHORITY REQUIREMENTS

CAO.B.010 Scope U.K.

This Section establishes the administrative requirements to be met by the [F2 CAA] in connection to the requirements for organisations set out in Section A.

Textual Amendments

F2 Word in Annex 5d point CAO.B.010 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(a)

CAO.B.017 Means of compliance U.K.

(a)

The [F3 CAA] shall develop Acceptable Means of Compliance ( ‘ AMC ’ ) that may be used to demonstrate compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts.

(b)

Alternative means of compliance may be used to demonstrate compliance with Regulation (EU) 2018/1139 and its delegated and implementing acts

(c)

The [F4 CAA] shall establish a system to consistently evaluate that all alternative means of compliance used by organisations under its oversight allow for the establishment of compliance with Regulation (EU) No 2018/1139 and its delegated and implementing acts.

(d)

The [F5 CAA] shall evaluate all alternative means of compliance proposed by an organisation in accordance with point CAO.A.017 by analysing the documentation provided and, if considered necessary, conducting an inspection of the organisation.

When the [F5 CAA] finds that the alternative means of compliance are in accordance with Regulation (EU) 2018/1139 and its delegated and implementing acts, it shall without undue delay:

(1)

notify the applicant that the alternative means of compliance may be used and, if applicable, amend the approval or certificate of the applicant accordingly;

(2)

F6 ...

Textual Amendments

F3 Word in Annex 5d point CAO.B.017(a) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(b)(i)

F4 Word in Annex 5d point CAO.B.017(c) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(b)(ii)

F5 Word in Annex 5d point CAO.B.017(d) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(b)(ii)

F6 Annex 5d point CAO.B.017(d)(2) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(b)(iii)

CAO.B.020 Record-keeping U.K.

(a)

The [F7 CAA] shall establish a system of record-keeping that allows adequate traceability of the process to keep the records for issuing, continuing, changing, suspending or revoking each issued certificate.

(b)

The records of the [F8 CAA] for the oversight of organisations approved in accordance with this Annex shall include, as a minimum:

(1)

the application for an organisation approval;

(2)

the organisation approval certificate, including any changes thereto;

(3)

a copy of the audit programme of the organisation, listing the dates at which audits were carried out and when they are due;

(4)

the continuing-oversight records, including all audit records, as provide for in point CAO.B.055;

(5)

all findings, actions required to close the findings and recommendations;

(6)

copies of all relevant correspondence with the organisation;

(7)

details of any exemption in accordance with point CAO.B.035 and enforcement actions;

(8)

F9 ...

(9)

CAE and its amendments;

(10)

copies of any other document approved by the [F10 CAA].

(c)

The retention period for the records listed under point (b) shall be at least 5 years.

(d)

F11 ...

Textual Amendments

F7 Word in Annex 5d point CAO.B.020(a) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(c)(i)

F8 Word in Annex 5d point CAO.B.020(b) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(c)(ii)(aa)

F9 Annex 5d point CAO.B.020(b)(8) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(c)(ii)(bb)

F10 Word in Annex 5d point CAO.B.020(b)(10) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(c)(ii)(cc)

F11 Annex 5d point CAO.B.020(d) omitted (31.12.2020) by virtue of The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(c)(iii)

CAO.B.025 Mutual exchange of information U.K.

F12 ...

CAO.B.030 Responsibilities U.K.

The [F13 CAA] shall conduct the necessary inspections and investigations in order to verify and ensure that the organisations for which it is responsible in accordance with point CAO.1 meets the requirements of Section A of this Annex.

Textual Amendments

F13 Word in Annex 5d point CAO.B.030 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(e)

CAO.B.035 Exemptions U.K.

Where [F14 the CAA] grants an exemption from the requirements of this Annex in accordance with paragraph 2 of Article 71 of Regulation (EU) 2018/1139, the [F15 CAA] shall record the exemption. It shall retain those records as provided for in point (b)(6) of point CAO.B.020.

Textual Amendments

F14 Words in Annex 5d point CAO.B.035 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(f)(i)

F15 Word in Annex 5d point CAO.B.035 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(f)(ii)

CAO.B.040 Application U.K.

F16 ...

Textual Amendments

F16 Annex 5d point CAO.B.040 omitted (31.12.2020) by virtue of The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(g)

CAO.B.045 Initial certification procedure U.K.

(a)

Where it has been established that the organisation meets the requirements laid down in points (a) and (b) of CAO.A.035, the [F17 CAA] shall formally notify the applicant about the acceptance of the personnel.

(b)

The [F17 CAA] shall ensure that the procedures specified in the CAE comply with Section A, and that the accountable manager has signed the commitment statement referred to in point (a)(1) of CAO.A.025.

(c)

The [F17 CAA] shall verify that the organisation complies with Section A.

(d)

The [F17 CAA] shall convene a meeting with the accountable manager at least once during the investigation for approval to ensure that he or she fully understand the significance of the approval and the statement referred to in point (a)(1) of CAO.A.025

(e)

All findings in accordance with point CAO.B.060 shall be confirmed in writing to the applicant organisation.

(g)

Before issuing the approval the [F17 CAA] shall close all be findings after the organisation has corrected them.

(h)

F18 ...

Textual Amendments

F17 Word in Annex 5d point CAO.B.045 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(h)

F18 Deleted by Commission Implementing Regulation (EU) 2020/270 of 25 February 2020 amending Regulation (EU) No 1321/2014 as regards transitional measures for organisations involved in the continuing airworthiness for general aviation and continuing airworthiness management and correcting that Regulation (Text with EEA relevance).

CAO.B.050 Issuance of the initial certificate U.K.

(a)

[F19 Where the [F20 CAA] has established that the applicant complies with point CAO.B.045, it shall issue the certificate, using the [F21 CAA Form 3-CAO] template laid down in Appendix I and specifying the terms of approval.]

(b)

The [F22 CAA] shall include the reference number of the CAO as specified in the [F23 CAA Form 3-CAO] template laid down in Appendix I.

Textual Amendments

F19 Substituted by Commission Implementing Regulation (EU) 2020/270 of 25 February 2020 amending Regulation (EU) No 1321/2014 as regards transitional measures for organisations involved in the continuing airworthiness for general aviation and continuing airworthiness management and correcting that Regulation (Text with EEA relevance).

F20 Word in Annex 5d point CAO.B.050(a) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(i)(i)(aa)

F21 Words in Annex 5d point CAO.B.050(a) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(i)(i)(bb)

F22 Word in Annex 5d point CAO.B.050(b) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(i)(ii)(aa)

F23 Words in Annex 5d point CAO.B.050(b) substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(i)(ii)(bb)

CAO.B.055 Continuing oversight U.K.

(a)

The [F24 CAA] shall establish and keep up-to-date, an oversight programme, specifying all CAOs to which it has issued a certificate and the dates at which it has audited and is scheduled to audit those CAOs.

(b)

The [F24 CAA] shall audit, at, periods not exceeding 24 months each CAO to which it has issued an approval. Those audits shall concentrate, in particular, on the changes to the organisation notified to it in accordance with the procedure specified in point (b) of point CAO.A.105.

(c)

A relevant sample of the aircraft managed by the CAO, if the organisation is approved to do so, shall be surveyed at every 24-month period. The size of the sample shall be decided by the [F24 CAA] based on the result of prior audits and earlier product surveys.

(d)

The [F24 CAA] shall confirm in writing any finding during those audits to the CAO.

(e)

The [F24 CAA] shall record any findings during those audits, any actions required to close the findings and any recommendations issued.

(f)

The [F24 CAA] shall convey a meeting with the accountable manager of the CAO at least once every 24 months.

Textual Amendments

F24 Word in Annex 5d point CAO.B.055 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(j)

CAO.B.060 Findings U.K.

(a)

When during audits or by any other means, evidence is found showing non-compliance to the Part-CAO requirements, the [F25 CAA] shall take the following actions:

(1)

for Level 1 findings, immediate action shall be taken by the [F25 CAA] to revoke, limit or suspend in whole or in part, depending upon the extent of the Level 1 finding, the CAO approval, until successful corrective action has been taken by the organisation; and

(2)

for Level 2 findings, the [F25 CAA] shall grant a corrective action period of no more than 3 months, appropriate to the nature of the finding — in certain circumstances, at the end of this first period and subject to the nature of the finding, the [F25 CAA] can extend this 3-month period subject to a satisfactory corrective action plan.

(b)

Action shall be taken by the [F25 CAA] to suspend in whole or in part the approval in case of failure to comply within the timescale set out by the [F25 CAA].

Textual Amendments

F25 Word in Annex 5d point CAO.B.060 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(j)

CAO.B.065 Changes U.K.

(a)

Upon receiving an application for a change in accordance with point (a) of point CAO.A.105, the [F26 CAA] shall verify the organisation's compliance with the applicable requirements before issuing the approval of the change.

(b)

The [F26 CAA] may indicate the conditions under which the CAO shall operate during the change unless the [F26 CAA] determines that the organisation's certificate shall be suspended because of the nature or extent of the changes.

(c)

For changes not requiring prior approval, the [F26 CAA] shall assess during the oversight activities that the CAO complies with the approved control procedure provided for in point (b) of point CAO.A.105 and complies with the applicable requirements.

Textual Amendments

F26 Word in Annex 5d point CAO.B.065 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(j)

CAO.B.070 Suspension, limitation and revocation U.K.

The [F27 CAA] shall:

Textual Amendments

F27 Word in Annex 5d point CAO.B.070 substituted (31.12.2020) by The Aviation Safety (Amendment) (EU Exit) Regulations 2020 (S.I. 2020/1116), regs. 1(2), 78(5)(j)

(a)

suspend an approval on reasonable grounds in the case of a potential safety threat; or

(b)

suspend, revoke or limit an approval pursuant to point CAO.B.060. ]]

Editorial Information

X1 Inserted by Corrigendum to Commission Implementing Regulation (EU) 2019/1383 of 8 July 2019 amending and correcting Regulation (EU) No 1321/2014 as regards safety management systems in continuing airworthiness management organisations and alleviations for general aviation aircraft concerning maintenance and continuing airworthiness management (Official Journal of the European Union L 228 of 4 September 2019).

Textual Amendments

F1 Inserted by Commission Implementing Regulation (EU) 2019/1383 of 8 July 2019 amending and correcting Regulation (EU) No 1321/2014 as regards safety management systems in continuing airworthiness management organisations and alleviations for general aviation aircraft concerning maintenance and continuing airworthiness management (Text with EEA relevance).