CHAPTER IVU.K. JOINT CERTIFICATION, OVERSIGHT AND ENFORCEMENT SYSTEM

Article 62U.K.Certification, oversight and enforcement

1.[F1The Secretary of State and the CAA must cooperate] to ensure compliance with this Regulation and with [F2regulations made under it].

2.To ensure compliance with this Regulation and with [F3regulations made under it, the CAA] shall:

(a)receive and assess the applications made to [F4the CAA], and, where applicable, issue or renew certificates and receive declarations made to [F4the CAA], in accordance with Chapter III;

(b)perform oversight of holders of certificates, of natural and legal persons that made declarations, and of products, parts, equipment, ATM/ANS systems and ATM/ANS constituents, flight simulation training devices and aerodromes subject to this Regulation;

(c)conduct the necessary investigations, inspections, including ramp inspections, audits and other monitoring activities to identify possible infringements by legal or natural persons subject to this Regulation of the requirements set out in this Regulation and in [F5regulations made under it];

(d)take all necessary enforcement measures, including amending, limiting, suspending or revoking certificates issued by [F6the CAA], grounding of aircraft and imposing penalties, in order to terminate identified infringements;

(e)prohibit, limit or make subject to certain conditions the activities referred to in Chapter III, in the interest of safety;

(f)ensure an appropriate level of qualification of [F7CAA] staff involved in certification, oversight and enforcement tasks, including by providing adequate training.

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[F10Where regulations made under] paragraph 15 so provide:

(a)aero-medical examiners, aero-medical centres and general medical practitioners shall be responsible for issuing the pilot medical certificates referred to in Article 21(1) and the air traffic controller medical certificates referred to in Article 49(1);

(b)cabin crew training organisations that have been issued an approval in accordance with Article 24 and aircraft operators that have been issued a certificate in accordance with Article 30 shall be responsible for issuing the cabin crew attestations referred to in Article 22.

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6.The oversight conducted by the [F12CAA] shall be continuous and based on priorities set in the light of the risks to civil aviation.

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8.The [F14CAA] shall manage and operate the tools and procedures necessary for the collection F15... and analysis of safety-related information obtained from ramp inspections referred to in point (c) of paragraph 2.

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12.The [F17CAA] shall undertake the necessary and effective actions to increase and promote awareness of civil aviation safety and disseminate safety related information relevant for the prevention of accidents and incidents.

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14.In order to ensure F19... compliance with [F20paragraphs 2, 4, 6 and 8] of this Article, with regard to the tasks of [F21the CAA] related to certification, oversight and enforcement under this Regulation, the [F22Secretary of State] shall, on the basis of the principles set out in Article 4 and with a view to achieving the objectives set out in Article 1, [F23make regulations] laying down detailed provisions concerning:

(a)the rules and procedures for conducting certification and for conducting the investigations, inspections, audits and other monitoring activities necessary to ensure effective oversight by the [F24CAA] of the natural and legal persons, products, parts, equipment, ATM/ANS systems and ATM/ANS constituents, flight simulation training devices and aerodromes subject to this Regulation;

(b)the rules and procedures for conducting ramp inspections by the [F25CAA] and for the grounding of aircraft when the aircraft, its operator or its aircrew do not comply with the requirements of this Regulation or with [F26regulations made under it];

(c)the rules and procedures in accordance with which the activities regulated in Chapter III may be prohibited, limited or subject to certain conditions in the interest of safety;

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(e)the rules and procedures for the accreditation by the [F28CAA] of a qualified entity for the purpose of Article 69.

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15.In order to ensure F30... compliance with [F31paragraphs 2, 4, 6 and 8] of this Article, with regard to the tasks of the [F32CAA] related to certification, oversight and enforcement under this Regulation, the [F33Secretary of State] shall, on the basis of the principles set out in Article 4 and with a view to achieving the objectives set out in Article 1, [F34make regulations] laying down detailed provisions concerning:

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(b)the rules and procedures for the qualifications of the [F36CAA] staff involved in certification, oversight and enforcement tasks and of the organisations involved in their training;

(c)the rules and procedures for the administration and management systems of the [F37CAA] relating to the exercise of the certification, oversight and enforcement tasks;

(d)in respect of paragraph 4 of this Article, the rules and procedures for allocation of responsibilities to aero-medical examiners and aero-medical centres for the purpose of issuing pilot medical certificates and air traffic controller medical certificates, as well as the conditions under which general medical practitioners are to be given such responsibilities, with a view to ensuring effective performance of the tasks related to medical certification of pilots and air traffic controllers;

(e)in respect of paragraph 4 of this Article, the rules and procedures for allocation of responsibilities to cabin crew training organisations and aircraft operators for the purpose of issuing cabin crew attestations, with a view to ensuring effective performance of the tasks related to certification of cabin crew.

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Textual Amendments

F39Article 63U.K.Pool of European aviation inspectors

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F40Article 64U.K.Reallocation of responsibility upon request of Member States

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F41Article 65U.K.Reallocation of responsibility upon request of organisations operating in more than one Member State

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F42Article 66U.K.Oversight support mechanism

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F43Article 67U.K.Validity and recognition of certificates and declarations

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Article 68U.K.Acceptance of third-country certification

1.[F44The CAA] may either issue the certificates provided for in this Regulation, and in [F45regulations made under it], on the basis of certificates issued in accordance with the laws of a third country, or accept certificates and other relevant documentation attesting compliance with civil aviation rules which were issued in accordance with the laws of a third country, where such possibility is provided for in:

(a)international agreements concerning the recognition of certificates concluded between the [F46United Kingdom] and a third country; [F47or]

(b)[F48regulations made under] paragraph 3; F49...

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2.In order to achieve and maintain confidence in the regulatory systems of third countries, the [F51CAA] shall be authorised to conduct the necessary technical assessments and evaluations of the laws of third countries and of foreign aviation authorities. For the purpose of conducting such assessments and evaluations, the [F51CAA] may conclude working arrangements in accordance with Article 90(2).

3.[F52The Secretary of State may make regulations] laying down detailed rules with regard to the acceptance of certificates and other documentation attesting to compliance with civil aviation rules issued in accordance with the laws of a third country and ensuring an equivalent level of safety to that provided for in this Regulation, including the conditions and procedures for achieving and maintaining the necessary confidence in regulatory systems of third countries.

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Article 69U.K.Qualified entities

1.[F53The CAA may allocate its tasks] related to certification and oversight under this Regulation to qualified entities that have been accredited in accordance with [F54regulations made under] point (e) of the first subparagraph of Article 62(14) as being compliant with the criteria set out in Annex VI.

[F55The CAA] shall establish a system for that accreditation and for the assessment of the compliance of qualified entities with those criteria, both at the moment of accreditation and continuously thereafter.

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2.[F57The CAA] shall amend, limit, suspend or revoke the accreditation of a qualified entity F58..., when that entity no longer complies with the criteria set out in Annex VI.

3.[F59The CAA may grant a qualified entity] a privilege to issue, renew, amend, limit, suspend and revoke certificates, or to receive declarations, on behalf of the [F60CAA]. That privilege shall be included in the scope of the accreditation.

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Article 70U.K.Safeguard provisions

1.This Regulation and the [F62regulations made under it] shall not prevent [F63the CAA] from reacting immediately to a problem relating to civil aviation safety, where all of the following conditions have been met:

(a)the problem involves a serious risk to aviation safety and immediate action by [F64the CAA] is required to address it;

(b)it is not possible for the [F65CAA] to adequately address the problem in compliance with this Regulation and with [F66regulations made under it];

(c)the action taken is proportionate to the severity of the problem.

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Article 71U.K.Flexibility provisions

1.[F69The CAA] may grant exemptions to any natural or legal person subject to this Regulation from the requirements applicable to that person pursuant to Chapter III, other than the essential requirements laid down in that Chapter, or to [F70regulations made under] that Chapter in the event of urgent unforeseeable circumstances affecting those persons or urgent operational needs of those persons, where all of the following conditions have been met:

(a)it is not possible to adequately address those circumstances or needs in compliance with the applicable requirements;

(b)safety, environmental protection and compliance with the applicable essential requirements are ensured, where necessary through the application of mitigation measures;

(c)the [F71CAA] has mitigated any possible distortion of market conditions as a consequence of the granting of the exemption as far as possible; and

(d)the exemption is limited in scope and duration to the extent strictly necessary and it is applied in a non-discriminatory manner.

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F74Article 72U.K.Information gathering, exchange and analysis

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F75Article 73U.K.Protection of the source of information

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F76Article 74U.K.Repository of information

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