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Document 52000PC0595

Proposal for a Regulation of the European Parliament and of the Council on establishing common rules in the field of civil aviation and creating a European Aviation Safety Agency

/* COM/2000/0595 final - COD 2000/0246 */

OJ C 154E , 29.5.2001, p. 1–40 (ES, DA, DE, EL, EN, FR, IT, NL, PT, FI, SV)

52000PC0595

Proposal for a Regulation of the European Parliament and of the Council on establishing common rules in the field of civil aviation and creating a European Aviation Safety Agency /* COM/2000/0595 final - COD 2000/0246 */

Official Journal 154 E , 29/05/2001 P. 0001 - 0040


Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on establishing common rules in the field of civil aviation and creating a European Aviation Safety Agency

(PRESENTED BY THE COMMISSION)

EXPLANATORY MEMORANDUM

1. Introduction

1.1. Background

1.1.1. Air transport in the Community has been progressively liberalised since 1988 and the Community market in this sector has evolved from a market based on bilateral agreements, with virtually no competition, towards a genuine open market based on the Treaty principles. Hence, air transport is governed by common rules, which address licensing, market access, pricing and the application of the competition rules. As a result, airlines and consumers have greatly benefited from this situation, which has led to job opportunities and the entry into the market of new operators.

1.1.2. As soon, however, as this process started the aviation community realised that a genuine air transport single market required also the establishment and uniform application of common rules in the fields of aviation safety and environmental protection in order to ensure a high level of protection for the European citizen and provide a level playing field for Community air operators. This, moreover, would facilitate the smooth functioning of the internal market for related products, persons and services, the patchwork of national regulations being frequently used to deprive them of the freedom of movement enshrined in the Treaty.

1.1.3. The current Community system is based on Regulation (EEC) No 3922/91 [1] on the harmonisation of technical requirements and administrative procedures in the field of civil aviation, and on the JAA (Joint Aviation Authorities) [2]. During recent years this has been criticised for not working properly for the effective and timely adoption or amendment of the necessary Community legislation, nor does this provide the necessary flexibility to cope with the day-to-day needs of the industry. This is due to several reasons:

[1] OJ L 373, 31.12.1991, p. 4.

[2] An informal organisation set up by the aviation authorities of a number of European countries in 1990. Currently the full members of the JAA are the 15 EC Member States and Iceland, Malta, Monaco, Norway and Switzerland. Candidates members to the JAA are: Bulgaria, Czech Republic, Cyprus, Estonia, Former Yugoslav Republic of Macedonia, Hungary, Latvia, Moldova, Poland, Slovakia, Romania, Slovenia and Turkey.

-First, although processed through the JAA consultation machinery, all rules of a general nature adopted in this framework need nevertheless to be processed again through the Community machinery for ensuring transparency and democratic control of rule-making. This not only introduces lengthy delays, but gives rise to controversy when some interested parties use this double procedure to re-open issues which were thought solved through the JAA process.

-Secondly the JAA harmonisation process being alien to the Community produces proposals, which, although certainly satisfactory in terms of safety, often contain provisions inconsistent with Community obligations and policies. This makes it impossible for the Community to adopt them as such and requires difficult screening and rephrasing so that they can be transposed without affecting their safety content.

1.1.4. Despite significant efforts by the JAA to streamline their own working methods, particularly in the framework of its "Agenda for Change", these shortcomings continue to exist.

1.1.5. In its communication on "The European Airline industry: from Single Market to World-wide Challenges" [3] the Commission identified problems which still prevent the internal market from developing completely: fragmentation of air traffic control (ATC), physical access to the market (allocation of slots), costs of infrastructure, the absence of an external dimension to aviation and the fragmentation of safety rules. Several actions are currently being developed to tackle these issues. This proposal is the response to overcome the difficulties in the technical field.

[3] COM(1999) 182 final, 20.5.1999.

1.1.6. Discussions within the Community, but also externally and within the JAA, showed that there was a need for a strong organisation with extended powers in all fields of civil aviation safety and the potential for taking over executive tasks currently exercised at national level when collective action appears more efficient. The European Parliament has also called on several occasions for the establishment of a single aviation safety regulatory authority [4]. In other words it was felt that a body comparable to the Federal Aviation Administration (FAA) in the United States should be created, with the prime task of ensuring a uniform high level of safety in Europe through the gradual integration of the national systems. This would also facilitate the free movement of aeronautical products, as well as persons and services, by making possible the automatic recognition, without any further requirements, of certificates and approvals issued by any duly authorised body on the basis of common requirements.

[4] For example, in its recent resolution: on the Communication from the Commission to the Council, the European Parliament, the Economic and Social Committee and the committee of the Regions "The European Airline Industry: from Single Market to World-wide Challenges". Minutes of 4 May 2000.

1.2. Recent work

1.2.1. To this end, on 16 July 1998 the Council adopted a decision authorising the Commission to open negotiations with States which are full members of the JAA other than European Community Member States, with a view to concluding an agreement establishing a European Aviation Safety Authority (EASA), which will have the legal form of an international organisation.

1.2.2. On the basis of this, a draft Convention was prepared by the Commission services, in cooperation with national experts, to set up an organisation capable of executing, in cooperation with its contracting parties' aviation authorities, all the tasks related to the regulation of civil aviation safety, and to exercise the necessary powers where collective action is more efficient than that of its individual members. Its scope was to encompass initially the design, production, maintenance and operation of aircraft and aeronautical products, as well as personnel and organisations involved. In a later stage it was to be enlarged to include the safety aspects of airport operations and air traffic management. Insofar as the normative rules and individual decisions adoptedP by this organisation were to be directly applicable, a system of judicial review would have to be set up (an EASA court of justice).

1.2.3. Although the draft Convention was considered to be what the sector needed, its institutional architecture would have required cumbersome ratification procedures; some Member States would have had to make some constitutional changes; as regards the Community, the Court of Justice opinion would have been a necessary prerequisite. Quite apart from the length of these procedures, there was no guarantee that this text could be ratified because of the political uncertainty about the willingness of the European Parliament and national parliaments to accept the wide delegation of executive powers it envisaged. Therefore, the Commission expressed concerns about the feasibility of such a system and suggested a further examination to see whether the same objectives could not be met by using the Community mechanisms and institutions.

1.2.4. At the invitation of the Council, the Commission presented a detailed analysis of a Community alternative [5] that would establish an authority capable of guaranteeing a high level of safety in Europe and work with the rapidity and efficiency needed. On this basis and following further work with national experts, the Council on its meeting of 26 June agreed that such an alternative, further elaborated in a Presidency working document, was the most practicable way forward. It therefore suggested that the Commission should make a proposal to put it in place as early as possible.

[5] Commission working document for the discussions within the Council on the creation of the European Aviation Safety Authority in the Community framework (COM(2000) 144 final, 21.3.2000).

2. The Community EASA

2.1. The objectives

2.1.1. As already agreed when setting the mandate for creating an EASA, the essential objective is to achieve a high uniform level of safety and environmental protection in the Community. Additional objectives would be the facilitation of free and fair competition in the Community; more efficient certification processes; and the world-wide promotion of European aviation standards.

2.1.2. The means to achieve such objectives are the formulation, approval and uniform application of all necessary regulations; the automatic recognition, without any further requirement or verification, of approvals granted in accordance with these regulations to products, organisations and personnel involved in civil aviation; and the establishment of a Community Agency able to undertake the related tasks.

2.2. The organisational concept

2.2.1 All interested parties have always recognised that the achievement of these objectives and the implementation of related means required the creation of a specialised agency, with a high level of expertise in all areas related to aviation safety and environmental protection. To be able also to play its role effectively in protecting public interests internally and promoting European views externally, it needs to be vested with real powers and enjoy the necessary independence. In short, the aeronautical community needs a strong and efficient agency able inter alia to carry out certification functions and to be a valid partner for foreign aeronautical authorities.

2.2.2. The exercise of executive powers and the control of implementation of rules and regulations is the prerogative of the Commission; such tasks may be delegated to another body only on the basis of rules limiting its discretion to a technical judgment within its sphere of competence.

2.2.3. To remain in line with this institutional architecture, it is necessary therefore that, in a Community EASA, the European Parliament and the Council set basic principles for regulation and essential requirements defining the level of safety and of environmental protection required by European citizens. At that level targets should be specified in sufficiently broad terms to allow innovation and competition and avoid standardising products and services. Such requirements, which do not change frequently, can be incorporated in the legislation creating the EASA itself.

The Commission proposal contains therefore, as a first step, such basic principles for the certification and maintenance of aeronautical products. It also prescribes essential requirements based on Annex 8 to the Chicago Convention, annexed to the proposal, and existing Community legislation applicable to environmental protection.

As for other fields falling within the scope of the Regulation, basic principles and essential requirements will have to be adopted in due course in accordance with the normal legislative process; related legislation will complement the present proposed Regulation. This will concern in particular the safety aspects of air operations, flight crew licensing, airport operations and air traffic management, although in these last two sectors, it is likely that common rules will be adopted only at a later stage when the current activities of the JAA are covered.

2.2.4. The way the essential requirements are to be implemented, in particular the procedure to be followed to obtain the necessary approvals, the privileges attached to such approvals, as well as applicable technical standards, can be adopted by the European Parliament and the Council or delegation can be given to the Commission to do so. It is likely that in areas where such rules are to be applied by Member States themselves, they will be adopted by the European Parliament and the Council. The Commission would then be given the capacity to complement them when they refer to very specific technical fields and to adapt them to scientific or technical progress; this may be the case for air operators' certification requirements or flight crew licensing.

For products, however, where centralised certification is needed and wanted, uniformity would be better achieved by such centralised certification than by detailed technical specifications. Moreover, in such a field where technology evolves rapidly it would be a mistake to over-specify technical details at legislative level. It is proposed therefore, a more practicable and flexible approach, in which, as already agreed in preparatory work in the Council, the Commission should be empowered to adopt the necessary implementing rules and when doing so it should not affect the technical discretion of the Agency in evaluating the conformity of product with the essential requirements. Implementing rules therefore are likely to be limited to procedural requirements such as those contained in JAR-21, while airworthiness codes such as JAR-25, JAR-E, JAR-APU etc. which are listed in Annex 2 to Regulation (EEC) No 3922/91 would be considered as acceptable means of compliance, similar to industrial standards, and therefore left to the Agency or to the industry where a true standardisation process is achievable - for parts in particular. However, in order to benefit from the expertise existing in Member States and to maintain a closeness with stakeholders, a fair balance has been agreed between functions that will be centralised at the Agency level and those that will remain within national administrations (individual certifications of planes, granting of pilot licenses etc.).

2.2.5. In such a framework the Agency can be empowered with the granting of certificates attesting the conformity of aeronautical products with the applicable essential requirements since it is a purely technical judgment. In order to give, however, guidance to the industry on how such judgment will be made the agency will develop in a transparent manner - by the proper and wide consultation of all interested parties (aerospace industry, air operators, workers, consumer representatives etc.) -technical specifications and guidance material, in particular acceptable means of compliance (airworthiness codes) and publish them. Such publication would not give them any binding status for applicants - providing so for the necessary flexibility - but it would oblige the Agency to justify any deviation from published documents limiting therefore its margin of discretion.

2.2.6. For maintenance finally, which is close to product certification but which implies the approval of organisations and personnel and where centralisation is not envisaged, a mixed approach is proposed whereby the Commission is empowered to adopt the implementing rules in a sufficiently detailed manner - based on JAR-145 - to ensure their uniform application at Member State level.

2.2.7. Because the Agency will be entitled to make decisions directly affecting individuals, it is necessary to foresee a judicial control mechanism. In order to avoid as much as possible that technical cases are presented to the Court of Justice, it is proposed to put in place a first instance specialised level of boards of appeal, as for the Office for Harmonisation in the Internal Market (OHIM).

2.2.8. This new structure and sharing of rules being significantly different from that established by Regulation (EEC) No 3922/91, it is proposed to repeal that Regulation. It is, however, necessary to retain some of its elements to ensure the proper functioning of the internal market. This is the case with automatic recognition of approvals granted by the Member States or the Agency in accordance with the Regulation and rules adopted for its application. It is also the case with Community review mechanisms designed to ensure that when the essential requirements or related implementing rules open the door to flexibility (acceptance of third-country approvals, immediate safety measures, variations, exemptions and equivalent safety findings) the Commission is given necessary powers to monitor this and adopt appropriate measures.

2.3. The Agency

2.3.1. Mandate

The Agency will be established as part of the Community system, it will be entitled to build on its expertise and carry out preparatory work in all areas covered by the Regulation; it may therefore develop international cooperation and research activities as appropriate. In all these fields the Agency should be entitled to formulate recommendations or opinions. More precisely:

-It will develop essential requirements and implementing rules applicable to aeronautical products, personnel and organisations and forward them to the Commission. The Commission will either propose them to the European Parliament and the Council or adopt them in the comitology framework as the case may be (see 2.2.3. and 2.2.4. above).

-It will develop and adopt acceptable means of compliance and guidance material, including airworthiness codes, for the application of the above rules. These are not mandatory but will serve as an indication of how compliance would be verified, leaving it up to those concerned to prove whether they satisfy the essential requirements and implementing rules by other acceptable means.

-It will conduct technical investigations and issue type certificates. The Agency can carry out these tasks itself, or allocate them to national administrations and the industry - so-called qualified entities - when they have showed that they possess the required capabilities.

-It will put in place a system of surveillance, including, in particular, the continuous monitoring of the airworthiness of the products for which it has issued type certificates (it encompasses Instructions for Continued Airworthiness, Design Changes including Approved Manuals, Service Bulletins, Airworthiness Directives, Repairs). This aims, on the one hand, at ensuring that the common rules are proportionate to the safety objectives to be achieved and, on the other, at triggering immediate action where necessary to preserve the safety of goods and persons. Such surveillance may lead either to amendment of the common rules or to the adoption of safety measures such as the suspension or withdrawal of licences or the modification of the conditions for issuing a type certificate (airworthiness directive).

-It will assist the Commission in monitoring the application of the common rules at national level. It will therefore create teams of experts for inspecting the national systems and checking their working methods. It will thus verify on the field that Community law is correctly implemented and applied; it will report back to the Commission, which could then decide whether to institute infringement proceedings when incorrect application of the common rules is detected. It will also assist the Commission in the implementation of the Community review mechanisms mentioned in paragraph 2.2.8..

-In the international field, it will be able to establish appropriate relations with international organisations and third-country aeronautical authorities with the view to harmonising rules and procedures in the context of working agreements concluded by the Commission with these bodies, and make the necessary recommendations to the Commission. It will also assist the Commission in the negotiation and implementation of bilateral or multilateral agreements.

-In the field of research, the Agency should have a budget for carrying out activities related strictly to its field of expertise. It may also take the appropriate initiative to coordinate its activities and those of the Community and of the Member States in this field.

2.3.2. Functioning

(a) Management bodies

2.3.2.1. Decisions on safety should be made without any political interference or national considerations, hence they should be taken by the Executive Director of the Agency. These decisions should be based on a codified process, to be developed by the Administrative Board, designed to ensure appropriate transparency and the right of all the affected parties to present their opinions while preserving the necessary commercial and personal secrecy.

2.3.2.2. As for the development of opinions (draft material for Community rule-making) and acceptable means of compliance, the Executive Director will be able to draw on available expertise, Member States could participate in the shaping of those rules, which are to be applied by their aeronautical authorities. As far as individual cases are concerned, the Executive Director will be given a wide margin of manoeuvre to seek the best expertise and get the advice it needs to make a neutral and independent decision. The Executive Director will also be responsible for the preparation and execution of the budget and the work programme of the Agency, and for all questions related to personnel.

2.3.2.3. With individual decisions being made exclusively by the Executive Director, but affecting Member States, it is preferred that the Executive Director is appointed by the Administrative Board on a proposal from the Commission, so as to have the necessary legitimacy.

2.3.2.4. An Administrative Board consisting of one representative of each Member State, the Commission and the European Parliament will be in charge of all administrative issues. It will adopt the work programme of the Agency, after approval from the Commission, and its budget at the beginning of the financial year and adapt it to the contributions and fees received. It will also adopt guidelines for the delegation of certification tasks to qualified entities after approval from the Commission, and develop procedures applicable to the decision-making process (see above). Finally, it will establish an advisory body of interested parties (aerospace industry, workers, consumer representatives, etc.) to be consulted before it takes decisions on budget, the work programme and procedures on transparency.

2.3.2.5. Finally, as mentioned earlier, it is proposed to establish one or several boards of appeal whose role is to verify whether the Agency has applied the implementing rules properly without going beyond the scope for technical appraisal which these texts allow (judicial review). Member States, however, may lodge a direct appeal before the Court of Justice of the European Communities against decisions of the Agency on type certification and inspections.

(b) Personnel

2.3.2.6. For carrying out the tasks described above, the Agency needs to have a sufficient number of high-quality staff, even if to conduct its certification duties it may be more efficient in a first stage to set up joint teams largely calling on experts from national administrations without having to recruit them. Persons are required to conduct the rule-making activities, organise the certification process and provide the necessary support to the Boards of Appeal. To that must be added additional personnel for the surveillance and inspections tasks, as well as to allow the Agency to fully play its role in the international arena. The number of staff the Agency might require would be around 150 persons.

2.3.2.7. The personnel of the Agency will be subject to the Staff Regulations applicable to Officials of the European Communities and the Conditions of Employment of Other Servants. It is envisaged that only a small number of these will be seconded from the Commission or the Member States to carry on management functions under temporary contract, as it is already the case for instance in the European Agency for the Evaluation of Medicinal Products (EMEA). The other personnel will be recruited on the basis of experience and merit from national administrations or the industry. Without prejudice to the need to ensure stable qualified staff in sufficient number, they will be hired on the basis of temporary renewable contracts, so as to ensure continuous renewal and that such personnel is abreast of technological developments.

(c) Budget

2.3.2.8 The Agency needs a budget allocation large enough to hire its personnel as described above; to conduct its certification tasks; to pay the members of the Boards of Appeal; to undertake research activities; and to have the common standards translated and published. For the first year this budget can be valued at roughly EUR 3 100 000. When fully operational the Agency will need a budget of circa EUR 28 700 000.

2.3.2.9. The Agency's budget will be financed to an extent by a subsidy from the Community, in particular as far as its contribution to legislative tasks and Community control is concerned. In order to ensure full transparency and complete evaluation of the Agency budget, in particular by the Community Budgetary Authority, it will be necessary to create a new budget line in the general Budget of the European Union. Services the Agency provides (such as certification, training and documentation) will be paid for by beneficiaries in the form of fees, which must be non-discriminatory and charged uniformly in all the States participating in the system. The level of these fees would have to be in line with international practice so as not to affect the competitiveness of the industry. It is proposed that the Commission adopts them. In the first four years, however, because it will be difficult to evaluate the exact contribution such fees and charges can make to the budget of the Agency, it is proposed that the Community subsidy may cover part of the expenditures related to such services. Consequently, the Community contribution might be EUR 3 100 000 the first year and increase progressively to EUR 10 600 000. Beyond 2006, the subsidy will, in principle, diminish in relation with the rule-making activity.

Of course, the Agency must put in place an appropriate set of rules and controls. The Administrative Board will be entitled to adopt the necessary measures, but the Agency will ultimately be subject to the supervision of the Court of Auditors.

(d) Language

2.3.2.10. The language regime should allow the Agency to work in an efficient and swift manner. Hence, all acceptable means of compliance and guidance material adopted by the Agency will be available only in English as it is the language commonly, if not exclusively, used for all technical documentation in the aeronautical industry. Therefore its use will maximise the process of standardisation while enhancing cost-effectiveness. The rights of third parties will be preserved to the extend that they can use the Community language of their choice in correspondence with the Agency and the Agency will be required to reply in the same language. By contrast, all preparatory material for future Community acts, to be adopted by the Commission, the Council or the European Parliament and the Council, will have to be available in all Community languages.

(e) Location

2.3.2.11. The Agency will need to be located in a convenient location, also for the working relation with the Community institutions with which it will develop close links. The location should also be easily accessible for all stakeholders. Taking into account such requirements and after evaluation of applications received, the Commission will propose to the competent authorities one or several locations. On the basis of such proposal, the competent authorities will have to set a location at the latest six months after the adoption of this Regulation. Besides, the Agency, as other Community agencies, can decide to establish regional offices in any Member State, with the assent of such Member State.

2.4. Participation by European States that are not members of the European Union

2.4.1. It is in the interest of Member States, European citizens and the industry to enjoy a high level of safety on as wide a geographical scale as possible. The long-standing cooperation between European countries in this field, in particular in the JAA, has always allowed European States that are not member of the EU to take part in the work and the decision-making process on an equal footing. It is therefore the intention to give the Community EASA a pan-European dimension and allow these countries to continue to participate as fully as possible.

2.4.2. Since this proposal gives decision-making powers to the Agency, other European countries cannot participate unless they fully adopt and apply the Community acquis in the fields covered by the scope of the Regulation. This is the case with the different agreements which the Community has concluded with Norway and Iceland (EEA) or is about to conclude with the central European countries (European Common Aviation Area, ECAA) and Switzerland. It is therefore possible for these countries to be associated in a Community EASA, subject to appropriate conditions to be set in the framework of these agreements, including financial contributions.

2.4.3. As regards the application in these States of the legislation adopted in the field covered by this Regulation, since it will form part of the "acquis communautaire" the various mechanisms provided in the agreements will be used. In these agreements, proper implementation and judicial review are generally the responsibility of national courts. These courts sometimes have the possibility (EEA et ECAA agreements) of requesting an interpretation from the Court of Justice of the European Communities, which would be a way of preserving uniform interpretation and application of the rules.

2.5. International cooperation

2.5.1 This new Community system will not work in isolation from other pan-European organisations such as ECAC (European Civil Aviation Conference) or Eurocontrol, or from other international organisations involved in the field covered by this Regulation, such as ICAO (International Civil Aviation Organisation). Its work and activities will be interdependent of those carried out in such organisations and should liase closely with them. The Agency will be entitled to undertake the necessary steps for early and close involvement of and cooperation with these organisations.

3. The choice of the legal basis

3.1. The legal basis of the proposed Regulation is Article 80 paragraph 2, which is consistent with the objective of the proposal and all the legislation adopted so far in the field of aviation, particularly where safety and environmental protection are concerned.

3.2. The chosen instrument, a Regulation, is justified because an effective Community system in this field calls for a harmonised and common regulatory framework, applied and enforced in an effective and uniform manner, to ensure fair competition and maintain high safety standards. Uniformity and efficiency would not be ensured by a less constraining legislative instrument.

4. Subsidiarity and proportionality: justification and value added

4.1 The objective of this proposal is to establish a high uniform level of safety in the Community by means of the formulation, approval and uniform application of all necessary aviation safety regulations, and to create a Community Aviation Safety Agency.

4.2. The current system has been criticised for not being able to ensure aviation safety oversight efficiently and in a cost-effective manner. The establishment of common rules and of an independent authority for the certification of aeronautical products would overcome those deficiencies. Indeed carrying out all executive tasks at a Community level will provide effective support for Community policies - particularly on air safety, harmonisation of conditions of competition and association with other European States - while easing the administrative and financial burden these tasks impose on the European industry. Thanks to a common system, applicants for certification of aeronautical products will have only one set of procedures to follow to get an approval, which would then be valid throughout the whole Community without restrictions or additional bureaucratic requirements. This is particularly important in view of the fact that Europe's main competitors' certification mechanisms, eg in the USA, are provided free of charge to the aircraft manufacturing industry.

4.3. The proposed legislative act limits itself to the minimum required to achieve the objectives defined above and does not exceed what is necessary to this end.

5. Comments on Articles

Chapter I

Principles

Article 1 - Scope

This Article specifies that the Regulation applies to all fields of civil aviation. State aircraft as defined in the Chicago Convention - i.e. aircraft involved in military, customs and police services - and persons and organisations involved in these activities are excluded, subject to their compatibility with the objectives of the Regulation.

Article 2 - Objectives

This Article defines the purpose of the Regulation. It aims at establishing a high, uniform level of protection of European citizens without imposing unnecessary burdens on the industry and users. The means to achieve it are the formulation, approval and uniform application of all necessary legislation, the automatic recognition, without any further requirement or verification, of approvals granted in accordance with these regulations to products, organisations and personnel, and the establishment of an Agency.

Article 3 - Definitions

This Article contains the definitions of the various terms used in the provisions of the proposed Regulation.

(a), (b), (c), (d), (e) and (f) "Continued oversight" "Chicago Convention", "product", "appliance", "certification" and "type certificate" are self explanatory; the reference date for the Chicago Convention can only be modified by a comitology procedure.

(g) The definition of "commercial transportation" excludes private transportation and more generally general aviation.

(h) The Agency will have the right to outsource its tasks to so-called "qualified entities". These, as defined in this Article, can be the national aviation authorities or even third parties such as manufacturers. The Agency, or more precisely its Administrative Board, will have to define a policy on the delegation of tasks to these entities, to be approved by the Commission.

Chapter II

Substantive requirements

Article 4 - Basic principles

This Article lays down the foundation for any regulatory activity affecting fundamental freedoms of persons. It establishes the principle of certification of products, organisations and personnel. Its content derives from, and is similar to that of, national aviation laws. It also recalls that if the Community may regulate third-country operators and crew when flying in the airspace of its Member States it shall respect their rights specified in applicable international Conventions. Accordingly, for example, certificates granted by third countries to their own citizen in accordance with the Chicago Convention should be accepted as specified in that Convention.

Article 5 - Essential requirements for airworthiness

This Article establishes that essential airworthiness requirements products must meet in order to be certified are those contained in Annex 8 to the Chicago Convention, annexed to the proposal, (paragraph 1). It empowers the Commission to adopt within a "comitology" procedure (paragraph 3) any additional rule (of a procedural or technical nature, as necessary) for the application of these requirements. Products must receive their certificates if they have been found airworthy according to Annex 8.

Article 6 - Essential requirements for environmental protection

Essential environmental requirements are already set in Council Directive 80/51/EEC (paragraph 1). The application of these requirements will have to be defined in implementing rules to be adopted by the Commission in comitology (paragraph 2).

Article 7 - Other basic principles and essential requirements

This Article indicates that basic principles and essential requirements concerning aspects, other than products, falling within the scope of this Regulation will be adopted in accordance with the applicable legislative process.

Article 8 - Recognition of certificates

This Article ensures that products, persons and organisations can freely circulate within the Community, as soon as they are recognised by one Member State as meeting the conditions set by the Regulation and derived implementing rules, by creating an obligation for other Member States to accept them without additional conditions. Besides, when the first recognition has been given for a particular purpose it cannot be subsequently recognised for other purposes, i.e. if a screw or rivet, which has been certified for use on a propeller for a particular type of aeroplane it cannot subsequently be certified for use on a helicopter rotor blade. It also recognises that, pending the adoption by the Community of the necessary legislation, products and derivatives may be certified in accordance with national legislation.

Article 9 - Acceptance of third-country proposals

This Article provides both for the possibility to derogate to the provisions of this Regulation in the framework of a mutual recognition agreement between the Community and a third country and for a simplified procedure: as long as the Community has not concluded such mutual recognition agreements. It is proposed in that later case that Member States be empowered to recognise the approvals granted to foreign products, organisations and personnel by a third country subject to an appropriate Community review procedure to verify that Community and other Member States interests are safeguarded.

Article 10 - Flexibility provisions

The objective of this Article is to introduce necessary flexibilities in the regulatory framework so as to cope with rare circumstances where Member States should be entitled, under their own responsibility, to adopt measures, subject to an appropriate Community review aimed at maintaining the overall consistency of the system. These circumstances are:

-The immediate safety case where an urgent action must be taken to avoid an accident or the recurrence of an accident. In such case Community review is made "ex post facto" and appropriate conclusions shall be drawn.

-The unforeseen urgent operational issue (for example an aircraft for which a special authorisation is required to fly back to its home base) or the operational need of a limited duration (for example the use of a replacement aircraft). In such case the Community review can be done "ex post facto" to verify whether such flexibility is not used to escape the obligations created by the regulator.

-The equivalent safety case where other means than those specified in the common rules can guarantee the same level of safety. In such a case the Community review must take place "ex-ante" in order to verify that the measure does not affect other objectives of the common rules, such as fair competition in the market, and if so allows all other parties to benefit from it.

Article 11 - Dissemination and protection of information

This Article ensures that the information collected in the field covered by this Regulation is confidential. Nevertheless, it ensures that this information will be available to each national civil aviation authority, which will use it for its day to day work and to the entities investigating civil aviation accidents and incidents. Other parties involved in the improvement of aviation safety such as research centres, training organisations or universities may also receive selected information for their own use. Release of this information will be made on a case by case and "need to know" basis. The legitimate interest of the public to be informed of the safety level of aviation will also be taken into account by the publication of specific regular review.

Chapter III

The European Aviation Safety Agency

Section I

Tasks

Article 12 - Establishment and functions of the Agency

This Article establishes the Agency and describes the functions it will carry out. It shall be able to develop its technical expertise and work in all matters covered by this Regulation in order to assist the Commission as necessary. The Agency will also be endowed with decision-making powers in the field of type certification and will be able to conduct investigations and inspections.

Article 13 - Typology of acts

This Article provides an exhaustive list of the types of acts the Agency may take. The Agency may take binding individual decisions by granting type certificates, by conducting inspections and investigations. In relation to general acts the Agency may issue non-binding materials e.g. airworthiness codes, and present opinions to the Commission on essential requirements and implementing rules, or following inspections or investigations, as well as in the areas of research and relations with third countries.

Article 14 - Development of opinions, acceptable means of compliance and guidance material

This Article relates to the role of the Agency in presenting opinions on essential requirements and implementing rules to the Commission to be adopted by itself in comitology or by the European Parliament and the Council in co-decision. The Agency may also issue non-binding material providing acceptable means of compliance (e.g. airworthiness codes) and guidance material.

Article 15 - Certification

This Article relates to the core activity of the Agency, namely the granting of type approval for products and appliances. To this end, the Agency is authorised to conduct itself or through qualified entities inspections, and to issue, modify, suspend or revoke type certificates.

Article 16 - Monitoring the application of rules

This Article requires the Agency to monitor the application of this Regulation in cooperation with the Commission, in particular of its Article 10 on flexibility.

Article 17 - Research

This Article requires the Agency to conduct research activities falling strictly within its field of competence and to coordinate with the Commission and the Member States. For this purpose the Agency must be endowed with the appropriate budget.

Article 18 - Relations with third countries

This Article gives the possibility to the Agency to assist the Commission in relations with third countries. It will be able, within the bounds of the working agreements established between the Commission and the aeronautical authorities of third countries or international organisations competent in the field of civil aviation, to discuss directly with them and send its contribution to the Commission. It will also assist the Commission in the negotiation and implementation of mutual recognition agreements. This Article also entitles the Agency to assist the Community and its Member States in their relations with third countries, this may cover technical cooperation, safety assessment of third-country aircraft, etc. as the Community and its Member States may decide.

Section II

Internal structure

Article 19 - Legal status, location, local offices

This Article specifies that the Agency is an independent body of the Community. The competent authorities will have to decide its location on a proposal from the Commission. The Agency, with the consent of the Member State concerned may have local offices in any Member State as required for its day to day work.

Article 20 - Staff

The Staff Regulations of the Community institutions will also apply to the staff of the Agency.

Article 21 - Privileges and immunities

This provision stipulates that, like the European Communities, the Agency should also benefit from the same privileges and immunities as set out in the Protocol on the Privileges and Immunities of the European Communities.

Article 22 - Liability

The regime of contractual and non-contractual liability of the Agency corresponds to the regime applicable to the Community by virtue of the Treaty, Article 288.

Article 23 - Languages

This Article specifies the language regime for the Agency. All opinions addressed to the Commission for possible future acts, to be adopted by the Commission, the Council or the European Parliament and the Council, will have to be available in all Community languages. All other non-binding acts of the Agency will be available only in English, the language commonly, if not exclusively, used for all technical documentation in the aeronautical industry.. The rights of third parties are preserved to the extent that they can use the Community language of their choice in correspondence with the Agency, and the Agency is required to reply in the same language. However, in some specific cases, third parties might have to provide some documentation in English as well.

Article 24 - Creation and powers of the Administrative Board

This Article lays down the powers of the Administrative Board, which forms part of the management bodies of the Agency. It has a supervisory function in appointing the Executive Director, in adopting the annual report, the work programme - after approval by the Commission - and in taking budgetary decisions. Moreover, it shall ensure that the Agency works with the necessary transparency and neutrality and shall adopt, therefore, procedures for decisions made by the Agency and guidelines, to be approved by the Commission, for the allocation of certification tasks to qualified entities. The Administrative Board shall also establish a body of interested parties (aerospace industry, air operators, workers, and consumer representatives) to be consulted at least before it takes decisions on budget issues, on the work programme, on rules on transparency.

Article 25 - Composition of the Administrative Board

This provision specifies that the Administrative Board will be composed of one representative of each Member State, one representative of the Commission, and one representative of the European Parliament.

Article 26 - Chairmanship of the Administrative Board

This Article specifies that the Administrative Board will elect its Chairman and Deputy Chairman.

Article 27 - Meetings

This Article provides for ordinary, as well as extraordinary meetings of the Administrative Board, which can be attended by the Executive Director, as well as by outside observers.

Article 28 - Voting

A two third majority will be required for decisions of the Administrative Board, with each member having one vote.

Article 29 - Functions and powers of the Executive Director

This provision sets out the functions and powers of the Executive Director. To be made free from any political interference or national consideration safety decisions are taken by the Executive Director of the Agency. The Executive Director is also the manager of the Agency, he is therefore responsible for the preparation and execution of the budget and of the working programme as well as for all questions related to personnel.

Article 30 - Appointment of senior officials

The Executive Director together with one or more Directors are appointed by the Administrative Board, which exercises disciplinary authority on the Executive Director. Appointments are made for a limited, renewable period.

Article 31 - Establishment and powers of the Boards of Appeal

This Article establishes Boards of Appeal in order to review individual decisions taken by the Agency as detailed in Article 35.

Article 32 - Composition of the Boards of Appeal

This Article stipulates in general that the members of the Board of Appeal will be drawn from a list established by the Commission in accordance with Article 33. More detailed provisions on the functioning of the Boards of Appeal will be adopted by the Commission in accordance with Article 53.

Article 33 - Independence of the members of the Board of Appeal

This Article provides for the clear separation of functions between the Boards of Appeal and the Agency, so as to allow for the independence of the members of the Board of Appeal in reviewing decisions of the Agency.

Article 34 - Exclusion and objection

This Article allows for the exclusion of members of the Board of Appeal having an interest in the appeal brought before them.

Article 35 - Decisions subject to appeal

This Article specifies the decisions, which are subject to appeal. These are the granting of type certificates, decisions taken in the context of an investigation and decisions related to fees. Appeals will have a suspensory effect only when decided by the Agency. Appeal shall be made against a final decision; intermediate appeal can be made only when provided by the decision.

Article 36 - Persons entitled to appeal

Any person may appeal against a decision addressed to that person or of direct and individual concern to him.

Article 37 - Time-limit and form

This Article sets out a two-month time-limit for appeals.

Article 38 - Interlocutory revision

This Article allows the responsible body of the Agency to rectify a decision subject to appeal, unless the appellant is opposed to another party and not the Agency. If the Agency has not revised its decision, the case is brought to the Board of Appeal with the possibility for the Agency to suspend its decision.

Article 39 - Examination of appeals

This Article specifies that the Board of Appeal may invite third parties to the appeal proceedings in order to determine that the appeal is well-founded.

Article 40 - Decisions on appeal

This Article provides that the Board of Appeal may conclude its examination either by taking a decision or by remitting the case to the competent body of the Agency. Nevertheless, in this last case, the Agency is bound by the reasoning of the Board.

Article 41 - Actions before the Court of Justice

This Article gives the possibility for review of the decisions of the Board of Appeal by the Court of Justice on the same grounds as those provided in the EU Treaty on review of Community acts (Article 230).

Article 42 - Representative

This Article mandates the designation of a procedural representative for non-Community persons.

Article 43 - Direct appeal

This Article enables Member States to lodge an appeal against decisions taken by the Agency on type certification and on inspections.

Section III

Working Methods

Article 44 - Procedures for the development of opinions, acceptable means of compliance and guidance material

This Article requires that transparent procedures are developed by the Administrative Board to regulate the Agency's rule-making with a view to ensuring the use of the relevant expertise, the proper and wide consultation of all interested parties (aerospace industry, air operators, workers, representatives of consumers, etc.), and the right of each Member State to be associated when the Agency is developing opinions on rules to be applied at their level.

Special procedures must also be developed to allow the Agency to take immediate actions in case of safety problems.

Article 45 - Individual decisions

This Article mandates similar transparent procedures in the case of individual decisions.

Article 46 - Investigating powers

This Article allows the Agency to undertake inspections and investigations for the application of this Regulation. The investigation tasks may also be allocated to qualified entities according to guidelines to be developed by the Administrative Board.

Article 47 - Inspection of Member States

The Agency will assist the Commission in monitoring the application of the Regulation and its implementing rules at national level. It will have at its disposal teams of inspectors for monitoring the national administrations and checking their working methods on its own initiative or at the Commission's request. The Agency will thus verify in the national administrations that Community law has been correctly implemented and applied; it will report back to the Commission, which could then decide whether to initiate infringement proceedings for incorrect application of the common rules and procedures. The Member States can appeal to the Court of Justice against the decision to inspect.

Article 48 - Investigation of undertakings

This Article authorises the Agency to conduct technical investigations required for purposes of Article 15 in order to issue the relevant certificates and ensure continued safety oversight.

Section IV

Financial Requirements

Article 49 - Budget

The Agency's budget could be financed to an extent by a subsidy from the Community. Also, services it provides (such as certification, training and documentation) may be paid for in the form of fees.

The Agency would need a budget allocation large enough to employ adequate and qualified personnel; to enable it to undertake research activities and have the common standards translated and published.

The Executive Directive will establish a preliminary draft budget to be adopted by the Board and then forwarded to the Commission, which will in turn process it in accordance with standard budgetary procedure.

Article 50 - Implementation and control of the budget

This Article specifies that the Executive Director will be responsible for the implementation of the budget. Financial control will be ensured by the Financial Controller of the Commission. The Court of Auditors will examine the Agency accounts and publish an annual report. The discharge of the Agency budget will be given by the Administrative Board to the Executive Director on recommendation of the European Parliament.

Article 51 - Financial provisions

This Article specifies that for the purpose of guiding the Agency in preparing and implementing the budget a Financial regulation will be adopted by the Administrative Board, after obtaining the agreement of the Commission and the opinion of the court of Auditors.

Article 52 - Fees regulation

This Article refers to the establishment of fees to be charged to applicants for the services they receive from the Agency. They shall be adopted by the Commission, which shall therefore adopt a regulation in accordance with Article 53 (Comitology).. When developing such regulation, the Commission shall ensure inter alia that fees are charged uniformly and without discrimination to all the States participating in the system. Although such fees should cover all the costs associated with the service provided, in a transitional period of four years, the Community subsidy could cover part of the expenses.

Chapter IV

Final provisions

Article 53 - Committee

This Article establishes one committee with two kind of procedures, a regulatory and a consultative one. This provision refers to Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission [6], in particular to Articles 3 and 5 of that Decision.

[6] OJ L 184, 17.7.1999.

Article 54 - Participation of European third countries

This Articles opens for the possibility for other European countries to participate in the work of the Agency within the framework of the different agreements which the Community has concluded or is about to conclude with the central European countries (European Common Aviation Area, ECAA), and the agreement with Switzerland and the EEA, whereby they are bound to fully apply the Community acquis in the field covered by this Regulation. The modalities of participation of these countries will be decided through the internal procedure foreseen by the above mentioned agreements.

Article 55 - Commencement of Agency's operation

This Article specifies that while the Regulation enters into force according to Article 56, the Agency will only be operational 12 months later, in order to give it sufficient time for its establishment.

Article 56 - Repeal

This Article specifies that while Regulation (EEC) No 3922/91 is repealed, products, persons and organisation which have already been approved according to that Regulation will still be able to circulate freely.

Article 57 - Entry into force

This Article lays down the date when the Regulation enters into force. However, the entry into force of each Articles 5, 6 and 7, will occur when the necessary rules are taken for their application.

2000/0246 (COD)

Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on establishing common rules in the field of civil aviation and creating a European Aviation Safety Agency

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty establishing the European Community, and in particular Article 80(2) thereof,

Having regard to the proposal from the Commission [7],

[7] OJ C

Having regard to the opinion of the Economic and Social Committee [8],

[8] OJ C

Having regard to the opinion of the Committee of the Regions [9],

[9] OJ C

Acting in accordance with the procedure laid down in Article 251 of the Treaty [10],

[10] OJ C

Whereas:

(1) A high uniform level of protection of the European citizen should at all times be ensured in civil aviation, by the adoption of common safety rules and by measures ensuring that products, persons and organisations operating in the Community comply with such rules and those adopted to protect the environment: this will contribute to facilitating the free movement of goods, persons and organisations in the internal market.

(2) As a consequence, aeronautical products must be subject to certification to verify their airworthiness and appropriate requirements should be developed to cover persons and organisations involved in aviation safety.

(3) The Convention on International Civil Aviation, signed in Chicago on 7 December 1944, already provides for minimum standards to ensure the safety of civil aviation. Third-country aircraft, air crew and air operators complying with such standards should enjoy the rights provided for by that Convention.

(4) Aeronautical products should be certified once they have been found airworthy according to Annex 8 of the Chicago Convention and in compliance with essential environmental requirements laid down by the Community in line with standards set pursuant to that Convention. The Commission should be empowered to develop the necessary implementing rules.

(5) In order to achieve the Community objectives as regards the freedom of movement of goods, persons and services, as well as those of the common transport policy, Member States should accept without further requirements or evaluation, products, organisations or persons certified in accordance with this Regulation and the implementing rules adopted for its application.

(6) Enough flexibility should be provided for addressing urgent circumstances such as urgent safety measures, unforeseen or limited operational needs, and provisions should also be made for reaching an equivalent safety level by other means. Member States shall be entitled to grant exemptions from the requirements of this Regulation and of its implementing rules, provided that they are strictly limited in scope and subject to appropriate Community control.

(7) The fulfilment of the objectives of this Regulation can be achieved through cooperation with third countries and in that event its provisions and those of related implementing rules may be adapted by mutual recognition agreements concluded by the Community with such third countries. In the absence of such agreements, Member States should nevertheless be allowed, subject to appropriate Community control, to recognise the approvals granted to foreign products, organisations and personnel by a third country.

(8) It is widely accepted that there is a need for better arrangements in all fields covered by this Regulation, so that certain tasks currently performed at Community or national level could be carried out by a specialised expert body. There is, therefore, a need within the Community's existing institutional structure and balance of powers, to establish a European Aviation Safety Agency which is independent in relation to technical matters and has legal, administrative and financial autonomy. To this end, it is necessary and appropriate that it should be a body of the Community having legal personality and exercising the implementing powers which are conferred on it by this Regulation.

(9) In order to properly assist the Community, the Agency should be allowed to develop its expertise in all aspects of aviation safety and environmental protection covered by this Regulation. It should assist the Commission in the preparation of the necessary legislation and assist the Member States and the industry in their implementation; it should be able to issue non-binding acceptable means of compliance and guidance material; it should also be able to make technical findings and issue type certificates for all aeronautical products; it should be given the necessary power and authority to fulfil such tasks; and it should assist the Commission in monitoring the application of this Regulation and of the implementing rules taken for its application and should be given the necessary authority to do so.

(10) In order to effectively control the functions of the Agency Member States, the Commission and the European Parliament should be represented within an Administrative Board entrusted with the necessary powers to establish the budget, verify its execution, adopt the appropriate financial rules, establish transparent working procedures for decision making by the Agency and appoint the Executive Director. It is also appropriate that the Agency be allowed to conduct research activities and to organise appropriate coordination with the Commission and the Member States. It is desirable that the Agency should assist the Community and its members States in the field of international relations, including the harmonisation of rules, mutual recognition of approvals and technical cooperation, and that it should be entitled to establish the appropriate relations with the aeronautical authorities of third countries and the international organisations competent in matters covered by this Regulation.

(11) Public interest requires the Agency to base its safety-related action solely on independent expertise, strictly applying this Regulation and the implementing rules adopted by the Commission for its application. To that end, all safety-related Agency decisions should be made by its Executive Director, who should be left with a high degree of flexibility as to how to seek advice and to organise the internal functioning of the Agency. When, however, the Agency has to develop drafts rules of a general nature to be implemented by national authorities, Member States should be involved in the decision-shaping process.

(12) It is necessary to ensure that parties affected by decisions made by the Agency enjoy the necessary legal remedies in a manner which is suited to the special character of aviation. An appropriate appeal mechanism should be set up so that decision of the Executive Director can be subject to appeal to a specialised Board of Appeal, whose decisions are, in turn, open to action before the Court of Justice of the European Communities.

(13) In order to guarantee the full autonomy and independence of the Agency, it is considered necessary to grant it an autonomous budget whose revenue comes essentially from a contribution from the Community and from fees paid by the users of the system. However, the Community budgetary procedure remains applicable as far as any subsidies chargeable to the general budget of the European Communities are concerned. Moreover, the auditing of accounts should be undertaken by the Court of Auditors

(14) In accordance with Article 2 of Council Decision 1999/468/EC of 28 June 1999 laying down the procedures for the exercise of implementing powers conferred on the Commission [11], measures for the implementation of this Regulation should be adopted by use of the advisory procedure provided for in Article 3 of that Decision or by use of the regulatory procedure provided for in Article 5 of that Decision, as the case may be.

[11] OJ L 184, 17.7.1999, p. 23.

(15) In accordance with the principles of subsidiarity and proportionality as set out in Article 5 of the Treaty, the objectives of the proposed action, namely the establishment of common rules in the field of aviation safety and environmental protection complying with the Chicago Convention and their permanent supervision by a European body created for that purpose, cannot be sufficiently achieved by the Member States and can therefore, by reason of the European-wide scope of this Regulation, be better achieved by the Community. This Regulation confines itself to the minimum required in order to achieve those objectives and does not go beyond what is necessary for that purpose.

(16) This Regulation establishes a more appropriate and comprehensive framework for the definition and implementation of common technical requirements and administrative procedures in the field of civil aviation. Council Regulation (EEC) No 3922/91 of 16 December 1991 on the harmonization of technical requirements and administrative procedures in the field of civil aviation [12] should therefore be repealed, without prejudice to the certification of products, persons and organisations already performed in accordance with that Regulation.

[12] OJ L 373, 31.12.1991, p. 4: Regulation as last amended by Regulation (EC) No 1069/1999 (OJ L 130, 26.5.1999, p. 16).

(17) It has been widely recognised that a wide involvement of European countries not Members of the European Union should be pursued, so as to ensure a proper pan-European dimension in order to facilitate the improvement of aviation safety throughout Europe. Only those European countries that have concluded agreements with the Community to fully adopt and apply the Community acquis in the field covered by this Regulation can be associated with its work according to conditions to be agreed in the framework of such agreements,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

PRINCIPLES

Article 1

Scope

1. This Regulation shall be applicable to:

(a) the design, production, maintenance and operation of aeronautical products and appliances;

(b) personnel and organisation involved in the tasks described in point (a);

(c) products, personnel and organisations involved in air navigation facilities.

It shall not apply when such products and appliances, personnel and organisations are engaged in military, customs or police operations.

2. Each Member State shall ensure that military, customs or police operations are compatible with the objectives of this Regulation.

Article 2

Objective

1. The principal objective of this Regulation is to establish a high uniform level of aviation safety in Europe.

2. Additional objectives are, in the fields covered by this Regulation:

(a) to facilitate the free movement of goods, persons and services;

(b) to promote cost-efficiency in the regulatory and certification processes;

(c) to ensure a common interpretation of the provisions and Annexes of the Chicago Convention dealing with subjects covered by this Regulation, in order to facilitate their uniform implementation in the Community; and

(d) to promote Community views of aviation safety standards and rules throughout the world by establishing appropriate cooperation with third countries and international organisations.

3. The means of achieving the objectives set out in paragraphs 1 and 2 shall be:

(a) the preparation, adoption and uniform application of all necessary acts;

(b) the recognition without additional requirements of certificates, licences, approvals or other documents granted to products, personnel and organisations in accordance with this Regulation and implementing rules taken for its application;

(c) the establishment of a European Aviation Safety Agency.

Article 3

Definitions

1. For the purpose of this Regulation:

(a) "continuing oversight" shall mean the tasks to be conducted to verify that the conditions under which a certificate has been granted continue to be fulfilled at any time during its period of validity, as well as the taking of any safeguard measure;

(b) "Chicago Convention" shall mean the Convention on International Civil Aviation and its annexes, signed in Chicago on 7 December 1944, as subsequently amended, as in force and as applicable to all Member States at the entry into force of this Regulation;

(c) "product" shall mean an aircraft, engine or propeller;

(d) "appliance" shall mean any instrument, equipment, mechanism, apparatus or accessory used or intended to be used in operating an aircraft in flight, whether installed in, intended to be installed in, or attached to, an aircraft, but without forming part of an airframe, engine or propeller;

(e) "certification" shall mean any form of recognition that a product, organisation or person complies with the applicable requirements including the provisions of this Regulation and the implementing rules taken for its application, as well as the issuance of the relevant certificate, licence, approval or other document attesting such compliance;

(f) "type certificate" shall mean a document which certifies that the type of products or appliance complies with the provisions of this Regulation and any implementing rules taken for its application;

(g) "commercial transportation" shall mean carriage performed by aircraft of passengers, mail and/or cargo for remuneration and/or hire;

(h) "qualified entity" shall mean a body - whether national aviation authority or any other legal person - which may conduct certification tasks under the control and the responsibility of the Agency.

2. In accordance with the procedure referred to in Article 53(3), Articles 3(1)b and 5(1) of this Regulation may be adapted and its Annex may be amended, in order to apply, for the purpose of this Regulation, subsequent amendments to the Chicago Convention, which enter into force after the adoption of this Regulation and which become applicable in all Member States.

CHAPTER II

SUBSTANTIVE REQUIREMENTS

Article 4

Basic principles

1. Products and appliances shall not be used in the territory of the Member States unless they are certified as complying with the provisions of this Regulation relating to airworthiness and those relating to environmental protection.

2. Paragraph 1 shall apply to third-country aircraft, organisations and personnel without prejudice to their rights as specified in applicable international Conventions and to the Chicago Convention.

Article 5

Essential requirements for airworthiness

1. Products and appliances shall be considered as airworthy if they meet the standards prescribed in parts 1, 3 and 4 of Annex 8 to the Chicago Convention shown in the Annex to this Regulation, and if they are maintained in such a way that flight safety continues to be ensured.

2. When products and appliances have been shown to be airworthy and maintained in accordance with paragraph 1, the appropriate certificate shall be granted. Such a certificate shall include the conditions under which products and appliances are allowed to operate and their conditions of maintenance.

3. The Commission shall adopt, in accordance with the procedure laid down in Article 53(3), the implementing rules for the application of paragraphs 1 and 2 specifying the conditions under which products and appliances are certified and maintained.

Article 6

Essential requirements for environmental protection

1. Products and appliances shall be subject to noise certification in accordance with the provisions of Council Directive 80/51/EEC [13].

[13] OJ L 18, 24.1.1980, p. 26; Directive as amended by Directive 83/206/EEC (OJ L 117, 4.5.1983, p. 15).

2. The Commission shall prescribe the necessary implementing rules for the certification referred to in paragraph 1 in accordance with the procedure laid down in Article 53(3).

Article 7

Other basic principles and essential requirements

With regard to the basic principles and essential requirements for the fields covered by points (b) and (c) of Article 1(1), the Commission shall, where appropriate and as soon as possible, submit proposals thereon to the European Parliament and the Council for adoption on the basis of Article 80(2) of the Treaty.

Article 8

Recognition of certificates

1. Member States shall, without further technical requirements or evaluation, recognise the certificates issued in accordance with this Regulation. When the original recognition is for a particular purpose, or purposes, any subsequent recognition shall only cover the same purpose(s).

2. Pending the adoption of the necessary implementing rules and without prejudice to Article 56, certificates which cannot be issued in accordance with this Regulation may be issued on the basis of the current national regulations.

Article 9

Acceptance of third-country approvals

1. By way of derogation from the provisions of this Regulation and the rules adopted for its implementation, Member States or the Agency may issue certificates on the basis of certificates issued by aeronautical authorities of a third country, as provided for in mutual recognition agreements between the Community and that country.

2. In the absence of any mutual recognition agreement, where a Member State intends to issue certificates on the basis of certification issued by the competent authorities of a third country, it shall notify the Commission and the Member States of the scope and the detailed conditions under which the certificates should be issued.

The Commission may, in accordance with the procedure laid down in Article 53(2), require a Member State to modify the certificates it proposes to issue, or may require it not to issue such certificates if, within three months of the notification, the Commission considers that:

(a) the conditions under which such certificates would be issued do not provide a level of safety equivalent to that specified by this Regulation and the rules taken for its application; and/or

(b) such certificates would give an unfair advantage to a third country, or are contrary to Community policy vis-à-vis such third country.

Certificates issued on the basis of the first subparagraph shall expire upon the entry into force of an agreement between the Community and the third country in question, but not later than two years after the issuance of such certificates. Upon request by the Member State concerned, in respect of the issuance of any certificates, the Commission may, in accordance with the procedure laid down in Article 53(2), authorise the extension of such two-year period as appropriate, provided that the circumstances envisaged in the second subparagraph do not obtain.

Article 10

Flexibility provisions

1. The provisions of this Regulation and of rules adopted for its implementation shall not prevent a Member State from reacting immediately to a safety problem which involves a product, a person or an organisation subject to the provisions of this Regulation. In such a case the Member State shall notify to the Commission and to the other Member States the measures taken and the reasons therefor.

2. The Commission shall decide, in accordance with the procedure referred to in Article 53(3), whether an inadequate level of safety or a shortcoming in this Regulation or the rules adopted for its application justify the continuing application of the measures adopted pursuant to paragraph 1. In that event, it shall also take the necessary steps to amend the related rule. If the Member State's measures are found not to be justified, the Member State shall revoke the measures in question.

3. Member States may grant exemptions from the substantive requirements laid down in this Regulation and the rules adopted for its implementation in the event of unforeseen urgent operational circumstances or operational needs of a limited duration. In these cases the Commission and the other Member States shall be notified as soon as possible.

4. The Commission, acting in accordance with the procedure referred to in Article 53(3), may decide that exemptions granted under paragraph 3 do not comply with the objectives of this Regulation, or some other rule of Community law. In such a case the Member State shall revoke the exemption.

5. In circumstances where a safety level equivalent to that attained by the application of the implementing rules for Articles 4 to 7, can be achieved by other means, Member States may, without discrimination on grounds of nationality of the applicants and having regard to the need not to distort competition, grant approval derogating from those Articles. In such cases, the Member State concerned shall notify the Commission before granting such approval and shall give reasons demonstrating the need to derogate, as well as the conditions foreseen to ensure that an equivalent level of safety is achieved.

6. The Commission, acting in accordance with the procedure referred to in Article 53(3), shall decide whether a proposed approval affords an equivalent level of safety and can be granted. In such a case, it will notify its decision to all Member States, which shall also be entitled to apply that measure. The relevant implementing rules may also be amended to reflect such a measure. The provisions of Article 8 shall apply to the measure in question.

Article 11

Dissemination and protection of information

1. The information collected during the application of this Regulation by the Commission, the Agency, and national aviation authorities shall be confidential and subject to Directive 95/46/EC of the European Parliament and of the Council [14].

[14] OJ L 281, 23.11.1995, p. 31.

2. The Commission, the Agency, national aviation authorities and any entity entrusted under Council Directive 94/56/EC [15] with the investigation of civil aviation accidents and incidents within the Community shall have access to information referred to in paragraph 1.

[15] OJ L 319, 12.12.1994, p. 14.

3. The Commission may, in accordance with the procedures referred to in Article 53(3), decide on the release of selected information to interested parties. Such decisions, which may be generic or individual, shall be based on the need:

(a) to provide persons and organisations with the information they need to improve aviation safety; and

(b) to limit the dissemination of information to what is strictly required for the purpose of its users.

4. In order to inform the public of the general safety level, a safety review shall be published annually by the Agency.

CHAPTER III

THE EUROPEAN AVIATION SAFETY AGENCY

Section I

Tasks

Article 12

Establishment and functions of the Agency

1. For the purpose of the implementation of this Regulation, a European Aviation Safety Agency, hereinafter referred to as "the Agency", is established.

2. In order to ensure the proper functioning and development of aviation safety the Agency shall:

(a) undertake any task and formulate opinions on all matters covered by this Regulation;

(b) assist the Commission by preparing measures to be taken for the implementation of this Regulation and provide it with the necessary technical, scientific and administrative support to exercise its tasks;

(c) adopt the necessary acts within the powers conferred to it by this Regulation or any applicable Community legislation;

(d) conduct inspections and investigations as necessary to fulfil its tasks.

Article 13

Typology of acts

The Agency may adopt the following:

(a) opinions addressed to the Commission;

(b) non-binding acceptable means of compliance and any guidance material for the application of this Regulation and of the rules for its implementation;

(c) decisions for the application of Articles 15, 46 and 47.

Article 14

Development of opinions, acceptable means of compliance and guidance material

1. In order to assist the Commission in the preparation of proposals for basic principles and essential requirements to be presented to the European Parliament and to the Council and the adoption of the necessary implementing rules, including those applicable to products and appliances foreseen in Articles 5(3) and 6(2), the Agency shall prepare drafts thereof. These drafts shall be submitted by the Agency as opinions to the Commission.

2. The Agency shall, in strict compliance with this Regulation and the implementing rules adopted by the Commission for its implementation, in accordance with Article 44, develop non binding acceptable means of compliance and guidance material to be used in the certification process.

Article 15

Certification

With regard to products and appliances, the Agency shall:

(a) conduct, itself or through qualified entities, technical inspections required to check that their type is airworthy, in accordance with the rules adopted in respect of the design of products and appliances according to the conditions set in the implementing rules adopted pursuant to Article 5(3).

(b) issue the appropriate type certificates, including the certification of design organisations according to the conditions set out in the implementing rules adopted pursuant to Article 5(3), and ensure continuing oversight.

(c) modify, suspend or revoke the relevant type certificate if a legal or natural person fails to fulfil the obligations imposed on it by this Regulation or rules adopted for its implementation.

(d) react immediately to any safety problem for products and appliances it has certified; in such cases, the procedures referred to in Article 10, paragraphs 1 and 2, shall apply.

Article 16

Monitoring the application of rules

1. The Agency shall conduct inspections to verify the application by the Member States of this Regulation and of any implementing rules adopted by the Commission, and shall report to the Commission.

2. The Agency shall conduct technical investigations into the application of Article 10 and any rules adopted for the implementation of this Regulation, subject to requirements to be adopted in accordance with the procedure referred to in Article 53(2).

Article 17

Research

1. The Agency may develop and finance research activities strictly relating to the improvement activities in its field of competence, without prejudice to the applicable Community law.

2. The Agency shall coordinate its research and development activities with those of the Commission and the Member States so as to ensure that policies and actions are mutually consistent.

Article 18

Relations with third countries

1. The Agency may assist the Community and its Member States in their relations with third countries in accordance with the relevant Community legislation. It shall, in particular, upon request, assist the Commission in its negotiations for the harmonisation of the relvant rules and for the mutual recognition of approvals attesting the satisfactory application of rules.

2. The Agency may cooperate with the aeronautical authorities of third countries and the international organisations competent in matters covered by this Regulation in the framework of working arrangements concluded by the Commission with those bodies.

Section II

Internal structure

Article 19

Legal status, location, local offices

1. The Agency shall be a body of the Community. It shall have legal personality.

2. In each of the Member States, the Agency shall enjoy the most extensive legal capacity accorded to legal persons under their laws. It may in particular, acquire or dispose of movable and immovable property and may be a party to legal proceedings.

3. The location of the Agency shall be decided by the competent authorities, at the latest six months after the adoption of this Regulation, on a proposal from the Commission. With the consent of the Administrative Board referred to in Article 24, the Agency may establish its own local offices in the Member States, subject to their consent.

4. The Agency shall be represented by its Executive Director.

Article 20

Staff

1. The Staff Regulations of Officials of the European Communities, the Conditions of Employment of Other Servants of the European Communities and the rules adopted jointly by the institutions of the European Communities for purposes of the application of those Staff Regulations and conditions of Employment shall apply to the staff of the Agency, without prejudice to the application of Article 33 of this Regulation to the members of the Board of Appeal.

2. Without prejudice to Article 30, the powers conferred on the appointing authority by the Staff Regulations, and by the Conditions of Employment of Other Servants, shall be exercised by the Agency in respect of its own staff.

3. The Agency's staff shall consist of a strictly limited number of officials assigned or seconded by the Commission or Member States to carry out management duties. The remaining staff shall consist of other employees recruited by the Agency for a period strictly limited to its requirements.

Article 21

Privileges and immunities

The Protocol on the Privileges and Immunities of the European Communities shall apply to the Agency.

Article 22

Liability

1. The contractual liability of the Agency shall be governed by the law applicable to the contract in question.

2. The Court of Justice of the European Communities shall have jurisdiction to give judgment pursuant to any arbitration clause contained in a contract concluded by the Agency.

3. In the case of non-contractual liability, the Agency shall, in accordance with the general principles common to the laws of the Member States, make good any damage caused by its departments or by its servants in the performance of their duties.

4. The Court of Justice shall have jurisdiction in disputes relating to compensation for the damage referred to in paragraph 3.

5. The personal liability of its servants towards the Agency shall be governed by the provisions laid down in the Staff Regulations or Conditions of Employment applicable to them.

Article 23

Languages

1. English shall be the working language of the Agency. Opinions addressed to the Commission for the application of Article 14(1) shall be presented in all official languages of the Community. Acceptable means of compliance and guidance material for the application of Article 14(2) shall be available in English. Applications to the Agency for certification, the documents required to process such applications and all other papers submitted may be filed in one of the official languages of the Community and, when so required by the relevant rule, in English. Individual decisions and procedures linked to such application shall be available in the language used by the addressee.

2. The translation services required for the functioning of the Agency shall be provided by the Translation Centre of the Bodies of the Union.

Article 24

Creation and powers of the Administrative Board

1. An Administrative Board is hereby set up.

2. The Administrative Board shall:

(a) appoint the Executive Director in accordance with Article 30;

(b) before 31 March each year, adopt the general report of the Agency for the previous year and forward it to the European Parliament, the Council, the Commission and the Member States;

(c) before 30 September each year, and after approval from the Commission, adopt the Agency's programme of work for the coming year and forward it to the European Parliament, the Council, the Commission and the Member States;

(d) adopt guidelines for the allocation of certification tasks to qualified entities after approval from the Commission;

(e) establish procedures for making decisions by the Executive Director as referred to in Articles 44 and 45;

(f) carry out its functions relating to the Agency's budget pursuant to Articles 49, 50 and 51;

(g) appoint the members of the Board of Appeal pursuant to Article 33;

(h) exercise disciplinary authority over the officials referred to in Article 30(1) and (3).

3. The Administrative Board shall establish an advisory body of interested parties, which it shall consult prior to making decisions in the fields referred in points (c), (e) and (f) of paragraph 2.

Article 25

Composition of the Administrative Board

The Administrative Board shall be composed of one representative of each Member State, one representative of the Commission and one representative appointed by the European Parliament, and their alternates. The duration of the terms of office shall be five years. This term of office shall be renewable.

Article 26

Chairmanship of the Administrative Board

1. The Administrative Board shall elect a chairman and a Deputy Chairman from among its members. The Deputy Chairman shall ex-officio replace the Chairman in the event of his being prevented from attending to his duties.

2. The terms of office of the Chairman and Deputy Chairman shall expire when their respective membership of the Administrative Board ceases. Subject to this provision, the duration of the terms of office of the Chairman or Deputy Chairman shall be three years. These terms of office shall be renewable.

Article 27

Meetings

1. Meetings of the Administrative Board shall be convened by its Chairman.

2. The Executive Director of the Agency shall take part in the deliberations.

3. The Administrative Board shall hold an ordinary meeting once a year; in addition it shall meet at the instance of the Chairman or at the request of the Commission or of one-third of the Member States.

4. The Administrative Board may invite observers to attend its meetings.

5. The secretariat for the Administrative Board shall be provided by the Agency.

Article 28

Voting

1. The Administrative Board shall take its decisions by a two-thirds majority.

2. Each member shall have one vote. The Executive Director of the Agency shall not vote.

Article 29

Functions and powers of the Executive Director

1. The Agency shall be managed by its Executive Director, who shall be completely independent in the performance of his/her duties. Without prejudice to the respective competencies of the Commission and the Administrative Board, the Executive Director shall neither seek nor take instructions from any government or from any other body.

2. The Executive Director shall have the following functions and powers:

(a) He/she shall adopt the acts of the Agency as defined in Article 13 within the limits specified by this Regulation, the rules adopted for its implementation and any applicable law.

(b) He/she shall decide on inspections and investigations as provided for in Articles 47 and 48.

(c) He/she shall allocate certification tasks to qualified entities according to guidelines set by the Administrative Board.

(d) He/she shall undertake any international functions and technical cooperation with third countries pursuant to Article 18.

(e) He/she shall take all necessary steps, including the adoption of internal administrative instructions and the publication of notices, to ensure the functioning of the Agency in accordance with the provisions of this Regulation.

(f) He/she shall prepare each year a draft general report and submit it to the Administrative Board.

(g) He/she shall exercise in respect of the staff the powers laid down in Article 20(2).

(h) He/she shall draw up estimates of the revenues and expenditure of the Agency pursuant to Article 49, and shall implement the budget pursuant to Article 50.

(i) He/she may delegate his/her powers to other members of the Agency's staff subject to rules to be adopted in accordance with the procedure referred to in Article 53(2).

Article 30

Appointment of senior officials

1. The Executive Director of the Agency shall be appointed or dismissed by the Administrative Board on a proposal from the Commission.

2. The term of office of the Executive Director shall be five years. This term of office shall be renewable.

3. The Executive Director may be assisted by one or more Directors. If the Executive Director is absent or indisposed, one of the Directors shall take his/her place.

4. The Directors of the Agency shall be appointed or dismissed as provided for in paragraphs 1 and 2, after consultating the Executive Director.

Article 31

Establishment and powers of the Boards of Appeal

1. One or more Boards of Appeal shall be established within the Agency.

2. The Board or Boards of Appeal shall be responsible for deciding on appeals against the decisions referred to in Article 35.

3. The Board or Boards of Appeal shall be convened as necessary. The number of Boards of Appeal and the work allocation shall be determined by the Commission according to the procedure referred to in Article 53(2).

Article 32

Composition of the Boards of Appeal

1. A Board of Appeal shall consist of a Chairman and two other members.

2. The Chairman shall select for each case the other members and their respective alternates from the list of qualified members established pursuant to Article 33(1).

Where the Board of Appeal considers that the nature of the appeal so requires, it may call up to two further members from the aforesaid list for that case.

3. The qualifications required for the members of each Board of Appeal, the powers of individual members in the preparatory phase of the decisions and the voting conditions shall be determined by the Commission according to the procedure referred to in Article 53(2).

Article 33

Independence of the members of the Boards of Appeal

1. The members of the Boards of Appeal, as well as their Chairmen and their respective alternates shall be appointed by the Administrative Board from a list of candidates which shall be proposed by the Commission. The term of office shall be five years. It shall be renewable.

2. The members of the Boards of Appeal shall be independent. In making their decisions they shall not be bound by any instructions.

3. The members of the Boards of Appeal may not perform any other duties in the Agency. The function of the members of the Boards of Appeal may be a part-time function.

4. The members of the Boards may not be removed either from office or from the list during their respective terms, unless there are serious grounds for such removal and the Court of Justice, on application by the Commission after obtaining the opinion of the Administrative Board, takes a decision to this effect.

Article 34

Exclusion and objection

1. Members of the Boards of Appeal may not take part in any appeal proceedings if they have any personal interest therein, or if they have previously been involved as representatives of one of the parties to the proceedings, or if they participated in the decision under appeal.

2. If, for one of the reasons mentioned in paragraph 1 or for any other reason, a member of a Board of Appeal considers that he/she should not take part in any appeal proceedings, he shall inform the Board of Appeal accordingly.

3. Members of the Boards of Appeal may be objected to by any party to the appeal proceedings on any of the grounds mentioned in paragraph 1, or if suspected of partiality. An objection shall not be admissible if, while being aware of a reason for objecting, the party to the appeal proceedings has taken a procedural step. No objection may be based on the nationality of members.

4. The Boards of Appeal shall decide as to the action to be taken in the cases specified in paragraphs 2 and 3 without the participation of the member concerned. For the purposes of taking this decision, the member concerned shall be replaced on the Board of Appeal by his alternate.

Article 35

Decisions subject to appeal

1. An appeal may be brought against decisions of the Agency which have been taken pursuant to Article 15 or Article 48, as well as against decisions relating to the fees pursuant to Article 52.

2. An appeal lodged pursuant to paragraph 1 shall not have suspensory effect. The Agency may, however, if it considers that circumstances so permit, suspend the application of the contested decision.

3. An appeal against a decision which does not terminate proceedings as regards one of the parties may only be made in conjunction with an appeal against the final decision, unless the decision provides for separate appeal.

Article 36

Persons entitled to appeal

Any natural or legal person may appeal, subject to Article 42, against a decision addressed to that person, or against a decision which, although in the form of a decision addressed to another person, is of direct and individual concern to the former. The parties to proceedings may be party to the appeal proceedings.

Article 37

Time-limit and form

The appeal, together with the statement of grounds thereof, shall be filed in writing at the Agency within two months of the notification of the measure to the person concerned, or, in the absence thereof, of the day on which it came to the knowledge of the latter, as the case may be.

Article 38

Interlocutory revision

1. If the body of the Agency which has prepared the decision considers the appeal to be admissible and well-founded, the Agency shall rectify the decision. This shall not apply where the appellant is opposed to another party to the appeal proceedings.

2. If the decision is not rectified within one month after receipt of the statement of grounds for the appeal, the Agency shall forthwith decide whether or not to suspend the application of the decision pursuant to the second sentence of Article 35(2), and shall remit the appeal to the Board of Appeal.

Article 39

Examination of appeals

1. If the appeal is admissible, the Board of Appeal shall examine whether the appeal is well-founded.

2. When examining the appeal, the Board of Appeal shall as often as necessary invite the parties to the appeal proceedings to file observations on notifications issued by itself or on communications from the other parties to the appeal proceedings, within specified time-limits. Parties to the appeal proceedings shall be entitled to make oral presentations.

Article 40

Decisions on appeal

The Board of Appeal may exercise any power which lies within the competence of the Agency, or it may remit the case to the competent body of the Agency. The latter shall be bound by the decision of the Board of Appeal.

Article 41

Actions before the Court of Justice

1. Actions may be brought before the Court of Justice against decisions of the Boards of Appeal on appeals.

2. The action may be brought on grounds of lack of competence, infringement of an essential procedural requirement, infringement of the Treaty, of this Regulation or of any rule of law relating to its application, or misuse of power.

3. The Court of Justice has jurisdiction to annul or to alter the contested decision.

4. The action shall be open to any party to proceedings before the Board of Appeal adversely affected by its decision.

5. The action shall be brought before the Court of Justice within two months of the date of notification of the decision of the Board of Appeal.

6. The Agency shall be required to take the necessary measures to comply with the judgment of the Court of Justice.

Article 42

Representative

Persons who are not domiciled or do not have a seat or an establishment within the territory of the Member States may participate as party to proceedings before the Agency only if they have designated a procedural representative who is domiciled or has his seat or an establishment within the territory of the Community.

Article 43

Direct appeal

1. Member States may lodge a direct appeal before the Court of Justice against decisions of the Agency pursuant to Article 15.

2. The provisions laid down in Article 41 shall apply mutatis mutandis.

Section III

Working Methods

Article 44

Procedures for the development of opinions, acceptable means of compliance and guidance material

1. As soon as possible after the entry into force of this Regulation, the Administrative Board shall establish transparent procedures for adopting opinions, acceptable means of compliance and guidance material referred to in points (a) and (b) of Article 13.

Those procedures shall:

(a) draw on expertise available in the aviation regulatory authorities of Member States;

(b) as appropriate, involve experts from relevant interested parties when the Agency develops opinions and guidance material;

(c) ensure that the Agency publishes and consults widely, according to a timetable and a procedure which includes an obligation on the Agency to make a written response to the consultation process.

2. When the Agency, pursuant to Article 14, develops opinions and guidance material to be applied by Member States, it may create a working group in which each Member State is entitled to designate an expert.

3. Acts referred to in points (a) and (b) of Article 13 and the procedures adopted pursuant to paragraph 1 of this Article shall be published in an official publication of the Agency.

4. Special procedures may be developed to address immediate action to be taken by the Agency to react to a safety problem and to inform the relevant interested parties of the action they are to take.

Article 45

Decisions

1. The Administrative Board shall establish transparent procedures for taking individual decisions as provided for in point (c) of Article 13.

Those procedures shall:

(a) ensure the hearing of the natural or legal person to be addressed in the decision;

(b) provide for the procedure of notification of a decision to a natural or legal person and its publication;

(c) inform the natural or legal person to whom a decision is addressed of the legal remedies available to that person under this Regulation.

The Administrative Board shall also adopt procedures specifying the conditions under which decisions are notified while taking due account of the appeal procedure.

2. Special procedures may be developed to address immediate action to be taken by the Agency to react to a safety problem and to inform the relevant interested parties of the action they are to take.

Article 46

Investigating powers

Without prejudice to the enforcement powers conferred by the Treaty to the Commission, the Agency may undertake all necessary investigations and inspections for the purpose of carrying out the duties assigned to it by this Regulation. It may also allocate investigation tasks to qualified entities in accordance with the guidelines to be adopted by the Administrative Board after approval from the Commission.

Article 47

Inspections of Member States

1. For the application of this Regulation and its implementing rules, inspections of Member States and qualified entities shall be undertaken by the Agency. To this end, the officials authorised by the Agency are empowered:

(a) to examine relevant records, data, procedures and any other material relevant to the achievement of aviation safety levels in accordance with this Regulation;

(b) to take copies of or extracts from such records, data, procedures and other material;

(c) to ask for oral explanations on site;

(d) to enter any premises, land or means of transport.

2. The officials of the Agency authorised for the purpose of these inspections shall exercise their powers upon production of an authorisation in writing specifying the subject-matter, the purpose of the inspection and the date on which it is to begin. In good time before the inspection, the Agency shall inform the Member State concerned of the inspection and of the identity of the authorised officials.

3. The Member State concerned shall submit to such inspections and shall ensure that bodies or persons concerned also submit to inspections.

4. When an inspection under the terms of this Article entails an inspection of an undertaking or an association of undertakings, and where an undertaking opposes such inspection, the Member State concerned shall afford the necessary assistance to officials authorised by the Agency to enable them to make their inspection.

Article 48

Investigation of undertakings

1. For the application of Article 15, investigation of undertakings shall be undertaken by the Agency or by qualified entities. To this end, the officials authorised under this Regulation, are empowered:

(a) to examine the relevant records, data, procedures and any other material relevant to the achievement of aviation safety levels in accordance with this Regulation;

(b) to take copies of or extracts from such records, data, procedures and other material;

(c) to ask for an oral explanation on site;

(d) to enter any premises, lands or means of transport.

2. The officials authorised for the purpose of these investigations shall exercise their powers upon production of an authorisation in writing specifying the subject-matter and purpose of the investigation.

3. In good time before the investigation, the Agency shall inform the Member State concerned in whose territory the investigation is to be made, of the investigation and of the identity of the authorised officials. Officials of the Member State concerned shall, at the request of the Agency, assist the authorised officials in carrying out their duties.

Section IV

Financial Requirements

Article 49

Budget

1. The revenues of the Agency shall consist of:

(a) a contribution from the Community and from any European third country with which the Community has concluded agreements referred to in Article 54;

(b) the fees paid by applicants for and holders of certificates and approvals issued by the Agency; and

(c) charges for publications, training and any other services provided by the Agency.

2. The expenditure of the Agency shall include the staff, administrative, infrastructural and operational expenses.

3. The Executive Director shall draw up an estimate of the revenues and expenditure of the Agency for the following financial year and shall forward it to the Administrative Board together with an establishment plan.

4. Revenue and expenditure shall be in balance.

5. The Administrative Board shall, by 31 March, at the latest, adopt the draft budget and forward it to the Commission and to the States with which the Community has concluded the agreements referred to in Article 54.

On the basis of that draft budget, the Commission shall establish the relevant estimates in the preliminary draft general budget of the European Communities, which it shall put before the Council pursuant to Article 272 of the Treaty.

After receiving the draft budget, the States referred to in the first subpararaph will establish their own preliminary draft budget.

6. The Administrative Board shall adopt the Agency's budget, adjusting it where necessary to the Community contribution.

Article 50

Implementation and control of the budget

1. The Executive Director shall implement the budget of the Agency.

2. Control of commitment and payment of all expenditure and control of the existence and recovery of all revenue of the Agency shall be carried out by the Financial Controller of the Commission.

3. By 31 March each year at the latest, the Executive Director shall submit to the Commission, the Administrative Board and the Court of Auditors the detailed accounts of all revenue and expenditure from the previous financial year.

The Court of Auditors shall examine those accounts in accordance with Article 248 of the Treaty. It shall publish a report on the Agency's activities every year.

4. The Administrative Board shall, on recommendation of the European Parliament, give a discharge to the Executive Director of the Agency in respect of the implementation of the budget.

Article 51

Financial provisions

The Administrative Board, having received the agreement of the Commission and the opinion of the Court of Auditors, shall adopt the Agency's Financial Regulation, which shall in particular specify the procedure to be used for drawing up and implementing the Agency's budget, in accordance with Article 142 of the Financial Regulation applicable to the general budget of the European Communities.

Article 52

Fees regulation

1. The Commission, acting in accordance with the procedure laid down in Article 53(3), shall adopt the fees regulation.

2. The fees regulation shall determine in particular the matters for which fees pursuant to Article 49(1) are due, the amount of the fees and the way in which they are to be paid.

3. Fees shall be charged for:

(a) the issuing and renewal of certificates, as well as the related continuing oversight functions;

(b) the provision of services or documentation; they shall reflect the actual cost of each individual provision;

(c) the processing of appeals.

All fees shall be expressed, and payable, in euro.

4. The amount of the fees shall be fixed at such a level as to ensure that the revenue in respect thereof is in principle sufficient to cover the full cost of the services delivered.

The contribution referred to in Article 49(1), may cover, for a transitional period ending on 31 December of the fourth year from the entry into force of this Regulation, the expenditure relating to the initial running phase of the Agency. In accordance with the procedure laid down in Article 53(3), this period may be extended, if necessary, for no more than one year.

CHAPTER IV

FINAL PROVISIONS

Article 53

Committee

1. The Commission shall be assisted by a committee composed of representatives of the Member States and chaired by the representative of the Commission.

2. Where reference is made to this paragraph, the advisory procedure laid down in Article 3 of Decision 1999/468/EC shall apply in compliance with Article 7 and Article 8 thereof.

3. Where reference is made to this paragraph, the regulatory procedure laid down in Article 5 of Decision 1999/468/EC shall apply in compliance with Article 7 and Article 8 thereof.

The period provided for in Article 5(6) of Decision 1999/468/EC shall be one month.

Article 54

Participation of European third countries

The Agency shall be open to the participation of European third countries which are Contracting Parties to the Chicago Convention and which have entered into agreements with the European Community whereby they have adopted and are applying Community law in the field covered by this Regulation and any rule adopted for its implementation.

Under the relevant provisions of these agreements, arrangements will be developed which shall, inter alia, specify the nature and extent of, and the detailed rules for, the participation by these countries in the work of the Agency, including provisions on financial contributions and staff.

Article 55

Commencement of Agency's operation

The Agency shall assume fully the tasks incumbent upon it pursuant to this Regulation as from 12 months after the entry into force of the Regulation.

Article 56

Repeal

Regulation (EEC) No 3922/91 is hereby repealed.

The provisions of Article 8 of this Regulation shall apply to products, appliances, organisations and persons that have been certified in accordance with Regulation (EEC) No 3922/91.

Article 57

Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Communities.

Articles 5, 6 and 7 shall apply as provided for in their implementing rules.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels,

For the European Parliament For the Council

The President The President

ANNEX

INTERNATIONAL STANDARDS

AIRWORTHINESS

OF AIRCRAFT

ANNEX 8

TO THE CONVENTION ON INTERNATIONAL CIVIL AVIATION

EIGHTH EDITION - JULY 1988

INTERNATIONAL STANDARDS

PART 1. DEFINITIONS

When the following terms are used in the Standards for the Airworthiness of Aircraft they have the following meanings:

Aeroplane. A power-driven heavier-than-air aircraft, deriving its lift in flight chiefly from aerodynamic reactions on surfaces which remain fixed under given conditions of flight.

Aircraft Any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth's surface.

Anticipated operating conditions. Those conditions which are known from experience or which can be reasonably envisaged to occur during the operational life of the aircraft taking into account the operations for which the aircraft is made eligible, the conditions so considered being relative to the meteorological state of the atmosphere, to the configuration of terrain, to the functioning of the aircraft, to the efficiency of personnel and to all the factors affecting safety in flight. Anticipated operating conditions do not include:

(a) those extremes which can be effectively avoided by means of operating procedures, and

(b) those extremes which occur so infrequently that to require the Standards to be met in such extremes would give a higher level of airworthiness than experience has shown to be necessary and practical.

Appropriate airworthiness requirement. The comprehensive and detailed airworthiness codes established by a Contracting State for the class of aircraft under consideration.

Approved. Accepted by a Contracting State as suitable for a particular purpose.

Configuration (as applied to the aeroplane). A particular combination of the positions of the moveable elements, such as wing flaps. landing gear, etc., which affect the aerodynamic characteristics of the aeroplane.

Critical power-unit(s). The power-unit(s) failure of which gives the most adverse effect on the aircraft characteristics relative to the case under consideration.

Design landing mass. The maximum mass of the aircraft at which, for structural design purposes, it is assumed that it will be planned to land.

Design take-off mass. The maximum mass at which the aircraft for structural design purposes, is assumed to be planned to be at the start of the take-off run.

Design taxiing mass. The maximum mass of the aircraft at which structural provision is made for load liable to occur during use of the aircraft on the ground prior to the start of take-off.

Factor of safety. A design factor used to provide for the possibility of loads greater than those assumed, and for uncertainties in design and fabrication.

Final approach and take-off area (FATO). A defined area over which the final phase of the approach manoeuvre to hover or landing is completed and from which the take-off manoeuvre is commenced. Where the FATO is to be used by performance Class 1 helicopters, the defined area includes the rejected take-off area available.

Helicopter. A heavier-than-air aircraft supported in flight chiefly by the reactions of the air on one or more power driven rotors on substantially vertical axes.

Landing surface. That pail of the surface of an aerodrome which the aerodrome authority has declared available for the normal ground or water run of aircraft landing in a particular direction.

Limit loads. The maximum loads assumed to occur in the anticipated operating conditions.

Load factor. The ratio of a specified load to the weight of the aircraft, the former being expressed in terms of aerodynamic forces, inertia forces, or ground reactions.

Performance Class 1 helicopter. A helicopter with performance such that, in case of engine failure, it is able to land on the rejected take-off area or safely continue the flight to an appropriate landing area.

Performance Class 2 helicopter. A helicopter with performance such that, in case of engine failure, it is able to safely continue the flight, except when the failure occurs prior to a defined point after take-off or after a defined point before landing, in which cases a forced landing may be required.

Performance Class 3 helicopter. A helicopter with performance such that, in case of engine failure at any point in the flight profile, a forced landing must be performed.

Power-unit. A system of one or more engines and ancillary parts which are together necessary to provide thrust, inde pendently of the continued operation of any other power-unit(s), but not including short period thrust-producing devices.

Pressure-altitude. An atmospheric pressure expressed in terms, of altitude which corresponds to that pressure in the standard atmosphere.

Rendering (a Certificate of Airworthiness) valid. The action taken by a Contracting State, as an alternative to issuing its own Certificate of Airworthiness, in accepting a Certificate of Airworthiness issued by any other Contracting State as the equivalent of its own Certificate of Airworthiness.

Standard atmosphere. An atmosphere defined as follows:

(a) the air is a perfect dry gas;

(b) the physical constants are:

- Sea level mean molar mass: M0 = 28.964420 X 10-3 kg mol-1

- Sea level atmospheric pressure: Po= 10 13.250 hPa

- Sea level temperature. t0 15°C To 288.15 K

- Sea level atmospheric density: P0 = 1.2250 kg m-3

- Temperature of the ice point: Ti = 273.15 K

- Universal gas constant: R* = 8.31432 JK-1mol-1

(c) the temperature gradients are:

>TABLE POSITION>

State of Design. The State having jurisdiction over the organisation responsible for the type design.

State of Manufacture. The State having jurisdiction over the organisation responsible for the final assembly of the aircraft.

State of Registry. The State on whose register the aircraft is entered.

Take-off surface. That part of the surface of an aerodrome which the aerodrome authority has declared available for the normal ground or water run of aircraft taking off in a particular direction.

Ultimate load. The limit load multiplied by the appropriate factor of safety.

PART III. AEROPLANES

CHAPTER 1. GENERAL

1.1 Applicability

1.1.1 The Standards of Part III, except for the specified in 8.4, are applicable in respect of all aeroplanes designated in 1.1.3, that are of types of which prototype is submitted to the appropriate national authorities for certification on or after 13 June 1960.

1.1.2 The Standards specified in 8.4 of Part III are applicable in respect of all aeroplanes designated in 1.1.3 that are of types of which the prototype is submitted to the appropriate national authorities for certification on or after 22 March 1985.

1.1.3 The Standards of Part III shall apply to aeroplanes of over 5 700 kg maximum certificated take-off mass intended for the carriage of passengers or cargo or mail in international air navigation.

1.1.4 The level of airworthiness defined by the appropriate parts of the comprehensive and detailed national code referred to in 2.2 of Part II for the aeroplanes designated in 1.1.3 shall be at least substantially equivalent to the over-all level intended by the broad Standards of Part III.

1.1.5 Unless otherwise stated, the Standards apply to the complete aeroplane including power-units, systems and equipment.

1.2 Number of power-units

The aeroplane shall have not less than two power-units.

1.3 Limitations

1.3.1 Limiting conditions shall be established for the aeroplane, is power-units and its equipment (see 9.2). Compliance with the Standards of Part Ill shall N established assuming that the aeroplane is operated within the limitations specified. The limitations shall be sufficiently removed from any condition(s) prejudicial to the safety of the aeroplane to render the likelihood of accidents arising therefrom extremely remote.

1.3.2 Limiting ranges of mass, centre of gravity location, load distribution, speeds, and altitude or pressure-altitude shall be established within which compliance with all the pertinent Standards in Part Ill is shown, except that combinations of conditions which are fundamentally impossible to achieve need not be considered.

1.4 Unsafe features and characteristics

The aeroplane shall not possess any feature or characteristic which renders it unsafe under the anticipated operating conditions.

1.5 Proof of compliance

1.5.1 Compliance with the appropriate airworthiness requirements shall be based on evidence either from tests, from calculations, or from calculations based on tests, provided that in each case the accuracy achieved will ensure a level of airworthiness equal to that which would be achieved were direct tests conducted.

1.5.2 The tests of 1.5.1 shall be such as to provide reasonable assurance that the aeroplane, its components, and equipment are reliable and function correctly under the anticipated operating conditions.

CHAPTER 2. FLIGHT

2.1 General

2.1.1 Compliance with the Standards prescribed in Chapter 2 shall be established by flight or other tests conducted upon an aeroplane or aeroplanes of the type for which a Certificate of Airworthiness is sought, or by calculations based on such tests, provided that the results obtained by calculations are equal in accuracy to, or conservatively represent, the results of direct testing.

2.1.2 Compliance with each Standard shall be estab lished for all applicable combinations of aeroplane mass and centre of gravity position, within the range of loading conditions for which certification is sought.

2.1.3 Where necessary, appropriate aeroplane con figurations shall be established for the determination of performance in the various stages of flight and for the investigation of the aeroplane's flying qualities.

2.2 Performance

2.2.1 General

2.2.1.1 Sufficient data on the performance of the aeroplane shall be determined and scheduled in the aeroplane flight manual to provide operators with the necessary information for the purpose of determining the total mass of the aeroplane on the basis of the values, peculiar to the proposed flight, of the relevant operational parameters, in order that the flight may be made with reasonable assurance that a safe minimum performance for that flight will be achieved.

2.2.1.2 The performance scheduled for the aeroplane shall not require exceptional skill or alertness on the part of the pilot.

2.2.1.3 The scheduled performance of the aeroplane shall be consistent with compliance with 1.3.1 and with the operation in logical combinations of those of the aero plane's systems and equipment the operation of which may affect performance.

2.2.2 Minimum performance

At the maximum mass scheduled (see 2.2.3) for take-off and for landing as functions of the aerodrome elevation or pressure-altitude either in the standard atmosphere or in specified still air atmospheric conditions, and, for sea planes, in specified conditions of smooth water, the aeroplane shall be capable of accomplishing the minimum performances specified in 2.2.2.1 and 2.2.2.2 respectively, not considering obstacles, or runway or water run length.

2.2.2.1 Take-off

(a) The aeroplane shall be capable of taking off assuming the critical power-unit to fail (see 2.2.3), the remaining power-units being operated within their take-off power limitations.

(b) After the end of the period during which the take-off power may be used, the aeroplane shall be capable of continuing to climb, with the critical power-unit inoperative and the remaining power-units operated within their maximum continuous power limitations, up to a height that it can maintain and at which it can carry out a circuit of the aerodrome.

(c) The minimum performance at all stages of take-off and climb shall be sufficient to ensure that under conditions of operation departing slightly from the idealized conditions for which data are scheduled (2.2.3), the departure from the scheduled values is not disproportionate.

2.2.2.2 Landing

(a) Starting from the approach configuration and with the critical power-unit inoperative, the aeroplane shall be capable, in the event of a missed approach, of con tinuing the flight to a point from which a fresh approach can be made.

(b) Starting from the landing configuration, the aeroplane shall be capable, in the event of a balked landing, of making a climb out, with all power-units operating.

2.2.3 Scheduling of performance

Performance data shall be determined and scheduled in the aeroplane flight manual so that their application by means of the operating rules to which the aeroplane is to be operated in accordance with 5.2 of Annex 6, Part I, will provide a safe relation between the performance of the aeroplane and the aerodromes and routes on which it is capable of being operated. Performance data shall be determined and scheduled for the following stages for the ranges of mass, altitude or pressure-altitude, wind velocity, gradient of the take-off and landing surface for landplanes, water surface conditions, density of water and strength of current for seaplanes, and for any other operational variables for which the aeroplane is to be certificated.

2.2.3.1 Take-off. The take-off performance data shall include the accelerate-stop distance and the take-off path.

2.2.3.1.1 Accelerate-stop distance. The accelerate stop distance shall be the distance required to accelerate and stop, or, for a seaplane to accelerate and come to a satisfactorily low speed, assuming the critical power-unit to fail suddenly at a point not nearer to the start of the take-off than that assumed when determining the take-off path (see 2.2.3.1.2).

2.2.3.1.2 Take-off path. The take-off path shall comprise the ground or water run, initial climb and climb out, assuming the critical power-unit to fail suddenly during the take-off (see 2.2.3. 1. 1). The take-off path shall be scheduled up to a height that the aeroplane can maintain and at which it can carry out a circuit of the aerodrome. The climb out shall be made at a speed not less than the take-off safety speed as determined in accordance with 2.3.1.3.

2.2.3.2 En route. The en-route climb performance shall be the climb (or descent) performance with the aeroplane in the en-route configuration with:

(a) the critical power-unit inoperative; and

(b) the critical two power-units inoperative in the case of aeroplanes having three or more power-units.

The operating engines shall not exceed maximum continuous power.

2.2.3.3 Landing. The landing distance shall be the horizontal distance traversed by the aeroplane from a point on the approach flight path at a selected height above the landing surface to the point on the landing surface at which the aeroplane comes to a complete stop or, for a seaplane, comes to a satisfactorily low speed. The selected height above the landing surface and the approach speed shall be appropriately related to operating practices. This distance may be supplemented by such distance margin as may be necessary; if so, the selected height above the landing surface, the approach speed and the distance margin shall be appropriately interrelated and shall make provision for both normal operating practices and reason able variations therefrom.

2.3 Flying qualities

The aeroplane shall comply with the Standards of 2.3 at all altitudes up to the maximum anticipated altitude relevant to the particular requirement in all temperature conditions relevant to the altitude in question and for which the aeroplane is approved.

2.3.1 Controllability

The aeroplane shall be controllable and manoeuvrable under all anticipated operating conditions and it shall be possible to make smooth transitions from one flight condition to another (e.g. turns, sideslips, changes of engine power, changes of aeroplane configurations) without requiring exceptional skill, alertness, or strength on the part of the pilot even in the event of failure of any power-unit. A technique for safely controlling the aero plane shall be established for all stages of flight and aeroplane configurations for which performance is scheduled.

2.3.1.1 Controllability on the ground (or water). The aeroplane shall be controllable on the ground (or on the water) during taxiing, take-off, and landing under the anticipated operating conditions.

2.3.1.2 Controllability during take-off. The aeroplane shall be controllable in the event of sudden failure of the critical power-unit at any point in the take-off, when the aeroplane is handled in the manner associated with the scheduling of take-off paths and accelerate-stop distances.

2.3.1.3 Take-off safety speed. The take-off safety speeds assumed when the performance of the aeroplanes (after leaving the ground or water) during the take-off is determined shall provide an adequate margin above the stall and above the minimum speed at which the aeroplane remains controllable after sudden failure of the critical power-unit.

2.3.2 Trim

The aeroplane shall have such trim, and other characteristics as to ensure that the demand made on the pilot's attention and ability to maintain a desired flight condition are not excessive when account is taken of the stage of flight at which these demands occur and their duration. This shall apply both in normal operation and in the conditions associated with the failure of one or more power-units for which performance characteristics are established.

2.3.3 Stability

The aeroplane shall have such stability in relation to its other flight characteristics, performance, structural strength, and most probable operating conditions (e.g. aeroplane configurations and speed ranges) as to ensure that demands made on the pilot's powers of concentration are not excessive when the stage of flight at which these demands occur and their duration are taken into account. The stability of the airplane shall not, however, be such that excessive demands are made on the pilot's strength or that the safety of the aeroplane is prejudiced by lack of manoeuvrability in emergency conditions

2.3.4 Stalling

2.3.4.1 Stall warning. When the aeroplane is made to approach a stall both in straigth and turning flight with all power-units operating and with one power-unit inoperative, clear and distinctive stall warning shall be apparent to the pilot with the aeroplane in all permissible configurations and powers, except those which are not considered to be essential for safe flying. The stall warning and other characteristics of the aeroplane shall be such as to enable the pilot to arrest the development of the stall after the warning begins and, without altering the engine power, to maintain full control of the aeroplane.

2.3.4.2 Behaviour following a stall. In any configuration and power in which it is considered that the ability to recover from a stall is essential the behaviour of the aeroplane following a stall shall not be so extreme as to make difficult a prompt recovery without exceeding the airspeed or strength limitations of the aeroplane. It shall be acceptable to throttle back the operating power-units during recovery from the stall.

2.3.4.3 Stalling speed. The stalling speeds or minimum steady flights speeds in configurations appropriate for each stage of flight (e.g. take-off, en route, landing) shall be established. One of the values of the power used in establishing the stalling speeds shall be not more than that necessary to give zero thrust at a speed just above the stall.

2.3.5 Flutter and vibration

It shall be demonstrated by suitable tests that all parts of the aeroplane are free from flutter and excessive vibration in all aeroplane configurations under all speed conditions within the operating limitations of the aeroplane (see 1.3.2). There shall be no buffeting severe enough to interfere with control of the aeroplane, to cause structural damage or to cause excessive fatigue to the flight crew.

CHAPTER 3. STRUCTURES

3.1 General

The Standards of Chapter 3 apply to the aeroplane structure consisting of all portions of the aeroplane, the failure of which would seriously endanger the aeroplane.

3.1.1 Mass and mass distribution

Unless otherwise stated, all structural Standards shall be complied with when the mass is varied over the applicable range and is distributed in the most adverse manner, within the operating limitations on the basis of which certification is sought.

3.1.2 Limit loads

Except as might be otherwise qualified, the external loads and the corresponding inertia loads, or resisting loads obtained for the various loading conditions pre scribed in 3.3, 3.4 and 3.5 shall be considered as limit loads.

3.1.3 Strength and deformation

In the various loading conditions prescribed in 3.3, 3.4 and 3.5 no part of the aeroplane structure shall sustain detrimental deformation at any load up to and including the limit load, and the aeroplane structure shall be capable of supporting the ultimate load.

3.2 Airspeeds

3.2.1 Design airspeeds

Design airspeeds shall be established for which the aeroplane structure is designed to withstand the corre sponding manoeuvring and gust loads in accordance with 3.3. In establishing the design airspeeds, consideration shall be given to the following speeds:

(a) VA, the design manoeuvring speed;

(b) VB, the speed at which the maximum vertical gust velocity assumed in accordance with 3.3.2 can be withstood;

(c) VC, a speed not expected to be exceeded in normal cruising flight taking into account possible effects of upsets when flying in turbulent conditions;

(d) VD, maximum dive speed, sufficiently greater than the speed in (c), to make it unlikely that such a design speed would be exceeded as a result of inadvertent speed increases in the anticipated operating conditions, taking into account the flying qualities and other character istics of the aeroplane;

(e) VE1, to VEn, maximum speeds at which flaps and landing gears may be extended or other configuration changes be made.

The speeds VA, VB, VC, and VE in (a), (b), (c) and (c) shall be sufficiently greater than the stalling speed of the aeroplane to safeguard against loss of control in turbulent air.

3.2.2 Limiting airspeeds

Limiting airspeeds, based on the corresponding design airspeeds with safety margins, where appropriate, in accordance with 1.3.1 shall be included in the aeroplane flight manual as part of the operating limitations (see 9.2.2).

3.3 Flight loads

The flight loading conditions of 3.3.1, 3.3.2 and 3.5 shall be considered for the range of mass and mass distributions prescribed in 3.1.1 and at airspeeds estab lished in accordance with 3.2.1. Asymmetrical as well as symmetrical loading shall be taken into account. The air, inertia, and other loads resulting from the specified loading conditions shall be distributed so as to approxi mate actual conditions closely or to represent them conservatively.

3.3.1 Manoeuvring loads

Manoeuvring loads shall be computed on the basis of manoeuvring load factors appropriate to the manoeuvres permitted by the operating limitations. They shall not be less than values which experience indicates will be adequate for the anticipated operating conditions.

3.3.2 Gust loads

Gust loads shall be computed for vertical and horizontal gust velocities and gradients which statistics or other evidence indicate will be adequate for the anticipated operating conditions.

3.4 Ground and water loads

The structure shall be able to withstand all the loads due to the reactions of the ground and water surface which are likely to arise during taxiing, take-off and landing.

3.4.1 Landing conditions

The landing conditions at the design take-off mass and at the design landing mass shall include such symmetrical and asymmetrical attitudes of the aeroplane at ground or water contact, such velocities of descent and such other factors, affecting the loads imposed upon the structure as might be present in the anticipated operating conditions.

3.5 Miscellaneous loads

In addition to or in conjunction with the manoeuvring and gust loads and with the ground and water loads, consideration shall be given to all other loads (flight control loads, cabin pressures, effects of engine operation, loads due to changes of configuration, etc.) which are likely to occur in the anticipated operating conditions.

3.6 Flutter, divergence and vibration

The aeroplane structure shall be designed to be free from flutter, structural divergence (i.e. unstable structural distortion due to aerodynamic loading), and loss of control due to structural deformation, at speeds within and sufficiently beyond the operating limitations to comply with 1.3.1. Adequate strength shall be provided to withstand the vibration and buffeting that might occur in the anticipated operating conditions.

3.7 Fatigue strength

The strength and fabrication of the aeroplane shall be such as to ensure that the probability of disastrous fatigue failure of the aeroplane's structure under repeated loads and vibratory loads in the anticipated operating conditions is extremely remote.

CHAPTER 4. DESIGN AND CONSTRUCTION

4.1 General

Details of design and construction shall be such as to give reasonable assurance that all aeroplane parts will function effectively and reliably in the anticipated operating conditions. They shall be based upon practices which experience has proven to be satisfactory or which are substantiated by special tests or by other appropriate investigations or both.

4.1.1 Substantiating tests

The functioning of all moving parts essential to the safe operation of the aeroplane shall be demonstrated by suitable tests in order to ensure that they will function correctly under all operating conditions for such parts.

4.1.2 Materials

All materials used in parts of the aeroplane essential for its safe operation shall conform to approved specifications. The approved specifications shall be such that materials accepted as complying with the specifications will have the essential properties assumed in the design.

4.1.3 Fabrication methods

The methods of fabrication and assembly shall be such as to produce a consistently sound structure which shall be reliable with respect to maintenance of strength in service.

4.1.4 Protection

The structure shall be protected against deterioration or loss of strength in service due to weathering, corrosion, abrasion, or other causes, which could pass unnoticed, taking into account the maintenance the aeroplane will receive.

4.1.5 Inspection provisions

Adequate provision shall be made to permit any necessary examination, replacement, or reconditioning of parts of the aeroplane which require such attention, either periodically or after unusually severe operations.

4.1.6 Design features

Special consideration shall be given to design features which affect the ability of the flight crew to maintain controlled flight. This shall include at least the following:

(a) Controls and control systems. The design of the controls and control systems shall be, such as to minimize the possibility of jamming, inadvertent operations, and unintentional engagement of control surface locking devices.

(b) System survivability. At of 12 March 2000, aeroplane systems shall be designed, arranged and physically separated to maximize the potential for continued safe flight and landing after any event resulting in damage to the aeroplane structure or systems.

(c) Crew environment. The design of the flight crew compartment shall be such as to minimize the possibility of incorrect or restricted operation of the controls by the crew, due to fatigue, confusion or interference. Consideration shall be given at least to the following: layout and identi fication of controls and instruments, rapid identification of emergency situations, sense of controls, ventilation, heating and noise.

(d) Pilot vision. The arrangement of the pilot compartment shall be such as to afford a sufficiently extensive, clear and undistorted field of vision for the safe operation of the aeroplane, and to prevent glare and reflections which would interfere with the pilot's vision. The design features of the pilot windshield shall permit under precipitation conditions sufficient vision for the normal conduct of flight and for the execution of approaches and landing.

(e) Provision for emergencies. Means shall be provided which shall either automatically prevent or shall enable the flight crew to deal with emergencies resulting from foreseeable failures of equipment and systems the failure of which would endanger the aeroplane. Reasonable provisions shall be made for continuation of essential services following power-unit or system(s) failure(s) to the extent that such failures are catered for in performance and operating limitations Standards in this Annex and in Annex 6, Parts I and II.

(f) Fire precautions. The design of the aeroplane and the materials used in its manufacture including cabin interior furnishing materials replaced during major refurbishing shall be such as to minimize the possibility of in-flight and ground fires and also to minimize the production of smoke and toxic gases in the event of a fire. Means shall be provided to contain or to detect and extinguish such fires as might occur in such a way that no additional danger to the aeroplane is caused.

(g) Fire suppression. as of 12 March 2000, cargo compartment fire suppression systems, including their extinguishing agents, shall be designed so as to take into account a sudden and extensive fire such as could be caused by an explosive or incendiary device.

(h) Incapacitation of occupants. Design precautions shall he taken to protect against possible instances of cabin depressurization and against the presence of smoke or other toxic gases, including, as of 12 March 2000, those caused by explosive or incendiary devices, which could inca pacitate the occupants of the aeroplane.

(i) Protection of the flight crew compartment from smoke and fumes. As of 12 March 2000, means shall be provided to minimize entry into the flight crew compartment of smoke, fumes and noxious vapours generated by an explosion or fire on the aeroplane.

4.1.7 Emergency landing provisions

4.1.7.1 Provisions shall be made in the design of the aeroplane to protect the occupants, in the event of an emergency landing, from fire and from the direct effects of deceleration forces as well as from injuries arising from the effect of deceleration forces on the aeroplane's interior equipment.

4.1.7.2 Facilities shall be provided for the rapid evacuation of the aeroplane in conditions likely to occur following an emergency landing. Such facilities shall he related to the passenger and crew capacity of the aeroplane.

4.1.7.3 The interior layout of the cabin and the position and number of emergency exits, including the means of locating and illuminating the escape paths and exits, shall be such as to facilitate rapid evacuation of the aeroplane in conditions likely to occur following an emergency landing.

4.1.7.4 On aeroplanes certificated for ditching conditions, provisions shall be made in the design to give maximum practicable assurance that safe evacuation from the aeroplane of passengers and crew can be executed in case of ditching.

4.1.8 Ground handling

Adequate provisions shall be made in the design to minimize the risk that ground handling operations (e.g. towing, jacking) may cause damage, which could pass unnoticed, to the parts of the aeroplane essential for its safe operation. The protection which any limitations and instructions for such operations might provide may be taken into account.

CHAPTER 5. ENGINES

5.1 Scope

The Standards of Chapter 5 shall apply to engines of all types which are used on the aeroplane as primary propulsion units.

5.2 Design, construction and functioning

The engine complete with accessories shall be designed and constructed so as to function reliably within its operating limitations under the anticipated operating conditions when properly installed in the aeroplane in accordance with Chapter 7 and, if applicable, fitted with a suitable propeller.

5.3 Declared ratings, conditions and limitations

The power ratings and the conditions of the atmosphere upon which they are based and all operating conditions and limitations, which are intended to govern the operation of the engine, shall be declared.

5.4 Tests

An engine of the type shall complete satisfactorily such tests as are necessary to verify the validity of the declared ratings conditions and limitations and to ensure that it will operate satisfactorily and reliably. The tests shall include at least the following:

(a) Power calibration. Tests shall be conducted to establish the power or thrust characteristics of the engine when new and also after the tests in (b) and (c). There shall be no excessive decrease in power at the conclusion of all the tests specified.

(b) Operation. Tests shall be conducted to ensure that starting, idling, acceleration, vibration, overspeeding and other characteristics are satisfactory and to demonstrate adequate margins of freedom from detonation, surge, or other detrimental conditions as may be appropriate to the particular type engine.

(c) Endurance. Tests of sufficient duration shall be conducted at such powers, thrust, speeds and other operating conditions as are necessary to demonstrate reliability and durability of the engine. They shall also include operation under conditions in excess of the declared limits to the extent that such limitations might be exceeded in actual service.

CHAPTER 6. PROPELLERS

6.1 Scope

The Standards of Chapter 6 shall apply to propellers of all types.

6.2 Design, construction and functioning

The propeller assembly complete with accessories shall be designed and constructed so as to function reliably within its operating limitations under the anticipated operating conditions when properly fitted to the engine and installed in the aeroplane in accordance with Chapter 7.

6.3 Declared ratings, conditions and limitations

The power ratings and all operating conditions and limitations, which are intended to govern the operation of the propeller, shall be declared.

6.4 Tests

A propeller of the type shall complete satisfactorily such tests as are necessary to ensure that it will operate satisfactorily and reliably within the declared ratings, conditions and limitations. The texts shall include at least the following:

(a) Operation. Tests shall be conducted to ensure that strength vibration and overspeeding characteristics are satisfactory and to demonstrate proper and reliable functioning of pitch changing and control mechanisms.

(b) Endurance. Tests of sufficient duration shall be conducted at such powers, speeds and other operating conditions as are necessary to demonstrate reliability and durability of the propeller.

CHAPTER 7. POWERPLANT INSTALLATION

7.1 General

7.1.1 Applicable Standards

The powerplant installation shall comply with the Standards of Chapter 4 and with the Standards of this Chapter.

7.1.2 Compliance with engine and propeller limitations

The powerplant installation shall be so designed that the engines and propellers (if applicable) are capable of being used in the anticipated operating conditions. In conditions established in the aeroplane flight manual the aeroplane shall be capable of being operated without exceeding the limitations established for the engines and propellers in accordance with Chapters 5, 6 and 7.

7.1.3 Control of engine rotation

In those installations where continued rotation of an engine which had failed would increase the hazard of fire or of a serious structural failure, means shall be provided for the crew to stop the rotation of the engine in flight, or to reduce it to a safe level.

7.1.4 Engine restarting

Means shall be provided for restarting an engine at altitudes up to a declared maximum altitude.

7.2 Arrangement and functioning

7.2.1 Independence of power-units

The powerplant shall be arranged and installed so that each power-unit together with its associated systems is capable of being controlled and operated independently from the others and so that there is at least one arrange ment of the powerplant and systems in which any failure, unless the probability of its occurrence is extremely remote, cannot result in a loss of more power than that resulting from complete failure of the critical power-unit.

7.2.2 Propeller vibration

The propeller vibration stresses shall be determined and shall not exceed values which have been found safe for operation within the operating limitations established for the aeroplane.

7.2.3 Cooling

The cooling system shall be capable of maintaining powerplant temperatures within the established limits (see 7.1.2) at ambient air temperatures up to the maximum air temperature appropriate to intended operation of the aeroplane. The maximum and, if necessary, minimum air temperature for which the powerplant has been established to be suitable shall be scheduled in the aeroplane flight manual.

7.2.4 Associated systems

The fuel, oil, air induction, and other systems associ ated with the powerpIant, shall be capable of supplying each engine in accordance with its established require ments, under all conditions affecting the functioning of the systems (e.g. engine power, aeroplane attitudes and accelerations, atmospheric conditions, fluid temperatures) within the anticipated operating conditions.

7.2.5 Fire protection

For regions of the powerplant where the potential fire hazards are particularly serious because of the proximity of ignition sources to combustible materials, the following shall apply in addition to the general Standard of 4.1.6 (c).

(a) Isolation. Such regions shall be isolated by fire resisting material from other regions of the aeroplane where the presence of fire would jeopardize continued flight, taking into account the probable points of origin and paths of propagation of fire.

(b) Flammable fluids. Flammable fluid system components located in such regions shall be capable of containing the fluid when exposed to fire conditions. Means shall be provided for the crew to shut off the flow of flammable fluids into such regions if a fire occurs.

(c) Fire protection. There shall be provided a sufficient number of fire detectors so located as to ensure rapid detection of any fire which might occur in such regions.

(d) Fire extinguishment. Such regions shall be provided with a fire extinguisher system capable of extinguishing any fire likely to occur therein, unless the degree of isolation, quantity of combustibles, fire resistance of the structure, and other factors, is such that any fire likely to occur in the region would not jeopardize the safety of the aeroplane.

CHAPTER 8. INSTRUMENTS AND EQUIPMENT

8.1 Required instruments and equipment

The aeroplane shall be provided with approved instru ments and equipment necessary for the safe operation of the aeroplane in the anticipated operating conditions. These shall include the instruments and equipment neces sary to enable the crew to operate the aeroplane within its operating limitations.

8.2 Installation

Instrument and equipment installations shall comply with the Standards of Chapter 4.

8.3 Safety and survival equipment

Prescribed safety and survival equipment which the crew or passengers are expected to use or operate at the time of an emergency shall be reliable, readily accessible and easily identified, and its method of operation shall be plainly marked.

8.4 [16] Navigation lights and anti-collision lights

[16] Please refer to 1.1.2 of this Part.

8.4.1 The lights required by Annex 2 to be displayed by aeroplanes in flight or operating on the movement area of an aerodrome shall have intensities, colours, fields of coverage and other characteristics such that they furnish the pilot of another aircraft or personnel on the ground with as much time as possible for interpretation and for subsequent manoeuvre necessary to avoid a collision. In the design of such lights due account shall be taken of the conditions under which they may reasonably be expected to perform these functions.

8.4.2 Lights shall be installed in aeroplanes so as to minimize the possibility that they will:

(a) adversely affect the satisfactory performance of the flight crews' duties; or

(b) subject an outside observer to harmful dazzle.

CHAPTER 9. OPERATING LIMITATIONS AND INFORMATION

9.1 General

The operating limitations within which compliance with the Standards of this Annex is determined, together with any other information necessary to the safe operation of the aeroplane, shall be made available by means of an aeroplane flight manual, markings and placards, and such other means as may effectively accomplish the purpose. The limitations and information shall include at least those prescribed in 9.2, 9.3 and 9.4.

9.2 Operating limitations

Limitations which there is a risk of exceeding in flight and which are defined quantitatively shall be expressed in suitable units and corrected if necessary for errors in measurements so that the flight crew can, by reference to the instruments available to them, readily determine when the limitations are reached.

9.2.1 Loading limitations

The loading limitations shall include all limiting mass, centres of gravity position, mass distributions, and floor loadings (see 1.3.2).

9.2.2 Airspeed limitations

The airspeed limitations shall include all speeds (see 3.2) which are limiting from the standpoint of structural integrity or flying qualities of the aeroplane, or from other considerations. These speeds shall be identified with respect to the appropriate aeroplane configurations and other pertinent factors.

9.2.3 Powerplant limitations

The powerplant limitations shall include all those established for the various powerplant components as installed in the aeroplane (see 7.1.2 and 7.2.3).

9.2.4 Limitations on equipment and systems

The limitations on equipment and systems shall include all those established for the various equipment and systems as installed in the aeroplane.

9.2.5 Miscellaneous limitations

Any necessary limitations with respect to conditions found to be prejudicial to the safety of the aeroplane (see 1.3.1).

9.2.6 Flight crew limitations

The flight crew limitations shall include the minimum number of flight crew personnel necessary to operate the aeroplane, having regard among other things to the accessibility to the appropriate crew members of all necessary controls and instruments and to the execution of the established emergency procedures.

9.2.7 Flying time limitation after system or power-unit failure

The systems limitations shall include the maximum flying time for which system reliability has been established in relation to the approval of operations by aeroplanes with two turbine power-units beyond the threshold time established in accordance with 4.7 of Annex 6, Part I.

9.3 Operating information and procedures

9.3.1 Types of eligible operations

There shall be listed the particular types of operations, as may be defined in Annex 6, Parts I and II, to the Convention or be generally recognized, for which the aeroplane has been shown to be eligible by virtue of compliance with the appropriate airworthiness requirements.

9.3.2 Loading information

The loading information shall include the empty mass of the aeroplane, together with a definition of the condition of the aeroplane at the time of weighing, the corresponding centre of gravity position, and the reference point(s) and datum line(s) to which the centre of gravity limits are related.

9.3.3 Operating procedures

A description shall he given of normal and emergency operating procedures which are peculiar to the particular aeroplane and necessary for its safe operation. These shall include procedures to be followed in the event of failure of one or more power-units.

9.3.4 Handling information

Sufficient information shall be given on any significant or unusual features of the aeroplane characteristics. Those stalling speeds or minimum steady flight speeds required to be established by 2.3.4.3 shall be scheduled.

9.3.5 Least-risk bomb location

A least-risk location on the aeroplane shall be identified where a bomb or other explosive device may be placed to minimize the effects on the aeroplane in the case of detonation.

9.4 Performance information

The performance of the aeroplane shall be scheduled in accordance with 2.2. There shall be included information regarding the various aeroplane configurations and powers involved and the relevant speeds, together with information which would assist the flight crew in attaining the performance as scheduled.

9.5 Aeroplane flight manual

An aeroplane flight manual shall be made available. It shall identify clearly the specific aeroplane or series of aeroplanes with which it is related. The aeroplane flight manual shall include at least the limitations, information and procedures specified in this chapter.

9.6 Markings and placards

9.6.1 Markings and placards on instruments, equipment, controls, etc., shall include such limitations or information as necessary for the direct attention of the flight crew during flight.

9.6.2 Markings and placards, or instructions, shall be provided to give any information which is essential to the ground crew in order to preclude the possibility of mistakes in ground servicing (e.g. towing, refuelling) which could pass unnoticed and which could jeopardize the safety of the aeroplane in subsequent flights.

CHAPTER 10. CONTINUING AIRWORTHINESS - MAINTENANCE INFORMATION

10.1 General

Information for use in developing procedures for maintaining the aeroplane in an airworthy condition shall be made available. The information shall include that described in 10.2, 10.3 and 10.4.

10.2 Maintenance information

Maintenance information shall include a description of the aeroplane and recommended methods for the accomplishment of maintenance tasks. Such information shall include guidance on defect diagnosis.

10.3 Maintenance programme information

Maintenance programme information shall include the maintenance tasks and the recommended intervals at which these tasks are to be performed.

10.4 Maintenance information resulting from the type design approval

Maintenance tasks and frequencies that have been specified as mandatory by the State of Design in approval of the type design shall be identified as such.

CHAPTER 11. SECURITY

11.1 Least risk bomb location

As of 12 March 2000, consideration shall be given during the design of the aeroplane to the provision of a least-risk bomb location.

11.2 Protection of the flight crew compartment

As of 12 March 2000. in all aeroplanes which are equipped with a flight crew compartment door, this door and the flight crew compartment bulkhead shall be designed to minimize penetration by small arms fire and grenade shrapnel.

11.3 Interior design

As of 12 March 2000, consideration shall be given to design features which will deter the easy concealment of weapons. explosives or other dangerous objects on board aircraft and which will facilitate search procedures for such objects.

PART IV. HELICOPTERS

CHAPTER 1. GENERAL

1.1 Applicability

1.1.1 The Standards of Part IV are applicable in respect of all helicopters designated in 1.1.2, that are of types of which the prototype is submitted to the appro priate national authorities for certification on or after 22 March 1991.

1.1.2 The Standards of Part IV shall apply to helicopters intended for the carriage of passengers or cargo or mail in international air navigation.

1.1.3 The level of airworthiness defined by the appro priate parts of the comprehensive and detailed national code for the helicopters designated in 1.1.2 shall be at least substantially equivalent to the over-all level intended by the broad Standards of Part IV.

1.1.4 Unless otherwise stated, the Standards apply to the complete helicopter including power-units, systems and equipment.

1.2 Limitations

1.2.1 Limiting conditions shall be established for the helicopter, its power-unit(s) and its equipment (see 9.2). Compliance with the Standards of Part IV shall be estab lished assuming that the helicopter is operated within the limitations specified. The limitations shall be sufficiently removed from any condition(s) prejudicial to the safety of the helicopter to render the likelihood of accidents arising therefrom extremely remote.

1.2.2 Limiting ranges of mass, centre of gravity location, load distribution, speeds and ambient conditions shall be established within which compliance with all the pertinent Standards in Part IV is shown, except that combinations of conditions which are fundamentally impossible to achieve need not be considered.

1.3 Unsafe features and characteristics

The helicopter shall not possess any feature or characteristic which renders it unsafe under the anticipated operating conditions.

1.4 Proof of compliance

1.4.1 Compliance with the appropriate airworthiness requirements shall be based on evidence either from tests, calculations, calculations based on tests. or other methods provided that in each case the accuracy achieved will ensure a level of airworthiness equal to that which would be achieved were direct tests conducted.

1.4.2 The tests of 1.4.1 shall be such as to provide reasonable assurance that the helicopter, its components and equipment are reliable and function correctly under the anticipated operating conditions.

CHAPTER 2. FLIGHT

2.1. General

2.1.1 Compliance with the Standards prescribed in Chapter 2 shall be established by flight or other tests conducted upon a helicopter or helicopters of the type for which a Certificate of Airworthiness is sought, or by calculations (or other methods) based on such tests, provided that the results obtained by calculations (or other methods) are equal in accuracy to, or conservatively represent, the results of direct testing.

2.1.2 Compliance with each Standard shall be estab lished for all applicable combinations of helicopter mass and centre of gravity position, within the range of loading conditions for which certification is sought.

2.1.3 Where necessary, appropriate helicopter con figurations shall be established for the determination of performance in the various stages of flight and for the investigation of the helicopter's flying qualities.

2.2 Performance

2.2.1 General

2.2.1.1 Sufficient data on the performance of the heli copter shall be determined and scheduled in the helicopter flight manual to provide operators with the necessary information for the purpose of determining the total mass of the helicopter on the basis of the values, peculiar to the proposed flight, of the relevant operational parameters, in order that the flight may be made with reasonable assur ance that a safe minimum performance for that flight will be achieved.

2.2.1.2 The performance scheduled for the helicopter shall not require exceptional skill or alertness on the part of the pilot.

2.2.1.3 The scheduled performance of the helicopter shall be consistent with compliance with 1.2.1 and with the operation in logical combinations of those of the heli copter's systems and equipment the operation of which may affect performance.

2.2.2 Minimum performance

At the maximum mass scheduled (see 2.2.3) for take-off and for landing as functions of the take-off or landing site elevation or pressure-altitude either in the standard atmosphere or in specified still air atmospheric conditions, and, for water operations, in specified conditions of smooth water, the helicopter shall be capable of accom plishing the minimum performances specified in 2.2.2.1 and 2.2.2.2 respectively, not considering obstacles, or final approach and, take-off area length.

2.2.2.1 Take-off

(a) In the event of critical power-unit failure, at or after the take-off decision point (for performance Class 1) or the defined point after take-off (for performance Class 2), performance Classes 1 and 2 helicopters shall be capable of continuing safe flight, the remaining power-unit(s) being operated within the approved limitations.

(b) The minimum performance at all stages of take-off and climb shall be sufficient to ensure that under conditions of operation departing slightly from the idealized condi tions for which data are scheduled (2.2.3), the departure from the scheduled values is not disproportionate.

2.2.2.2 Landing

(a) Starting from the approach configuration, in the event of critical power-unit failure at or before the landing decision point (performance Class 1) or the defined A point before landing (performance Class 2), the heli copter shall be capable of continuing safe flight, the remaining power-unit(s) being operated within the approved limitations.

(b) Starting from the landing configuration, the helicopter shall be capable, in the event of a balked landing, of making a climb out, with all power-units operating.

2.2.3 Scheduling of performance.

Performance data shall be determined and scheduled in the helicopter flight manual so that their application by means of the operating rules to which the helicopter is to be operated in accordance with 5.1.2 of Annex 6, Part III, will provide a safe relation between the performance of the helicopter and the aerodromes, heliports and routes on which it is capable of being operated. Performance data shall be determined and scheduled for the following stages for the ranges of mass, altitude or pressure-altitude, wind velocity, and other ambient conditions and any other operational variables for which the helicopter is to be certificated, and additionally for amphibians, water surface conditions and strength of current.

2.2.3.1 Take-off. The take-off performance data shall include the take-off distance required and the take-off path. For performance Class 1 helicopters, it shall also include the rejected take-off distance required.

2.2.3.1.1 Take-off decision point. (For performance Class 1 helicopters only) The take-off decision point shall be the point in the take-off phase used in determining take-off performance and from which either a rejected take-off may be made or a take-off safely continued, with the critical power-unit inoperative.

2.2.3.1.2 Take-off distance required. (For perform ance Class 1 helicopters only) The take-off distance required shall be the horizontal distance required from the start of the take-off to the point at which VTOSS, a selected height above the take-off surface, and a positive climb gradient are achieved, following failure of the critical power-unit at the take-off decision point, the remaining power-unit(s) operating within approved operating limits.

2.2.3.1.3 Rejected take-off distance required. (For performance Class 1 helicopters only) The rejected take-off distance required shall be the horizontal distance required from the start of the take-off to the point where the helicopter comes to a complete stop following a power unit failure and rejection of the take-off at the take-off decision point.

2.2.3.1.4 Take-off distance required. (For perform ance Class 2 and 3 helicopters only) The take-off distance required shall be the horizontal distance required from the start of take-off to the point where the best rate of climb speed (Vy) or the best angle of climb speed (Vx) or a selected intermediate speed (provided this speed does not involve flight within the avoid areas of the height-velocity diagrams) and a selected height above the take-off surface are achieved, all engines operating at approved take-off power.

2.2.3.2 En route. The en-route performance shall the climb, cruise, or descent performance with:

(a) the critical power-unit inoperative;

(b) the critical two power-units inoperative in the case of helicopters having three or more power-units; and

(c) the operating engine(s) not exceeding the power for which they are certificated.

2.2.3.3 Landing. The landing performance data shall include the landing distance required and, for performance Class 1 helicopters, the landing decision point.

2.2.3.3.1 Landing decision point. (For performance Class 1 helicopters only) The landing decision point shall be the latest point in the approach phase from which either a landing may be made or a rejected landing (go-around) safely initiated, with the critical power-unit inoperative.

2.2.3.3.2 Landing distance required. Landing distance required shall be the horizontal distance required to land and come to a complete stop from a point on the approach flight path at a selected height above the landing surface.

2.3 Flying qualities

The helicopter shall comply with the Standards of 2.3 at all altitudes up to the maximum the altitude in question and for which the helicopter is approved.

2.3.1 Controllability

The helicopter shall be controllable and manoeuvrable under all anticipated operating conditions and it shall be possible to make smooth transitions from one flight condition to another (e.g. turns, sideslips, changes of engine power, changes of helicopter configurations) without requiring exceptional skill, alertness, or strength on the part of the pilot even in the event of failure of any power-unit. A technique for safely controlling the helicopter shall be established for all stages of flight and helicopter configurations for which performance is scheduled.

2.3.1.1 Controllability on the ground (or water). The helicopter shall be controllable on the ground (or on the water) during taxiing, take-off, and landing under the anticipated operating conditions.

2.3.1.2 Controllability during take-off. The helicopter shall be controllable in the event of sudden failure of the critical power-unit at any point in the take-off, when the helicopter is handled in the manner associated with the scheduling of take-off data.

2.3.2 Characteristics of flight controls

The helicopter shall have such trim, and handling capabilities as to ensure that the demands made on the pilot's attention and ability to maintain a desired flight condition are not excessive when account is taken of the stage of flight at which these demands occur and their duration. In the event of a malfunction of the systems associated with the flight controls, there must not be any significant deterioration of the handling characteristics.

2.3.3 Stability

The helicopter shall have such stability in relation to its other flight characteristics, performance, structural strength, and most probable operating conditions (e.g. helicopter configurations and speed ranges) as to ensure that demands made on the pilot's powers of concentration are not excessive when the stage of the flight at which these demands occur and their duration are taken into account. The stability of the helicopter shall not, however, be such that excessive demands are made on the pilot's strength or that the safety of the helicopter is prejudiced by lack of manoeuvrability in emergency conditions.

2.3.4 Autorotation

2.3.4.1 Rotor speed control. The autorotation characteristics of the helicopter shall be such as to enable the pilot to control the rotor speed within prescribed limits, and to maintain full control of the helicopter.

2.3.4.2 Behaviour following a power loss. The behaviour of the helicopter following a power loss shall not be so extreme as to make difficult a prompt recovery of rotor speed without exceeding the airspeed or strength limitations of the helicopter.

2.3.4.3 Autorotation airspeeds. The autorotation airspeeds recommended for maximum range and minimum rate of descent shall be established.

2.3.5 Flutter and vibration

It shall be demonstrated by suitable tests that all parts of the helicopter are free from flutter and excessive vibration in all helicopter configurations under all speed conditions within the operating limitations of the helicopter (see 1.2.2). There shall be no vibration severe enough to interfere with control of the helicopter, to cause structural damage or to cause excessive fatigue to the flight crew

CHAPTER 3. STRUCTURES

3.1 General

The Standards of Chapter 3 apply to the helicopter structure consisting of all portions of the helicopter, the failure of which would seriously endanger the helicopter.

3.1.1 Mass and mass distribution

Unless otherwise stated, all structural Standards shall be complied with when the mass is varied over the applicable range and is distributed in the most adverse manner, within the operating limitations on the basis of which certification is sought.

3.1.2 Limit loads

Except as might be otherwise qualified, the external loads and the corresponding inertia loads, or resisting loads obtained for the various loading conditions prescribed in 3.4, 3.5 and 3.6 shall be considered as limit loads.

3.1.3 Strength and deformation

In the various loading conditions prescribed in 3.4, 3.5 and 3.6 no part of the helicopter structure shall sustain detrimental deformation at any load up to and including the limit load, and the helicopter structure shall be capable of supporting the ultimate load.

3.2 Airspeeds

3.2.1 Design airspeeds

Design airspeeds shall be established for which the heli copter structure is designed to withstand the corresponding manoeuvring and gust loads in accordance with 3.4.

3.2.2 Limiting airspeeds

Limiting airspeeds, based on the corresponding design airspeeds with safety margins, where appropriate, in accordance with 1.2.1 shall be included in the helicopter flight manual as part of the operating limitations (see 9.2.2). When airspeed limitations are a function of mass, mass distribution, altitude, rotor speed, power or other factors, airspeed limitations based on the critical combination of these factors shall be established.

3.3 Main rotor(s) rotational speed limits

A range of main rotor(s) speeds shall be established that:

(a) with power on, provides adequate margin to accommodate the variations in rotor speed occurring in any appropriate manoeuvre, and is consistent with the kind of governor or synchronizer used; and

(b) with power off, allows each appropriate autorotative manoeuvre to be performed throughout the ranges of airspeed and mass for which certification is requested

3.4 Flight loads

The flight loading conditions of 3.4.1, 3.4.2 and 3.6 shall be considered for the range of mass and mass distributions prescribed in 3.1.1 and at airspeeds established in accordance with 3.2.1. Asymmetrical as well as symmetrical loading shall be taken into account. The air, inertia, and other loads resulting from the specified loading conditions shall be distributed so as to approxi mate actual conditions closely or to represent them conservatively.

3.4.1 Manoeuvring loads

Manoeuvring loads shall be computed on the basis of manoeuvring load factors appropriate to the manoeuvres permitted by the operating limitations. They shall not be less than values which experience indicates will be adequate for the anticipated operating conditions.

3.4.2 Gust loads

Gust loads shall be computed for vertical and hori zontal gust velocities which statistics or other evidence indicate will be adequate for the anticipated operating conditions.

3.5 Ground and water loads

The structure shall be able to withstand all the loads due to the reactions of the ground or water surface, as applicable, which are likely to arise during start-up, ground and water taxiing, lift-off, touchdown and rotor braking.

3.5.1 Landing conditions

The landing conditions at the design take-off mass and at the design landing mass shall include such symmetrical and asymmetrical attitudes of the helicopter at ground or water contact, such velocities of descent and such other factors affecting the loads imposed upon the structure as might be present in the anticipated operating conditions.

3.6 Miscellaneous loads

In addition to or in conjunction with the manoeuvring and gust loads and with the ground and water loads, consideration shall be given to all other loads (flight control loads, cabin pressures, effects of engine operation, loads due to changes of configuration, loads due to external mass, etc.) which are likely to occur in the anticipated operating conditions.

3.7 Flutter, divergence and vibration

Each part of the helicopter structure shall be free from excessive vibration or oscillation (ground resonance, flutter, etc.) under each appropriate speed and power condition.

3.8 Fatigue strength

The strength and fabrication of the helicopter shall be such as to ensure that the probability of disastrous fatigue failure of the helicopter's structure under repeated loads and vibratory loads in the anticipated operating conditions is extremely remote.

CHAPTER 4. DESIGN AND CONSTRUCTION

4.1 General

Details of design and construction shall be such as to give reasonable assurance that all helicopter parts will function effectively and reliably in the anticipated operating conditions. They shall be based upon practices which experience has proven to be satisfactory or which are substantiated by special tests or by other appropriate investigations or both.

4.1.1 Substantiating tests

The functioning of all moving parts essential to the safe operation of the helicopter shall be demonstrated by suitable tests in order to ensure that they will function correctly under all operating conditions for such parts.

4.1.2 Materials

All materials used in parts of the helicopter essential for its safe operation shall conform to approved specifi cations. The approved specifications shall be such that materials accepted as complying with the specifications will have the essential properties assumed in the design.

4.1.3 Fabrication methods

The methods of fabrication and assembly shall be such as to produce a consistently sound structure which shall be reliable with respect to maintenance of strength in service.

4.1.4 Protection

The structure shall be protected against deterioration or loss of strength in service due to weathering, corrosion, abrasion, or other causes, which could pass unnoticed, taking into account the maintenance the helicopter will receive.

4.1.5 Inspection provisions

Adequate provision shall be made to permit any necessary examination, replacement, or reconditioning of parts of the helicopter which require such attention, either periodically or after unusually severe operations.

4.1.6 Design features

Special consideration shall be given to design features which affect the ability of the flight crew to maintain controlled flight. This shall include at least the following:

(a) Controls and control systems. The design of the controls and control systems shall be such as to minimize the possibility of jamming, inadvertent oper ations, and unintentional engagement of control surface locking devices.

(i) Each control and control system shall operate with the ease, smoothness and positiveness appropriate to its function; and

(ii) Each element of each flight control system shall be designed to minimize the probability of any incorrect assembly that could result in the malfunction of the system.

(b) Crew environment. The design of the flight crew compartment shall be such as to minimize the possi bility of incorrect or restricted operation of the controls by the crew, due to fatigue, confusion or interference. Consideration shall be given at least to the following: lay-out and identification of controls and instruments, rapid identification of emergency situations, sense of controls, ventilation, heating and noise.

(c) Pilot vision. The arrangement of the pilot compartment shall be such as to afford a sufficiently extensive, clear and undistorted field of vision for the safe operation of the helicopter, and to prevent glare and reflections which would interfere with the pilot's vision. The design features of the pilot windshield shall permit under precipitation conditions sufficient vision for the normal conduct of flight and for the execution of approaches and landing.

(d) Provision for emergencies. Means shall be provided which shall either automatically prevent or shall enable the flight crew to deal with emergencies resulting from foreseeable failures of equipment and systems the failure of which would endanger the helicopter. Reason able provisions shall be made for continuation of essential services following power-unit or system(s) failure(s) to the extent that such failure(s) are catered for in performance and operating limitations Standards in this Annex and in Annex 6, Part III.

(e) Fire precautions. The design of the helicopter and the materials used in its manufacture including cabin interior furnishing materials replaced during major refurbishing shall be such as to minimize the possibility of in-flight and ground fires and also to minimize the production of smoke and toxic gases in the event of a fire. Means shall be provided to contain or to detect and extinguish, wherever possible, all accessible fires as might occur in such a way that no additional danger to the helicopter is caused.

(f) Incapacitation of occupants. Design precautions shall be taken to protect against possible instances of cabin depressurization and against the presence of smoke or other toxic gases which could incapacitate the occupants of the helicopter.

4.1.7 Emergency landing provisions

Provisions shall be made in the design of the helicopter to protect the occupants from fire and effects of deceleration in the event of an emergency landing. Facilities shall be provided for rapid evacuation of the helicopter in conditions likely to occur following an emergency landing and such facilities shall be related to the passenger and crew capacity of the helicopter. On helicopters certificated for ditching condition, provisions shall also be made in the design to give maximum practicable assurance that safe evacuation from the helicopter of passengers and crew can be executed in case of ditching.

4.1.8 Ground handling

Adequate, provisions shall be made in the design to minimize the risk that ground handling operations (e.g. towing, jacking) may cause damage, which could pass unnoticed, to the parts of the helicopter essential for its safe operation. The protection which any limitations and instructions for such operations might provide may be taken into account.

CHAPTER 5. ENGINES

5.1 Scope

The Standards of Chapter 5 shall apply to engines of all types which are used on the helicopter as primary propulsion units.

5.2 Design, construction and functioning

The engine complete with accessories shall be designed and constructed so as to function reliably within its operating limitations under the anticipated operating conditions when properly installed in the helicopter in accordance with Chapter 6 and with the suitable rotor and power transmission installed.

5.3 Declared ratings, conditions and limitations

The power ratings and the conditions of the atmosphere upon which they are based and all operating conditions and limitations, which are intended to govern the operation of the engine, shall be declared.

5.4 Tests

An engine of the type shall complete satisfactorily such tests as are necessary to verify the validity of the declared ratings, conditions and limitations and to ensure that it will operate satisfactorily and reliably. The tests shall include at least the following:

(a) Power calibration. Tests shall be conducted to establish the power characteristics of the engine when new and also after the tests in (b) and (c). There shall be no excessive decrease in power at the conclusion of all the tests specified.

(b) Operation. Tests shall be conducted to ensure that starting, idling, acceleration, vibration, overspeeding and other characteristics are satisfactory and to demon strate adequate margins of freedom from detonation, surge, or other detrimental conditions as may be appropriate to the particular type engine.

(c) Endurance. Tests of sufficient duration shall be conducted at such powers, engine and rotor speeds and other operating conditions as are necessary to demon strate reliability and durability of the engine. They shall also include operation under conditions in excess of the declared limits to the extent that such limitations might be exceeded in actual service.

CHAPTER 6. ROTOR AND POWER TRANSMISSION SYSTEMS AND POWERPLANT INSTALLATION

6.1 General

The powerplant installation, including rotor and power transmission system, shall comply with the Standards of Chapter 4 and with the Standards of this chapter.

6.2 Design, construction and functioning

The rotor and power transmission systems assembly complete with accessories shall be designed and construc ted so as to function reliably within its operating limitations under the anticipated operating conditions when properly fitted to the engine and installed in the helicopter in accordance with this chapter.

6.3 Declared ratings, conditions and limitations

The power ratings and all operating conditions and limitations, which are intended to govern the operation of the rotor and power transmission systems, shall be declared.

6.3.1 Maximum and minimum rotor rotational speed limitations

Maximum and minimum speeds for the rotors in both power-on and power-off conditions shall be established. Any operating conditions (e.g. airspeed) which affect such maxima or minima shall be declared.

6.3.2 Rotor underspeed and overspeed warnings

When the helicopter is made to approach a rotor rotational speed limit, with or without power-units inoperative, clear and distinctive warnings shall be ap parent to the pilot. The warnings and initial characteristics of the condition shall be such as to enable the pilot to arrest the development of the condition after the warning begins, and to recover the rotor rotational speed to within prescribed normal limits and to maintain full control of the helicopter.

6.4 Tests

Rotor and power transmission systems shall complete satisfactorily such tests as are necessary to ensure that they will operate satisfactorily and reliably within the declared ratings, conditions and limitations. The tests shall include at least the following:

(a) Operation. Tests shall be conducted to ensure that strength vibration and overspeeding characteristics are satisfactory and to demonstrate proper and reliable functioning of pitch changing and control mechanisms and free wheel mechanisms.

(b) Endurance. Tests of sufficient duration shall be conducted at such powers, engine and rotor speeds and other operating conditions as are necessary to demon strate reliability and durability of the rotor and power transmission systems.

6.5 Compliance with engine and rotor and power transmission systems limitations

The powerplant installation shall be so designed that the engines and rotor and power transmission systems are capable of being used in the anticipated operating con ditions. In conditions established in the helicopter flight manual the helicopter shall be capable of being operated without exceeding the limitations established for the engines and rotor and power transmission systems in accordance with Chapters 5 and 6.

6.6 Control of engine rotation

In those installations where continued rotation of an engine which had failed would increase the hazard of fire or of a serious structural failure, means shall be provided for the crew to stop the rotation of the engine in flight, or to reduce it to a safe level.

6.7 Engine restarting

Means shall be provided for restarting an engine at altitudes up to a declared maximum altitude.

6.8 Arrangement and functioning

6.8.1 Independence of power-units

For performance Class 1 and 2 helicopters, the powerplant shall be arranged and installed so that each powerunit together with its associated systems is capable of being controlled and operated independently from the others and so that there is at least one arrangement of the powerplant and systems in which any failure, unless the probability of its occurrence is extremely remote, cannot result in a loss of more power than that resulting from complete failure of the critical power-unit.

6.8.2 Rotor and power transmission systems vibration

The vibration stresses for the rotor and power trans mission systems shall be determined and shall not exceed values which have been found safe for operation within the operating limitations established for the helicopter.

6.8.3 Cooling

The cooling system shall be capable of maintaining powerplant and power transmission systems temperatures within the established limits (see 6.5) at all ambient temperatures approved for operation of the helicopter. The maximum and minimum air temperatures for which the powerplant and power transmission systems have been established to be suitable shall be scheduled in the heli copter flight manual.

6.8.4 Associated systems

The fuel, oil, air induction, and other systems associ ated with each power-unit, each power transmission unit and each rotor, shall be capable of supplying the appro priate unit in accordance with its established requirements, under. all conditions affecting the functioning of the systems (e.g. engine power setting, helicopter attitudes and accelerations, atmospheric conditions, fluid temperatures) within the anticipated operating conditions.

6.8.5 Fire protection

For designated fire zones where the potential fire hazards are particularly serious because of the proximity of ignition sources to combustible materials, the following shall apply in addition to the general Standard of 4.1.6 (e).

(a) Isolation. Such zones shall be isolated by fire resisting material from other zones of the helicopter where the presence of fire would jeopardize continued flight, taking into account the probable points of origin and paths of propagation of fire.

(b) Flammable fluids. Flammable fluid system components located in such zones shall be capable of containing the fluid when exposed to fire conditions. Means shall be provided for the crew to shut off the flow of hazardous quantities of flammable fluids into such zones if a fire occurs.

(c) Fire protection. There shall be provided a sufficient number of fire detectors so located as to ensure rapid detection of any fire which might occur in such zones.

(d) Fire extinguishment. Such zones shall be provided with a fire extinguisher system capable of extinguishing any fire likely to occur therein, unless the degree of isolation, quantity of combustibles, fire resistance of the structure, and other factors, are such that any fire likely to occur in the zone would not jeopardize the safety of the helicopter.

CHAPTER 7. INSTRUMENTS AND EQUIPMENT

7.1 Required instruments and equipment

The helicopter shall be provided with approved instruments and equipment necessary for the safe operation of the helicopter in the anticipated operating conditions. These shall include the instruments and equipment necessary to enable the crew to operate the helicopter within its operating limitations.

7.2 Installation

Instrument and equipment installations shall comply with the Standards of Chapter 4.

7.3 Safety and survival equipment

Prescribed safety and survival equipment which the crew or passengers are expected to use or operate at the time of an emergency shall be reliable, readily accessible and easily identified, and its method of operation shall be plainly marked.

7.4 Navigation lights and anti-collision lights

7.4.1 The lights required by Annex 2 to be displayed by helicopters in flight or operating on the movement area of an aerodrome or a heliport shall have intensities, colours, fields of coverage and other characteristics such that they furnish the pilot of another aircraft or personnel on the ground with as much time as possible for interpretation and for subsequent manoeuvre necessary to avoid a collision. In the design of such lights due account shall be taken of the ' conditions under which they may reasonably be expected to perform these functions.

7.4.2 Lights shall be installed in helicopters so as to minimize the possibility that they will:

(a) adversely affect the satisfactory performance of the flight crews' duties; or

(b) subject an outside observer to harmful dazzle.

CHAPTER 8. ELECTRICAL SYSTEMS

The electrical system shall be so designed and installed as to ensure that it will perform its intended function under any foreseeable operating conditions.

CHAPTER 9. OPERATING LIMITATIONS AND INFORMATION

9.1 General

The operating limitations within which compliance with the Standards of this Annex is determined, together with any other information necessary to the safe operation of the helicopter, shall be made available by means of a helicopter flight manual, markings and placards, and such other means as may effectively accomplish the purpose. The limitations and information shall include at least those prescribed in 9.2, 9.3 and 9.4.

9.2 Operating limitations

Limitations which there is a risk of exceeding in flight and which are defined quantitatively shall be expressed in suitable units and corrected if necessary for errors in measurements so that the flight crew can, by reference to the instruments available to them, readily determine when the limitations are reached.

9.2.1 Loading limitations

The loading limitations shall include all limiting mass, centres of gravity positions, mass distributions, and floor loadings (see 1.2.2).

9.2.2 Airspeed limitations

The airspeed limitations shall include all speeds (see 3.2) which are limiting from the standpoint of structural integrity or flying qualities of the helicopter, or from other considerations. These speeds shall be identified with respect to the appropriate helicopter configurations and other pertinent factors.

9.2.3 Powerplant and power transmission limitations

The powerplant limitations shall include all those established for the various powerplant and transmission components as installed in the helicopter.

9.2.4 Rotor limitations

Limitations on rotor speeds shall include maximum and minimum rotor speeds for power-off (autorotation) and power-on conditions.

9.2.5 Limitations on equipment and systems

The limitations on equipment and systems shall include all those established for the various equipment and systems as installed in the helicopter.

9.2.6 Miscellaneous limitations

Any necessary limitations with respect to conditions found to be prejudicial to the safety of the helicopter (see 1.2.1).

9.2.7 Flight crew limitations

The flight crew limitations shall include the minimum number of flight crew personnel necessary to operate the helicopter, having regard among other things to the accessibility to the appropriate crew members of all necessary controls and instruments and to the execution of the established emergency procedures.

9.3 Operating information and procedures

9.3.1 Types of eligible operations

There shall be listed the particular types of operations, as may be defined in Annex 6, Part Ill, to the Convention or be generally recognized, for which the helicopter has been shown to be eligible by virtue of compliance with the appropriate airworthiness requirements.

9.3.2 Loading information

The loading information shall include the empty mass of. the helicopter, together with a definition of the condition of the helicopter at the time of weighing, the responding centre of gravity position, and the reference point(s) and datum line(s) to which the centre of gravity limits are related.

9.3.3 Operating procedures

A description shall be given of normal and emergency operating procedures which are peculiar to the particular helicopter and necessary for its safe operation. These shall include procedures to be followed in the event of failure of one or more power-units.

9.3.4 Handling information

Sufficient information shall be given on any significant or unusual features of the helicopter characteristics.

9.4 Performance information

The performance of the helicopter shall be scheduled in accordance with 2.2. There shall be included information regarding the various helicopter configurations and powers involved and the relevant speeds, together with infor mation which would assist the flight crew in attaining the performance as scheduled.

9.5 Helicopter flight manual

A helicopter flight manual shall be made available. It shall identify clearly the specific helicopter or series of helicopters with which it is related. The helicopter flight manual shall include at least the limitations, information and procedures specified in this chapter.

9.6 Markings and placards

9.6.1 Markings and placards on instruments, equipment, controls, etc., shall include such limitations or information as necessary, for the direct attention of the flight crew during flight.

9.6.2 Markings and placards, or instructions, shall be provided to give any information which is essential to the ground crew in order to preclude the possibility of mistakes in ground servicing (e.g. towing, refuelling, etc.) which could pass unnoticed and which could jeopardize the safety of the helicopter in subsequent flights.

FINANCIAL STATEMENT

1. Title of operation

Proposal for a European Parliament and Council Regulation establishing a European Aviation Safety Agency.

2. Budget heading(s) involved

A new budget line B2-702 shall be created under Chapter B2-7 "Transport".

3. Legal basis

EC Treaty: Article 80-2

4. Description of operation

4.1 General objective

The European Aviation Safety Agency will be created in order to establish a high and uniform level of safety and environmental protection in the field of civil aviation. It shall develop its expertise in all related fields so as to conduct all necessary tasks and assist the Community, its member States and other European countries in this domain. It shall in particular assist the Commission in developing common rules and in furthering global harmonisation and mutual recognition with third countries.

It will further evaluate the conformity of aeronautical products with such rules, when adopted in accordance with the applicable legislative process, and issue the related type certificates.

In order to monitor the correct application at national level of the common rules, which the Agency does not apply itself, the Agency will conduct the necessary inspections of the competent authorities and advise the Commission on appropriate measures to be taken.

It will also assist the Commission in monitoring the effect of the application of such rules and in taking the appropriate safeguard measures, if needed.

In order to gain the necessary credibility vis-à-vis interested parties, as well as the Member States, third countries and competent international bodies, the staff of the Agency needs to be highly specialised in all relevant technical or legal issues. It must also be able to show great independence from all stakeholders involved.

4.2 Period covered and arrangements for renewal

The action will have an unlimited duration (annual contribution).

The proposal foresees that the Agency can undertake preparatory work in all fields covered by the Regulation. As from its start-up it will immediately exercise activities linked to the design, manufacture, maintenance and operation of aircraft, as well as to persons and organisations involved in these tasks (those currently exercised by the JAA). It is expected to expand in the fields of airport and air traffic services only at a later stage. The volume of activities will therefore evolve over time.

5. Classification of expenditure or revenue

5.1 Non-compulsory expenditure

5.2 Differentiated appropriations

6. Type of expenditure or revenue:

Community subsidy to balance the expenditures and revenues of the Agency (see below).

7. Financial impact

7.1 Method of calculating total cost of operation (relation between individual and total costs)

(1) Hypotheses on the development of the Agency

The setting-up of the Agency has been endorsed by the Council. The structure and organisation as presented in the draft Regulation is based on the request of all stakeholders to establish rapidly an efficient organisation dealing with all aspects of aviation safety. The scope and objectives, the functioning and the organisation of the Agency are largely based on the consensus that has been reached previously with the Member States.

The Agency will be established in three steps. During the first six months, a transitional period is foreseen during which the Agency will only deal with administrative tasks such as the renting of offices, the recruitment of qualified agents, the installation of the necessary equipment. It will also develop the appropriate internal rules and procedures, which include the procedures for inspection and the rules for appeal.

During the second phase (2003- 2004), it will have to take over all activities of the JAA and in particular product certification. This is needed in order to assure the continuity of the markets.

At the end of this consolidation period, other activities will be undertaken. These include research and technological development, international cooperation and the development of safety standards for ATM (Air Traffic Management) and airport. The Agency will reach its full level of activity during the year 2005.

Activities in the rulemaking area are expected to reach a peak during the year 2006 and then to diminish to a level of activity corresponding to the continuous maintenance and updating of legislation, which could result in a decrease in the agents needed to carry out this activity.

As for the certification activities they are difficult to predict since they are linked to the demand of industry. This however, should have only a limited impact on the Community subsidy since it is envisaged that all certification costs will be charged to the industry.

(2) Evolution of costs (the following are made for the fully operational Agency in 2005):

(a) Human resources

(i) Full-time staff

The full-time staff of the Agency will be composed of personnel subject to the Staff Regulations applicable to Officials of the European Communities.

Without prejudice to the need to ensure lasting, qualified staff in sufficient numbers, they will be hired on the basis of temporary renewable contracts, so as to ensure continuous renewal of staff that is abreast of the latest technological developments. In the area of certification however, the length of the contracts shall take due account to the fact that a type-certification project lasts between three and five years, and that continued oversight requires a certain in-house memory of past certification.

It is envisaged that a small number of agents will be seconded from the Commission in order to provide the Agency with the necessary administrative and legal experience and to strengthen the links between both organisations.

The necessary staff is estimated at 151 agents [17] (see table below). This evaluation is based on a comparison with other organisations (such as the Agency for the Evaluation of Medicinal Products as far as the structure is concerned and also the Joint Aviation Authorities).

[17] Most of the agents will be recruited as temporary agents in conformity with the rules of the Commission's Staff Regulations.

The total annual expenditure for full-time staff is evaluated to EUR 16.3 million taking as average cost that of Commission staff of EUR 0.108 million per year which includes building and related administrative expenditures (post, telecommunication, IT...).

Certification and inspection tasks will require significant travelling inside and outside Europe; travel expenses to those are estimated to EUR 1.3 million.

>TABLE POSITION>

(ii) Part-time staff

Part-time staff is necessary to make up the certification teams and the boards of appeal. It is envisaged that these experts of a very high level will be hired on a case-by-case basis, either directly or through the organisation to which they belong (knowing that in the latter case they shall be independent when working for the Agency). The length of the contracts will vary according to the nature of the tasks to be fulfilled (three to five years for the certification, a few months for appeal procedures).

On the basis of the work conducted currently by the JAA (an average of 160 type-certification projects treated in parallel) it is envisaged that certification will require 8 000 man/days at an average cost of EUR 650 per day; that is a total amount of EUR 5.2 million.

Here again certification tasks imply travelling abroad and significant travel expenses need to be envisaged. An evaluation has been made on the basis of 1 600 travels at an average cost of EUR 600, for a total amount of EUR 1 million.

As for the boards of appeal they will rely on external legal and technical experts, the costs of which are estimated to EUR 0.3 million including travel expenses.

(iii) National experts

It is envisaged to draw significantly from the expertise available in the Member States. National experts will therefore be involved in rulemaking activities. They will also participate in inspections so that they can both teach and learn.

It is assumed that Member States will be ready to provide such support at no cost for the Agency, but travel costs would be reimbursed, as it is current practice in the Community. On this assumption travel expenses will amount to EUR 0.4 million.

(b) Costs for equipment

Movable property and associated costs will be important during the setting up of the Agency but will decrease progressively. A provision of EUR 0.5 million is foreseen for the first year and EUR 0.3 million for the following two years.

(c) Operational costs

These costs cover conferences, studies, translations and publications; it also includes the costs of experts assisting the Agency in the execution of its tasks, particularly in the fields of International Cooperation. The operational costs can be divided as follows:

-Translation: The Agency will have to translate the drafts for rules to be processed in the EU legislative machinery into all official languages. The related annual cost is valued at EUR 0.6 million at a unit cost of EUR 79 per page.

-Publication: The Agency will publish its standards, rules and decisions, as well as the results of the consultations in its own official journal and on internet. The publication fees are evaluated at EUR 0.4 million.

-Studies: The research activities, strictly related to improving activities in the field of competence of the Agency, will be contracted out. An estimate of EUR 2 million seems to be a reasonable assumption in view of the tasks to be undertaken.

-Consultant fees: The annual cost for international cooperation is evaluated at EUR 1 million. These cover the organisation of conferences, workshops and training activities in less developed countries with the aim to increase the level of aviation safety. The Agency will supply the necessary coordination of these activities.

-Workshops and conferences: The JAA experienced the benefit from international workshops in certain technical areas such as cabin safety or ageing and it will be necessary for the correct functioning of the Agency to allocate a budget for the expenses originated by such activities. Thus the total expenses for such events will amount to EUR 0.2 million.

(3) Revenues

The revenues of the Agency consist of fees paid by interested parties and subsidies from the Community and third countries. It is envisaged that in principle applicants pay for the full cost of the service they receive from the Agency, although it is recognised that the level of the related fees would have to be in line with international practice so as not to affect the competitiveness of the industry. The same would apply for the Community and third countries; their subsidies covering the regulatory services they receive.

(a) Fees

The fees paid by interested parties shall be determined in the fee regulation. This regulation will determine the matters for which fees are to be charged and the amount of the fees. The fees will be paid directly by interested parties and will cover the following matters: the costs related to applications for, and renewal of type certificates and of related organisation approvals. The fees will also include the processing of an appeal procedure and the cost of training and publications. The fees will reflect the real costs met by the Agency.

The amount of the fees collected annually can be estimated at EUR 16.1 million. This amount results from

-certification [18]: EUR 15 million

[18] Covers the reimbursement of related operational costs and of 30% of the Agency's costs.

-appeal: EUR 0.7 million

-training and publications: EUR 0.4 million

(b) Third-countries subsidy

The third-country subsidies will have to be negotiated at the time such countries are associated; it may therefore take some time before their contribution to the budget is actually available. They should in principle be proportional to the aeronautical activities of these countries. They shall be calculated on the basis of the total expenditures of the Agency minus the fees collected. On the basis of the contribution they make to the JAA budget their share of these costs may be valued at ten to fifteen per cent.

(c) Community subsidy

The Community subsidy will cover services it receives from the Agency in terms of support for rule making, monitoring of the application of rules (inspections), market surveillance, and international cooperation.

In the first four years, because it will be difficult to evaluate the exact contribution fees and third countries subsidies can make to the budget of the Agency, it is proposed that the Community subsidy may cover part of the expenditures related to such services.

As said before it is envisaged that the rule-making activities will diminish beyond 2006, this in principle, should lead to a reduction in the subsidies provided by the Community and the third countries.

7.2 Itemised breakdown of costs

(a) by type of activity (in EUR million)

>TABLE POSITION>

(b) by type of expenditure

Commitment appropriations (in EUR thousand; at current prices)

>TABLE POSITION>

7.4 Schedule of commitment and payment appropriations

The Community subsidy will be paid yearly in one time.

8. Fraud prevention measures

Specific control measures envisaged:

8.1 For the Agency

The Executive Director will implement the budget of the Agency. He will submit each year to the Commission, the Administration Board and the Court of Auditors the detailed accounts of all revenue and expenditure from the previous financial year. In addition, the Commission's Internal Audit Service (IAS) will assist in the management of the financial operations of the Agency in controlling risks, monitoring compliance by providing an independent opinion on the quality of management and control systems and making recommendations in order to improve the efficiency and the effectiveness of operations and to ensure economy in the use of Agency resources.

The Agency will adopt its Financial Regulation after having received the agreement of the Commission and of the Court of Auditors. The Agency will put in place an internal audit system similar to that put in place by the Commission in the framework of its own restructuring.

8.2 Cooperation with OLAF

The staff submitted under the Commission's staff regulation shall cooperate with OLAF to combat fraud.

8.3 For the Court of Auditors.

The Court of Auditors will examine the accounts in accordance with Article 248 of the Treaty and publish annually a report on the Agency's activities.

9. Elements of cost-effectiveness analysis

9.1 Specific and quantified objectives; target population

The specific objectives as described in the draft Regulation are to develop the necessary rules to establish the related certification process for aeronautical products, to inspect the Member States and other participating countries on the correct application of the rules, to conduct research in the fields covered by the Agency and to promote related Community standards worldwide.

The measures proposed and the tasks to be carried out by the Agency will affect the safety of all European citizens travelling on board an aircraft, in Europe and elsewhere, and of those living near airports.

They will affect personnel and organisations involved in aviation, facilitating their business within the internal market, but also worldwide.

9.2 Grounds for the operation

The adoption of common rules and the establishment of an independent authority for the certification of aeronautical products will ensure a common and uniform level of safety and environmental protection. It will contribute to overcoming current deficiencies in this area as regards the free movement of products, persons and services.

Carrying out all executive tasks at Community level will provide effective support for Community policies while easing the administrative and financial burden on European industry. Thanks to a common system, applicants for certification of aeronautical products will only have one set of procedures to follow. This is particularly important in view of the fact that Europe's main competitors' certification systems, such as that in the USA, are provided free of charge to the aircraft manufacturing industry.

In recent years there have been intensive discussions with the Member States, other European countries and with all other interested parties about alternative solutions to the Agency, which can be summarised as follows:

-strengthening the JAA and the existing Community implementation processes has reached its limits

-the development of an international organisation has been rejected due to constitutional difficulties and the time it would take to set it up.

The conclusion agreed by the Council of Ministers of Transport at its meeting of 26 June 2000 was that an Agency would be the most practicable solution.

The objective of setting up an Agency is to have a centralised body developing all necessary rules in the field of aviation safety and environmental protection, ensuring their application, which includes the issuing of certificates itself when centralised action is more efficient than individual action by Member States. It should produce similar effects to the Federal Aviation Administration in the USA. A similar approach has been followed as for the creation of the Agency for the Evaluation of Medicinal products and other Community Agencies.

The industry involved in the manufacture, maintenance and operation of aeronautical products, as well as persons and organisations involved, such as pilots and pilot training schools, urgently require a centralised system as laid down by the Agency model. This system will help reduce their certification and approval costs, assure free movement within the Community and reinforce competition within a global market. The Agency will reduce considerably the legal uncertainties and their economic consequences for this sector today.

9.3 Monitoring and evaluation of the operation

The monitoring and evaluation of the Agency will be carried out on the basis of the annual report adopted by the Administrative Board of the Agency for the previous year and the work programme for the coming year, which will both be forwarded to the Member States, the Commission, the Council and the European Parliament (Article 24(2) of the draft Regulation). The performance of the Agency will be subject to regular in-depth evaluations in accordance with Community practices and standards. A first evaluation will be carried out towards the end of the second phase outlined in point 7.1 (probably in 2004). The evaluation process and its findings will provide evidence and recommendations to review both the basic regulation and the practices of the Agency. Evaluation findings will be made available to the public.

10. Administrative expenditure (Section III, Part A of the budget)

The setting up of the Agency should not create additional costs to the Commission. The current organisation foresees already 6 officials in charge of the follow-up of the various activities covered by the Agency, which are namely certification (including airworthiness), operations, maintenance, licensing, airport, ATM. The current Regulation (EEC) No 3922/91 created also a Committee assisting the Commission in its regulatory tasks. Work currently done by the Commission will be replaced by monitoring and follow-up of the Agency's activities.

10.1 Effect on the number of posts

Not applicable.

10.2 Overall financial impact of additional human resources

Not applicable.

10.3 Increase in other administrative expenditure as a result of the operation

Not applicable.

IMPACT ASSESSMENT FORM THE IMPACT OF THE PROPOSAL ON BUSINESS, WITH SPECIAL REFERENCE TO SMALL AND MEDIUM-SIZED ENTERPRISES( SMEs)

Title of proposal

Proposal for a Regulation of the European Parliament and of the Council on establishing common rules for aviation safety and creating a European Aviation Safety Agency

Document reference number

The proposal

1. Taking account of the principle of subsidiarity, why is Community legislation necessary in this area and what are its main aims-

The current system has been criticised for not being able to ensure aviation safety oversight efficiently and in a cost-effective manner. The establishment of common rules and of an independent authority for the certification of aeronautical products will overcome those deficiencies. Indeed carrying out some executive tasks at a Community level will provide effective support for Community policies - particularly on air safety, harmonisation of conditions of competition and association with other European States - while easing the administrative and financial burden these tasks impose on the European industry. Thanks to a common system, applicants for certification of aeronautical products will have only one set of procedures to follow to get an approval, which then would be valid throughout the whole Community without restrictions or additional bureaucratic requirements.

The aim of this proposal is to establish a high uniform level of safety in the Community by means of formulation, approval and uniform application of all necessary aviation safety regulations, and the automatic recognition, without further requirement or verification, of approvals granted in accordance with these regulations to products, organisations and personnel involved in civil aviation.

The impact on business

2. Who will be affected by the proposal-

The whole aeronautical community: national Aviation authorities, manufacturers, air operators, aircraft maintenance organisations, flight training organisations, licensed workers.

-which sectors of business-

Aeronautical industry

-which sizes of business (what is the concentration of small and medium-sized firms)-

The aeronautical industry includes a wide range of firms, some of which are very large (aircraft manufacturers, global air carriers), and some very small (air taxi operators, flight training organisations, maintenance organisations, subcontractors of aircraft manufacturers etc.).

-are there particular geographical areas of the Community where these businesses are found-

3. What will business have to do to comply with the proposal-

The proposal aims at centralising rulemaking and some certification functions in areas where business is already subject to equivalent rules. It will therefore not add any new obligations or burdens on undertakings.

4. What economic effects is the proposal likely to have-

By establishing common rules and centralising the certification procedure, the proposal will ease the administrative and financial burden on the European industry. Hence, applicants for certification of aeronautical products will have only one set of procedures to follow to get an approval, which then would be valid throughout the whole Community without restrictions or additional requirements. Therefore, the positive impact

-on employment,

-on investment and the creation of new businesses, and

-on the competitiveness of businesses

will be significant.

5. Does the proposal contain measures to take account of the specific situation of small and medium-sized firms (reduced or different requirements et(c)-

Not directly, but implementing rules to be adopted later by the European Parliament and the Council and, as the case may be, by the Commission, are likely to do so, as current national rules do.

Consultation

6. List the organisations, which have been consulted about the proposal and outline their main views.

Discussions on a single European Aviation Authority started in the early 90s. Since then, all interested parties have been regularly informed. The wish of all segments of the industry, has always been the creation of a strong and efficient authority that could be put in place as quickly as possible. Considering that all actors have had a chance to express their views during the last ten years through their representative organisations (Association of European Airlines, European Independent Air Carriers Association, European Regional Airlines Association, International Council of Aircraft Owner and Pilot Associations, European Business Aviation Association, European Association of Aerospace Industries (AECMA), Airport Council International-Europe, Federation of Transport Workers' Unions, European Cockpit Association, International Federation of Airline Pilot Associations, International Air Passenger Association, Federation of Air Transport Users of Europe, European Helicopter Association), the Commission services responsible have not felt it necessary to make other specific consultations.

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