2. easa 216 965 130906 v9 - €¦ · 10-12 sept 2013 easa 4 4 territorial scope of the br

EASA “AIR-OPS”

Dubai UAE-GCAA/EASA/COSCAP-GS

10-12/09/2013

International Cooperation DepartmentTechnical Cooperation Section

Agenda

2EASA10-12 Sept 2013

- EASA System: Regulation (EC) No 216/2008

- Rulemaking process

- Drafting principles Regulation (EU) No 965/2012

The BR is part of the EU air transport regulatory framework.

Reg 1008/2008

Operation of

air services

Reg 785/2004

Insurance

Reg 95/1993

Slot allocation

Reg 889/2008

Air carrier

liability

Reg 261/2004

Denied

boarding

Reg 1107/2006

Disabled

persons

Reg 2111/2005

Black list

Dir

2002/30/EC

Noise at

aeroports

Dir

92/14/EEC

Limitation of

operation of

aeroplanes

Reg 96/67/EC

Ground

handling

Dir

2009/12/EC

Airport

charges

Reg 549-

552/2004 SES

Reg 219/2007

SESAR

Reg 300/2008

SecuritySecurity IRs

Dir

2003/42/EC

Occurrence

reporting

Reg 996/2010

Accident

investigation

Dir

2004/36/EC

3rd country

aircraft

Reg 216/2008

Aviation safety

etc.

Basic regulation (BR)

10-12 Sept 2013 EASA 44

Territorial scope of the BR

10-12 Sept 2013 EASA 5

27 EU states

4 EFTA states

Validity of the BR

HISTORY

10-12 Sept 2013 EASA 6

REPEAL

10-12 Sept 2013 EASA 7

REPEAL

10-12 Sept 2013 EASA 8

BR covers:Airworthiness andenvironmental protection of aircraft

Pilots

Air operations

Aerodromes

ATM/ANS and Air Traffic Controllers

Material scope of the BR

10-12 Sept 2013 EASA 9

TC

•TC•TC

•TCCofA

MOAPOA

DOA

AMLATO

FCL

FSTD

ANSP

AeMC/

MED

ATOADR

AOC

ADR-

OPS

TCO

ATCO

ATOCCAeMC/

MED

CAMO

Material scope of the BR

BR does not cover:

Consequence: The national rules apply.

10-12 Sept 2013 EASA 10

Airworthiness and environmental protection of aircraft

- while carrying out military, customs, police, SAR, fire fighting, coastguard or similar services

- when referred to in Annex II

Pilots and operations - of aircraft referred to in Annex II, unless used for commercial operations

Aerodromes - that are controlled and operated by the military

- not open to the public, not serving commercial air transport, not providing operations using instrument approach or departure (or) having paved runway of less than 800m (unless exclusively serving helicopters)

ATM/ANS - that are provided or made available by the military


BR provides common rules in Europe for civil aviation:

Principles (Art. 1–3)

Substantive requirements (Art. 4–16)

EASA (Art. 17–64)

Tasks

Internal structure

Working methods

Financial requirements

Final provisions (Art. 65–70)

10-12 Sept 2013 EASA 11

10-12 Sept 2013 EASA 12


OBJECTIVES

10-12 Sept 2013 EASA 13

ADITIONAL OBJECTIVES

10-12 Sept 2013 EASA 14

OBJECTIVES

10-12 Sept 2013 EASA 15

Legal Framework

Basic

Regulation

Implementing Rules

10-12 Sept 2013 EASA 16

• Acceptable Means of Compliance

• Guidance Material• Certification Specifications

BINDING

NOT BINDING

Regulation Structure

BRBR

IRIR

PARTPART

SUBPARTSUBPART

SECTION SECTION

ARTICLEARTICLE

10-12 Sept 2013 EASA 17

Regulations structure

AMC ‘acceptable means of compliance ‘(AMC) are non-binding standards adopted by the Agency to illustrate means to establish compliance with the Basic Regulation and its implementing rules

AltMoC ‘alternative means of compliance’ means those means that propose an alternative to an existing acceptable means of compliance or those that propose new means to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules for which no associated AMC have been adopted by the Agency;

GM ‘guidance material’ (GM) means non-binding material developed by the Agency that helps to illustrate the meaning of a requirement or specification and is used to support the interpretation of the Basic Regulation, its implementing rules and AMC.

CS ‘certification specifications (CS) are technical standards adopted by the Agency indicating means to show compliance with the Basic Regulation and its implementing rules and which can be used by organisations for the purpose of certification;

10-12 Sept 2013 EASA 18

Legal Framework

EASA supports the European Commission by providing drafts for such legislationDrafts are provided as Agency opinions

EASA Rulemaking Directorate

Agency opinions are developed in accordance to its Rulemaking Procedure (Decision of the MB)

10-12 Sept 2013 EASA 19

Development of opinions

20

Rulemaking

ProposalEuropean

Institutions

European

Institutions

Agency processes:

R, E, S and C

Agency processes:

R, E, S and C

Third Country

NAAs

Third Country

NAAs

EASA country

NAAs

EASA country

NAAs

IndustryIndustry

Safety

Recommendations

Safety

Recommendations

European Aviation

Safety Plan

European Aviation

Safety PlanICAO ICAO

20EASA10-12 Sept 2013

Development of opinions

10-12 Sept 2013 EASA 21

OpinionCRDNPARIAToRRMPDraft RMPRankingPre-RIAProposal

ProposalFrom various sources

RankingDecided by stakeholders

Pre-RIAPre-Regulatory Impact Assessment

RMPRulemaking Programme

RIARegulatory Impact Assessment

Draft RMPAGNA

ToRTerms of Reference

NPANotice of Proposed Amendment

CRT

CRDCommon Response Document

Opinion/ Decision…

European aviation rule structure

EASA 22

ATM/ANS: Air traffic

management, air

navigation services

TCO: Third country

operators

ATCO: Air traffic

controllers

AUR: airspace usage

requirements

SERA: Single European

rules of the air

ADR: Aerodromes

10-12 Sept 2013

Basic Regulation

Airworthiness

Regulation

Initial airworthiness

Regulation

Continuing airworthiness

Flight Standards

Regulation

Air Crew

Regulation

Air operations

Regulation

TCO

ATM/ANS

Regulation

ATCO

Regulation

ANS Providers

Regulation

AUR

Regulation

ATM/ANS Oversight

Regulation

SERA

Aerodromes

Regulation

ADR

European Aviation rule structure

10-12 Sept 2013 EASA 23

OPS rule structure and rule development

10-12 Sept 2013 EASA 24

Part-ARO: Authority requirements - OPS

Part-ORO: Organisation requirements - OPS

Part-CAT: Commercial air transport operations

Part-SPA: Operations requiring specific

approvals

Part-NCC: Non-commercial operations with

complex motor-powered aircraft (CMPA)

Part-NCO: Non-commercial operations with

other than CMPA

Part-SPO: special operations (e.g. aerial work)

Regulation 965/2012 + Decisions 2012/15-16-17-18-19/R

Regulation 800/2013 + Decision 2103/21-22

Opinion 02/2012

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations


EASA 2510-12 Sept 2013

Basic Regulation Article 3 item (j)

‘complex motor powered aircraft’ shall mean:

An aeroplane:

• with a maximum certificated take-off

mass exceeding 5 700 kg, or

• certificated for a maximum passenger

seating configuration of more than 19,

or

• certificated for operation with a

minimum crew of at least two pilots,

or

• equipped with (a) turbojet engine(s)

or more than one turboprop engine.

A helicopter certified:

• for a maximum take-off mass

exceeding 3 175 kg, or

• for a maximum passenger seating

configuration of more than nine, or

• for operation with a minimum crew

of at least two pilots.


EASA 26

Rule development

Cover Reg.

Definitions

Part-ARO

Part-ORO

Part-CAT

Part-SPA

Part-NCC

Part-NCO

Part-SPO

PhaseOPS I

A, H

PhaseOPS II

Phase OPS III

PhaseOPS IV

S, B, A-to-A

initial version

amendment

10-12 Sept 2013


Published:Reg.

965/2012

EASA 27

Document Status

Cover Reg.

Definitions

Part-ARO

Part-ORO

Part-CAT

Part-SPA

Part-NCC

Part-NCO

Part-SPO

PhaseOPS I

A, H

PhaseOPS II

Phase OPS III

PhaseOPS IV

S, B, A-to-A

Adopted in EASA

Committee

Discussed in EASA

Committee

Discussed in EASA

Committee

IR:

• Rule development finalised

• IR to be published in the Official Journal

AMC/GM:

• Rule development at final stage

• To be published together with IR

10-12 Sept 2013

OPS rule applicability

EASA 28

Rule applicability

Cover Reg.

Definitions

Part-ARO

Part-ORO

Part-CAT

Part-SPA

Part-NCC

Part-NCO

Part-SPO

CAT operator

NCC operator

NCO operator

NAA

S, H, A-to-A

SPOoperator

Com/non-com

CMPA

10-12 Sept 2013

OPS rule structure

Air operations

Commercial

CATCommercial Air

Transport operations

SPOSpecial operations

Non-commercial

NCNon-commercial other

than SPO

NCCwith Complex motor-

powered aircraft (CMPA)

NCOwith other than CMPA

SPOSpecial operations

EASA 29

CMPA: complex motor powered aircraft

10-12 Sept 2013

Drafting principles for OPS rules

Safety focus

Risk-based approach.

Emphasis on SMS and oversight capabilities.

Strengthening operator and authority responsibilities.

Harmonisation

ICAO compatibility.

Harmonised rules with other regional regulators, e.g. FAA, TCAA.

Flexibility and efficiency

Safety objective – Implementing Rule level.

Method to comply with safety objective – AMC level.

Operator can develop its own alternative AMC.

Specific operational or geographical needs can be addressed.

Proportionality.

EASA 3010-12 Sept 2013


Proportionality: CAT rules differentiate between; (1/2)

Organisation;

non-complex versus complex organisations.

Nature of operation;

local/A-to-A versus A-to-B operations.

Flight rules;

IFR and night versus VFR operations.

Crew;

single-pilot versus multi-pilot operations,

operations with cabin crew versus operations without cabin crew.

EASA 3110-12 Sept 2013


Proportionality: CAT rules differentiate between; (2/2)

Aircraft;

non-complex aircraft versus complex aircraft,

single-engined aircraft versus multi-engined aircraft,

performance classes A, B and C for aeroplanes,

performance classes 1, 2, 3 and categories A and B for helicopters.

10-12 Sept 2013 EASA 32


For transposing EU-OPS and JAR-OPS 3

Rules with a safety objective are transposed as IR.

Rules with a means to comply with a safety objective are transposed as AMC,

following this principle, most Appendices have been transposed as AMC.

Rules which could not obviously be classified as safety objective or means to comply are transposed as IR.

Notes and rules with explanatory character are transposed as GM.

Appendices with alleviations: 1.005(a), 3.005(f), 3.005(g) have been transposed into the applicable rules, where relevant.

EASA 3310-12 Sept 2013


For transposing EU-OPS and JAR-OPS 3 (cont.)

Rules allowing an alternative if approved/accepted by the authority have been removed and are replaced:

For IRs by the Article 14 (BR 216/2008) procedure. *

For AMCs by the alternative means of compliance procedure.

EASA 3410-12 Sept 2013


*Article 14 Flexibility provisions

14.1 Immediate reaction to a safety problem

14.4 Unforeseen urgent operational circumstances or operational need of a limited duration

MS shall notify the Agency, the Commission and the other MS. Assessment by the Agency within one month.

14.6 Other means to attain an equivalent level of protection

MS shall notify the Agency and the Commission of their intent. Assessment by the Agency within two months.

http://www.easa.europa.eu/regulations/flexibility-provisions.php

EASA 3510-12 Sept 2013



Rules requiring an approval are either

transposed as IR, or

if transposed as AMC have been removed (alternative MOC procedure).

Rules which are already covered in the essential requirements (ER) of the BR have been retained with link to the ER.

EASA 3610-12 Sept 2013



Rules containing “acceptable to the authority” have been transposed as“the operator shall specify in the OM”

Rules containing “if approved by the authority” have been transposed as an item requiring prior approval, or being included in the AOC.

GM3 ORO.GEN.130(b) Changes

EASA 3710-12 Sept 2013

Transposition of EU-OPS

EASA 38

EU-OPS Part-CAT Part-SPA Part-ORO Part-ARO Annex 1 Others

SUBPART A — Applicability and definitions

DEF CR OPS

SUBPART B — General GENGEN/AOC/

MLRDEF

SUBPART C — Operator certification and supervision

GEN/AOC GEN/OPS

SUBPART D — Operational procedures OPMNPS/PBN/ETOPS/RVSM

GEN/MLR OPS DEFSERA

AMC-20

SUBPART E — All weather operations OP LVO OPS DEF SERA

SUBPART F — Performance general POL.A DEF

SUBPART G — Performance Class A POL.A

SUBPART H — Performance Class B POL.A

SUBPART I — Performance Class C POL.A

SUBPART J — Mass and balance POL.MAB DEF Part-M

10-12 Sept 2013

Transposition of EU-OPS

EU-OPS Part-CAT Part-SPA Part-ORO Part-ARO Annex 1 Others

SUBPART K — Instruments and equipment

IDE.A.Part-MAMC-20

SUBPART L — Communication and navigation equipment

IDE.A.Part-MAMC-20

SUBPART M — Aeroplane maintenance Part-M

SUBPART N — Flight crew FC DEF Part-FCL

SUBPART O — Cabin crew CC AR.CC Part-CC

SUBPART P — Manuals, logs and records OP GEN/MLR

SUBPART Q — Flight and duty time limitations and rest requirements

FTL DEF OPS.055

SUBPART R — Transport of dangerous goods by air

GEN DG OPS DEF

SUBPART S — Security GEN SEC

EASA 3910-12 Sept 2013

Transposition of JAR-OPS 3

JAR-OPS 3 Part-CAT Part-SPA Part-ORO Part-ARO Annex 1 Others

SUBPART A — Applicability and definitions

DEF CR OPS

SUBPART B — General GENNVIS/HHO/

HEMSGEN/AOC/

MLRDEF

SUBPART C — Operator certification and supervision

GEN/AOC GEN/OPS

SUBPART D — Operational procedures OP PBN GEN/MLR OPS DEFSERA

AMC-20

SUBPART E — All weather operations OP LVO OPS DEF SERA

SUBPART F — Performance general POL.H DEF

SUBPART G — Performance Class 1 POL.H

SUBPART H — Performance Class 2 POL.H

SUBPART I — Performance Class 3 POL.H

SUBPART J — Mass and balance POL.MAB DEF

EASA 4010-12 Sept 2013

Transposition of JAR-OPS 3

JAR-OPS 3 Part-CAT Part-SPA Part-ORO Part-ARO Annex 1 Others

SUBPART K — Instruments and equipment

IDE.H.

SUBPART L — Communication and navigation equipment

IDE.H.

SUBPART M — Helicopter maintenance Part-M

SUBPART N — Flight crew FC DEF Part-FCL

SUBPART O — Crew members other than flight crew

TC

SUBPART P — Manuals, logs and records OP GEN/MLR

SUBPART Q — Flight and duty time limitations and rest requirements

FTL DEF

SUBPART R — Transport of dangerous goods by air

GEN DG OPS DEF

SUBPART S — Security GEN SEC

EASA 4110-12 Sept 2013

Cross reference table

42EASA10-12 Sept 2013

Sec #

European

rule

IR/AMC/

GM

European rule

rule reference

European rule

rule title

EU-

OPS/JAR-

OPS3

IR/ACJ/AM

C/IEM

EU-OPS

rule reference

JAR-OPS3

rule reference

EU-OPS/JAR-OPS3

rule title

Difference to EU-

OPS

Classification

Difference to EU-OPS

Description

Difference to

JAR-OPS3

Classification

Difference to JAR-OPS3

Description

1 IR Annex I Definitions for terms used in Annexes II to VII IR -3.005(f) -

Appendix 1, (a)(1)

Operations for small

helicopters (VFR day only)- - Amended

The definition in EASA OPS is more specific.

Small helicopters (as defined in JAR-OPS 1)

are treated as non-complex helicopters (in

the sense of the Basic Regulation).

1 IR Annex I Definitions for terms used in Annexes II to VII IR 1.037(a)4. -Accident prevention and flight

safety programmeNo change

Definition for 'flight data monitoring'

extracted from EU-OPS rule- -

1 IR Annex I Definitions for terms used in Annexes II to VII IR 1.1150(a)1, 4 - 6, 153.1150(a)(1), (3),

(4), (15)Terminology No change - No change -

1 IR Annex I Definitions for terms used in Annexes II to VII IR 1.165(a) 3.165(a) Leasing AmendedThe terms are aligned with Art. 2 of Reg. (EC)

No 1008/2008Amended

The terms are aligned with Art. 2 of Reg.

(EC) No 1008/2008

1 IR Annex I Definitions for terms used in Annexes II to VII ACJ 1.345 2.a, 2.g, 2.k - Ice and other contaminants Amended

Anti-icing' and 'de-icing' refer to aircraft, not

only aeroplanes. 'Hold-over time' aligns with

ICAO Doc 9640, 2nd ed..

New

Definitions from EU-OPS refer to aircraft,

not aeroplanes and therefore apply to

helicopters too.

1 IR Annex I Definitions for terms used in Annexes II to VII IR1.430 - Appendix 1

(f)1.(i), (ii)

3.430 - Appendix

1, (d)(1)

Precision approach — Category

II and other than Standard

Category II operations

No change - AmendedThe scope of OTS CAT II has been extended

to helicopter operations.


(New), (b)(3)- Aerodrome operating minima Amended

Approach procedure with vertical guidance':

does not provide for the authority to approve

lower minima [Placed in main Annex I with

Opinion 1/2012]

- -


(New), (b)(1)- Aerodrome operating minima Amended

CAT I approach operation': GNSS using SBAS is

included - -

Cross reference tables:

•Comparison EASA OPS with JAR-OPS 3 and EU-OPS

•Difference statements

•Status: version 02 was published before end of 2012

•http://easa.europa.eu/flightstandards/doc/Cross%20reference%20table_version02.xlsx

Regulation No 965/2012‘Air operations’

- Cover Regulation- Overview of annexes

Cover regulations

Applicability of the rule.

Entry into force.

Transition measures.

10-12 Sept 2013 EASA 44

The Cover regulation is the actual rule. It is followed

by annexes and consists of at least the following:

“Cover Regulation” Air operations

Article 1 Subject matter and scope

Article 2 Definitions

Article 3 Oversight capabilities

Article 4 Ramp inspections

Article 5 Air operations

Article 6 Derogations

Article 7 Air operator certificates

Article 8 Flight time limitations

Article 9 Minimum equipment lists

Article 10 Entry into force

EASA 4510-12 Sept 2013


Scope (Art. 1) (OPS Phase I)

CAT operations with

aeroplanes, helicopters

Excluded for the time being are:

operations with airships, tilt-rotor aircraft, tethered balloons and remotely piloted aircraft

operations by design or production organisations related to the introduction or modification of aircraft types

A-to-A operations with performance class B aeroplanes and non-complex helicopters

46EASA10-12 Sept 2013

47


Definitions (Art. 2) : CAT & commercial operation

Commercial air transport (CAT) operation (Reg. 965/2008)

Aircraft operation to transport passengers, cargo or mail for remuneration or other valuable consideration.

Commercial operation (Basic Regulation 216/2008)

Any operation of an aircraft, in return for remuneration or other valuable consideration, which is available to the public or, when not made available to the public, which is performed under a contract between an operator and a customer, where the latter has no control over the operator.

EASA10-12 Sept 2013

48


Oversight capabilities (Art. 3) :

Member State can designate more than one entity as competent authority provided that :

areas of competence, responsibility and geographic limitations are clearly defined

Co-ordination between entities ensures effective oversight

Authority to have necessary capability to ensure the oversight of all persons and organisations, including sufficient resources

Avoidance of conflict of interest

Lists the tasks that authority personnel is empowered to perform

EASA10-12 Sept 2013

49


Ramp inspections (Art. 4) :

Ramp inspection shall be carried out in accordance with Subpart RAMP of Annex 2 (Part-ARO)

Air operations (art. 5) :

Annexes III (Part-ORO) and IV (part-CAT) applicable to CAT operators

Annex V (Part-SPA) applicable to CAT operators depending on the type of operations

EASA10-12 Sept 2013

50


Derogations (Art. 6)

CAT AtoA with Perf. B aeroplanes => EU-OPS

CAT AtoA non-complex helicopters => National rules

Specific Annex II aircraft when used in CAT operations.

Member States may continue to require a specific approval and additional requirements for helicopter offshore operations.

Single engine IMC operations with aeroplanes may continue to be operated in accordance with the conditions contained in exemptions accepted under EU-OPS.

Helicopter operations to public interest sites may continue outside performance class 1 and under conditions defined by the MS.

EASA10-12 Sept 2013

51


Air Operator certificates (Art. 7):

Conversion of AOC

Flight time limitation (Art. 8):

Applicable requirements:

Aeroplane: EU-OPS subpart Q

Helicopters: National rules

Minimum equipment list (Art. 9):

EU-OPS approved MEL are deemed to be approved in accordance with Regulation No 965/2012.

Entry into force (art. 10):

Entry into force and transition

EASA10-12 Sept 2013

Annex I: Definitions

Applicability:

operators and

competent authorities

EASA 5210-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

Annex II: Part-ARO

Applicability:

Authority requirements for air

operations for National aviation

authorities

EASA 5310-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

Annex II: Part-ARO

ARO – Authority requirements

.GEN General requirements

.OPS Air operations

.RAMP Ramp inspections

EASA 5410-12 Sept 2013

.GEN

Certification

of CATGeneral

.OPS .RAMP

Management Approvals

Oversight

Certification

Enforcement

Part-ARO

ARO requirements

� ARO.GEN

General� AltMOC process (ORO.GEN.120)Management� Management system / Changes to MS� Qualified entities

� ARO.OPS

CAT� Lease agreement

� ARO.RAMP

� Prioritisation criteria� Training� Procedure

10-12 Sept 2013 EASA 55

Oversight� Oversight process /

Programme� Operator notified

changes� Findings / Corrective

actions

Approvals� Specific approvals

Annex II: Part-ARO.GEN

SUBPART GEN

GENERAL REQUIREMENTS

SECTION I

General

ARO.GEN.005. Scope

ARO.GEN.115 Oversight Documentation

SUBPART GEN

GENERAL REQUIREMENTS

SECTION I

General

ARO.GEN.005. Scope

ARO.GEN.115 Oversight Documentation

10-12 Sept 2013 COSCAP-GS 56

The competent authority shall provide all legislative acts, standards, rules, technical publications and related documents to relevant personnel in order to allow them to perform their tasks and to discharge their responsibilities.


� Acceptable means of compliance –AMC- and alternative means of compliance –AltMoC-

� The Agency shall develop AMC that may be used to establish compliance with Regulation 216/2008 and its implementing rules

� When the AMC are complied with, the related requirements are met

� AMCs may be used to establish compliance with the Implementing Rules

� Both competent Authorities and organisations may propose AltMoC


The competent authority shall establish a system to consistently evaluate that all alternative means of compliance used by itself or by organisations and persons under its oversight allow the establishment of compliance with Regulation (EC) No 216/2008 and its Implementing Rules.

ARO.GEN.120 Means of ComplianceARO.GEN.120 Means of Compliance •GM•GM•GM•AMC•AMC•AMC



The competent authority shall establish a system to consistently evaluate that all alternative means of compliance used by itself or by organisations and persons under its oversight allow the establishment of compliance with Regulation (EC) No 216/2008 and its Implementing Rules.

•GM•GM•GM•AMC•AMC•AMCARO.GEN.120 Means of ComplianceARO.GEN.120 Means of Compliance

•When the CA finds that the AltMoC proposed by the operator are inaccordance with the IRs, it shall without delay:

•(1) notify the applicant that AltMoC may be implemented and, ifapplicable, amend the approval or certificate of the applicant accordingly; and

•(2) notify the Agency of their content, including copies of all relevantdocumentation;

•(3) inform other Member States about AltMoC that were accepted.


10-12 Sept 2013 EASA 59

New

Proposal

Evaluate

YES

Proposed by

other operator

Use it

NO

Evaluate it

YES

NO

CAA Receive proposals

from operator

•The CA needs to evaluate the proposal in accordance with ORO.GEN.120 b) by

analysing the documentation, and if necessary conducting an inspection

New

Proposal

Evaluate

YES

Proposed by

other operator

Use it

NO

Evaluate

YES

NO

CCA receive proposal

already approved for other

operator

•Although the CA has already approved the same AltMoC for other AOC,it

still needs to evaluate it in accordance withORO.GEN120 b), by analysing

the info provided and inspecting if considered necessary.

Annex II: Part-ARO

10-12 Sept 2013 EASA 60

Review text “ARO.GEN.120 Means of Compliance”Review text “ARO.GEN.120 Means of Compliance”

Scenario 3: The CAA proposes and issues Alternative means of compliance

� The CAA can itself propose AltMoC. If it chooses to do so, then these must be evaluated by the

CA.

� The CA, then must make them available to all organizations and persons under its oversight; and

without undue delay notify the Agency.

� It will provide the Agency with a full description of the Alternative means of comliance….as well

as an assessment demonstrating that the IR are met.



•The competent authority shall without undue delay notify the Agency in case of any significant

problems with the implementation of Regulation (EC) No 216/2008 and its Implementing Rules.

•This includes safety significant information stemming from the occurrence reports it has

received

ARO.GEN.125 Information to the AgencyARO.GEN.125 Information to the Agency



The competent authority shall implement a system to appropriately collect, analyse and disseminate safety information.

The CA shall take adequate measures to address the safety problem.

Measures taken under shall immediately be notified to all persons or organisations

The competent authority shall also notify those measures to the Agency and, when combined action is required, the other Member States concerned.

Therefore a procedure to collect, analyse, disseminate information to the Agency and operators, safety info; to address it; to take measures;

ARO.GEN.135 Immediate reaction to a safety problemARO.GEN.135 Immediate reaction to a safety problem

The Agency shall implement a system to appropriately analyse any relevant safety information

received and without undue delay provide to Member States and the Commission any

information, including recommendations or corrective actions to be taken, necessary for them to

react in a timely manner to a safety problem involving products, parts, appliances, persons or

organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules.


The Authority requirements were first proposed with the rules on FCL. Same structure: each contain general requirements (Subpart GEN) followed by area-specific requirements (subparts OPS, FC...)

The benefit is to have harmonised requirements.

The main elements of the managements system for authorities emulate those of the management systems for organisations

ISO 9001, IOSA, ICAO 8335, etc…

A management system supports effective safety management by containing a means for monitoring compliance, steaming risks and aiming at continuous improvement


ARO.GEN.200/205/210/220

Management System

ARO.GEN.200/205/210/220

Management System

•GM•GM•GM•AMC•AMC•AMC



•Cover regulation, Article 3: Member State to designate 1 or more competent authorities

•ARO.GEN.200 a)2): Competent Authority to have sufficient number of qualified and trained personnel, planning for their availability

CE-3 State civil aviation system and

safety oversight functions

•ARO.GEN.200 a)2): Competent Authority to have sufficient number of qualified and trained personnel, planning for their availability

•AMC1 ARO.GEN.200 a)2): On general training•AMC2 ARO.GEN.200 a)2): On inspectors training

CE-4 technical personnel qualifications and training

•ARO.GEN.120: Alternative Means of Compliance made available•ARO.GEN.200 a)1) Documented policies and procedures to describe the competent authorities organisation, means and methods, to achieve compliance with the regulation

•ARO.GEN.200 a)3) tools including facilities and office space •ARO.GEN.200 c) mutual exchange of information

CE-5 Technical guidance, tools and provision of safety-critical information

ARO.GEN.200/205/210/220

Management System

ARO.GEN.200/205/210/220

Management System



•ARO.GEN.200 a)1) Documented policies and procedures to describe the competent authorities organisation, means and methods, to achieve compliance with the regulation

•ARO.GEN.200 b)record keeping, including list of all organisation certificates list

CE-6 Licensing, certification, authorisation

and/or approval obligations


CE-7 Surveillance obligations


CE-8 Resolutions of safety concerns

ARO.GEN.200/205/210/220

Management System

ARO.GEN.200/205/210/220

Management System



ARO.GEN.200/205/210/220

Management System

ARO.GEN.200/205/210/220

Management System

� ARO.GEN.205, General

� ARO.GEN.210, Tasks to QE

� ARO.GEN.215, Changes in the Management system

� ARO.GEN.220, Record keeping



ARO.GEN. 200/205/210/220 Management System*ARO.GEN. 200/205/210/220 Management System*

•The management system is a tool for the competent authority to:

� meet the objectives. It is a framework to

� facilitate sharing of information, agreed practices and

procedures and

� ensure continuous improvement

*The management system must be implemented, however the IR do not go into deep detail. The reason is that each CAA has its own needs, objectives,

size, etc. Therefore each CAA shall ensure that the Management system in place is suited to carry out the assigned tasks .



ARO.GEN.200 Management System IARO.GEN.200 Management System I

Documented policies and procedures

Sufficient number of personnel

Adequate facilities

A function to monitor

compliance of the MS

Responsible/s for the

compliance

•A) The CA shall establish and

maintain a MS with


maintain a MS with

Certificates, approvals, AOC, ATOs, etc…

Certified persons and organisations

Qualified entities

Level of activity of the CAA, continuity of the MS, complexity of aircraft

Potential growth of activities

Determine

the

structure of

the MS

AMC1 ARO GEN.200(a)



ARO.GEN.200 Management System IIARO.GEN.200 Management System II

Documented policies and procedures

Sufficient number of personnel

Adequate facilities

A function to monitor

compliance of the MS

Responsible/s for the

compliance


maintain a MS with


maintain a MS with

CAA organisat

•Enough Authority delegated

•Elements 216 and IR covered and implemented

•Procedures documented

•Training of personnel

•Communication processes

•Functions described

Policy

•Developed, promoted and implemented

•Commitment from the highest management level

•Communicated and understood

•Includes the needs of the industry

•Needs of the Agency and CAA

•Clear objectives

•Explain control procedures and measures of control

Elements to

take into

account

GM1 ARO GEN.200(a)



ARO.GEN.200 Management System IIIARO.GEN.200 Management System III

A) The CA shall establish and maintain a MS with

(1) Documented policies and procedures :

� To describe the he organisation and,

� Means and methods to achieve compliance with the 216 regulation and IRs

� Updated

� And serve as basic working documents

� Takes into account Human factors


(1) Documented policies and procedures :

� To describe the he organisation and,

� Means and methods to achieve compliance with the 216 regulation and IRs

� Updated

� And serve as basic working documents

� Takes into account Human factors



AMC1 ARO.GEN.200 Management System AMC1 ARO.GEN.200 Management System

Documented policies and procedures to be covered at least….Documented policies and procedures to be covered at least….

•(1) policy and objectives;

•(2) organisational structure;

•(3) responsibilities and associated authority;

•(4) procedures and processes;

•(5) internal and external interfaces;

•(6) internal control procedures;

•(7) training of personnel;

•(8) cross-references to associated documents;

•(9) assistance from other competent authorities or

the Agency (where required).

•MANAGEMENT SYSTEM MANUAL •MANAGEMENT SYSTEM MANUAL

•Depending on the size and complexity of the management system and the number of manuals or procedures a cross-referencing can be

used. (Charts, policies, job description, forms, etc…)



ARO.GEN.200 Management System IVARO.GEN.200 Management System IV


(2) sufficient number of trained and qualified personnel to perform its tasks



AMC1 ARO.GEN.200 a)2)]

� CA ensure appropriate training

� Initial and recurrent

� Recruitment procedures

� Own vs outsourced training

� Individual training plan

� Record keeping for training



ARO.GEN.200 Management System VARO.GEN.200 Management System V





AMC2 ARO.GEN.200 a)2) Training

Initial

Aviation legislation

Chicago convention, ICAO annexes and Docs

Applicable requirements and procedures

Management systems, auditing, risk assessment

Human factors

Rights and obligations inspecting

On-the-job training

Technical training (Specific approvals)

Recurrent

Changes in Aviation legislation

Changes in Aviation industry

Specific needs for inspectors and the

Competent Authority



ARO.GEN.200 Management System VIARO.GEN.200 Management System VI





Number of initial

certificates

Organisations

Flight Crew and cabin crew in the industry

People working abroad

•Quantitative

elements

GM1 ARO.GEN.200 a)2)



ARO.GEN.200 Management System VIIARO.GEN.200 Management System VII





Complexity of organizations

Safety priorities identified

Past oversight activities, data,

incidents

Complexity of the National

industry

Qualitative

elements

•Privileges, Type and scope of approval

•Industry standards (IOSA, ISO, ISAGO)

•Type of A/C, personnel, subcontractors, FBOs, etc..

•Number of, audits, inspections, findings

•Timeframe to complete CAPs

•Maturity of the Management Systems

•Occurrence reporting,

incidents, trends, news

•Potential growth of activities

•Future applications




ARO.GEN.200 Management System VIIIARO.GEN.200 Management System VIII





Past experience to estimate

Data TBD

Work time

IT tools

……..

Elemats to be

taken into

account

•Working time required to perform tasks

•Number or certificates issued (season, period, year, etc…)

•Changes in existing certificates

•Could be determined in working hours/inspector,

WD/I

•Audits/ organization

•Duration of audit

•Time for audit preparation

•RAMP inspections

•Inspectors

•At least an excel file….


•But…how to

calculate it???



ARO.GEN.200 Management System IXARO.GEN.200 Management System IX


(2) adequate facilities and office accommodation

(3) a function to monitor compliance of the management system with the relevant

requirements and adequacy of the procedures including the establishment of

an internal audit process and a safety risk management process. Compliance

monitoring shall include a feedback system of audit findings to the senior

management of the competent authority to ensure implementation of

corrective actions as necessary;

•No AMC or

GM…..but •International standards

•ISO

•ICAO Doc 9859

•….(4) Persons nominated responsible for the management system(4) Persons nominated responsible for the management system

Annex II: Part-ARO

Evaluate Operator SMS (Example UK CAA)

ICAO Doc 9859

10-12 Sept 2013 EASA 78



ARO.GEN.200 Management System IVARO.GEN.200 Management System IV

•b) The CA shall […] appoint one or more persons with the overall responsibility for the

management of the relevant task(s).

•(c) The CA shall establish procedures to exchange of all necessary information and assistance with

other competent authorities concerned including on all findings raised ……

•(d) A copy of the procedures …sent to the Agency for standardisation. AMC

•b) The CA shall […] appoint one or more persons with the overall responsibility for the

management of the relevant task(s).

•(c) The CA shall establish procedures to exchange of all necessary information and assistance with

other competent authorities concerned including on all findings raised ……

•(d) A copy of the procedures …sent to the Agency for standardisation. AMC

Copies of the procedures and the amendments

Containing info about continuing oversight functions, organograms, description of processes

Professional qualification for inspectors

How assess applications, compliance with stands, issuance of certificates..

How to manage exemptions and derogations

Processes to disseminate communicate information

Criteria for planning continuing oversight

•As part of the continuous monitoring of a competent authority, the Agency may request details of the working methods used, in addition to

the copy of the procedures of the competent authority’s management system (and amendments). These additional details are the

procedures and related guidance material describing working methods for competent authority personnel conducting oversight.



ARO.GEN.205 Allocation of tasks to qualified entitiesARO.GEN.205 Allocation of tasks to qualified entities

Agreement/contract

Signed by high level management

Tasks to be performed

Declarations reports and records to be

provided

Technical conditions to be met in performing

such tasks

Liability coverage

Protection given to information acquired in carrying out such

tasks

A system in place to assess the QE

The system maybe documented

•A) Tasks related to initial certification and continuing oversight

•B) The CA shall ensure that the internal audits covers all certification and continuing

oversight tasks

•GM Tasks excluded: issuance of certificates, licences, ratings or approvals.•GM Tasks excluded: issuance of certificates, licences, ratings or approvals.



ARO.GEN.210 Changes in the Management systemARO.GEN.210 Changes in the Management system

.

The CA shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities

.

The CA shall update its management system to reflect any change to Regulation (EC) No 216/2008 and its Implementing Rules in a timely manner

.

The CA shall notify the Agency of changes affecting its capability to perform its tasks and discharge its responsibilities

Management of change processes

(ICAO Doc 9859)

Study of the regulation, update

manuals, ISO 9001:2008

Develop procedure, linked to the

previous



ARO.GEN.220 Record KeepingARO.GEN.220 Record Keeping•GM•GM•GM•AMC•AMC•AMC

a)GENERAL - The competent authority shall establish a system of record-keeping.

AMC1 ARO.GEN.220(a) Record-keeping

GM1 ARO.GEN.220 Record-keeping

GENERAL

Records are required to document results achieved or to provide evidence of activities performed. Records become factual when recorded. Therefore, they are not subject to version control. Even when a

new record is produced covering the same issue, the previous record remains valid.

(a) all records are accessible … within a reasonable time. Traceability and retrievability

during retention period.

(b) Hard/soft format or a combination, should remain legible/accessible during the retention

period.

(c) Paper systems should use robust material. Computer systems backup system, updated within

24 hours of any new entry. Computer systems should include safeguards for alteration of data.

(d) All computer hardware used to ensure data backup should be stored in a different location.

Process to ensure update/modification of hardware- or software.



ARO.GEN.220 a)1,2,3)Record KeepingARO.GEN.220 a)1,2,3)Record Keeping•GM•GM•GM•AMC•AMC•AMC

CAA Management System

ARO.GEN.220 a)1)2)3)

The system provides storage, accessibility and traceability of:

(1) the management system’s documented policies and procedures;

(2) training, qualification and authorisation of its personnel;

(3) the allocation of tasks, covering the elements required by ARO.GEN.205 as well as the details of tasks allocated;

AMC1 ARO.GEN.220 a)1)2)3)

Records should include, as a minimum:

(a) policies and procedures;

(b) the personnel files of competent authority personnel

(training/qualifications)

(c) the results of the internal audits and safety risk management processes,

findings CAP

(d) the contract(s) established with QE performing certification or oversight



ARO.GEN.220 a)4) Record KeepingARO.GEN.220 a)4) Record Keeping•GM•GM•GM•AMC•AMC•AMC

Organisations Management System

ARO.GEN.220 a)4)

(4) certification processes and

continuing oversight of certified

organisations;

AMC1 ARO.GEN.220 a)4)

Records related to an organisation certified by the CA

should include,

(a) the application for an organisation approval;

(b) the documentation based on which the approval has been

granted;

(c) the organisation approval certificate

(d) a copy of the continuing oversight programme, dates of

audits;

(e) continuing oversight records;

(f) copies of all relevant correspondence;

(g) details of any exemptionand enforcement actions;

(h) any report from otherauthorities

(i) other document CA.

ORGANISATIONS –DOCUMENTATION

Documentation to be kept as records in support of the approval

include

the management system documentation,

any technical manuals,

the operations manual,

training manual,

submitted with the initial application, and amendments.




ARO.GEN.220 a)6) Record KeepingARO.GEN.220 a)6) Record Keeping•GM•GM•GM•AMC•AMC•AMC

Activities performed in the territory of a MS by persons or organisations

established or residing in another MS

ARO.GEN.220 a)6)

(6) activities performed in

the territory of a MS by

persons or organisations established or

residing in another MS

AMC1 ARO.GEN.220 a)6)a)

(a) should include, as a minimum:

(1) oversight records, audits…;

(2) all relevant correspondence to

exchange info ;

(3) details of any enforcement

measures

(4) any report from other CA

(b) Records should be kept by CA and

available to other CA:

(1) serious incidents or accidents;

(2) findings through the oversight

programme and RCA;

(3) an organisation being certified or

having approvals in several Member

States.

AMC1 ARO.GEN.220 a)6)b)

AMC1 c)

Records can be

requested by

other CAA…but :

FORMALLY

AMC1 d)

Can be shared by

copying or

granting access



ARO.GEN.220 a)7,8,9,10,11) Record KeepingARO.GEN.220 a)7,8,9,10,11) Record Keeping

•GM•GM•GM•AMC•AMC•AMCOther CAA records to be kept

ARO.GEN.220 a)7,8,9,10,11)

(7) the evaluation and notification to the Agency of alternative means of

compliance proposed by organisations subject to certification and the

assessment of alternative means of compliance used by the competent

authority itself;

(8) findings, corrective actions and date of action closure;

(9) enforcement measures taken;

(10) safety information and follow-up measures; and

(11) the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

Records related to an organisation certified by the CA should include,

(a) the application for an organisation approval;

(b) the documentation based on which the approval has been granted;

(c) the organisation approval certificate

(d) a copy of the continuing oversight programme, dates of audits;

(e) continuing oversight records;

(f) copies of all relevant correspondence;

(g) details of any exemption and enforcement actions;

(h) any report from other authorities

(i) other document CA.

(b) The competent authority shall maintain a list of all

organisation certificates it issued.

(c) All records shall be kept for the minimum period specified in this Regulation. In In other case shall be kept for five years

subject data protection law.

ARO.GEN.220 b)c))



ARO.GEN.300 OversightARO.GEN.300 Oversight •GM•GM•GM•AMC•AMC•AMC

ARO.GEN.300a)

(a) The competent authority shall verify:

(1) compliance prior to the issue AOC, etc

(2) continued compliance

(3) implementation of appropriate safety measures (ARO.GEN.135

c,d).

(b) This verification shall:

(1) be supported by documentation

(2) provide the results

(3) be based on audits and inspections, etc

(4) provide the competent authority with the evidence needed in case

further action

(c) The scope of oversight defined in (a) and (b) shall take into account the results of past

oversight activities and the safety priorities.

AMC1ARO.GEN.300a)

GENERAL

(a) The CA should assess the organisation continuously.

The CA ensure s the that accountability for assessing

organisations is defined.

If accountability is delegated or shared maybe coordinated

(b) It is essential that the competent authority has the full capability

…be realistic…

GENERAL

(a) Responsibility for the conduct of safe operations lies with the

organisation. Crucial to the success of the policy is the content of Part-ORO

Implementation of the MS in the AOCs

(b) The competent authority should continue to assess the organisation's

compliance with the applicable requirements, including the

effectiveness of the management system. If the management system is

judged to have failed in its effectiveness, then this in itself is a

breach of the requirements which may, among others, call into question the validity of a certificate, if applicable.

(c) The accountable manager is accountable to the competent authority

as well as to those who may appoint him/her. It follows that the competent authority cannot accept a situation in

which the accountable manager is denied sufficient funds,

GM1 ARO.GEN.300a)



ARO.GEN.300 d,e,f) OversightARO.GEN.300 d,e,f) Oversight •GM•GM•GM•AMC•AMC•AMC

ARO.GEN.300 d,e,f)

(d) …the scope of the oversight …shall be

determined on the basis of the safety priorities, past

oversights.

(e) …when more than one MS involved… the CA

responsible may agree to have oversight tasks

performed by CA of the MS where the activity

takes place or by the Agency. All parts informed.

(f) The competent authority shall collect and processany information useful for

oversight

*Oversight includes RAMP or unannounced inspections

AMC1ARO.GEN.300d)a)

ACTIVITIES WITHIN THE TERRITORY OF THE MEMBER

STATE

(a) Activities performed in the territory of the Member

State by persons or organisations established or residing in another Member

State include:

(1) activities of organisations certified by

the competent authority of any other Member State or

the Agency; and

(2) activities of persons holding a licence, certificate,

rating,

(b) Audits and inspections of such activities, including ramp and unannounced inspections, should be prioritised towards those areas of greater safety concern, as identified through the analysis of data on safety

hazards and their consequences in operations.

AMC1ARO.GEN.300d)b)

*Oversight

includes RAMP

and

unannounced

inspections



ARO.GEN.305 Oversight ProgrammeARO.GEN.305 Oversight Programme •GM•GM•GM•AMC•AMC•AMC

To establish an

oversight programme

Depend on complex, nature,

size, past

Normally 24 month

plan

Also for persons

(FC, CC..)

•Based in audits, inspections, RAMP, unannounced

•Meetings AM-CAA

•Extended to 36 months

Safety hazards

managem

CAP closed

Control over changes

No findings CAT1

•Even to 48 months

•Effective continuous reporting systemCAA

Apprvd

•Include dates due, follow up, etc

Oversight

Programme




Oversight

Programme

•AMC1 ARO.GEN.305 (b) Specific nature and complexity of the organisation, results of past oversight But, how to

determine the

size of the

programme????

Other industry

standards (IOSA)

Changes not reqprior

approval

Specific approvals

Specific procedures

AltMoC

•See also AMC1 ORO.GEN200

Previous audits, RAMP insp, etc

Audit

plan




Oversight

Programme

•AMC2 ARO.GEN.305 (b) Procedures for oversight of operations

•1 or more inspectors per AOC Audit Plan should cover

•(1) infrastructure,

•(2) manuals,

•(3) training,

•(4) crew records,

•(5) equipment,

•(6) release of

flight/dispatch,

•(7) dangerous

goods,

•(8) organisation’s

management system.

Inspection Plan should cover

•(1) flight inspection,

•(2) ground inspection

(documents and records),

•(3) ramp inspection.

Audit and inspections combined …or not!

Audit and inspections notified…or not!

Major findings…imidiatly reported to CAA

Ojo first months of operation

Number and cat of findings…are good indicators




Oversight

Programme

•GM1 ARO.GEN.305 (b) Financial Management Examples of trends that may indicate problems in a new organisation's financial

management are:

(a) significant lay-offs or turnover of personnel;

(b) delays in meeting payroll;

(c) reduction of safe operating standards;

(d) decreasing standards of training;

(e) withdrawal of credit by suppliers;

(f) inadequate maintenance of aircraft;

(g) shortage of supplies and spare parts;

(h) curtailment or reduced frequency of revenue flights; and

(i) sale or repossession of aircraft or other major equipment items.




Oversight

Programme

AMC1 ARO.GEN.305(b)(1) AUDIT. Scope of each audit/ review findings raised by operator/ Audit reports

AMC2 ARO.GEN.305(b)(1) RAMP INSPECTIONS Comply with ARO RAMP/ wide sample of AC/ no discrimination (nationality, etc..)/ 6 months AC not inspected priority

AMC1 ARO.GEN.305(b);(c) INDUSTRY STANDARDS

•(a) … the CA may adapt its oversight programme, in order to avoid duplications

•(b) ..compliance with industry standards should not be considered in isolation from the other

elements

•(c) …to credit any audits performed from others:

•(1) providing for independent and systematic verification;

•(2) accreditation body for certification in accordance;

•(3) certification audits are relevant and can easily be mapped against the requirements defined in

Annex III (Part-ORO)

•(5) audit results are accessible to the competent authority

•(6) compatibility amongst standards frametime




Oversight

Programme

AMC1 ARO.GEN.305(c) Oversight planning cycle. Flexibility to adapt the scope content (For instance an operator growing)/ . different locations to be inspected

•AOC Issued First planning cycle Second planning cycle

•Audit A •Audit A

Separated no more than 1 cycle

At least 1 on-site audit

CAA to avoid duplications (AOC and ATO

audited at the same time….)

•Equal audit item

•Previous audits OK

•Good trend and results

•Intervals between audits no more

than 1 cycle



ARO.GEN.310 Initial certification procedureARO.GEN.310 Initial certification procedure•GM•GM•GM•AMC•AMC•AMC

Oversight

Programme

•CAA shall ensure compliance with all the applicable requirements PRIOR issuing a certificate

•Unlimited duration of the certificate that will include privileges and scope of the activities

•CAA shall approve a procedure to the organisation to implement changes without prior approval

•Intended date start ops•Minimum 90 days (OM 60 days)Application

•CAA shall:

•Assess management system and processes incl. organisation

and operational control

•Review OM and other manuals

•Conduct inspections, audits (on-site)

•Operator shall:

•Nominate focal point

•Gather evidences, training, logs, etc


•Continuous communication

•Report findings

•On site audits



ARO.GEN.330 Changes OrganisationsARO.GEN.330 Changes Organisations•GM•GM•GM•AMC•AMC•AMC

•(a) Apply for a change with prior approval, the CA shall verify compliance with the requirements before issuing the approval.

•When satisfied …the CA shall approve the change.

•(b) when the organisation implements changes requiring prior approval without the approval as defined in (a), the CA shall suspend, limit or

revoke the certificate.

•(c) For changes not requiring prior approval, the CA shall assess the information provided in the notification sent by the organisation in accordance

with ORO.GEN.130 to verify compliance with the applicable requirements. In case of any non-compliance, the competent authority shall:

•(1) notify the organisation about the non-compliance and request further changes;

•(2) in case of level 1 or level 2 findings, act in accordance with ARO.GEN.350.

•AMC1 ARO.GEN.330 Changes – organisations

•CA should be informed and provided with CV and

evidences

•A simple management system document should be always

available

•Inform about changes in the management system

•Sent changes 10 days prior to the change

•On site audit if necessary

AMC1 ARO.GEN.330 Changes – organisations

Change of the name of the organization

CAA should re issue the AOC

No audit needed



ARO.GEN.350 FindingsARO.GEN.350 Findings•GM•GM•GM

Lack of AM

Malpractice o fraudulent use of a certificate

Falsification

Not give access to CA to facilities

FINDING LEVEL 1

…non-compliance of the manuals, procedures, AOC with the

regulation that LOWERS safety…

� CA shall take immediate

action

� Prohibit, limit ops

� Revoke AOC or specific

approval

Until NC is corrected

GM1 ARO.GEN.350 TRAINING …. Take into account that to close the finding the operator shall produce a RCA. Therefore

the indirect cause of the NC could be lack of training…



ARO.GEN.350 FindingsARO.GEN.350 Findings•GM•GM•GM

Incomplete procedures

Lack of logs

No accurate documentation

Lack of internal external communication

FINDING LEVEL 2

…non-compliance of the manuals, procedures, AOC with the

regulation that COULD LOWER safety…

� Not more than 3 months

� Extendable other 3 months

to implement CAP

� Assess CAP

� Fail to correct Level

Until NC is corrected

FINDING LEVEL 1

NO CAP



ARO.GEN.335 Findings and enforcement measures - personsARO.GEN.335 Findings and enforcement measures - persons

•GM•GM•GM

CA finds non-compliance by person holder

of licence, certificate, rating•ARA.GEN355 a, d) of Annex 6 (PART-ARA of AIR CREW)Enforcement measures

CA finds non-compliance by person NOT

holder of licence, certificate, ratingThe applicable regulation (965/12, 216/08….)Enforcement measures

GM 1 ARO.GEN.355 b) This measure is to ensure that an inspector can refer to other rule out of the scope of his duties.

For instance in an operation Control ground inspection a pilot scheduled for a flight didn’t performed the last Dangerous

Goods course, or not having the appropriate rating…

ARO requirements

� ARO.GEN


� ARO.OPS


� ARO.RAMP


10-12 Sept 2013 EASA 100




actions


Annex II: Part-ARO.OPS


ARO.OPS.100 Issue of the air operator certificateARO.OPS.100 Issue of the air operator certificate

SUBPART OPS

AIR OPERATIONS

SECTION I

Certification of commercial air

transport operators

SUBPART OPS

AIR OPERATIONS

SECTION I

Certification of commercial air

transport operators

•CAA shall issue

certificate with

the operation

specifications

ORO.AOC.100 Application for AOC

Comply with all the applicable requirements of Annex IV to

Regulation (EC) No 216/2008, this Annex and Annex IV (Part-

CAT) and Annex V (Part-SPA)

All aircraft operated have a certificate of airworthiness

(CofA) in accordance with Regulation (EC) No 1702/2003;

and

Its organisation and management are suitable and properly

matched to the scale and scope of the operation.



ARO.OPS.105 Code-share arrangementsARO.OPS.105 Code-share arrangements

•CAA shall

Liaise with the CA of the third

country operator

Verify the AOC complies

ORO.AOC.115 (Third country

operator fulfil ICAO requirements

ORO.AOC.115

(a) ….., an operator certified in accordance with this Part

shall enter into a code-share agreement with a third

country operator only after:

•(1) . ..TCO complies with the applicable ICAO standards;

and

•(2) having provided the CA with information enabling such

authority to comply with ARO.OPS.105.

•(b) …..the operator shall monitor assess the on going

compliance of the TCO with the ICAO standards.

•(c) ….is subject to an operating ban pursuant to Regulation

(EC) No 2111/2005??? Or is failing to maintain compliance

with ICAO standards. ???



ARO.OPS.115 Lease arrangementsARO.OPS.115 Lease arrangements

•CAA shall

Revoke or suspended when

•Approve a lease when

(1) ORO.AOC.110(d), for dry leased-in third country aircraft;

(2) ORO.AOC.110(c), for wet lease-in of an aircraft from a third

country operator;

(3) ORO.AOC.110(e), for dry lease-out of an aircraft to any

operator;

(1) the AOC of the lessor or lessee is suspended or revoked;

(2) the lessor is subject to an operating ban pursuant to

Regulation (EC) No 2111/2005 of the European Parliament and

of the Council ( 2 ).

The approval of a dry lease-in agreement shall be suspended or

revoked whenever the CofA of the aircraft is suspended or

revoked.



ARO.OPS.200 Specific approvals procedureARO.OPS.200 Specific approvals procedure•AMC•AMC•AMC

Oversight

Programme

•CAA shall ensure compliance with all the applicable requirements PRIOR issuing a certificate

•Unlimited duration of the certificate that will include privileges and scope of the activities

•CAA shall issue or ament the approval, in the Operations Specifications,

•Issue or amend the approvalAssess the application Application

•CAA shall:

•Assess the request in accordance with the relevant

requirements of Annex V (Part-SPA)

•Review OM and other manuals/documents


•Operator shall (Recommendation):

•Nominate focal point

•Gather evidences, training, logs, etc



•Report findings

•On site audits



ARO.OPS.200 Specific approvals procedure IIARO.OPS.200 Specific approvals procedure II

SPECIFIC APPROVALS [PART-SPA] SPECIFIC APPROVALS [PART-SPA]

� PERFORMANCE-BASED NAVIGATION (PBN) OPERATIONS

� OPERATIONS WITH SPECIFIED MINIMUM NAVIGATION PERFORMANCE (MNPS)

� OPERATIONS IN AIRSPACE WITH REDUCED VERTICAL SEPARATION MINIMA (RVSM)

� LOW VISIBILITY OPERATIONS (LVO)

� EXTENDED RANGE OPERATIONS WITH TWO-ENGINED AEROPLANES (ETOPS)

� HELICOPTER OPERATIONS WITH NIGHT VISION IMAGING SYSTEMS

� HELICOPTER HOIST OPERATIONS

� HELICOPTER EMERGENCY MEDICAL SERVICE OPERATIONS



ARO.OPS.205 MEL ApprovalARO.OPS.205 MEL Approval•AMC•AMC•AMC

Oversight

Programme

•CAA shall ensure compliance with all the applicable requirements PRIOR issuing the approval

•Unlimited duration of the certificate unless new MMEL is published or the procedures has changed

•CAA shall issue as a separated letter

•Issue or amend the approvalAssess the application Application

•CAA shall:

•Assess each item affected

•Take into account the OM and other manuals/documents in

case the MEL modification affects them

•CA shall approve the procedure for the extension of the

“applicable rectification intervals”



•Report errors

•On site audits, if applicable

•The Operator shall comply with the applicable

requirements in ORO/CAT/SPA



ARO.OPS.210 Determination of local area ARO.OPS.210 Determination of local area

•ARO.OPS.215 Approval of helicopter operations over a hostile environment located outside a congested area

•(a) The Member State shall designate those areas where helicopter operations may be conducted without an assured safe forced landing capability, as described in CAT.POL.H.420.

•(b) Before issuing the approval referred to in CAT.POL.H.420 the competent authority shall have considered the operator’s substantiation precluding the use of the appropriate performance

criteria.

•ARO.OPS.220 Approval of helicopter operations to or from a public interest site

•The approval referred to in CAT.POL.H.225 shall include a list of the public interest site(s) specified by the operator to which the approval applies.

•ARO.OPS.225 Approval of operations to an isolated aerodrome

•The approval referred to in CAT.OP.MPA.106 shall include a list of the aerodromes specified by the operator to which the approval applies.

The CA may determine a local area for the purpose of flight crew training and checking requirements.

GM1 ARO.OPS.210 Determination of local area (for specific approvals!!!)

The local area should reflect the local environment and operating conditions.

Helicopter operations

ARO requirements

� ARO.GEN


� ARO.OPS


� ARO.RAMP


10-12 Sept 2013 EASA 108




actions


Annex II: Part-ARO.RAMP


PART-ARO

GEN

OPSRAMP

ARO. RAMP.005 Scope

• Requirements to be followed by CAA or the

Agency

To perform Ramp inspections to TCO/AC used by operators under the regulatory oversight of other MS


ARO.RAMP.100 General


AC and the crew

Including AC suspected of non complying with the regulation

CAA shall develop an annual programme (historical data, number of operations, giving priority TCO

The Agency in coop with MS shall perform ramp inspections


ARO.RAMP.105 Prioritisation criteria


The Agency Authorities a list potential risky operators prioritisation

This list

Operators included in ARO.RAMP.150.b.4 “Agency coordination tasks”

Those communicated by the European Commission (Safety List)

Banned carriers

TCO

The Agency shall update this list

When updated the safety list

Once every four months


ARO.RAMP.110 Collection of information


The CA Shall collect and process any useful information

AMC1 ARO.RAMP.110 Collection of information

Important safety information:

Pilot reports

Maintenance org reports

Incidents reports

Complaints

Information or actions after to a ramp inspection

Aircraft grounded

Banned operator

CAP required

Contacts with other CAA

Restrictions on flight operations

Follow-up information of the operator

Implementation of CAP / recurrence of non compliance


ARO.RAMP.115 Qualification of inspectors


The Agency Authorities shall have qualified inspectors

Ramp inspectors shall:

(1) possess the necessary aeronautical education or practical knowledge relevant to their area(s) of inspection;

(2) have successfully completed:

(i) appropriate specific theoretical and practical training, in one or more of the following areas of inspection:

(A) flight deck;

(B) cabin safety;

(C) aircraft condition;

(D) cargo;

(ii) appropriate on-the-job training delivered by a senior ramp inspector appointed by the competent authority or the Agency;

(3) maintain the validity of their qualification by undergoing recurrent training and by performing a minimum of 12 inspections in every 12-month period.

………

SEE AMC1,2 ,3,4 ARO.RAMP.115


ARO.RAMP.120 Approval of training organisations


•The CA shall approve a training organisation, with principal place of business in the territory of the respective MS, when

•(1) has nominated a head of training possessing sound managerial capability to ensure that the training provided is in compliance with regulation;

•(2) has available training facilities and instructional equipment;

•(3) provides training in accordance with ARO.RAMP.115(d); SEE AMC

•(4) uses qualified training instructors.

•If so requested by the CA of compliance and continuous compliance with the requirements referred to in (a) shall be performed by the Agency.

The TA can deliver: initial theoretical training and/or initial practical training/ recurrent training


ARO.RAMP.125 Conduct of ramp inspections


In a standardised manner using Appendix III


ARO.RAMP.125 Categorisation of findings


Cat 1 non-compliance with the

requirements with minor influence

Cat 2 non-compliance with the

requirements with significant influence

Cat 3 non-compliance with the requirements with major influence


ARO.RAMP.130 Categorisation of findings II


Type CATCat N.C.

OrganisationPeriod

Resolutión

SAFA

1: Minor influence in flight safety 3 30 Days

2: Significant influence in flight safety 2 30 Days

3: Major influence in flight safety 1 0

IOSA (IATA) FINDING 2 30 Days

ISO 9001 (AENOR)MAJOR 1 30 Days

LOW 2 30 Days

AIR OPS ARO.GEN.350

1: Finding which lowers safety or seriously hazards flight safety 1 Inmediate

2: Finding which could lower safety or hazard flight safety 2Up to 3

months*

EASA Part M

1: any failure to meet the requirements of Part M that reduce thesafety standard and hazards seriously the flight safety.

1 Inmediate

2: any non-compliance with Part-M requirements which could lower the safetystandard and possibly hazard the flight safety.

2Up to 3

months*


ARO.RAMP.135 Follow up actions


For Cat 2 and 3: the CA or the Agency shall communicate the finding to the operator and request for evidences

Inform the competent authority

For Cat 3: the CA shall

Impose restrictions on the AC

Request for immediate corrective actions

Ground the AC

Impose ban

When the Agency has raised a Cat 3 request the CA to take measures


ARO.RAMP.140 Grounding of aircraft


In case CAT 3 and AC grounded the CA shall inform the PIC/Commander that the AC is NOT permitted to fly

Information between Authorities

Establish conditions for the AC to take-off

Review CofA

See specific cases for CofA


ARO.RAMP.145 Reporting


Information of ramp inspections shall be entered in EASA database in 21 days

Enter in the database other relevant information

If potential safety threat should be communicated to the CA and the Agency


ARO.RAMP.150 Agency coordination tasks


The Agency shall manage and operate the tools and procedures for the storage and exchange of the information

Tasks to be performed by the Agency in ARO.RAMO.150b)

SAFA website:

http://www.easa.europa.eu/approvals-and-standardisation/safety-assessment-of-foreign-aircraft-SAFA.php


ARO.RAMP.155 Reporting

ARO.RAMP.160 Information to the public and protection of information


The Agency shall prepare a report to the European Commission on the ramp inspection system.

MS shall use the info received only for the purpose of Regulation 216/08

The Agency shall produce an annual report:

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2012:0091:FIN:EN:PDF


ARO.RAMP.160 Information to the public and protection of information


MS shall use the info received only for the purpose of Regulation 216/08

The Agency shall produce an annual report:

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=COM:2012:0091:FIN:EN:PDF

Annex III: Part-ORO

Applicability:

Organisation requirements for;

CAT operators

NCC operators

SPO operators

Commercial operations

Non-commercial operations

with complex aircraft

EASA 12410-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

Annex III: Part-ORO

.GEN – general requirements

.AOC – air operator certification

.*DEC – declaration (added

soon)

.MLR – manual, logs, records

.SEC – security

EASA 12510-12 Sept 2013

Part-ORO

GEN AOC DEC* MLR SEC FC CC TC FTL*

.FC – flight crew

.CC – cabin crew

.TC – technical crew

.*FTL – flight time limitations

(added soon)

ORO.GEN – General requirements

10-12 Sept 2013 EASA 126

ORO.GEN.105

Competent authority (A, DW)

� CA where the Operator has the Principle place of business

� Definition of principle place of business as Reg. (EC) No 1008/2008

ORO.GEN.110

Operator responsibilities (NC, A) (AMC, GM)

� Operation of AC in accordance with annex IV- CAT

� Additional text on design (human factors principles) and content (aircraft manufacturers’ documents) when design the CLs.

� FOO ICAO Doc 7192 D-3 (GM)

� DGs training programmes ICAO IT and approval of CA. (Requirement not linked to a dangerous goods approval for clarity

ORO.GEN.115

Application for an operator certificate (A)

� Application should be made according to what has been defined by the competent authority.

� Include the procedure to manage changes not requiring prior approval

A: Amended, NC: no change, N: new DW: Different wording


10-12 Sept 2013 EASA 127

ORO.GEN.120

Means of compliance (New) (AMC)

NEW: The possibility of using AltMoc. Provide the CA description, revision of docs, and a assessment to demonstrate that the IR are met.

AMC 1 risk assessment documented

Approval from the CA

ORO.GEN.125

Terms of approval and privileges of an operator (NC) (AMC)

The operator shall comply with the privileges stated in the AOC

AMC 1 …and the management System Documents in line…

ORO.GEN.130

Changes to organisations (A) (GM)

� Prior approval for some major changes, GM ORO.GEN,

� Changes in the scope of the AOC and operations specifications

� Any element of the Management system

� Any paragraph of the regulation subject to approval

� Minor changes: procedure agreed with competent authority


10-12 Sept 2013 EASA 128

ORO.GEN.135

Continued validity (A)

� Comply with 216/08 and IR, handling of findings

� The CA have access to documents to determine compliance

ORO.GEN.140

Access: Operator grant access to CAA (NC, A)

To facility, aircraft-flying or not-, documents, records, data, procedures etc… (whether is contracted or not…)


10-12 Sept 2013 EASA 129

ORO.GEN.150

Findings (N) (AMC, GM)

� Identify route cause (RCA) of the NC

� Define corrective action plan (CAP)

� Demonstrate implementation

ORO.GEN.155Immediate reaction to a safety problem(A) by implementing:

• Safety measures by CAA and safety info by the Agency like Ads

ORO.GEN.160

Occurrence reporting (A) (AMC)

• Operator shall inform CAA and to the responsible of the design of the AC any accident, incident, occurrence.

Reg EU 996/2010, directive 2003/43/EC and 1702/2003

• CAA shall design the form

• 72 hours

• Operator shall produce a follow-up report


10-12 Sept 2013 EASA 130

ORO.GEN.200

Management system (A) (AMC, GM)

� Implements ICAO standards on safety management systems (SMS)

� Lists the elements that the organisations must address.

� Safety concern for all personnel

(a) An operator shall establish, implement and maintain a managementsystem that includes:

(1) clearly defined lines of responsibility and accountability throughout theorganisation, including a direct safety accountability of the accountablemanager;

(2) a description of the overall philosophies and principles of the organisationwith regard to safety, referred to as the safety policy;

(3) the identification of aviation safety hazards entailed by the activitiesof the organisation, their evaluation and the management ofassociated risks, including taking effective actions to mitigate therisk;

(4) maintaining personnel trained and competent to perform their tasks;

(5) documentation of all management system key processes, including aprocess for making personnel aware of their responsibilities, and itsamendment procedure;

(6) a function to monitor compliance of the organisation with the relevantrequirements. Compliance monitoring shall include a feedback system offindings to the accountable manager to ensure effectiveimplementation of corrective actions as necessary.

Management System most relevant IR: ORO.GEN.200 (extract)

SMS - Management System 10-12 Sept 2013 131

AMCs and GM to ORO.GEN.200

Reference Applies to Subject

AMC1-

ORO.GEN.200(a)(1)(2)(3)(5)non-complex

- Responsibility and accountability

- Safety policy

- Hazard identification, risk management

- Documentation of management system key

processes

- Safety manager

- Emergency response plan

AMC1-ORO.GEN.200(a)(1) complex

Organisation and accountabilities:

- Safety manager

- Safety review board (SRB)

GM1-ORO.GEN.200(a)(1) complex Safety action group (SAG)

AMC1-ORO.GEN.200(a)(2) complex Safety policy and management commitment

GM1-ORO.GEN.200(a)(2) all Definition of safety policy

AMC1-ORO.GEN.200(a)(3) complex

Safety risk management:

- Risk management

- Management of change

- Continuous improvement

- Emergency response plan


AMCs and GM to ORO.GEN.200

Reference Applies to Subject

GM1-ORO.GEN.200(a)(3) all Internal occurrence reporting scheme

AMC1 -ORO.GEN.200(a)(4) all Training and communication on safety

AMC1-ORO.GEN.200(a)(5) all Organisation management system documentation

GM1-ORO.GEN.200(a)(5) all Organisation management system documentation

AMC1-ORO.GEN.200(a)(5) complexOrganisation management system documentation –Safety management manual (SMM)

AMC1-ORO.GEN.200(a)(6) all

Compliance monitoring - general- Designation of a compliance monitoring manager - Compliance monitoring documentation - Training

AMC2-ORO.GEN.200(a)(6) non-complex Compliance monitoring - audit checklist

GM1.ORO.GEN.200(a)(6) complex Compliance monitoring - typical subjects

AMC1-ORO.GEN.200(b) all Size, nature and complexity of the activity


SAFETY POLICY

The safety policy is the means whereby theorganisation states its intention to maintainand, where practicable, improve safety levelsin all its activities and to minimise itscontribution to the risk of an aircraft accidentas far as is reasonably practicable.

GM1-ORO.GEN.200(a)(2)


SAFETY POLICY (endorsed by the accountable manager)

• establish safety objectives and performance standards

• reflect organisational commitments regarding safety and itsproactive and systematic management;

• enforce safety as one primary responsibility of all managers

• to be communicated throughout the organisation

• senior management should continually promote the safety policy to all personneland demonstrate their commitment to it

• should include safety reporting principles

• commitment not to blame someone for reporting something which would not havebeen detected otherwise.

AMC1-ORO.GEN.200(a)(2)


Organisational set-up

AMC1-ORO.GEN.200(a)(1) AMC1-ORO.GEN.200(a)(6)

Accountable Manager (AM)

Safety Manager

(SM)

Compliance Monitoring Manager (CMM)

Safety Review Board (SRB)

Accountable Manager plus Heads of functional areas

Safety Action Group (SAG)


Functions :

1. facilitate & coordinate hazard identification, riskanalysis and management;

2. monitor the implementation of actions taken tomitigate risks, as listed in the safety action plan;

3. provide periodic reports on safety performance;

4. ensure maintenance of safety managementdocumentation;

5. ensure that there is safety management trainingavailable and that it meets acceptable standards;

6. provide advice on safety matters; and

7. initiate and participate in internal occurrence /accident investigations.

Safety Manager AMC1-ORO.GEN.200(a)(1)


• high level committee, chaired by the AM.

• considers matters of strategic safety.

FUNCTIONS:

1. monitor safety performance against the safety policy and objectives;

2. ensure safety actions are taken in a timely manner;

3. ensure the organisation’s safety management processes remain effective.

Safety Review BoardAMC1-ORO.GEN.200(a)(1)


optional

• May be established as a standing group or as an ad-hocgroup to assist or act on behalf of the Safety Review Board.

• More than one safety action group may be establisheddepending on the scope of the task and specific expertiserequired.

• A safety action group should report to and take strategicdirection from the Safety Review Board and should becomprised of managers, supervisors and personnel fromoperational areas.

e.g. to assess impact on safety of operational changes, such as:

introduction of a new type of aircraft

use of a new contractor

implementation of new software for component tracking

Safety Action GroupGM1-OR.GEN.200(a)(1)


• Hazard identification processes

• reactive & proactive

• Risk assessment and mitigation processes

• analysis, assessment and control of risks

• Internal safety investigation following occurrences

• Not limited to occurrences required to be reported

• Safety performance monitoring and measurement

• Combination of safety reporting, safety studies, safety reviews,safety audits, safety surveys.

• Management of change

• Identify changes that may adversely affect safety

• Use existing tools and mechanisms to assess and manage relatedrisks

SAFETY RISK MANAGEMENT AMC1-ORO.GEN.200(a)(3)


• Continuous improvement

• reactive and proactive evaluation of facilities, equipment,documentation, procedures (audits and surveys)

• Evaluation of individual’s performance in terms of safetyresponsibilities

• Reactive evaluation of effectiveness of risk controls

• Emergency Response Plan

• Actions to be taken in case of an emergency

• Ensure orderly and safe transition from normal to emergencyoperation

• Need to co-ordinate with ERPs of other organisations whereappropriate

SAFETY RISK MANAGEMENT AMC1-ORO.GEN.200(a)(3) - continued

141

• one important element of the hazard identification process, improve the safety performance without attributing blame

• to identify instances where routine procedures have failed

• assessment of safety implications to determine need for action

• dissemination of relevant safety information stemming fromincidents and accidents

• allows reactive evaluation of effectiveness of risk controls


Internal Occurrence Reporting scheme

142

• Hazard identification processes

• reactive : incidents and accidents

• proactive : intrinsic threats and potential failures

• Risk assessment and mitigation processes

• analysis, assessment and control of risks

• Internal safety investigation following occurrences

• Not limited to occurrences required to be reported

• Safety performance monitoring and measurement

• Combination of safety reporting, safety studies, safety reviews, safety audits, safetysurveys.

• Management of change

• Identify changes that may adversely affect safety

• Use existing tools and mechanisms to assess and manage related risks

28 Oct. 201 143

SAFETY RISK MANAGEMENT AMC1-ORO.GEN.200(a)(3)

144

RISK ASSESSMENT

Planning (what, when how, who)

Analysis of hazards, causes/contribu-

ting factors

& likelihood

Analysis of consequences

Risk description (severity/likelihood)

Risk evaluation (acceptability/

mitigation)

Conclusion (for decision-making &

prioritising)

Risk mitigation

Documentation (records –

procedures to be amended)

Monitoring & Review

145

Example: New operating site in mountainous area

Planning: when do we need the

results? Who to involve?

Hazards:

Topography

Traffic pattern

Possible consequences:

CFIT – collision

Risk description (severity/likelihood)

Evaluation acceptable?

Mitigation required ?

Conclusion:

Amend SOP

FC training

Risk mitigation

implement actions

Documentation keep records of the assessment

and actions taken

Monitoring: specific incidents reported (issue

solved)?

TRAINING AND COMMUNICATION ON SAFETY

• All personnel to receive safety training as relevant to their responsibilities

• Communication on safety matters:

• Raise awareness on safety management activities.

• Convey safety critical information on risks identified.

• Explain why actions are taken, why procedures are introducedor changed.



ORGANISATION MANAGEMENT SYSTEM DOCUMENTATION

• General items to be covered (minimum required for all organisations)

• Statement by the accountable manager “organisation will continuouslywork in accordance with the applicable requirements and theorganisation’s documentation”

• Scope of activities

• Names of nominated post holders

• Organisation chart with lines of responsibility

• Procedures specifying how compliance with requirements is ensured(auditing)

• Management system documentation amendment procedure


Organisations may

adopt any title for this

document


SAFETY MANAGEMENT MANUAL

key instrument for communicating the approach to safety forthe whole of the organisation, to document all aspects ofsafety management:

1. scope of safety management

2. safety policy and objectives

3. safety accountability of the accountable manager

4. safety responsibilities of key safety personnel

5. hazard identification and risk management schemes

6. safety action planning

7. safety performance monitoring

8. incident investigation and reporting

9. emergency response planning



ORGANISATION MANAGEMENT SYSTEM DOCUMENTATION

The information may be contained in any of the organisation manuals

• safety management manual,

• operations manual,

• training manual

• …

These manuals may also be combined, e.g. the SMM can be one chapter of the operations manual or the operations manual can be integrated with the SMM.


It is not required to duplicate

information in several manuals,

however the organisation must

be able to demonstrate that all

items are covered



10-12 Sept 2013 EASA 150

ORO.GEN.205

Contracted activities (A) (AMC,GM)

� All activities under the operator’s scope approval…operator responsible to ensure that the requirements are met.

� Access of the CAA to providers

� Written agreement (AMC)

ORO.GEN.210

Personnel requirements (A)

Accountable manager, post-holders (ORO.AOC.135), compliance monitoring manager and safety manager

ORO.GEN.215 Facility requirements (A)

ORO.GEN.220

Record-keeping (A) (AMC, GM)

The operator shall establish a system for record-keeping(In particular ORO.GEN.200)

Backup system

ORO.AOC – Air Operator certification

10-12 Sept 2013 EASA 151

ORO.AOC.100

Application for an AOC (N, A, NC) (AMC)

(1) the official name and business name, address, and mailing address of the applicant; (2) a description of the proposed operation, including the type(s), and number of aircraft to be operated; (3) a description of the management system, including organisational structure; (4) the name of the accountable manager; (5) the names of the nominated persons required by ORO.AOC.135(a) together with their qualifications and experience; and (6) a copy of the operations manual required by ORO.MLR.100. (7) a statement that all the documentation sent to the competent authority have been verified by the applicant and found in compliance with the applicable requirements.

Application sent 90 days before the intended start date of ops. (60 days for the OM)


10-12 Sept 2013 EASA 152

ORO.AOC.105 OPS SPECS and privileges of an AOC holder (N)

Including those granted in accordance with Annex V (Part-SPA)

ORO.AOC.110 Leasing (A) (AMC)

ORO.AOC.115

Code-share (N) (AMC)

With TCO after…

TCO complies with ICAO standards

Provide CA inform to comply withARO.OPS.105

The operator shall monitor and assess the TCO

Safety List

ORO.AOC.120

Approvals to provide cabin crew training and to issue cabin crewattestations (N)

The approval to provide training in accordance Annex V (Part CC) to 290/2012

ORO.AOC - Leasing

10-12 Sept 2013 EASA 153

Wet lease-out

Inform CAA


10-12 Sept 2013 EASA 154

ORO.AOC.125

Non-commercial operations of aircraft listed in the operationsspecifications by the holder of an AOC (N)

Describes the operation in the OM

Identify differences of procedures NCC and CAT

Non-commercial operations of aircraft listed in the operations specifications by the holder of an AOC

No declaration is needed

Identification of:

the applicable requirements

differences between operating procedures when used in commercial and non-commercial operations

Ensure that personnel are familiar with procedures

Prior approval

ORO.AOC.130

Flight Data Monitoring – aeroplanes (NC) (AMC, GM)

FDM system includedin the Management System MTOW >27.000kg

Non punitive system!! With safeguards to to protect the data.


10-12 Sept 2013 EASA 155

ORO.AOC.135

Personnel requirements (NC) (AMC,GM)

1) flight operations;

2) crew training;

3) ground operations; and

4) continuing airworthiness in accordance with Regulation (EC) No 2042/2003.

Nominated persons (AMC) (Various positions, included in OM continuity, more than 1 AOC, Production plan)

Competence of nominated persons (GM)


10-12 Sept 2013 EASA 156

ORO.AOC.140

Facility requirements (NC)

Appropiate ground handlig facilities

Arrange for optional support facilities

Enought working space (tasks related to flight safety)

ORO.AOC.150

Documentation requirements (NC)

The operator can make arrangements for the production of manualsand other documents

The operator shall produce procedures for the distribution of information

ORO.MLR - Manuals, Logs and Records

10-12 Sept 2013 EASA 157

ORO.MLR.100

Operations Manual- general (A, NC) (AMC, GM)

� Up to date & inform relevant personnel on changes to manual

ORO.MLR.101 Structure of Manual for CAT (NC)

� Part A, B, C & D

ORO.MLR.105

Minimum Equipment List (A, N)(AMC)

� Approved by competent authority

� MEL based on MMEL resulting from the OSD

ORO.MLR.110

Journey log (A) (AMC, GM)

Containing particulars of the flight, crew for each flight.

AMC contains minimum details

ORO.MLR.115

Record Keeping(A, NC) (AMC)

� Management System information 5 yrs

� Operational information 3 yrs

ORO.SEC - Security

10-12 Sept 2013 EASA 158

ORO.SEC.100.A

Flight crew compartment security (NC)

A/C MTOM> 45500kg or MOPSC> 60pax >>>equipped with flight crew compartment door

Operator to develop procedures to operate the door

ORO.SEC.100.H

Flight crew compartment security (N)

If installed, the door on a Helicopter…shall be capable of being locked from the flight crew compartment.

ORO.FC – Flight Crew

Additional requirements

NCC & all commercial operators

Section I

Common requirements

Section II

CAT

Section III

com SPO &CAT (A-to-A)

10-12 Sept 2013 EASA 159

Part-ORO

.GEN.GEN

.AOC.AOC

.DEC.DEC

.MLR.MLR

.SEC

.FC.FC

.CC

.TC.TC

.FTL

ORO.FC

Highlights

CRM training for single pilot operations now mandatory (ORO.FC.115)

Integration of Operational Suitability Data (OSD) (ORO.FC.145)

for operators to account for OSD standards and recommendations when developing their training programmes

FSTD “user approval” for commercial operators:

FSTD shall replicate the aircraft, as far as possible

management of differences between FSTD and aircraft

management of changes to the FSTD

10-12 Sept 2013 EASA 160


10-12 Sept 2013 EASA 161

ORO.FC.005

Scope (N)

Requirements for FC training, experience and qualifications

ORO.FC.100

Composition of FC (A) (AMC, GM)

As specified in OM

Hold current licence and ratings (Reg CE 1178/2011)

ORO.FC.105Designation as pilot in command (A)

Om contains all requirements

ORO.FC.100

Flight engineer (A)

If flight engineer station is incorporated, crew member shall be included as flight crew qualified in accordance with national rules.


10-12 Sept 2013 EASA 162

ORO.FC.115 CRM training (NC)

ORO.FC.120

Operator conversion training (NC) (See ORO.FC.220 +AMC)

b) (New) The operator conversion training course shall include training on the equipment installed on the aircraft as relevant to flight crew members’ roles.

ORO.FC.125Differences training and familiarisation training (A) (AMC)

ORO.FC.130 Recurrent training and checking (N) (See ORO.FC.230)


10-12 Sept 2013 EASA 163

ORO.FC.135 Pilot qualification to operate in either pilot’s seat (NC)

ORO.FC.140 Operation on more than one type or variant (A)

ORO.FC.145

Provision of training (A, NC,N) (AMC)

(New d and e)) See differences between the AC and the FFS in AMC

ORO.FC.200 Composition of flight crew (A, NC)(AMC)

ORO.FC.A.201 In-flight relief of flight crew members (NC)

ORO.FC.202 Single-pilot operations under IFR or at night (A)

ORO.FC.205 Command course (NC) (AMC)

ORO.FC.215 Initial operator’s crew resource management (CRM) training (A, NC) (AMC)


10-12 Sept 2013 EASA 164

ORO.FC.230 Recurrent training and checking (NC) (AMC)

ORO.FC.235

Pilot qualification to operate in either pilot’s seat (NC)(AMC)

ORO.FC.240

Operation on more than one type or variant (A) (NC) (AMC)

ORO.FC.A.245 Alternative training and qualification programme (A) (AMC)

ORO.FC.A.250 Commanders holding a CPL(A (A))

ORO.FC.H.250 Commanders holding a CPL(H)(NC)

ORO.CC – Cabin Crew

Part-ORO

.GEN.GEN

.AOC.AOC

.DEC.DEC

.MLR.MLR

.SEC

.FC.FC

.CC

.TC.TC

.FTL

10-12 Sept 2013 EASA 165

Contains conversion and recurrenttraining

Reference to Aircrew Regulation(290/2012) for initial training

Integration of Operational Suitability Data (OSD) (ORO.CC.125)


10-12 Sept 2013 EASA 166

ORO.CC.005 Scope (A)

ORO.CC.100

Number and composition of cabin crew (NC,N)(AMC)

New…number of CC shall take also into account the TC(See GM)

ORO.CC.110Conditions for assignment to duties (A, NC)

Reference to Part-MED

ORO.CC.115

Conduct of training courses and associated checking (N) (AMC, GM)Not new in substance, however gives general rules to deliver the training (equipment, procedures, training methods, training devices, checking)

ORO.CC.120 Initial training course (A-structure)

ORO.CC.125Aircraft type specific training and operator conversion training (A-structure)(AMC)

ORO.CC.130 Differences training (A-Now a separated rule)

ORO.CC.135Familiarisation (A-Now a separated rule) (AMC)


10-12 Sept 2013 EASA 167

ORO.CC.140Recurrent training (A-content split in IR and AMC) (AMC)

ORO.CC.145 Refresher training (A-content split in IR and AMC) (AMC)

ORO.CC.200Senior cabin crew member (A-content split in IR and AMC) (AMC)

ORO.CC.205Reduction of the number of cabin crew during ground operations and in unforeseen circumstances (NC)

ORO.CC.210Additional conditions for assignment to duties (A)Requirements for wearing uniform apply to CAT

ORO.CC.215Training and checking programs and related documentation (A-text clarification)

ORO.CC.250Operation on more than one aircraft type or variant (A-reference to 1702/2003* )

ORO.CC.225 Single cabin crew member operations(NC)

*laying down implementing rules for the airworthiness and environmental certification

ORO.TC – Technical Crew


.AOC – air operator certification

.DEC – declaration

.MLR – manual, logs, records

.SEC – security

.FC – flight crew

.CC – cabin crew

.TC – technical crew

.FTL – flight time limitations

10-12 Sept 2013 EASA 168

Part-ORO

.GEN.GEN

.AOC.AOC

.DEC.DEC

.MLR.MLR

.SEC

.FC.FC

.CC

.TC.TC

.FTL

ORO.TC – applicability and main change

10-12 Sept 2013 EASA 169

Applicability:

technical crew members in commercial air transport HEMS, HHO, NVIS operations

further experience and training requirements for HEMS, HHO and NVIS operations are contained in the specific Part-SPA subparts

aerial work task specialists are included in Part-SPO

Main change compared to JAR-OPS 3: no limitation on number of types in IR anymore

operator to specify the maximum number of aircraft types in the OM, taking into account the specific operating environment, equipment, procedures

Annex IV: Part-CAT

Applicability:

Technical rules for CAT operations

with;

Complex aircraft:

A, H

Non-complex aircraft:

A, H (S, B added soon)

A-to-A operations with A, H

(added soon)

EASA 17010-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

Annex IV: Part-CAT

CAT – commercial air transport


.OP – operational procedures

.POL – performance and

operating limitations

.IDE – instruments, data,

equipment

.MPA – motor-powered aircraft

.NMPA – non-motor-powered

aircraft

.A, .H, .S, .B - aeroplanes,

helicopters, sailplanes, balloons

.MAB – mass and balance

EASA 17110-12 Sept 2013

Part-CAT

.GEN

.MPA

.NMPA

.OP

.MPA

.NMPA

.POL

.A

.H

.MAB

.S

.B

.IDE

.A

.H

.S

.B

Annex IV: Part-CAT

Key points

Part contains technical rules for all CAT operations.

Part structured into aircraft-specific sections/chapters.

Part could be easily amended for other aircraft categories, e.g. tilt rotor aircraft, airships, remotely piloted aircraft systems.

Rule text aligned with the content of;

EU-OPS and Section 1 of JAR-OPS 3,

section 2 material of JAR-OPS 1 and JAR-OPS 3.

Improved balance between Implementing Rules and AMC/GM.

EU-OPS/JAR-OPS 3 text has been given precedence over ICAO SARPs.

EASA 17210-12 Sept 2013

Annex III: Part-CAT

Introduced changes:

� CAT.GEN. MPA.100 Crew responsibilities

� CAT.IDE.A.195 Data link recording

� CAT.POL.H.420 Helicopter operations over a hostile environment located outside a congested area

EASA 17310-12 Sept 2013

Annex V: Part-SPA

Applicability:

Operators which wish to conduct an

operation requiring a specific

approval.

To be documented in;

OPSPECS for certified

operators,

list of specific approvals for

non-certified operators.

EASA 17410-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

Annex V: Part-SPA

.GEN – general requirements.

.PBN – performance based navigation

.MNPS – minimum navigation performance

specifications.

.RVSM – reduced vertical separation minima.

.LVO – low visibility operations.

.ETOPS – extended range operations with two-

engined aeroplanes.

.DG – dangerous goods.

.NVIS – night vision imaging systems.

.HHO – helicopter hoist operations.

.HEMS – helicopter emergency medical services.

EASA 17510-12 Sept 2013

.GEN

.ETOPS

.MNPS

.PBN

.RVSM

.LVO

.NVIS.DG

Part-SPA

.HEMS.HHO

Annex V: Part-SPA

SPA.GEN.100 Competent authority

For commercial operations;

operator’s principal place of business.

For non-commercial operations;

place where the operator is established or residing,

when using an aircraft registered in a third country, the approvals for PBN, MNSP, RVSM may be issued by the third country State of Registry.

176EASA10-12 Sept 2013

Annex V: Part-SPA

SPA.GEN.110

Documentation of specific approvals

for commercial operations in the “operations specifications” (OPSPECS)

for non-commercial operations in the “list of specific approvals”

The corresponding authority requirements are specified in Part-ARO including the forms for

OPSPECS and

list of specific approvals

EASA 17710-12 Sept 2013

Annex VI: Part-NCC

Applicability:

Technical rules for non-commercial

operations of complex motor-

powered aircraft;

complex aeroplanes,

complex helicopters.

EASA 17810-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

179

Annex VI: Part-NCC

NCC – non-commercial

operations with complex

motor-powered aircraft






equipment

.A - aeroplanes

.H - helicopters

EASA10-12 Sept 2013

Part-NCC

.GEN .OP .POL .IDE

.A

.H

Annex VI: Part-NCO

Applicability:

Technical rules for non-commercial

operations of other-than-complex

motor-powered aircraft:

Non-complex aeroplanes

Non-complex helicopters

Sailplanes

Balloons

EASA 18010-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

181

Annex VII: Part-NCO

NCO – non-commercial

operations with other-than-

complex motor-powered

aircraft






equipment

.A, .H, .S, .B - aeroplanes,

helicopters, sailplanes,

balloons

EASA10-12 Sept 2013

Part-NCO

.GEN .OP .POL .IDE

.A

.H

.S

.B

Annex VIII: Part-SPO

Applicability:

Technical rules for commercial and

non-commercial specialised

operations, e.g. aerial work:

Aeroplanes

Helicopters

Sailplanes

Balloons

EASA 18210-12 Sept 2013

Annex I

Definitions

Annex VI

Part-NCC

Annex III

Part-ORO

Annex II

Part-ARO

Annex IV

Part-CAT

Annex V

Part-SPA

Annex VIII

Part-SPO

Annex VII

Part-NCO

Regulation Air

operations

183

Annex VIII: Part-SPO

SPO – specialised operations –

commercial and non-

commercial, all type of aircraft

.SPEC – specific requirements

.HESLO – helicopter external

sling load operations

.HEC – human external cargo

operations

.PAR – parachute operations

.ABF – aerobatic flights

EASA10-12 Sept 2013

Part-SPO

.GEN .OP .POL .IDE

.A

.H

.S

.B

.SPEC

.HESLO

.HEC

.PAR

.ABF

Any Questions?