THE EUROPEAN
AVIATION SAFETY
SYSTEM
DG MOVE – Air Safety Unit, Air Transport Directorate
1
Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
2
Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
3
The EU Today:
28 Member States
500 Million
Inhabitants
One Single Market,
including a single EU
air transport market
4
1. Objectives of the EU aviation safety
system – why ?
Ensure highest and uniform level of safety;
Contribute to the proper functioning of the internal EU air
transport market:
Mutual trust, and
Level playing field;
Promote cost efficiency for all actors (public and
industry) in the internal aviation market;
Support a strong home market for the EU aeronautical
industry;
5
Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
6
2. The actors and functions of the
system – who and what ?
Multilayer, regional system embedded in the EU institutional and
legal set-up:
•
Legislative
•
Implementing
•
Monitoring
•
Enforcing
EU institutions, assisted by EASA
NAAs, assisted by EASA
NAAs and Commission, assisted by EASA
Commission and NAAs, assisted by EASA
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2. The actors and functions of the
system – who and what ?
Multilayer, regional system embedded in the EU institutional and
legal set-up:
•
Legislative
•
Implementing
•
Monitoring
•
Enforcing
EU institutions, assisted by EASA
NAAs, assisted by EASA
NAAs and Commission, assisted by EASA
Commission and NAAs, assisted by EASA
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Rulemaking
• EASA prepares an independent technical opinion for
the Commission after consultations with the interested
parties
• Commission presents a formal legislative proposal
(only Commission has the “right of initiative”) on the
basis of EASA’s opinion
• In case of technical implementing rules, proposal
adopted through a simplified Committee procedure
• In case of framework rules, proposal adopted by the
European Parliament and the Council of Transport
Ministers
• In addition EASA adopts guidance material, certification
specifications and acceptable means of compliance (soft
law to assist industry in showing compliance)
The legislative function
Agency Opinion
Basic
Regulation
(EU Reg. 216/2008)
European Commission
European Council
European Parliament
Agency Opinion
Implementing Rules
European Commission
EASA Committee (EU MS)
“Soft Law”
Acceptable Means of Compliance
Guidance Material
Certification Specifications
Agency Decision
AMC, GM, CS
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The legislative function
CS
AMC
GM
Certification
Specifications
Acceptable Means of
Compliance
Guidance Material
Technical
standards to be
used in the
certification /
approval
process
“Building
blocks” for the
certification
basis
Technical /
procedural
material
One means to
comply with the
rule – but not
the only one
Presumption of
compliance
Interpretative /
explanatory
material
Provides
guidance on
how the rules
should be
understood
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The legislative function
12
2. The actors and functions of the
system – who and what ?
Multilayer, regional system embedded in the EU institutional and
legal set-up:
•
Legislative
•
Implementing
•
Monitoring
•
Enforcing
EU institutions, assisted by EASA
NAAs, assisted by EASA
NAAs and Commission, assisted by EASA
Commission and NAAs, assisted by EASA
13
The implementing function
Subsidiarity principle:
The EU Member States responsible for implementation in the
first place
EU tasked with implementation only where it can be better
and more effectively achieved at the EU level:
Examples: product certification, approval of organisations in
third countries;
Mutual recognition of certificates: “locally
approved, globally accepted”;
14
The distribution of certification tasks
EU Regulation No 216/2008 establishes the following sharing
of tasks:
Rules
1. Airworthiness
products & organisations
- Type certificate
a) design product
organisation
b) production organ.
- Individual certificate
2. Maintenance organisations
“Non EASA” country
“EASA” country
EASA/ EC
Certificates
EASA
EASA
NAAs
EASA/ EC
NAAs
EASA/ EC
EASA/ EC
EASA
NAAs
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The distribution of certification tasks
EU Regulation No 216/2008 establishes the following sharing
of tasks:
Rules
3. Pilot certification
Licences for EU pilots
Pilot training org. Aeromed
Flight simulators
4. Operations
- “Non EASA” country
- “EASA” country
EASA/EC
EASA/EC
EASA/ EC
EASA/ EC
Certificates
NAAs
NAAs - EU
EASA -non-EU
EASA
NAAs - EU
EASA
NAAs
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The distribution of certification tasks
EU Regulation No 216/2008 establishes the following sharing
of tasks:
Rules
4. ANSPs
Certification & oversight
Certificates
SES/EC
NAAs
EASA – non EU
Air Traffic Controller Lic/Org
EASA/EC
NAAs - EU
EASA – non EU
Pan-European ANSPs
SES/EC
EASA
EASA/ EC
NAAs
5. Aerodromes
Certification and oversight
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2. The actors and functions of the
system – who and what ?
Multilayer, regional system embedded in the EU institutional and
legal set-up:
•
Legislative
•
Implementing
•
Monitoring
•
Enforcing
EU institutions, assisted by EASA
NAAs, assisted by EASA
NAAs and Commission, assisted by EASA
Commission and NAAs, assisted by EASA
18
Monitoring function
To maintain compliance with the safety requirements
which are legally binding;
“Mutual recognition”– monitoring ensures continuous
trust between Member States;
Feedback loop and learning from experience to improve
the system;
Input into the enforcement function in case of identified
non-compliances
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Monitoring function
1. Standardization inspections:
•
Performed by EASA on behalf of the European Commission;
•
Conducted through regular and ad-hoc inspections in all Member States;
•
In case of non-compliance, MS to establish and implement remedial action
plans within agreed timelines. EASA verifies implementation of corrective
actions;
•
Standardisation may impact mutual recognition and trigger enforcement
action by the Commission;
•
The “not less/not more” principle:
•
•
Not less than required to protect European citizens
•
Not more than required to ensure even playing field
Methodology: inspections of the authorities with “samples” of organisations; 20
Monitoring function
2. Safety Assessment of Foreign Aircraft (SAFA)
SAFA: ramp inspection programme to verify compliance of aircraft, crew
and operations with applicable ICAO requirements
The mechanism by which EU Member States implement Article 16 of the
Chicago Convention;
Applies to both third country as well as EU registered aircraft
SAFA database managed by EASA (quality control)
Inspection procedures harmonised across the EU (common checklist,
methodology, and classification of findings)
SAFA inspectors allowed to take enforcement action including grounding
of aircraft
Open for participation of non-EU countries
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2. The actors and functions of the
system – who and what ?
Multilayer, regional system embedded in the EU institutional and
legal set-up:
•
Legislative
EU institutions, assisted by EASA
•
Implementing
•
Monitoring
NAAs and Commission, assisted by EASA
•
Enforcing
Commission and NAAs, assisted by EASA
NAAs, assisted by EASA
22
Enforcing function:
Main tools:
Infringement under Art. 258 of the TFEU:
Initiated by the European Commission, jurisdiction of the EU Court of
Justice;
Possibly preceded by “EU Pilot”;
Suspension of mutual recognition (Art. 11 of EU Reg.
216/2008);
Fines and penalties regulation (EU Reg. No 646/2012);
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Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
24
3. The European Aviation Safety Agency
•
•
•
European Union Agency
Technically independent
Legal and financial autonomy
“Ever safer and greener civil aviation”
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About EASA
The European Aviation Safety Agency
Founded in 2003
Built on experience from the JAA
Staff of more than 750
Headquarters in Cologne, Germany
Local office in Brussels and
representations in Washington, Beijing
and Montreal
Executive Director: Mr Patrick Ky (as
of 1.09.2013
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Product Certification
Rulemaking
Standardisation
Organisation Approvals
Safety Assessment of
Foreign Aircraft
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Certification
• Aircraft, personnel and operations have to
demonstrate compliance with the essential
requirements and implementing rules
• EASA responsible for certification of product
design and approval of organisations in third
countries
• Certificates issued in compliance with EU law
are by law recognised by all the Member States
• Mutual recognition agreements possible with
non-EU countries
Third Country Operators
Safety Analysis and
Research
International
Cooperation
Technical Training
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Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety
system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
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4. International dimension
1st level: full integration into the EU safety system
Bilateral or multilateral agreements with European non-EU
countries (e.g. Iceland and Norway, Switzerland, ECAA)
Conditions (Art. 66 of EU Reg. 216/2008):
Party to the Chicago Convention,
having entered into an agreement with the EU whereby it
has adopted and apply EU air safety legislation;
Some key features:
Acceptance of certificates, covered by standardisation
inspections, participation in the work of EASA, including
transfer of certification competence;
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4. International dimension
• 2nd level: Bilateral Air Safety Agreements
• Negotiated by the Commission, assisted by EASA, on behalf of the
EU;
• With major aeronautical partners, such as the USA, Canada or Brazil
• binding for all Member States reciprocal acceptance of certificates
and technical findings
• 3rd level: Technical working arrangements
• Concluded by EASA upon agreement of the Commission
• Of technical nature with its counterparts in non-EU countries
• Issues such as standardisation under EASA, exchange of data SAFA
etc.;
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4. International dimension
• Cooperation with ICAO
• Legal basis: EU-ICAO Memorandum of Cooperation of
2010 (Safety Annex, Security Annex)
• Alignment of policies (e.g. CMA and Standardisation)
• Exchange of safety information (e.g. GSIE)
• Technical cooperation (support to States with weak safety
oversight systems)
• Common European input to ICAO bodies (e.g. Assembly,
Council, conferences, panels)
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Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
34
5. Safety list of banned air carriers
Objectives
Stop operation of unsafe airlines in the EU;
Inform European citizens travelling outside the EU about
increased safety risks;
Inform passengers about the identity of the air carrier
actually operating the service;
Help aviation authorities and operators in addressing
their safety deficiencies;
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5. Safety list of banned air carriers
Main features:
Without prejudice to the right of the Member States
under the Chicago Convention;
Since 2005 all operating bans in the EU are decided:
At the EU level,
On the basis of common safety criteria, and
Applicable immediately everywhere in the EU + other
participating countries;
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5. Safety list of banned air carriers
Who is concerned ?
All airlines are subject to the EU List of Banned Carriers
whatever:
their origin (EU or non-EU)
their economical model
the kind of flights operated (scheduled or not, over-flights)
Limited to commercial operations only
Even airlines without traffic rights in the EC can be banned
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5. Safety list of banned air carriers
Benchmark:
ICAO standards are the benchmark for non - EU airlines;
EU standards are the benchmark for EU airlines;
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Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
39
6. Learning from accidents and
occurrences
Regulation (EU) No 996/2010 on the investigation and prevention of
accidents and incidents in civil aviation (in force since 2nd December 2010)
The responsibility for accident investigation rests with the Member States
All accidents and serious incidents in civil aviation must be the subject of a safety
investigation (art.5§1)
The independence of safety investigation authorities is strengthened
Creation of the European Civil Aviation Investigation Authorities Network –
ENCASIA (art.7);
Clarification of EASA’s role in the investigation (Art.8):
EASA participates to investigations as an « adviser »
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6. Learning from accidents and
occurrences
Regulation 996/2010 does not regulate the procedure of judiciary investigation, but:
Guaranty of immediate and unlimited access to and use of evidence by
investigator-in-charge (art.12§1),
Obligation of an open cooperation through the establishment of advance
arrangements between safety investigation authorities and other authorities
involved such as judiciary (art.12§3)
Better implementation of safety recommendations (art.17 and art.18):
Establishment of a European database of safety recommendations (Safety
Recommendations Information System),
Commission Decision of 5 December 2012 on access rights on the European
Central Repository of safety recommendations and their responses (OJ L 342,
14.12.2012, p. 46.),
Assistance to the victims of air accidents and their relatives (art.21)
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Ocurrence Reporting: Regulation
(EU) No 376/2014
Replaced Directive 2003/42 and Regulations 1321/2007 and
1330/2007 from 15 November 2015
Main objectives:
• Prevent accidents through reporting, analysis and follow-up
of relevant safety information at industry, national and EU level
• Ensure continued availability of safety information (enhanced
Just Culture)
• Improve information exchange within the EU
Reporting
States, EASA and industry organisations shall establish
mandatory and voluntary reporting systems
Information collected
competent authority
by
industry
transferred
to
Storage of occurrences in a database and use of
compatible format to facilitate data exchange
Analysis and follow up
Analysis to identify safety hazards and associated risks
Necessary action adopted and implemented
Effectiveness of action monitored
Results of analysis
competent authority
and
follow-up
transmitted
to
Monitoring of action taken and additional action requested
where necessary
Provisions to support better quality and completeness
(mandatory data fields, risk classification, data quality
checking processes)
All information aggregated into a European database
(ECR)
Exchange of information between States and with EASA
through the ECR
Use of information and source protection
Strict limitation to possible use of information
Strong provisions
others:
protecting
reporters
and
Within working environment (blame or prejudice
from employer, JC internal policy)
From action by State
Possibility to fill complaints
Contents of the presentation:
1. The objectives of the EU Aviation Safety System – why ?
2. The actors and functions – who and what ?
3. EASA – the technical agent of the EU for aviation safety;
4. The international dimension of the EU aviation safety system;
5. The European safety list of air carriers banned in the EU;
6. Learning from accidents and occurrences;
7. Noise
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Noise: Regulation (EU) No 598/2014
Regulation instead of Directive
Harmonize process – not solutions, which remain
airport tailored
Use of common noise measurement method and
data – support to authorities if required
Technical group of airport/airline/air navigation
service provider/community
Strengthen link with Environmental Noise
Directive 2002/49/EC
For more
information
“Air Transport Portal of the European Commission”
..
.
http://ec.europa.eu/transport/air_portal/index_en.htm
http://www.easa.eu.int/home/index.html
http://ec.europa.eu/transport/air/safety/safety_en.htm
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