10.1 Regulatory Framework Flashcards
the first aviation regulations were introduced when
At the beginning of the 1940’s
Aviation engineering and maintenance is strictly regulated. Regulations control what
the design, construction, operation and maintenance of aircraft and components
After an aircraft has been designed, built and successfully tested, a Type Certificate is issued. A type certified aircraft can then be placed on a country’s register and shall not fly unless
it bears its national registration markings, painted in a manner required by the law of the country in which it is registered, with the nationality and registration marks required by law.
Each individual aircraft also requires a Certificate of Airworthiness to prove that it is in a safe condition for flight and meets all the applicable regulatory requirements
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When an organisation wishes to use the aircraft for transportation, it must obtain what
an Air Operators Certificate
Aircraft operators must maintain their fleet to approved schedules of maintenance. Operators must maintain records of all work carried out and will also have a Reliability Program that tests the adequacy of the approved maintenance schedule.
In 1944 the United States extended an invitation to 55 states to attend an International Civil Aviation Conference in Chicago
and by its conclusion on 7 December 1944, 52 of them had signed the new Convention on International Civil Aviation. Commonly known as the ‘Chicago Convention’, this landmark agreement laid the foundation for the standards and procedures
ICAO’s purpose is to harmonise international standards in civil aviation to ensure safe and orderly growth.
(PICAO) provisional International civil aviation organisation
The PICAO consisted of an Interim Council and an Interim Assembly, and from June 1945 the Interim Council met continuously in Montreal, Canada, and consisted of representatives from 21 Member States.
On 4 April 1947, upon sufficient ratifications to the Chicago Convention, the provisional aspects of the PICAO were no longer relevant and it officially became known as ICAO.
ICAO’s headquarters are in Montreal, Canada.
In October 1947, ICAO became a specialised agency of the United Nations (UN) linked to the Economic and Social Council (ECOSOC).
ICAO works with the Convention’s 193 Member States and industry groups to reach consensus on international civil aviation Standards and Recommended Practices (SARPs) and policies in support of a safe, efficient, secure, economically sustainable and environmentally responsible civil aviation sector.
There are currently over 12000 SARPs reflected in the 19 Annexes.
ICAO Annexes
Annex 1 = personnel licensing
annex 6 = operation of aircraft
annex 7 = Aircraft Nationality and Registration Marks
annex 8 = airworthiness of aircraft
Annex 19= safety management
The Constitution of ICAO, now in its 9th revision is known as the Convention on International Civil Aviation (Doc 7300/9) and each ICAO Contracting State is party to it
According to the terms of the Convention, the Organisation is made up of an Assembly, a Council of limited membership with various subordinate bodies and a Secretariat
The chief officers are the President of the Council and the Secretary General.
The Assembly
, composed of representatives from all Contracting States, is the sovereign body of ICAO. It meets every three years, reviewing in detail the work of the Organisation and setting policy for the coming years.
the Council,
headed by the President, is the governing body which is elected by the Assembly for a three-year term, is composed of 36 States. As the governing body, the Council gives continuing direction to the work of ICAO.
The Council is assisted by the Air Navigation Commission (technical matters), the Air Transport Committee (economic matters), the Committee on Joint Support of Air Navigation Services and the Finance Committee.
The Secretariat, headed by a Secretary General, is divided into five main divisions: the Air Navigation Bureau, the Air Transport Bureau, the Technical Co-operation Bureau, the Legal Bureau and the Bureau of Administration and Services
In order that the work of the Secretariat reflects a truly international perspective, professional-level personnel are recruited on a broad geographical basis.
The Air Navigation Commission (ANC) is the
technical body within ICAO.
SUmmary of ICAO
Created in 1944 by the Chicago Convention.
Members are sovereign countries.
Purpose is to harmonise international standards in civil aviation.
Fully ratified in 1947.
Part of the United Nations.
The Air Navigation Commission (ANC) considers and recommends Standards and Recommended Practices (SARPs) and Procedures for Air Navigation Services (PANS) for adoption or approval by the ICAO Council
the Commission is composed of nineteen members who have “suitable qualifications and experience in the science and practice of aeronautics”, as outlined in the Convention on International Civil Aviation” (Chicago Convention). Although ANC Commissioners are nominated by specific ICAO Member States, and appointed by the Council, they do not represent the interest of any particular State or Region.
Air Navigation Commission
they act independently and utilise their expertise in the interest of the entire international civil aviation community.
The ANC is tasked by the Council to manage the technical work programme of ICAO including the most recent introduction of the new Annex 19 on Safety Management.
The development of Aviation Standards and Recommended Practices is done under the direction of the ANC through the formal process of ICAO Panels. Once approved by the Commission, standards are sent to the Council, the political body of ICAO, for consultation and coordination with the Member States before final adoption.
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,the UK government passed the Civil Aviation Act when
1949
There is still a Civil Aviation Act in force within the UK and its requirements are laid down in CAP 393, Air Navigation Order and Regulations
This is more commonly known as the Air Navigation Order or just simply the ANO.
the Civil Aviation Act of 1971 formally set up the Civil Aviation Authority (CAA).
The UK government requires that the UK CAA’s costs are met entirely from its charges on those whom it regulates. Unlike in many other countries, there is no direct government funding for the UK CAA’s work.
It is classed as a public corporation, established by statute, in the public sector. The current headquarters are located at Aviation House, Crawley, West Sussex.
the UK formally left the EASA system on 31 December 2020. The UK’s European Union (Withdrawal) Act 2018 caused all EU legislation that was in force and effective on 31 December 2020 to be in force in the UK. This is “UK retained EU legislation.” That legislation was then amended by UK secondary legislation to become legally operable in the UK.
the International Civil Aviation Organization (ICAO) requires the UK to put in place a State Safety Programme (SSP) to regulate and oversee the UK aviation system. For the UK, this covers the United Kingdom of Great Britain and Northern Ireland (UK ‘Main’), the UK’s Overseas Territories and the Crown Dependencies
The principal domestic primary safety legislation is the Civil Aviation Act 1982 which enables secondary legislation, the Air Navigation Order 2016 (“the ANO”). This regulates safety aviation in UK “Main” that is overseen by the UK CAA, alongside detailed implementing regulations made under the UK Basic Regulation ((EU) Reg 2018/1139 as above), which is the principal retained EU primary safety legislation.
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Memorandums of Understanding (MoU) between the Department for Transport (DfT) and each of the Crown Dependencies assist the UK Government in meeting its obligations under the Chicago Convention. Each MoU covers the obligations of both parties including the obligation of each Crown Dependency to arrange for regular external audits of its safety oversight arrangements.
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The main role and tasks of the UK CAA (Civil Aviation Authority) is to regulate and oversee aviation activities in the United Kingdom.
Some key responsibilities and functions of the UK CAA
Safety Regulation
Airspace Management
Licensing and Certification
Economic Regulation
Environmental Protection
International Coordination
In terms of the implementation of ICAO requirements, UK Government Directions to the UK CAA (the Air Navigation (Chicago Convention) Directions 2007 (2022 amendment in progress)) require the UK CAA to co-ordinate and submit to ICAO any necessary response to an ICAO State Letter.
. The UK CAA must also consider the optimum manner of transposing ICAO requirements and proposing new or amended domestic legislation where applicable. Under retained EU legislation (the UK Basic Regulation, UK (EU) Reg 2018/1139).
Air Navigation Order (ANO)
The ANO is a Civil Aviation Publication (CAP393) and lays down the law of the land with respect to civil aviation in the UK and comprises of both articles and schedules. Each article is an article of law and must be complied with, each schedule contains further information on how to comply with the associated article
The ANO must be complied with by all UK based organisations, personnel and any foreign aircraft operating in or over the UK.
British Civil Airworthiness Requirements (BCARs)
These documents are produced by the CAA in the form of CAP’s (Civil Aviation Publications). They expand on the ANO and lay down the minimum standards required for airworthiness of aircraft in the UK. BCARs are divided into many sections.
The “UK retained EU legislation” does not cover all aircraft types. Annex 1 to the UK Basic Regulation stipulates which type of aircraft are not covered by “UK retained EU legislation”. These annex 1 aircraft are therefore regulated purely through BCARs and the various CAPs.
MILITARY AVIATION
The Military Aviation Authority (MAA) is the single regulatory authority responsible for regulating all aspects of air safety across all defence activities. It is part of the Defence Safety Authority (DSA), and it has full oversight of all defence aviation activity through independent audit and continuous surveillance of military aviation.
The MAA is responsible for the regulation, assurance and enforcement of the defence air operating and technical domains and it ensures the safe design and use of military air systems.
Since military aviation taking place in the UK can impact civil aviation, the Military Aviation Authority (MAA) are a State Safety Programme (SSP) stakeholder. The accountabilities and responsibilities of the MAA are defined in MAA01 - Military Aviation Authority Regulatory Principles.
Air Accident Investigation
The Air Accidents Investigation Branch (AAIB) is established within the DfT, but is functionally separate from the Aviation Directorate and fully separate from the CAA and other regulatory authorities to ensure independence.
The Air Accidents Investigation Branch (AAIB) investigates civil aircraft accidents and serious incidents within the UK, its Overseas Territories, and Crown Dependencies. These are conducted under the Civil Aviation (Investigation of Air Accidents and Incidents) Regulations 2018 (and the equivalent regulations in the Overseas Territories and Crown Dependencies), and Regulation (EU) 996/2010, which comply with the international standards and recommended practices of ICAO Annex 13.
The AAIB is also the UK safety investigation authority for overseas accidents and serious incidents where there is a UK interest. In support of this work, the AAIB has several Memorandums of Understanding.
The secretary of state for transport also referred to as the transport secretary, is a secretary of state in the Government of the United Kingdom, with overall responsibility for the policies of the Department for Transport (DfT).
In the United Kingdom, the Secretary of State for Transport, in accordance with the Civil Aviation Act 1982 (the Act), has the general duty of:
“Organising, carrying out and encouraging measures for the development of civil aviation, for the designing, development and production of civil aircraft, for the promotion of safety and efficiency in the use thereof and for research into questions relating to air navigation”.
Under the act, the Secretary of State has, by regulation, delegated specific powers and duties to the Civil Aviation Authority (UK CAA).
The DfT has overall responsibility for the coordination of ICAO-related matters on behalf of the Secretary of State for Transport, setting national aviation policy and working with the UK CAA and the UK aviation industry to maintain high standards of safety and security in UK aviation.
The Secretary of State for Transport is accountable to Parliament for the UK CAA’s proper discharge of its duties and (in consultation with the Secretary of State for Defence where appropriate) sets the policy framework.
the end of the UK/EU Agreement transitional period on 31 December 2020
The CAA adopted the version of Acceptable Means of Compliance (AMC), Guidance Material (GM), Certification Specifications (CS) adopted by EASA up to 31 December 2020, but has since adopted amendments to that AMC, GM and CS.
that references to EU regulations are to those regulations as retained and amended in UK domestic law under the European Union (Withdrawal) Act 2018 and are referenced hereafter as “UK Regulation (EU) year/number” or “UK Regulation (EU) No. number/year”
All references to EU Regulations referenced in this text are to be read as the UK law bearing that title or number, being EU retained law as retained (and amended by UK domestic law) pursuant to the European Union (Withdrawal) Act 2018
All elements (i.e. cover regulation, IRs, CS, AMC and GM) are colour-coded
the complexity of the aviation sector makes it impossible to regulate aviation without having different levels of regulatory text. While in some cases it is appropriate, and even necessary, to use binding regulations/rules (hard law), in other cases some flexibility needs to be provided by the regulatory system, through the use of non-binding standards (soft law).
Implementing Rules (IR) are binding in their entirety and used to specify a high and uniform level of safety and uniform conformity and compliance. The Implementing Rules (IRs) are adopted by the CAA in the form of Regulations.
The individual parts of a regulation (e.g. Part-145) are each divided into two sections and one or more appendixes, if required:
Section A: This describes the requirements with which an organisation or individual must comply and gives guidance on how these requirements can be satisfied
Section B: These are procedures for the CAA to follow in order to regulate approved companies and individuals. This part of the document is of little interest to us and will not be studied on this course
The Acceptable Means of Compliance (AMC) are non-binding and serve as a means by which the requirements contained in the Basic Regulation, and the IR, can be met. However, applicants may decide to show compliance with the requirements using other means. Both the National Aviation Authority (NAAs) and organisations may propose alternative means of compliance.
“Alternative Means of Compliance” are those that propose an alternative to an existing AMC. Those Alternative Means of Compliance proposals must be accompanied by evidence of their ability to meet the intent of the IR. The use of an existing AMC gives the user the benefit of compliance with the IR
An ellipsis in square brackets […] indicates that text has been intentionally left out, such as the result of
of an earlier amendment to the regulation, AMC, GM or CS.
Guidance Material (GM) is a non-binding explanatory and interpretation material on how to achieve the requirements contained in the Basic Regulation, the IRs, the AMCs, and the Certification Specifications (CSs).
it contains information, including examples, to assist the user in the interpretation and application of the Basic Regulation, its IRs, AMCs, and the CSs.
Certification Specification (CS) is a non-binding technical standards adopted by the UK CAA to meet the essential requirements of the basic regulation. Certification Specifications (CSs) are used to establish the certification basis (CB) as described below.
Should a Production Organisation not meet the recommendation of the CS, they may propose an Equivalent Level of Safety (ELOS) that demonstrates how they meet the intent of the CS. As part of an agreed CB, the CS becomes binding on an individual basis to the applicant
UK Reg (EU) 2018/1139 - (the UK Basic Regulation)
The principal objective of this EU adopted regulation is to establish and maintain a high level of civil aviation safety in the United Kingdom.
It details how the CAA fulfils its obligation to the UK government to implement, amend and develop regulations on behalf of the UK government to meet the ICAO’s Standards and Recommended Practices (SARPS).
UK Reg (EU) 2018/1139 - (the UK Basic Regulation) 2
This regulation applies to the design, production, maintenance and operation of aeronautical products, parts, and appliances, as well as personnel and organisations involved in the design, production and maintenance of such products, parts, and appliances.
It also applies to personnel and organisations involved in the operation of aircraft.
Regulation (EU) No 2018/1139 does not apply when products, parts, appliances, personnel, and organisations are engaged in military, customs, police, or similar services.
It has 141 articles and 10 annexes.
Annex I covers types of aircraft that do not come under the control of the adopted EASA regulations. These aircraft are covered by BCAR’s and its various CAP’s. They are commonly referred to as Annex I aircraft.
UK Reg (EU) 748/2012 (the UK Initial Airworthiness Regulation)
UK Regulation (EU) 748/2012 is the regulation governing the airworthiness and certification of products, parts, and appliances. The annex to this regulation is Part-21, which details the requirements to be met by organisations, who wish to carry out the design or production of aircraft products, parts or appliances
UK Reg (EU) 748/2012 (the UK Initial Airworthiness Regulation)
Also included under this
regulation are the Certification Specifications (CS). These detail the standards which the design and manufacture of aircraft and aircraft components must meet. There are 28 CSs, for CAT B students
Examples:
CS-23 Normal category Aeroplanes
CS-25 Large aeroplanes
UK Reg (EU) 748/2012 (the UK Initial Airworthiness Regulation)
It has 12 Articles and 3 Annexes.
It defines common technical requirements and administrative procedures for the airworthiness and environmental certification of products, parts, and appliances.
UK Reg (EU) 748/2012 specifies and/or authorises the following:
- The issue of type certificates, restricted type certificates, supplemental type certificates, and changes to those certificates.
- The issue of certificates of airworthiness, restricted certificates of airworthiness, permits to fly, and authorised release certificates.
-The issue of repair design approvals.
The showing of compliance with environmental protection requirements.
-The issue of noise certificates.
-The identification of products, parts, and appliances.
-The certification of certain parts and appliances.
-The certification of design and production organisations.
-The issue of airworthiness directives.
UK Reg (EU) 1321/2014 (the UK Continuing Airworthiness Regulation)
UK Continuing Airworthiness Regulation deals with the continued airworthiness of aircraft and aeronautical products, parts, and appliances, and the approval of organisations and personnel involved in these tasks
This Regulation establishes common technical requirements and administrative procedures for ensuring the continuing airworthiness of aircraft. This includes any component for installation on these aircraft that are either registered in the UK or registered in a third country and used by an operator for which the UK ensures oversight of operations.
The provisions of (EU) No 1321/2014 related to commercial air transport are applicable to licensed air carriers as defined by EU law.
It has 9 Articles and 8 Annexes
Commission Regulation (EU) No 1321/2014 consists of the following 9 Articles
Article 1 – Subject matter and scope
Article 2 - Definitions
Article 3 - Continuing airworthiness requirements
Article 4 - Approvals for organisations involved in the continuing airworthiness [of aircraft]
Article 5 - Certifying staff
Article 6 - Training organisation requirements
Article 7 - Regulation (EC) No 2042/2003 is repealed.
Article 7a - Competent authorities - Repealed
Article 8 - Entry into force
Article 9 - Agency measures - Provision repealed before document was retained.
the UK Continuing Airworthiness Regulation)
Commission Regulation (EU) No 1321/2014 consists of the following 8 Annexes
Annex I (Part‑M) – defines the requirements for the continuing airworthiness of aircraft and components.
Annex II (Part‑145) – sets up the requirements for the approval of organisations involved in the maintenance of large aircraft or of the aircraft used for commercial air transport, and components intended for fitment thereto.
Annex III (Part‑66) – lays down the requirements for the qualification of certifying staff.
Annex IV (Part‑147) – establishes the requirements for organisations involved in the training of certifying staff.
Annex Va (Part‑T) ‑ establishes the requirements for the continuing airworthiness of aircraft registered in a third country for which their regulatory safety oversight has not been delegated to a Member State when they are dry leased in by a licensed air carrier.
Annex Vb – Part-ML - Details Continuing Airworthiness Standards for “light aircraft” not used by a licenced air carrier. Examples of light aircraft are an aeroplane or sailplanes with less than 1200 kg (2646 lb) Maximum Take-Off Mass (MTOM).
Annex Vc – Part-CAMO provides requirements for Continuing Airworthiness Management Organisations (CAMO). Compared with Part-M Subpart G organisation, the main difference is the introduction of Safety Management System (SMS) principles. Part-CAMO will be superseding Part-M Subpart G organisations eventually.
Annex Vd – Part-CAO This introduces a new combined Maintenance and Airworthiness Management Organisation for ‘Light Aircraft’. It is less burdensome and less costly than the requirements for larger complex aircraft operators who would have to have separate maintenance (Part-145) and airworthiness management (Part-M) organisations
Each part is divided into 2 sections: section A and B, both of which are supported by appendices
Section A – Technical Requirements - This describes the requirements with which an organisation or individual must comply and gives guidance on how these requirements can be satisfied. This is the part of the document which will be considered in this course.
Section B – CAA Requirements - This Section establishes the administrative requirements to be followed by the CAA .
UK Reg (EU) No 376/2014 (the UK Mandatory Occurrence Reporting Regulation)
The objective of Regulation 376/2014 is to ensure that the necessary safety intelligence is available to support the safety management efforts of the whole European Aviation Community
UK Reg (EU) No 376/2014 (the UK Mandatory Occurrence Reporting Regulation)
This Regulation aims to improve aviation safety by ensuring that relevant safety information relating to civil aviation is reported, collected, stored, protected, exchanged, disseminated and analysed.
This Regulation ensures:
that, where appropriate, safety action is taken in a timely manner based on analysis of the information collected;
the continued availability of safety information by introducing rules on confidentiality and on the appropriate use of information and through the harmonised and enhanced protection of reporters and persons mentioned in occurrence reports; and
that aviation safety risks are considered and dealt with […]
UK Reg (EU) No 376/2014 (the UK Mandatory Occurrence Reporting Regulation)
The sole objective of occurrence reporting is the prevention of accidents and incidents and not to attribute blame or liability.
Words repealed by Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019/645 Pt 3(4) reg.60 (December 31, 2020: shall come into force on IP completion day not exit day as specified in 2020 c.1 s.39(1) and Sch.5 para.1(1))
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UK Reg (EU) No 376/2014 (the UK Mandatory Occurrence Reporting Regulation)
This Regulation lays down rules on:
The reporting of occurrences that endanger or which, if not corrected or addressed, would endanger an aircraft, its occupants, any other person, equipment, or installation affecting aircraft operations; and the reporting of other relevant safety-related information in that context.
Analysis and follow-up action in respect of reported occurrences and other safety-related information.
The protection of aviation professionals.
Appropriate use of collected safety information.
The dissemination of anonymised information to interested parties for the purpose of providing such parties with the information they need in order to improve aviation safety.
UK Reg (EU) No 376/2014 (the UK Mandatory Occurrence Reporting Regulation)
This Regulation applies to occurrences and other safety-related information involving civil aircraft, except for aircraft referred to in Annex I to UK Reg (EC) No 216/2008. The CAA may decide to apply this Regulation also to occurrences and other safety-related information involving the aircraft referred to in Annex I to that Regulation.
UK Reg (EU) No 376/2014 (the UK Mandatory Occurrence Reporting Regulation)
The Regulations contain articles detailing the following
Mandatory reporting & voluntary reporting.
Quality and content of occurrence reports.
Collection and storage of information.
Processing of requests and decisions.
Record of requests and exchange of information.
Occurrence analysis.
Confidentiality and appropriate use of information.
Protection of the information source.
Part 21 regulates the approval of aircraft design and production organisations and the certification of aircraft Products, Parts, and Appliances.
Part 21 Subpart G contains regulatory requirements for the approval of production organisations to manufacture aircraft parts and appliances that conform with the approved design data. Production Organisation Approval is issued by the CAA after demonstration compliance with the applicable requirements under Part 21G.
Part-M of UK Regulation (EU) No. 1321/2014, Annex I establishes the measures to be taken to ensure that the airworthiness of aircraft is maintained, including its maintenance. It also specifies the conditions to be met by the persons or organisations involved in such activities.
Therefore, it is important for personnel involved in managing aircraft maintenance at a Part-145 organisation to appreciate the Part-21 certification.
Whilst the maintainer is responsible to sign a Certificate of Release to Service ‘CRS’ for all maintenance performed it is ultimately the responsibility of the operators – Part M organisation to ensure that all required maintenance requirements have been met.
Part-66 is concerned with the licensing of aircraft engineers and lays down all the criteria for obtaining a basic licence.
Part-147 lays down the criteria for approval of maintenance training organisations.
Air Operations (Air Ops) are the regulations that aircraft operators must comply with. An operator must not operate a Commercial Air Transport (CAT) aircraft unless it is maintained and released to service by an organisation appropriately approved/accepted in accordance with Part-145 except that preflight inspections need not necessarily be carried out by a Part-145 organisation
Commercial Air Transport (CAT) AKA Licensed Air Carrier
An operator will not be granted an Air Operators Certificate (AOC), or a variation to an AOC and that AOC will not remain valid unless it has:
Type-Certificates, Restricted Type-Certificates or Supplemental Type-Certificates
Certificates of Airworthiness or Restricted Certificates of Airworthiness
- Noise certificate
- Continuing airworthiness
what is the technical body within ICAO
Air Navigation Commission (AMC)
which commission regulation covers airworthiness (part M) of aircraft and components
Commission regulation (EU) No 1321/2014 Annex i
