Development and Future of. Civil Aviation Regulations. in Europe

Development and Future of Civil Aviation Regulations in Europe Dr. Jörg Siedenburg Central JAA

Why aviation rules High level of safety: passengers, crew, on ground Level playing field International obligations (ICAO)

Louis Blériot 25 JUL 1909

41 countries 380 Mio Inhabitants 317 Bio Person km flown 41 different Regulation Systems

4500 km

Early attempts for International Harmonization Aeronautical conference, Paris, 1910 19 European States represented The delegates could not agree on the text of a convention

Early attempts for International Harmonization Aeronautical conference, Paris, 1910 19 European States represented The delegates could not agree on the text of a convention International Air Convention (Paris Peace Conference 1919 draft by 12 States signed by 26 States by end of conference signed by 12 States eventually (not by USA and USSR)

ICAO Chicago Convention (Convention on International Civil Aviation) 07 DEC 1944 ICAO is 189 states agreeing on the establishment of SARPs (Standards And Recommended Practices) 18 Annexes Annex 1: Personnel Licensing Chapter 6: Medical Provisions for Licensing

understanding on common policies within Europe and other parts of the world ECAC (European Civil Aviation Conference) founded 1955 as associated body of ICAO intergovernmental organization pan-european forum for ministers and DGs of NAAs objectives continued development of safe, effective, sustainable European airtransport system harmonised civil aviation policies and practices

EU Directive 91 / 670 / EWG (December 1991) EU members have to recognize all Licences of the other EU members definition of conditions for equivalence with licence of one EU members aircraft licensed by another member may flown monitored by EU commission

JAA HISTORY 1970 Detailed work started on JARs. 1974 first issue of JAR 25. 1979 1979 First version of «arrangements document» 13 states. JAR 25 adopted as sole code by some states. 1983 First aircraft certified to JAR 25 (Bac 146) 1988 First Joint Certification Team (Do 228) 1987 Extension of JARs to maintenance,

JAA ARRANGEMENTS Cyprus Arrangement September 1990 NOT A TREATY NOT A CONVENTION A GENTLEMAN AGREEMENT Develop and implement common standards and regulations and use them as sole codes Definition of JAA

JAA Joint Aviation Authorities 1989 JAA associated body of ECAC 1990 Cyprus Arrangements signed by 16 States 1991 JAA Headquarters in Hoofddorp 2001 Reorganisation two levels: Governing and Executive 2004 27 Full Member States and 11 Candidate Member States

EU Regulation 3922 / 91 (December 1991) All EU members must join JAA adopt JARs accept products, organisations and personnel certified to common codes (e.g. JARs) coordinate safety research

However, due to potential social impacts JAR-FCL and JAR-OPS not included Implementation on voluntary basis

JAA Scope Harmonisation of Safety Standards and Procedures of civil Aviation in Europe

JAR - FCL Based on - ICAO Annex 1 (Personnel Licensing) - Existing European national Regulations and Practices Scope - the training and testing of pilots - the safeguard of consistent interpretation and implementation of JAR-FCL - the issue of licenses, ratings, approvals, authorisations and medical certificates

Transition JAA to EASA. JAA OBJECTIVES Common high level of aviation safety. Business Effectiveness. Fair and equal competition through consolidation of common standards = level playing field. To allow mutual acceptance of products, persons and organisations. Improve aviation safety through international cooperation.

JAA FUNCTIONS Develop and adopt JARs. Develop and adopt procedures. Implement JARs and procedures. Auditing compliance with JARS (LIST / MEST) Develop procedures for professional expertise in Europe.

NAAs RESPONSABILITY Legal responsibility for licences (legal findings) (by JAA codes technical findings = requirements). Final decision on safety issues. find common position in contentious cases as defined by the arrangements document. Provide staff for committees, working groups, teams.

Update on JAA Membership ECAC Member States (41) AZERBEIJAN BOSNIA- HERZEGOVINA JAA Member States (33) ALBANIA * ARMENIA* BULGARIA CROATIA FYR of MACEDONIA* ICELAND MOLDOVA* MONACO NORWAY ROMANIA SERBIA MONTENEGRO* SWITZERLAND TURKEY UKRAINE* EU Members (25) plus EASA AUSTRIA BELGIUM CYPRUS CZECH Republic DENMARK ESTONIA FINLAND FRANCE GERMANY GREECE HUNGARY IRELAND ITALY LATVIA LITHUANIA LUXEMBOURG MALTA NETHERLANDS POLAND PORTUGAL SLOVAK Republic SLOVENIA SPAIN SWEDEN UNITED KINGDOM * = Candidate Members (6)

FIN IS GE AM AZ EE UA MD TR CY F LV LT B NL D UK IRL BY RO AL MK BG EL CH IT A HU SM E P DK NO S PL CZ MT BA DZ SY IQ IR KZ RU L SK SI HR M C RU JAA as of 01.05.2005 (33 Members, 6 Candidates)

Mutual Recognition Status JAA Member States Recommended for Mutual Recognition Belgium - Czech Republic Denmark - Finland France -Germany -Greece-Iceland Ireland Italy - Malta Netherlands - Norway - Portugal Romania - Slovenia - Spain - Sweden Switzerland - United Kingdom

Mutual recognition for Licensing Prerequisites Signing Cyprus Arrangement Implemetation of JAR - FCL Successful Audits LIST visit MEST visit Licensing Standardization Team Medical Standardization Team

Joint Aviation Requirements General JAR-1:- Definitions and Abbreviations JAR-11:- JAA Regulatory and Related Procedures GAI-20:- Joint Advisory Material - Advisory Circular Joint Maintenance JAR-145:- Approved Maintenance Organisations JAR-66:- Certifying Staff Maintenance JAR-147:- Approved Maintenance Training / Examinations Certification JAR 21:- Certification Procedures for Aircraft, and Related Products & Parts JAR-22:- Sailplanes and Powered Sailplanes JAR-23:- Normal, Utility, Aerobatic and Commuter Category Aeroplanes JAR-25:- Large Aeroplanes JAR-27:- Small Rotorcraft JAR-29:- Large Rotorcraft JAR-34:- Aircraft Engine Emissions JAR-36:- Aircraft Noise JAR-39:- Airworthiness Directives JAR-E:- Engines JAR-P:- Propellers JAR-APU:- Auxiliary Power Units JAR-TSO:- Joint Technical Standard Orders JAR-AWO:- All Weather Operations JAR-VLA:- Very Light Aeroplane JAR-VLR:- Very Light Rotorcraft Administrative & Guidance Material JAA Directory Section 1:- General Guidance and Reference Material Information Leaflet no. 20:- ETOPS Section 2:- Maintenance Guidance Material and Procedures 145 List:- JAR-145 Approved/Accepted Organisations 147 List:- JAR-147 Approved Organisations Section 3:- Certification Guidance Material and Procedures Section 4:- Operations Guidance Material and Procedures Section 6:- Synthetic Training Devices Guidance Material and Procedures Section 5:- Licensing Guidance Material and Procedures. Learning Objectives for Theoretical Knowledge Training (ATPL) Operations JAR-OPS Part 1:- Commercial Air Transportation (Aeroplanes) JAR-OPS Part 3:- Commercial Air Transportation (Helicopters) JAR-26:- Additional Airworthiness Requirements for Operations JAR-STD-1A:- Aeroplane Flight Simulators JAR-STD-2A:- Aeroplane Flight Training Devices JAR-STD-3A:- Aeroplane Flight & Navigation Procedures Trainers JAR-STD 4A:- Basic Instrument Training Devices JAR-STD-1H:- Helicopter Flight Simulators JAR-STD-2H:- Helicopter Flight Training Devices JAR-STD 3H:- Helicopter Flight & Navigation Procedures Trainers JAR-MMEL/MEL:- Master Minimum Equipment List/Minimum Equipment List Licensing JAR-FCL Part 1:- Flight Crew Licensing (Aeroplanes) JAR-FCL Part 2:- Flight Crew Licensing (Helicopters) JAR-FCL Part 3:- Flight Crew Licensing (Medical) JAR-FCL Part 4:- Flight Crew Licensing (Flight Engineers) Have to be adopted as sole codes by all JAA full members

Philosophy Medical Examination shall ensure: Ability to carry out duties and safe flying are guaranteed under all conditions. This remains so for the period of validity.

Different Approaches Generous approach (e.g. FAA, UK): No routine medical testing except rest ECG for commercial pilots and urine. Rely on history. Extensive screening (e.g. former continental Europe): Extensive routine tests like biochemistry, stress ECG, ophtalmology, perimetry, spirometry, audio for commercial pilots, less for PPL. Aspects of prevention and occupational medicine

Approach of JAA (JAR-FCL 3) Between both poles No aspects of preventive medicine

Accidents / Mio Flight h 0,8 Experience Reliability FAA Accident Rates Morbidy Incapacitation 0,4 < 30 30-34 35-39 40-44 45-49 50-54 55-59 60-63 Alte (a)

Aeromedical Decisions relate to human capacity to perform complex tasks in potentially hostile aviation environment (Sharples CJ, 1999)

Aeromedical Decisions have to be transparent consistent replicable reviewable (Watson DB, 2005)

Evidence-based Risk Management establish context identify risks ommunication risk and assessment Consultation risk assessment analyse risks evaluate risks monitor & revie treat risks

Evans ADB, 2001 1 % - Rule Acceptable Risk of System aircraft 1incidentper 10 7 h i.e. 10-7 h System Human is one of 10 partial systems 10-8 h Med Incap. only 10 % (Rest HF) 10-9 h For Incapacitation acceptable Risk 10-9 h

How achieved? 1 a 10.000 h (8760 h) probability 100 % within 1 a instead 100 % prob. 1 % / a 10-4 / h (events/h) 10-6 / h only 10 % of flight time critical (Take-off, Climb, Descent, Landing) 10-7 / h 2-Man-Cockpit: Risk of unsuccesful transition of control 1 % (Sim 0,25 %) 10-9 / h 1 % / a

Evans ADB, 2001 Target of extremely remote incident (probability 10-9 / Flight-h) achieved if Medical Conditions in Statistics < 1 % / a

Particular requirements for Visual Acuity Colour Vision Hearing physical and mental performance

Licensing Director Licensing Division Licensing Sectorial Team LST Licensing Sub Sectorial Team LSST(M)

Austria Belgium Croatia Czech Republic Denmark Finland France Germany Greece Hungary Icland Ireland Italy Lithuania Luxembourg Macedonia Malta Moldova Netherlands Norway Poland Portugal Romania Slovenia Spain Sweden Switzerland Turkey United Kingdom 41

Interested Parties Association of European Airlines (AEA) Eurocontrol Europe Airsports European Cockpit Association (ECA) European Regional Airlines (ERA) FAA Federation Aéronautique Internationale (FAI) Int. Aircraft Owners and Pilots Association (IAOPA) Int. Civil Aviation Organisation Int. Federation of Airline Pilots Association (IFALPA) 42

Regulatory Impact Assessment

Working Paper WP xx / 04 Subject: Submitted to CJAA: Author: Intended for: Discussed LSST(M) Result: 1. Introduction 2. Background to the issue 3. Basis for a solution 4. Impacts

4. Impacts I Sectors Affected sectors of civil aviation affected, numbers etc. II All impacts identified A. Safety B. Economic C. Harmonisation D. Environmental E. Social F. Other aviation requ. outside JAA scope 5. Proposal

Proposal by AA / IP / CJAA Implementation public consultation JAAC RST Final Rule WP CJAA LST NPA Draft Final Rule CRD LSST(M) ad hoc Working Group LSST(M)

Implementation intended changes are inserted to JAR-FCL 3 new text published as new amendment amendment 4 was published on 01 JUL 2005 now worked on amendment 5 (closing NOV 2005) further proposals as technical inventories into EASA IR

EU Regulation 1592 / 02 Basic Regulation 1592 / 02 (July 2002) common rules in the field of civil aviation power to Commission to adopt detailed rules establishing European Aviation Safety Agency part of community system, controlled by EU commission legislative power assist in drafting regulations

Community Law member states may not deviate from rules impose additional requirements conclude arrangements with third states

excluded military aviation historic / experimental / amateur built / ex-military aircraft microlights gliders (< 80 / 100 kg) unmanned aircraft

(Airworthiness and Continuing Airworthiness: Annex 1 to EASA Regulation European Aviation Safety Agency founded September 2003 28 September 2003 work commenced Airworthiness End of 2003 Continuing Airworthiness

Functions Assist commission ICAO tasks for member states International relations and arrangements Certification of aircraft and parts Certification of organisation Monitoring application of rules Research

Advisory Board of Interested Parties Management Board Board of Appeal P. Goudou Executive Director ulemaking Director Certification Director Quality & Standardis. Director Administrative Director C. Probst N. Lohl M. Junkkari F. Banal

EASA organisation. Member State Member State Member State Member State Member State Observers European Commission Management Board Agency Advisory Body of Interested Parties Board(s) of Appeal Panel of Experts Third Countries Executive Director Safety Standards Consultative Committee Advisory Group of National Authorities

Rulemaking no Sectorial Team approach taking account of community legislation ICAO provisions accident investigation technical and scientific progress etc. advice to Rulemaking Director by AGNA and SSCC Advisory Group Safety of National Standards Authorities Consultation Committee progressed by EASA management board drafting groups appointed by EASA

Transition JAA to EASA: Transition started on 28.09.2003 EASA has signed the Cyprus Arrangement/Protocol Exchange of services between EASA; JAA and NAAs through contracts. Contract CJAA-EASA signed on 02 December 2003 Letters of agreement with NAAs have been extended until formal contracts signed As EASA grows up, JAA shrinks Ultimately the JAA will cease to exist.

Important differences: Organisational structure Legal status and powers Membership Scope Hierarchy of regulatory texts

Divisions of JAA Airworthiness (Type Certification) Continuing Airworthiness (Maintenance) Operations Licensing covering rulemaking, where appropriate certification and standardisation

Divisions of EASA Rulemaking Certification Standardisation relating to Airworthiness, Continuing Airworthiness, - in the future operations and licensing

Started in 1969 started on 28 September 2003 Status: - Co-operative body for aviation safety - No delegation of legal powers Status: (See art 12 of reg.) European Union Agency Legal personality Implementing powers conferred to it by the Regulation

Legal Framework: -Cyprus Arrangement (1990): legally non-binding; best endeavor - EU Regulation 3922/91 (1991): binding but for 25 member Legal Framework: European Union Reg. 1592 / 02 adopted through a co-decision process in June 2002

Membership: 40 Member Authorities Pre-requisite for membership: ECAC member Concept of full / candidate members Membership: 25 EU Members States May be open to European Third countries (See art 55 of EASA Regulation) Adopt Community legislation on Aviation Safety Formalised by Arrangements Need Legal framework

EASA: State of play Structure organised around the three main functions of Aviation Safety Regulation (Rulemaking, Certification and Standardisation/Quality Assurance). Personnel: 65 by June 2004; 100 by end 2004, 200 by end 2005, 300 by end 2006 Seat: moved from Brussels to Cologne (03 NOV 2004)

EASA European Aviation Safety Agency Ottoplatz, 1 D-50679 Koeln, Germany Tel: 0049 221 89990 0000

International Relations Compliance with ICAO SARPS Strong co-operation with the FAA Working arrangements Between the Agency and non EU CAAs (general and product specific) Already concluded: Canada, Brazil, CIS, China, Israel Bilateral agreements Between the EU and foreign countries Support to the European Commission Current negotiations with Canada & USA Technical co-operation With many countries

Regulatory texts: The rulemaking work has been transferred from JAA to EASA for Airworthiness and Maintenance. Point of Note: a proposal for EU-OPS has been presented by the Commission on 12 February 2004 to the Parliament and Council for co-decision The consultation relative to Draft Essential Requirements for Operations and Licensing ended 31 July 2004

Competences Airworthiness and Continued Airworthiness Annex 1 to EASA Regulation (Annex 2: List of aircraft excluded from community legislation)

Extension EASA Competence The Agency intends that the EASA Regulation be extended on the basis of the following principles: Community Essential Requirements covering pilot licensing and air operation > additional Annexes to the EASA Regulation. Annex III > Pilot Licensing Annex IV > Air Operations All types of activities, encompassing commercial, corporate and recreational aviation > Community legislation, except for the activities of aircraft listed in a slightly amended Annex II of the EASA regulation.

Licensing and Aviation Medicine in EASA context

Provisions Basic Regulation 1592 / 2002 Essential Requirements Implementing Rules

Status and Applicabilityof EASA texts!basic Regulation (1592/2002) and Essential Requirements: Binding; adopted by the legislator under co-decision; included in Regulation.!Implementing Rules: Binding; will be adopted by the Commission under Comitology (Co-decision) process! Certification Specification, guidance; Generally non-binding but may be binding on individual application; adopted by the Agency! Working methods of the Agency: Binding for the Agency;! adopted by the Management Board

Core groups of licensing specialists drafted in 2002 / 2003 Essential Requirements for Licensing and Training Final Report May 2003

NPA No 2 / 2004 Draft Essential Requirements for Pilot Proficiency

encompassing 1. Training 2. Training Organisations 3. Medical and physical fitness

New Developments Essential Requirements for Licensing New Annex to Regulation (EC) No 1592/2002 Essential Requirements for Personnel Licensing and Training 1. Training» General» Theoretical Knowledge» Demonstration of theoretical knowledge» Practical skill» Demonstration of skill» Maintenance of knowledge and skill» Training Course» Instructors 2. Training Organisations» Approval of the Training Organisation 3. Medical» Medical fitness» Flexibility Special Circumstances» Decrease of medical fitness» Certification of medical specilist» Aeromedical centres

Essential Requirements for Licensing Approach Hazard Risk Mitigation

Hazards Risk Mitigation - 1 Hazard Risk Mitigation Age Too young to absorb knowledge / skill training (immature) -Increased risk of incapacitation -Deterioration motor skill and response Set minimum age limit Set maximum age limit 77

Hazards Risk Mitigation - 2 Hazard Risk Mitigation Medical - Pilot flying whilst not fit -Incapacitation, inability due to e.g. hearing, vision or mental problems - Inadequate assessment process Medical Assessment Medical Certification Certification System for Medical Specialist (training / standards) Oversight by Authority (AMS) 78

Medical and physical Fitness Pilots must periodically demonstrate medical and physical fitness Assessment based on Aeromedical best practice type of activity Mental and physical degradation due to age

Medical and physical Fitness Not suffering from any disease or disability Medical fitness comprises mental fitness If fitness not fully demonstrated Mitigation measures providing equivalent safety

MAY JUL 2004 AUG SEP 2004 End of SEP 2004 OCT NOV 2004 Public consultation Review of comments Proposal to EU comm. Policy paper on ERs for Consultation 16 DEC 2004 Opinion of the agency to the EC (Europ. Commission)

2005 and 2006 Development of Implementing Rules fo Pilot Licensing and Air Operations

Implementing Rules Based on JAR FCL 3 Structure Section A Section B Technical Requirements Acceptable Means of Compliance Guidance material Procedures for Authorities Acceptable Means of Compliance Guidance material

IR Pilot licensing: adopted by EASA as soon as ER become law (mid end 2006?)

most probably completed end 2006

The future of JAA FUJA (future of JAA) working group proposal of a roadmap adopted by Directors Generals of ECAC on 31 August 2005 Cyprus Arrangement remains legal basis legal seat remains in NL, foundation under Dutch law

JAA-T (Transition) from 01 Jan 2007 JAA-T will continue as a liaison office in CGN board control by ECAC DGs publishing and up-dating JARs (following EASA) liaison for Non-EU JAA members during transition (Norway & Iceland will become EASA members, CH on basis of bilateral agreement, others will become EU and subsequently EASA members) training institute in NL

ER Pilot licensing: in October 2005 in July 2007 Proposal to incorporate ER into EU Reg. 1592/02 to EU Council and Parliament Revised Regulation enacted

take-over-date of end 2006 still kept EASA might act through a mandate of JAA in the field of rulemaking (LIC, OPS)

EASA will start on LIC and OPS 01 JAN 2006 even without legislative power JAA will subcontract rulemaking activities to EASA during transition period EASA will do rulemaking of LIC and OPS with a mandate from JAA

Opinion to EC Competences of EASA (Airworthiness, Cont d Airworthiness) extended to Pilot Licensing and Operations Community legislation for all types of activities (commercial, corporate, recreational) Third country operations / aircraft in Europe SAFA (Safety Assessment of Foreign Aircraft) (safety of third country aircraft)

most probably completed end 2006 / mid 2007

The Agency intends that the EASA Regulation be extended on the basis of the following principles: Commercial Activities Implementing Rules for Pilot Licensing and Air Operations Based on : JAR-FCL JAR-OPS 1, 3 and 4 Implementation at national level» Only a proposal, not yet finalised

The Agency intends that the EASA Regulation be extended on the basis of the following principles: Non - Commercial Activities involving complex motor-powered aircraft Implementing Rules for Pilot Licensing and Air Operations Based on : JAR-FCL JAR-OPS 2 Implementation at national level.» Air operators not subject to a certification process. Only a simple declaration» Only a proposal, not yet finalised

The Agency intends that the EASA Regulation be extended on the basis of the following principles: Non - Commercial Activities involving Non complex motor-powered aircraft - General Aviation and Recreational Activities - A restricted PPL lighter licence and ERs for Air Operations direct applicable Light IRs and AMCs based on JAR-OPS 0 to mandate operational specifications Enforcement at national level.» The restricted PPL shall be issued by qualified bodies accredited by the Agency or national aviation authorities based on common rules» Only a proposal, not yet finalised

RPPL - Recreational / restricted PPL non-commercial operation non-complex aircraft (< 5,7 t (heli < 3,175), < 9 passenger seats, no multi-crew, no turbo-jet engine) valid in EU member states below JAR-FCL, below ICAO

enforced on national level issued and administration by qualified bodies (e.g. corporations of recreational pilots) accredited by Agency / NAA) medical?? JAR-FCL > physician

Additional working fields for EASA in the future ATM (Air Traffic Management) Aerodromes EU Directive on Air Traffic Control end of decade

Airport Operations Air Traffic Control Services (Air Traffic Management) EU Directive on ATC end of decade

WEBSITES www.europa.eu.int/comm/transport/air/index_en.htm www.europa.eu.int/agencies/easa/index_en.htm www.jaa.nl www.easa.eu.int