The Aviation Safety (Amendment) Regulations 2023

(c) For new aircraft, and used aircraft originating from a third country, in addition to the appropriate airworthiness certificate referred to in point (a) or (b), the CAA must issue: (1) for aircraft subject to Annex I (Part-M) to Regulation (EU) No 1321/2014, an initial airworthiness review certificate (CAA Form 15a, Appendix II); (2) for new aircraft subject to Annex Vb (Part-ML) to Regulation (EU) No 1321/2014, an initial airworthiness review certificate (CAA Form 15c, Appendix II); (3) for used aircraft originating from a third country, and subject to Annex Vb (Part-ML) to Regulation (EU) No 1321/2014, an initial airworthiness review certificate (CAA Form 15c, Appendix II), when the CAA has performed the airworthiness review.

• (b) omit points 21.B.330 and 21.B.345.

• (7) In Subpart I (noise certificates), omit points 21.B.430 and 21.B.445.

• (8) For Subpart J (design organisation approval), substitute—

(21.B.430) (a) Upon receiving an application for the initial issue of a design organisation approval, the CAA must verify the applicant’s compliance with the applicable requirements. (b) A meeting with the head of the design organisation must be convened at least once during the investigation for initial certification to ensure that this person understands their role and accountability. (c) The CAA must record all the findings issued, closure actions and recommendations for the issue of the design organisation approval. (d) The CAA must confirm to the applicant in writing all the findings raised during the verification. For initial certification, all findings must be corrected to the satisfaction of the CAA before the design organisation approval can be issued. (e) When satisfied that the applicant complies with the applicable requirements, the CAA must issue the design organisation approval. (f) The certificate reference number must be included in the design organisation approval in a manner specified by the CAA. (g) The certificate must be issued for an unlimited period of time. The privileges and the scope of the activities that the design organisation is approved to perform, including any limitations as applicable, must be specified in the terms of approval attached to the design organisation approval. (21.B.431) (a) The CAA must verify whether certified organisations continue to comply with the applicable requirements. (b) The verification must: (1) be supported by documentation specifically intended to provide CAA personnel responsible for oversight with guidance to perform their functions; (2) provide the organisations concerned with the results of oversight activities; (3) be based on assessments, audits, and inspections pursuant to point 21.B.432 and, if needed, unannounced inspections; (4) provide the CAA with the evidence needed in case further action is required, including the measures provided for in point 21.B.433. (c) The CAA must establish the scope of the oversight set out in point (b) taking into account the results of past oversight activities and the safety priorities. (d) The CAA must collect and process any information deemed necessary for performing oversight activities. (21.B.432) (a) The CAA must establish and maintain an oversight programme covering the oversight activities required to comply with point 21.A.431(a). (b) The oversight programme must take into account the specific nature of the organisation, the complexity of its activities, and the results of past certification and oversight activities, and it must be based on the assessment of the associated risks. It must include, within each oversight planning cycle: (1) assessments, audits and inspections, including, where appropriate: (i) management system assessments and process audits; (ii) product audits of a relevant sample of the design and certification of the products, parts and appliances that are within the scope of work of the organisation; (iii) sampling of the work performed; (iv) unannounced inspections; (2) meetings between the head of the design organisation and the CAA to ensure that both parties remain informed of all significant issues. (c) The oversight planning cycle must not exceed 24 months. (d) Notwithstanding point (c), the oversight planning cycle may be extended to 36 months if the CAA has established that during the previous 24 months: (1) the organisation has demonstrated that it can effectively identify aviation safety hazards and manage the associated risks; (2) the organisation has continuously demonstrated compliance with point 21.A.247 and has full control over all changes to the design management system; (3) no level 1 findings have been issued; (4) all corrective actions have been implemented within the time period that was accepted or extended by the CAA as provided for in point 21.B.433(e). (e) Notwithstanding points (c) and (d), the oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the conditions laid down in point (d), the organisation has established, and the CAA has approved, an effective continuous system for reporting to the CAA on the safety performance and regulatory compliance of the organisation itself. (f) The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased. (g) The oversight programme must include records of the dates when assessments, audits, inspections and meetings are due, and when assessments, audits, inspections and meetings have been effectively carried out. (h) At the completion of each oversight planning cycle, the CAA must issue a recommendation report on the continuation of the approval, reflecting the results of the oversight. (21.B.433) (a) The CAA must have a system in place to analyse findings for their safety significance. (b) The CAA must issue a level 1 finding where a severe non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the design organisation’s certificate including the terms of approval, which may lead to uncontrolled non-compliances and to a potential unsafe condition. (c) Level 1 findings include: (1) any failure to grant the CAA access to the organisation’s facilities referred to in point 21.A.8 during normal operating hours and after two written requests; (2) obtaining the design organisation approval or maintaining its validity by falsification of the submitted documentary evidence; (3) any evidence of malpractice or fraudulent use of the design organisation approval; (4) failure to appoint a head of the design organisation pursuant to point 21.A.245(a). (d) The CAA must issue a level 2 finding where any non-compliance, which is not classified as a level 1 finding is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the certificate including the terms of approval. (e) Where a finding is detected during oversight or by any other means, the CAA must, without prejudice to any additional action required by Regulation (EU) 2018/1139, communicate the finding in writing to the organisation and request corrective action to address the non-compliance identified. (1) Where there are any level 1 findings: (i) the CAA must grant the organisation a corrective action implementation period, appropriate to the nature of the finding, which must not be more than 1 month commencing from the date of the written communication of the finding to the organisation under point (e); (ii) the CAA must assess the corrective action plan and implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance, accept them; (iii) where the organisation fails to submit an acceptable corrective action plan, or fails to perform the corrective action within the time period accepted by the CAA, take immediate and appropriate action to prohibit or limit the activities of the organisation involved and, if appropriate, take action to revoke the design organisation approval or to limit or suspend it in whole or in part, depending on the extent of the level 1 finding, until successful corrective action has been taken by the organisation. (2) Where there are any level 2 findings: (i) the CAA must grant the organisation a corrective action implementation period, appropriate to the nature of the finding, which must not be more than 3 months commencing from the date of the written communication of the finding to the organisation under point (e). At the end of the 3 month period, and subject to the nature of the finding, the CAA may extend the 3 month period provided that a corrective action plan has been agreed by the CAA; (ii) the CAA must assess the corrective action and the implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance, accept them; (iii) where the organisation fails to submit an acceptable corrective action plan or fails to perform the corrective action within the time period accepted or extended by the CAA, the CAA must raise the finding to level 1 and action must be taken as laid down in point (e)(1). (f) The CAA may issue observations for any of the following cases not requiring level 1 or level 2 findings: (1) for any item whose performance has been assessed as ineffective; (2) when it has been identified that an item has the potential to cause a non-compliance under points (b), (c) or (d); (3) when suggestions or improvements are of interest for the overall safety performance of the organisation. (g) The observations issued under this point must be communicated in writing to the organisation and recorded by the CAA. (21B.435) (a) Upon receiving an application for a significant change to the design management system, the CAA must verify the organisation’s compliance with the applicable requirements of Regulation (EU) 2018/1139 before issuing the approval. (b) The CAA must establish the conditions under which the organisation may operate during the change unless the CAA determines that the design organisation approval needs to be suspended. (c) When it is satisfied that the organisation complies with the applicable requirements of Regulation (EU) 2018/1139, the CAA must approve the change. (d) Without prejudice to any additional enforcement measures, if the organisation implements a significant change to the design management system without having received the approval of the CAA pursuant to point (c), the CAA must consider the need to suspend, limit or revoke the organisation’s certificate. (e) For non-significant changes to the design management system, the CAA must include the review of such changes in its continuing oversight in accordance with the principles set out in point 21.B.431. If any non-compliance is found, the CAA must notify the organisation, request further changes and act in accordance with point 21.B.433.

• (9) In Subpart P (permit to fly), omit points 21.B.445, 21.B.530 and 21.B.545.

Amendment of Appendix II to Annex I to Commission Regulation (EU) No 748/2012

8

In Appendix II, for CAA Form 15 (airworthiness review certificate) substitute—

Amendment of Appendix VIII to Annex I to Commission Regulation (EU) No 748/2012

9

In Appendix VIII, for CAA Form 52 (aircraft statement of conformity) substitute—

Amendment of Appendix X to Annex I to Commission Regulation (EU) No 748/2012

10

In Appendix X, for CAA Form 55 (production organisation approval certificate) substitute—

Amendment of Appendix XI to Annex I to Commission Regulation (EU) No 748/2012

11

In Appendix XI, for CAA Form 65 (letter of agreement for production organisation approval) substitute—

Commission Regulation (EU) No 1321/2014 (continuing airworthiness)

12

Commission Regulation (EU) No 1321/2014 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks is amended in accordance with regulations 13 to 31.

Amendment of Article 3 of Commission Regulation (EU) No 1321/2014

13

In Article 3 (continuing airworthiness requirements), in paragraph 5, for “24 September 2019” substitute “24 March 2020”.

Amendment of Article 4 of Commission Regulation (EU) No 1321/2014

14

In Article 4 (approvals for organisations involved in the continuing airworthiness of aircraft), after paragraph 6 insert—

A maintenance organisation that holds a valid approval certificate issued in accordance with Annex II (Part-145) must correct any findings of non-compliance related to the implementation of the Safety Management System requirements before 1 July 2026. Where, on or after 1 July 2026, the organisation has not closed such findings, the approval certificate must be revoked, limited or suspended in whole or in part.

Amendment of Article 5 of Commission Regulation (EU) No 1321/2014

15

• (1) Article 5 (certifying staff) is amended as follows.

• (2) In paragraph 1—

• (a) for “M.A.801(d)” substitute “M.A.801(c)”;

• (b) omit “CAO.A.035(d) and”;

• (c) after “CAO.A.040(b)” insert “and CAO.A.040(c)”.

• (3) After paragraph 6 insert—

(7) Limited certifying staff authorisations issued to flight engineer licence holders pursuant to point 145.A.30(j)(3) or (4) of Annex II (Part-145) before 1 July 2024 continue to be valid until they expire or until they are revoked by the maintenance organisation.

Amendment of Article 8 of Commission Regulation (EU) No 1321/2014

16

In Article 8 (entry into force), omit paragraph 7.

Amendment of Annex I (Part-M) to Commission Regulation (EU) No 1321/2014

17

• (1) Annex I (Part-M) is amended as follows.

• (2) In Subpart H (certificate of release to service – CRS)—

• (a) in point M.A.801(d), for “(2)” substitute “(1)”;

• (b) for point M.A.802(a), substitute—

(a) Except for components released to service by a maintenance organisation that is approved in accordance with Annex II (Part-145) and cases covered by M.A.502A, a CRS shall be issued at the completion of any maintenance work carried out on an aircraft component in accordance with point M.A.501.

• (3) In Subpart I (airworthiness review certificate), in point M.A.901(e), for “For aircraft not used by air carriers licensed in accordance with Regulation (EC) No 1008/2008[^f00005], and for aircraft of 2730 kg MTOM and below” substitute “For aircraft of 2370 kg MTOM and below not used by air carriers licensed in accordance with Regulation (EC) No 1008/2008”.

Amendment of Appendix III to Annex I to Commission Regulation (EU) No 1321/2014

18

In Appendix III, for CAA Form 15b (airworthiness review certificate) substitute—

Amendment of Appendix IV to Annex I to Commission Regulation (EU) No 1321/2014

19

• (1) Appendix IV (class and ratings system) is amended as follows.

• (2) In the heading to Appendix IV—

• (a) for “the approval” substitute “for the terms of approval”;

• (b) omit “and Annex II (Part-145)”.

• (3) For points (1) and (2) substitute—

(1) Except as stated otherwise for the smallest organisations referred to in point (11), the table in point (12) provides for the standard system for the approval of a maintenance organisation referred to in Annex I (Part-M), Subpart F. An organisation must be granted an approval that ranges from a single class and rating with limitations to all classes and ratings with limitations. (2) In addition to the table referred to in point (12), the approved maintenance organisation must indicate its scope of work in its maintenance organisation manual.

• (4) For points (8) to (12) substitute—

(8) The limitation section is intended to give the CAA the flexibility to customise the approval to any particular organisation. Ratings must be mentioned on the approval only when appropriately limited. The table referred to in point (12) specifies the types of limitation possible. Whilst maintenance is listed last in each class rating it is acceptable to stress the maintenance task rather than the aircraft or engine type or manufacturer, if this is more appropriate to the organisation (an example could be avionic systems installations and related maintenance). Such mention in the limitation section indicates that the maintenance organisation is approved to carry out maintenance up to and including this particular type or task. (9) Where reference is made to series, type and group in the limitation section of class A and B, “series” means a specific type series such as Cessna 150, Cessna 172, Beech 55 series or Continental O-200 series; “type” means a specific type or model such as Cessna 172RG type; any number of series or types may be quoted; “group” means for example Cessna single piston engine aircraft or Lycoming non-supercharged piston engines, etc. (10) Where a lengthy capability list is used which could be subject to frequent amendments, then such amendments may be performed in accordance with the indirect approval procedure referred to in points M.A.604(c) and M.B.606(c). (11) A maintenance organisation which employs only one person to both plan and carry out all maintenance can only hold a limited scope of approval rating which may be further limited by the CAA depending on the capability of the particular organisation. The maximum permissible limits are: [image omitted]

• (5) Point (13) is renumbered as point (12).

• (6) In point (12), as renumbered by paragraph (5), in the table, omit the first entry for “A1 Aeroplanes above 5700kg”.

Amendment of Appendix VII to Annex I to Commission Regulation (EU) No 1321/2014

20

In Appendix VII (complex maintenance tasks), in the first sentence, for “points (b)(2) and (c) of point M.A.801” substitute “point M.A.801(b)”.

Amendment of Annex II to Commission Regulation (EU) No 1321/2014

21

Annex II (Part-145) is amended in accordance with regulations 22 to 24.

Amendment of Section A of Annex II to Commission Regulation (EU) No 1321/2014

22

• (1) Section A is amended as follows.

• (2) In the section heading, after “technical” insert “and organisational”.

• (3) In point 145.A.10, after “approval” insert “certificate”.

• (4) For point 145.A.15 (including the heading) substitute—

(145.A.15) (a) An application for a certificate or an amendment to an existing certificate in accordance with this Annex must be made in a form and manner established by the CAA, taking into account the applicable requirements of Annex I (Part-M), Annex Vb (Part-ML) and this Annex. (b) Applicants for an initial certificate pursuant to this Annex must provide the CAA with: (1) the results of a pre-audit performed by the organisation against the applicable requirements provided for in Annex I (Part-M), Annex Vb (Part-ML) and this Annex; (2) documentation demonstrating how they intend to ensure compliance with the requirements of this Regulation.

• (5) For point 145.A.20 substitute—

(a) The organisation’s scope of work must be specified in the maintenance organisation exposition (“MOE”) in accordance with point 145.A.70; (b) The organisation must comply with the terms of approval attached to the organisation certificate issued by the CAA, and with the scope of work specified in the MOE.

• (6) In point 145.A.30—

• (a) for points (a) to (e) substitute—

(a) The organisation must appoint an accountable manager that has corporate authority to ensure that all maintenance activities of the organisation can be financed and carried out in accordance with Regulation (EU) 2018/1139. The accountable manager must: (1) ensure that all necessary resources are available to accomplish maintenance in accordance with this Annex, Annex I (Part-M) and Annex Vb (Part-ML), as applicable, to support the organisation certificate; (2) establish and promote the safety policy specified in point 145.A.200(a)(2); (3) demonstrate a basic understanding of this Regulation. (b) The accountable manager— (1) must nominate a person or group of persons representing the management structure for the maintenance functions and with the responsibility to ensure that the organisation works in accordance with the MOE and approved procedures. It must be made clear in the procedures who deputises for a particular person in the case of lengthy absence of that person; (2) must nominate a person or group of persons with the responsibility to manage the compliance monitoring function as part of the management system; (3) must nominate a person or group of persons with the responsibility to manage the development, administration and maintenance of effective safety management processes as part of the management system. (c) The person or group of persons nominated in accordance with points (b)(1), (2) and (3) must have a responsibility to the accountable manager and direct access to them to keep them properly informed on compliance and safety matters. Additionally, they must be able to demonstrate relevant knowledge, background and satisfactory experience related to aircraft or component maintenance and demonstrate a working knowledge of this Regulation. (d) The organisation must have a maintenance resource plan to ensure it has sufficient and appropriately qualified staff to plan, perform, supervise, inspect and monitor the organisation’s activities in accordance with the terms of the approval. In addition, the organisation must have a procedure to reassess the work intended to be carried out when the actual staff availability is reduced compared to the planned staffing level for a particular work shift or period. (e) The organisation must establish and control the competency of the personnel involved in any maintenance, airworthiness reviews, safety management and compliance monitoring in accordance with a procedure and to a standard agreed with the CAA. In addition to the necessary expertise related to the job function, the competency of the personnel must include an understanding of the application of safety management principles, including human factors and human performance issues, which is appropriate to their function and responsibilities in the organisation.

• (b) in point (j)—

• (i) in the first paragraph, after “certifying staff” insert “and support staff that are”;

• (ii) for points (1) to (4) substitute—

(1) For base maintenance carried out at a location outside the United Kingdom, support staff may be qualified in accordance with the national aviation regulations of the State in which the organisation facility is located subject to the conditions specified in Appendix IV to this Annex. (2) For line maintenance carried out at a line station located outside the United Kingdom, the certifying staff may be qualified, subject to the conditions specified in Appendix IV to this Annex, in accordance with the following alternative conditions: (i) national aviation regulations of the State in which the line station is located, (ii) national aviation regulation of the State in which the organisation’s principal place of business is located. (3) For a repetitive pre-flight airworthiness directive which specifically states that the flight crew may carry out such airworthiness directive, the organisation may issue a limited certification authorisation to the pilot on the basis of the flight crew licence held. In that case, the organisation must ensure that the pilot has carried out sufficient practical training ensuring that the pilot can accomplish the airworthiness directive. (4) If an aircraft is operated away from a supported location, the organisation may issue a limited certification authorisation to the pilot on the basis of the flight crew licence held, subject to being satisfied that the pilot has carried out sufficient practical training ensuring that the pilot can accomplish the specified tasks.

• (c) in point (k)—

• (i) for “and meeting all of the following requirements” substitute “in accordance with point 145.A.37”;

• (ii) omit points 1 to 7.

• (7) In point 145.A.35—

• (a) for points (d) to (f) substitute—

(d) The organisation must ensure that all certifying staff and support staff receive sufficient recurrent training in each 2 year period to ensure that they have up to date knowledge of relevant technologies, organisation procedures and safety management, including human factor issues. (e) The organisation must establish a programme for recurrent training for certifying staff and support staff, including a procedure to ensure compliance with the relevant provisions of this point and a procedure to ensure compliance with Annex III (Part-66). (f) With the exception of the unforeseen cases specified in point 145.A.30(j)(5), the organisation must assess all certifying staff for their competency, qualifications and capability to carry out their intended certifying duties in accordance with a procedure in the MOE prior to the issue or reissue of a certification authorisation under this Annex to such staff.

• (b) for points (h) to (o) substitute—

(h) The certification authorisation must be in a style that makes its scope clear to the certifying staff and any authorised person who may require to examine the authorisation. Where codes are used to define scope, the organisation must make a code translation readily available. “Authorised person” means an official of the CAA. (i) The person or group of persons nominated under point 145.A.30(b)(2) that are responsible for the compliance monitoring function must remain responsible for issuing certification authorisations to certifying staff, but may nominate other persons to effectively issue or revoke certification authorisations in accordance with a procedure in the MOE. (j) The organisation must provide certifying staff with a copy of their certification authorisation in either written or electronic format. (k) Certifying staff must produce their certification authorisation to any authorised person within 24 hours of the request. (l) The minimum age for certifying staff and support staff is 21 years. (m) The holder of a category A aircraft maintenance licence may only exercise certification privileges on a specific aircraft type following the satisfactory completion of the relevant category A aircraft task training carried out by an organisation appropriately approved in accordance with Annex II (Part-145) or Annex IV (Part-147). This training must include practical hands-on training and theoretical training as appropriate for each task authorised. Satisfactory completion of training must be demonstrated by an examination or by workplace assessment carried out by the organisation. (n) The holder of a category B2 aircraft maintenance licence may only exercise the certification privileges described in point 66.A.20(a)(3)(ii) of Annex III (Part-66) following the satisfactory completion of: (i) the relevant category A aircraft task training; and (ii) 6 months of proven practical experience covering the scope of the authorisation to be issued. (o) The task training referred to in point (n)(i) must include practical hands-on training and theoretical training as appropriate for each task authorised. Satisfactory completion of training must be demonstrated by an examination or by workplace assessment. Task training and examination or assessment must be carried out by the maintenance organisation issuing the certifying staff authorisation. The practical experience must also be obtained within that maintenance organisation.

• (8) Omit point 145.A.36.

• (9) Before point 145.A.40 insert—

(145.A.37) (a) In order to be approved to carry out airworthiness reviews and to issue the corresponding airworthiness review certificates (ARC) for aircraft covered by Annex Vb (Part-ML), the organisation must have airworthiness review staff that comply with all of the following requirements: (1) they have acquired experience in continuing airworthiness of at least 1 year for sailplanes and balloons and of at least 3 years for all other aircraft; (2) they hold a certifying staff authorisation for the corresponding aircraft; (3) they have acquired knowledge of Annex I (Part-M), Subpart C, or of Annex Vb (Part-ML), Subpart C; (4) they have acquired knowledge of the procedures of the maintenance organisation relevant to the airworthiness review and issue of the airworthiness review certificate. (b) Before the organisation issues an airworthiness review authorisation to a candidate, that candidate must perform an airworthiness review under the supervision of the CAA or under the supervision of a person that is already authorised as airworthiness review staff by the organisation. If this airworthiness review under supervision is satisfactory, the CAA may formally accept that candidate to become airworthiness review staff. (c) The organisation must ensure that the airworthiness review staff can demonstrate appropriate recent continuing airworthiness experience.

• (10) In point 145.A.42—

• (a) in point (a)(i)—

• (i) after “unless otherwise specified in” insert “point 21.A.307 of”;

• (ii) for “or in this Annex II (Part 145)” substitute “, in point M.A.502 of Annex I (Part-M), in point ML.A.502 of Annex III (Part-ML), or in this Annex (Part-145)”;

• (b) in point (b)(iv), for “point 21.A.370(c)” substitute “point 21.A.307(b)(2)”.

• (11) In point 145.A.45, for points (a) to (e) substitute—

(a) The organisation must hold and use applicable current maintenance data which is necessary in the performance of maintenance, including modifications and repairs. “Applicable” means relevant to any aircraft, component or process specified in the organisation’s terms of approval and in any associated capability list. In the case of maintenance data provided by the person or organisation requesting the maintenance, the organisation must hold such data when the work is in progress, with the exception of the need to comply with point 145.A.55(a)(3). (b) Applicable maintenance data is the data specified in point M.A.401(b) of Annex I (Part-M) or in point ML.A.401(b) of Annex Vb (Part-ML), as applicable. (c) The organisation must establish procedures to ensure that if inaccurate, incomplete or ambiguous procedure, practice, information or maintenance instruction is found in the maintenance data used by maintenance personnel, it is recorded as part of the internal safety reporting scheme referred to in point 145.A.202 and notified to the author of the maintenance data. (d) The organisation may only modify maintenance instructions in accordance with a procedure that is specified in the MOE. With respect to changes to maintenance instructions, the organisation must demonstrate that they result in equivalent or improved maintenance standards, and must inform the author of the maintenance instructions of such changes. For the purposes of this point, “maintenance instructions” means instructions on how to carry out a particular maintenance task; they exclude the engineering design of repairs and modifications. (e) The organisation must provide a common work card or worksheet system to be used throughout the relevant parts of the organisation. In addition, the organisation must either accurately transcribe the maintenance data referred to in points (b) and (d) onto such work cards or worksheets, or make precise reference to the particular maintenance task or tasks contained in that maintenance data. Work cards and worksheets may be computer generated and held in an electronic database that is adequately protected against unauthorised alteration, and for which there is a backup electronic database which must be updated within 24 hours after an entry is made to the main electronic database. Complex or long maintenance tasks must be transcribed onto the work cards or worksheets and subdivided into clear stages to ensure that there is a record of the accomplishment of the complete maintenance task. When the organisation provides maintenance services to an aircraft operator which requires its own work card or worksheet system to be used, then such work card or worksheet system may be used. In that case, the organisation must establish a procedure to ensure that those work cards or worksheets are correctly completely.

• (12) In point 145.A.47—

• (a) for point (b) substitute—

(b) As part of the management system described in 145.A.200, the planning and organisation of maintenance tasks must take into account human performance limitations, including the threat of fatigue for maintenance personnel during shifts.

• (b) after point (c) insert—

(d) The organisation must ensure that aviation safety hazards associated with external working teams carrying out maintenance at the organisation’s facilities are considered by the organisation’s management system.

• (13) For point 145.A.48 substitute—

(a) The organisation may only carry out maintenance on an aircraft or component for which it is approved when all the necessary facilities, equipment, tooling, material, maintenance data and personnel are available. (b) The organisation must be responsible for the maintenance that is performed within the scope of its approval. (c) The organisation must ensure that: (1) after the completion of the maintenance, a general verification is carried out to ensure that the aircraft or component is clear of all tools, equipment and any extraneous parts or material, and that all access panels that were removed have been refitted; (2) an error capturing method is implemented after the performance of any critical maintenance task; (3) the risk of errors during maintenance and the risk of errors being repeated in identical maintenance tasks are minimised; (4) damage is assessed, and modifications and repairs are carried out using the data specified in point M.A.304 of Annex I (Part-M) or point ML.A.304 of Annex Vb (Part-ML), as applicable; (5) the assessment of aircraft defects is carried out in accordance with point M.A.403(b) of Annex I (Part-M) or point ML.A.403(b) of Annex Vb (Part-ML), as applicable.

• (14) After point 145.A.60 insert—

(145.A.61) (a) As part of its management system referred to in point 145.A.200, the internal occurrence reporting system must include voluntary reporting. A single system may be established to meet the requirements of Regulation (EU) No 376/2014 and Regulation (EU) 2018/1139. (b) The organisation must report any event that affects an aircraft to the person or organisation that is responsible for the continuing airworthiness of that aircraft in accordance with point M.A.201 of Annex I (Part-M) or point ML.A.201 of Annex Vb (Part-ML), as applicable. For events that affect aircraft components, the organisation must report to the person or organisation that requested the maintenance. (c) For organisations that do not have their principal place of business in the United Kingdom, the initial mandatory reports must: (1) appropriately safeguard the confidentiality of the identity of the reporter and of the persons mentioned in the report; (2) be made as soon as practicable, but in any case within 72 hours after the organisation has become aware of the occurrence unless exceptional circumstances prevent this; (3) be made in a form and manner established by the CAA; and (4) contain all pertinent information about the event known to the organisation. (d) Where relevant, organisations referred to in point (c) must make a follow-up report that provides details of the actions the organisation intends to take to prevent similar occurrences in the future as soon as those actions have been identified. Those follow-up reports must: (1) be sent to the entities referred to in point (b) to which the initial report was sent; and (2) be made in a form and manner established by the CAA.

• (15) For point 145.A.65 (including the heading) substitute—

(145.A.65) (a) The organisation must establish procedures which ensure that human factors and good maintenance practices are taken into account during maintenance, including subcontracted activities, and which comply with the applicable requirements of this Annex, Annex I (Part-M) and Annex Vb (Part-ML). Such procedures must be agreed with the CAA. (b) The maintenance procedures established under this point must: (1) ensure that a clear maintenance work order or contract has been agreed between the organisation and the person or organisation that requests the maintenance, to clearly establish the maintenance to be carried out so that the aircraft and components may be released to service in accordance with point 145.A.50; (2) cover all the aspects of carrying out the maintenance, including the provision and control of specialised services, and lay down the standards according to which the organisation intends to work.

• (16) For point 145.A.70 (including the heading) substitute—

(145.A.70) (a) The organisation must establish and maintain a maintenance organisation exposition (“MOE”) that includes, directly or by reference, all of the following: (1) a statement signed by the accountable manager confirming that the maintenance organisation will at all times work in accordance with this Annex, Annex I (Part-M) and Annex Vb (Part-ML), as applicable, and with the approved MOE. If the accountable manager is not the chief executive officer of the organisation, then the chief executive officer must countersign the statement; (2) the organisation’s safety policy and the related safety objectives referred to in point 145.A.200(a)(2); (3) the title and name of any person nominated under points 145.A.30(b)(1), (2) and (3); (4) the duties and responsibilities of any person nominated under points 145.A.30(b)(1), (2) and (3), including the matters on which they may deal directly with the CAA on behalf of the organisation; (5) an organisation chart showing the accountability and associated lines of responsibility, established in accordance with point 145.A.200(a)(1), between all the persons referred to in points 145.A.30(a) and (b)(1), (2) and (3); (6) a list of the certifying staff and, if applicable, support staff and airworthiness review staff with their scope of authorisation; (7) a general description of the workforce resources and of the system that is in place to plan the availability of staff, as required by point 145.A.30(d); (8) a general description of the facilities at each approved location; (9) a specification of the scope of work of the organisation that is relevant to the terms of approval as required by point 145.A.20; (10) the procedure that sets out the scope of changes not requiring prior approval and that describes how such changes will be managed and notified to the CAA, as required by point 145.A.85(c); (11) the procedure for amending the MOE; (12) the procedures specifying how the organisation ensures compliance with this Annex; (13) a list of the commercial operators to which the organisation provides regular aircraft maintenance services, and the associated procedures; (14) where applicable, a list of the subcontracted organisations referred to in point 145.A.75(b); (15) a list of the approved locations including, where applicable, line maintenance locations referred to in point 145.A.75(d); (16) a list of the contracted organisations; (17) a list of the currently approved alternative means of compliance used by the organisation. (b) The initial issue of the MOE must be approved by the CAA. It must be amended as necessary so that it remains an up-to-date description of the organisation. (c) Amendments to the MOE must be managed as set out in the procedures referred to in points (a)(10) and (a)(11). Any amendments that are not included in the scope of the procedure referred to in point (a)(10), as well as any amendments related to the changes listed in point 145.A.85(a), must be approved by the CAA.

• (17) In point 145.A.75—

• (a) in the words before point (a), for “exposition” substitute “MOE”;

• (b) for points (a) and (b) substitute—

(a) Maintain any aircraft or component for which it is approved at the locations identified in the certificate and in the MOE; (b) Arrange for the maintenance of any aircraft or component for which it is approved at another subcontracted organisation that works under the management system of the organisation. This is limited to the work permitted under the procedures established in accordance with point 145.A.65 and it must not include a base maintenance check of an aircraft, or a complete workshop maintenance check or overhaul of an engine or an engine module;

• (c) for point (f) substitute—

(f) If specifically approved to do so for aircraft covered by Annex Vb (Part-ML) and if it has its principal place of business in the United Kingdom, the organisation may perform airworthiness reviews and issue the corresponding airworthiness review certificates under the conditions specified in point ML.A.903 of Annex Vb (Part-ML).

• (18) Omit point 145.A.80.

• (19) For point 145.A.90 (including the heading) substitute—

(145.A.90) (a) The organisation’s certificate must remain valid, subject to compliance with all of the following conditions: (1) the organisation remaining in compliance with Regulation (EU) 2018/1139, taking into account the provisions of point 145.B.350 of this Annex related to the handling of findings; (2) the CAA being granted access to the organisation as specified in point 145.A.140; (3) the certificate not being surrendered by the organisation, or suspended or revoked by the CAA under point 145.B.355. (b) Upon surrender or revocation, the certificate must be returned to the CAA without delay.

• (20) For point 145.A.95 (including the heading) substitute—

(145.A.95) (a) After the receipt of a notification of findings in accordance with point 145.B.350, the organisation must: (1) identify the root cause of, and any contributing factors to, the non-compliance; (2) define a corrective action plan; (3) demonstrate the implementation of corrective action to the satisfaction of the CAA. (b) The actions referred to in point (a) must be performed within the period agreed with the CAA in accordance with point 145.B.350. (c) The observations received in accordance with point 145.B.350(e) must be given due consideration by the organisation. The organisation must record the decisions taken in respect of those observations.

• (21) After point 145A.95 insert—

(145.A.120) (a) An organisation may use any alternative means of compliance to establish compliance with this Regulation. (b) If an organisation wishes to use an alternative means of compliance, it must, prior to using it, provide the CAA with a full description. The description must include any revisions to manuals or procedures that may be relevant, as well as an explanation indicating how compliance with this Regulation is achieved. The organisation may use those alternative means of compliance subject to prior approval from the CAA. (145.A.140) For the purpose of determining compliance with the relevant requirements of Regulation (EU) 2018/1139, the organisation must ensure that access to any facility, aircraft, document, records, data, procedures or to any other material relevant to its activity subject to certification, whether it is subcontracted or not, is granted to any person authorised by the CAA. (145.A.155) The organisation must implement: (a) any safety measures mandated by the CAA in accordance with point 145.B.135; (b) any relevant mandatory safety information issued by the CAA. (145.A.200) (a) The organisation must establish, implement and maintain a management system that includes: (1) clearly defined accountability and lines of responsibility throughout the organisation, including a direct safety accountability of the accountable manager; (2) a description of the overall philosophies and principles of the organisation with regard to safety (“the safety policy”), and the related safety objectives; (3) the identification of aviation safety hazards entailed by the activities of the organisation, their evaluation and the management of the associated risks, including taking actions to mitigate the risks and verify their effectiveness; (4) maintaining personnel trained and competent to perform their tasks; (5) documentation of all management system key processes, including a process for making personnel aware of their responsibilities and the procedure for amending that documentation; (6) a function to monitor the compliance of the organisation with the relevant requirements. Compliance monitoring must include a system for feedback of findings to the accountable manager to ensure the effective implementation of corrective actions as necessary. (b) The management system must correspond to the size of the organisation and the nature and complexity of its activities, taking into account the hazards and the associated risks inherent in those activities. (c) If the organisation holds one or more additional organisation certificates within the scope of Regulation (EU) 2018/1139, the management system may be integrated with that required under the additional certificates held. (145.A.202) (a) As part of its management system, the organisation must establish an internal safety reporting scheme to enable the collection and evaluation of occurrences that are required to be reported under point 145.A.60. (b) The scheme must also enable the collection and evaluation of those errors, near misses and hazards reported internally that do not fall under point (a). (c) Through that scheme, the organisation must: (1) identify the causes of, and contributing factors to, the errors, near misses and hazards reported, and address them as part of its safety risk management process in accordance with point 145.A.200(a)(3); (2) ensure an evaluation of all known, relevant information relating to errors, near misses, hazards and the inability to follow procedures, and a method to circulate the information as necessary. (d) The organisation must make arrangements to ensure the collection of safety issues related to subcontracted activities. (145.A.205) (a) The organisation must ensure that when contracting or subcontracting any part of its maintenance activities: (1) the maintenance conforms to the applicable requirements; (2) any aviation safety hazard associated with such contracting or subcontracting is considered as part of the organisation’s management system. (b) If the organisation subcontracts any part of its maintenance activities to another organisation, the subcontracted organisation must work under the scope of approval of the subcontracting organisation.

Amendment of Section B of Annex II to Commission Regulation (EU) No 1321/2014

23

For Section B (procedure for the CAA) (including the section heading) substitute—

(145.B.005) This section establishes the conditions for conducting the certification, oversight and enforcement tasks as well as the administrative and management system requirements to be followed by the CAA. (145.B.115) The CAA must provide all the standards, rules, technical publications, and related documents to the relevant personnel in order to allow them to perform their tasks and to discharge their responsibilities. (145.B.120) (a) The CAA must develop an acceptable means of compliance that may be used to establish compliance with Regulation (EU) 2018/1139. (b) Alternative means of compliance may be used by an organisation to establish compliance with this Regulation when approved by the CAA. (145.B.135) (a) Without prejudice to Regulation (EU) No 376/2014, the CAA must implement a system to appropriately collect, analyse and disseminate safety information. (b) Upon receiving the information referred to in point (a), the CAA must take adequate measures to address the safety problem. (c) The CAA must immediately notify measures taken under point (b) to all organisations which need to comply with them under Regulation (EU) 2018/1139. (145.B.200) (a) The CAA must establish and maintain a management system, including as a minimum: (1) policies and procedures set out in writing and kept on record to describe its organisation and the means and methods for establishing compliance with Regulation (EU) 2018/1139. The procedures must be kept up to date, and serve as the basic working documents within the CAA for all its related tasks; (2) a sufficient number of personnel to perform its tasks and discharge its responsibilities. A system must be in place to plan the availability of personnel in order to ensure the proper completion of all tasks; (3) personnel that are qualified to perform their allocated tasks and that have the necessary knowledge and experience and receive initial and recurrent training to ensure continuing competency; (4) adequate facilities and office accommodation for personnel to perform their allocated tasks; (5) a function to monitor the compliance of the management system with the relevant requirements, and the adequacy of the procedures, including the establishment of an internal audit process and a safety risk management process. Compliance monitoring must include a system for feedback of audit findings to the senior management of the CAA to ensure the implementation of corrective actions as necessary; (6) a person or group of persons having a responsibility to the senior management of the CAA for the compliance monitoring function. (b) The CAA must, for each field of activity, including the management system, appoint one or more persons with the overall responsibility for the management of the relevant tasks. (145.B.205) (a) The CAA may allocate tasks, related to the initial certification or to the continuing oversight of organisations subject to Regulation (EU) 2018/1139 to qualified entities. When allocating tasks, the CAA must ensure that it has: (1) put a system in place to initially and continuously assess whether the qualified entity complies with Annex VI to Regulation (EU) 2018/1139; (2) established a written agreement with the qualified entity, approved by both parties at the appropriate management level, which stipulates: (i) the tasks to be performed; (ii) the declarations, reports and records to be provided; (iii) the technical conditions to be met when performing such tasks; (iv) the related liability coverage; (v) the protection given to the information acquired when carrying out such tasks. (b) The CAA must ensure that the internal audit process and safety risk management process established pursuant to point 145.B.200(a)(5) cover all the certification and continuing oversight tasks performed by the qualified entity on its behalf. (145.B.210) (a) The CAA must have a system in place to identify the changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EU) 2018/1139. That system must enable the CAA to take action necessary to ensure that its management system remains adequate and effective. (b) The CAA must update its management system in a timely manner to reflect any changes to Regulation (EU) 2018/1139 to ensure its effective implementation. (145.B.220) (a) The CAA must establish a record-keeping system that allows the adequate storage, accessibility and reliable traceability of: (1) the management system’s documented policies and procedures; (2) the training, qualifications and authorisations of its personnel; (3) the allocation of tasks, covering the elements required by point 145.B.205, as well as the details of tasks allocated; (4) certification processes and continuing oversight of certified organisations, including: (i) the application for an organisation certificate; (ii) the CAA’s continuing oversight programme, including all the assessments, audits and inspection records; (iii) the organisation certificate, including any changes to it; (iv) a copy of the oversight programme, listing the dates when audits are due and when audits were carried out; (v) copies of all formal correspondence; (vi) recommendations for the issue or continuation of a certificate, details of findings and actions taken by the organisations to close those findings, including the date of closure, enforcement actions and observations; (vii) any assessment, audit and inspection report issued by a competent authority of a third country; (viii) copies of all the organisation MOEs or manuals, and of any amendments to them; (ix) copies of any other documents approved by the CAA; (5) documents supporting the use of alternative means of compliance; (6) safety information provided in accordance with point 145.B.125 and follow-up measures; (7) the use of safeguard and flexibility provisions in accordance with Articles 70, 71(1) and 76(4) of Regulation (EU) 2018/1139. (b) The CAA must maintain a list of all the organisation certificates it has issued. (c) All the records referred to in points (a) and (b) must be kept for a minimum period of 5 years, subject to data protection law. (145.B.300) (a) The CAA must verify: (1) compliance with the requirements that are applicable to organisations, prior to issuing an organisation certificate; (2) continued compliance with the applicable requirements of the organisations it has certified; (3) the implementation of appropriate safety measures mandated by the CAA in accordance with point 145.B.135(c). (b) This verification must: (1) be supported by documentation specifically intended to provide personnel responsible for oversight with guidance to perform their functions; (2) provide the organisations concerned with the results of oversight activities; (3) be based on assessments, audits and inspections and, if needed, unannounced inspections; (4) provide the CAA with the evidence needed in case further action is required, including the measures provided for in point 145.B.350. (c) The CAA must establish the scope of the oversight set out in points (a) and (b) taking into account the results of past oversight activities and the safety priorities. (d) The CAA must collect and process any information deemed necessary for performing oversight activities. (145.B.305) (a) The CAA must establish and maintain an oversight programme covering the oversight activities required by point 145.B.300. (b) The oversight programme must take into account the specific nature of the organisation, the complexity of its activities, and the results of past certification and oversight activities, and it must be based on the assessment of the associated risks. It must include, within each oversight planning cycle: (1) assessments, audits and inspections, including, as appropriate: (i) management system assessments and process audits; (ii) product audits of a relevant sample of the maintenance carried out by the organisation; (iii) sampling of the airworthiness reviews performed; (iv) unannounced inspections; (2) meetings convened between the accountable manager and the CAA to ensure that both parties remain informed of all significant issues. (c) The oversight planning cycle must not exceed 24 months. (d) Notwithstanding point (c), the oversight planning cycle may be extended to 36 months if the CAA has established that during the previous 24 months: (1) the organisation has demonstrated that it can effectively identify aviation safety hazards and manage the associated risks; (2) the organisation has continuously demonstrated compliance with point 145.A.85 and it has full control over all changes; (3) no level 1 findings have been issued; (4) all corrective actions have been implemented within the time period that was accepted or extended by the CAA as provided for in point 145.B.350. (e) Notwithstanding points (c) and (d), the oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the conditions provided in points (d)(1) to (4), the organisation has established, and the CAA has approved, an effective continuous system for reporting to the CAA on the safety performance and regulatory compliance of the organisation itself. (f) The oversight planning cycle may be shortened if there is evidence that the safety performance of the organisation has decreased. (g) The oversight programme must include records of the dates when assessments, audits, inspections and meetings are due, and when assessments, audits, inspections and meetings have been effectively carried out. (h) At the completion of each oversight planning cycle, the CAA must issue a recommendation report on the continuation of the approval, reflecting the results of the oversight. (145.B.310) (a) Upon receiving an application from an organisation for the initial issue of a certificate, the CAA must verify the organisation’s compliance with the applicable requirements. (b) The CAA must convene a meeting with the accountable manager of the applicant at least once during the investigation for initial certification to ensure that that person understands their role and accountability. (c) The CAA must record all the findings issued, closure actions as well as the recommendations for the issue of the certificate. (d) The CAA must confirm to the organisation in writing all the findings raised during the verification. For initial certification, all findings must be corrected to the satisfaction of the CAA before the certificate can be issued. (e) When satisfied that the organisation complies with the applicable requirements, the CAA may: (1) issue the certificate in Appendix III (CAA Form 3-145) in accordance with the class and rating system provided for in Appendix II; (2) formally approve the MOE. (f) The certificate reference number must be included on the CAA Form 3-145 certificate. (g) The certificate must be issued for an unlimited duration. The privileges and the scope of the activities that the organisation is approved to conduct, including any limitations as applicable, must be specified in the terms of approval attached to the certificate. (h) To enable the organisation to implement changes without prior CAA approval in accordance with point 145.A.85(c), the CAA must approve the relevant MOE procedure that sets out the scope of such changes and describes how such changes will be managed and notified to the CAA. (145.B.330) (a) Upon receiving an application for a change that requires prior approval, the CAA must verify the organisation’s compliance with the applicable requirements before issuing the approval. (b) The CAA must establish the conditions under which the organisation may operate during the change unless the CAA determines that the organisation’s certificate needs to be suspended. (c) When it is satisfied that the organisation complies with the applicable requirements, the CAA must approve the change. (d) Without prejudice to any additional enforcement measures, if the organisation implements changes requiring prior approval without having received the approval of the CAA pursuant to point (c), the CAA must consider the need to suspend, limit or revoke the organisation’s certificate. (e) For changes not requiring prior approval, the CAA must include the review of such changes in its continuing oversight in accordance with the principles set out in point 145.B.300. If any non-compliance is found, the CAA may notify the organisation, request further changes, and act in accordance with point 145.B.350. (145.B.350) (a) The CAA must have a system in place to analyse findings for their safety significance. (b) The CAA must issue a level 1 finding when any significant non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the organisation’s certificate including the terms of approval, which lowers safety or seriously endangers flight safety. (c) Level 1 findings include: (1) any failure to grant the CAA access to the organisation’s facilities referred to in point 145.A.140 during normal operating hours and after two written requests; (2) obtaining the organisation certificate or maintaining its validity by falsification of the submitted documentary evidence; (3) any evidence of malpractice or fraudulent use of the organisation certificate; (4) the lack of an accountable manager. (d) The CAA must issue a level 2 finding when any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the organisation’s certificate including the terms of approval, which is not classified as a level 1 finding. (e) Where a finding is detected during oversight or by any other means, the CAA must, without prejudice to any additional action required by Regulation (EU) 2018/1139, communicate the finding in writing to the organisation and request corrective action to address the non-compliance identified. (1) Where there are any level 1 findings, the CAA must take immediate and appropriate action to prohibit or limit the activities of the organisation involved and, if appropriate, it must take action to revoke the certificate or to limit or suspend it in whole or in part, depending on the extent of the level 1 finding, until successful corrective action has been taken by the organisation. (2) Where there are any level 2 findings, the CAA must: (i) grant the organisation a corrective action implementation period appropriate to the nature of the finding which must not be more than 3 months. The period must commence from the date of the written communication referred to in point (e). The CAA may extend the corrective action implementation period referred to in point (e) provided the relevant organisation has agreed a corrective action plan with the CAA; (ii) assess the corrective action plan and implementation plan proposed by the organisation and accept them if they are sufficient to address the non-compliance. (3) If the organisation fails to submit an acceptable corrective action plan, or fails to perform the corrective action within the time period accepted or extended by the CAA, the CAA must raise the finding to level 1 and action must be taken as laid down in point (e)(1). (4) The CAA must record all the findings that it has raised or that have been communicated to it and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the dates of the action closures for all the findings. (f) The CAA may issue observations for any of the following cases not requiring level 1 or level 2 findings: (1) for any item whose performance has been assessed to be ineffective; (2) when it has been identified that an item has the potential to cause a non-compliance under point (b) or (d); (3) when suggestions or improvements are of interest for the overall safety performance of the organisation. (g) The CAA must communicate the observations issued under this point in writing to the organisation and must keep a record of those observations. (145.B.355) The CAA must: (a) suspend a certificate where it considers that there are reasonable grounds to believe that such action is necessary to prevent a credible threat to aircraft safety; (b) suspend, revoke or limit a certificate where such action is required pursuant to point 145.B.350; (c) suspend or limit in whole or in part a certificate where unforeseeable circumstances outside the control of the CAA prevent its inspectors from discharging their oversight responsibilities over the oversight planning cycle.

Amendment of Appendix II to Annex II to Commission Regulation (EU) No 1321/2014

24

For Appendix II substitute—