CNS-ATM, EASA, 10.10.2006

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EASA rulemaking
Presentation CNS-ATM, EASA, 10.10.2006 Y Morier
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Contents of the presentaion

• Description of the EASA rulemaking procedure
• Attachment I Principles for cooperation with FAA
• Attachment II Cooperation with standardisation
  bodies
• Attachment III Procedure to comment on ICAO
  State Letters
• Attachment IV Rulemaking process some
  developments

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Rulemaking General

• Task of the Agency Basic Regulation Articles 13
  and 14
• Establishment of Rulemaking Procedure based on
  Article 43
• EASA Management Board MB/7/03, 17 June 2003
• Procedure for the issuing of opinions,
  certification specifications and guidance
  material Rulemaking Procedure

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EASA present regulations structure
Agency Opinion
Annex I Essential Requirements for
Airworthiness Annex II Excluded Aircraft
Basic Regulation Regulation (EC) 1592/2002 of 15
July 2002
Agency Opinion
Regulation (EC) 2042/2003 on Continuing
Airworthiness
Regulation (EC) 1702/2003 on Airworthiness and
Environmental Certification
Annex I (Part-M) Continuing Airworthiness
Requirements
Section A Technical Requirements
Section B Administrative Procedures
Section A Application Requirements
Annex II (Part-145) Maintenance Organisation
Approvals
Appendices EASA forms
Section B administrative Procedures
Annex (Part 21)
Appendices EASA forms
Annex III (Part-66) Certifying Staff
Annex IV (Part-147) Training Organisation
Requirements
Guidance Material Part 21
Certification Specifications
Agency CS , AMC GM
AMC Guidance Material Part M, 145,66,147
AMC 20 AMC 21 CS 25 CS 34 CS 36 CS E CS P CS APU
CS 22 CS 23 CS 27 CS 29 CS VLA CS VLR
CS AWO CS ETSO CS Definitions
Parliament and Council
European Commission
EASA
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Rulemaking Procedure

• Contents
• JAR 11 used as reference
• section 1 Basic principles and applicability
• Section 2 Rulemaking Procedure
• programming
• initiation, drafting, consultation, comments
  review, adoption NPA process
• Section 3 Final provisions

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Programming (process)

• (ED) Executive Director establishes annual
  rulemaking program
• He consults SSCC and AGNA
• any person may propose issues
• Programme supported by preliminary RIA
  (Regulatory Impact Assessment)
• ED can adapt the program
• Publication of program
• Regular review of the impact of rules

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Programming (contents)

• Program takes account of
• EASA objectives
• safety, environmental protection, free movement,
  cost-efficiency
• Criteria for implementing rules
• state of the art, experience and technical
  progress
• Developments in European and international law
• Harmonization with non-EU partners

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Programming (contents)

• Program takes account of (continued)
• Risk assessment studies and research
• need to correct implementation problems
• results of air accident investigations
• needs of emerging air traffic enhancement program

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Programming in practice

• The general approach for the development of Year
  N Rulemaking programme and the advance planning
  is briefly explained here
• 1.The inventory of all rulemaking tasks is
  presented/
• At the AGNA (Advisory Group of National
  Authorities) and SSCC (Safety Standards
  Consultative Committee) meeting in November Year
  N-2 requesting their comments for March Year N-1
• In parallel to the FAA to establish a list of
  subjects for joint action
• 2. The Year N programme is adopted in July of
  Year N-1 and two documents are produced
• the Year N Rulemaking programme
• Contain deliverables that commit the Agency
• Year N Advance Planning
• Give an indication of the task that are either
  on-going or will start in the year but will not
  be finished in that year

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Flow - Chart
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NPA Process Initiation

• Draw up Terms of Reference after consulting SSCC
  and AGNA
• definition of task
• timetable
• format of deliverable
• Choose between drafting group or Agency resources
  
• If drafting group ED decides composition after
  consulting SSCC and AGNA
• Agency to provide support to groups

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NPA Process Drafting

• ED may amend ToR
• ED to verify that drafting result satisfies ToR
• Assign unique NPA reference code
• Publish NPA, including
• proposed rule
• explanatory note
• significant, contentious or interface issues
• situation with respect to ICAO and non-EU AA
• full RIA

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Regulatory Impact Assessment

• What decision support process
• Why improve quality of regulation
• How clarify positive and negative impacts
• form not prescribed
• model provided
• RIA proportionate to the likely impact

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Regulatory Impact Assessmentmodel

• Purpose and Intended Effect
• Issue which the NPA is intended to address
• Scale of the issue (quantified if possible)
• Brief statement of the objectives of the NPA
  such as a safety improvement
• Options
• The options identified and evaluated
• If possible the preferred option selected
• Sectors affected
• sectors affected and the number of organisations
  / individuals / aircraft affected

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Regulatory Impact Assessment model (continued)

• Impacts
• quantified
• segmented by sector
• addressing following considerations
• Safety,
• Economic,
• Environmental
• Social
• Other aviation requirements
• Equity and fairness issues

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Regulatory Impact Assessment model (continued)

• Consultation
• Summary and Final Assessment
• Comparison of impacts
• summary of who are affected and issues of equity
  and fairness
• Final assessment and recommendation

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NPA Process Drafting

• take account of
• EU Law (EASA Regulation)
• ICAO SARPs
• harmonization with non-EU partners
• results of air accident investigations
• timely implementation
• compatibility with existing rules
• state of the art and best practices
• technological developments
• regulatory impact

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NPA Process Consultation

• Any person may comment
• Consultation period 3 monthsalthough ED may
  decide on different period
• extensions can be granted only in exceptional
  cases
• Comments shall contain
• identification of the comment provider
• NPA reference code
• position with justification

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NPA Process Review of comments

• Comments review by original drafter(s) AND
  experts not involved in the drafting
• Comment response document (CRD) to be published 3
  months after consultation
• above period can be amended
• if significant differences ED may decide to
  re-circulate
• if major objections from NAAs (for rules to be
  applied by MS), ED shall consult AGNA

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NPA Process Adoption and publication

• ED will issue decision not earlier than 2 months
  after publication of CRD
• Rules explanatory memorandum to be published in
  Agencys Official publication

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Rulemaking other issues

• SSCC
• AGNA
• co-operation with third countries and
  International organisations arrangements
• Access to documents EC regulation 1049/2001
• Retention of documents indefinitely
• Special procedures A-NPA
• transition easier procedure

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• THANK YOU FOR YOUR
• ATTENTION.
• Your comments/questions are welcome
• www.easa.eu.int

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Attachment I

• Principles for cooperation with FAA

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Rulemaking cooperation with FAA (I)

• Principles agreed for continuation of cooperation
• Exchange of rulemaking programmes and
  identification of items of common interest
• Definitions of working methods for items of
  common interest
• Internal coordination between FAA and EASA
• Nomination of focal points
• EASA or FAA take the lead
• EASA join FAA (ARAC) group and vice versa.

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Agreed principles

• Background
• EASA and FAA agreed that they should continue to
  cooperate on rulemaking issues as a follow-up of
  the FAA/JAA Harmonisation work programme
• However due to the new context there was a need
  to define new principles
• These principles were agreed in Philadelphia at
  the 2004 Annual Conference.

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Agreed principles

• Exchange of rulemaking inventories in October
  Year N-2
• Agreement on list of items of common interest,
  associated working methods and nomination of
  focal points for these items by April of Year N-1
  
• Incorporation of such items by FAA and EASA in
  their work programmes
• EASA in the Rulemaking work programme and
  Advance rulemaking programme of Year N
• FAA Ongoing Rulemaking Program

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Agreed principles

• Items of common interest include
• Items for joint action
• Issues are included in the two organisations work
  programmes and timescales are compatible
• Work is shared as much as possible to reduce
  costs
• Items for information exchange
• Improve awareness of a subject by either party
• Avoid regulatory developments that could create
  incompatibilities.

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Agreed principles

• Each party remains responsible for its formal
  deliverables
• NPA/NPRM
• Final rule
• Focal points coordinate before public
  consultation of NPA/NPRM and adoption of final
  rule.
• Divergences of views identified through above
  consultation subject to high level discussions

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Agreed principles

• These principles have been put in place in an
  informal manner since 2004 using a flow chart
  agreed at an EASA/FAA/JAA management meeting in
  December 2004
• Examples of active cooperation Fuel tank safety,
  Aging Aircraft, UAV, several CS-25 cabin safety
  tasks
• Experience has shown the need to put in place a
  more formal procedure and also to improve the
  process.

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Implementation of the principles

• An FAA-EASA rulemaking cooperation procedure has
  been drafted in March 2006 addressing
• Objectives
• Scope
• Programming
• Working methods
• Still under discussion
• a teleconference on 28 April 2006 has identified
  among other things the need to clarify the
  working methods in particular when one side takes
  the lead.

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Implementation of the principles

• A list of 77 items of common interest has been
  established (May 2006) but its further
  development has been delayed by the discussion on
  working methods.
• 22 Subjects are considered for common action.

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Perspective

• Short term
• Finalise procedure
• Finalise list of subject of common interest
• urgent because EASA is due to adopt its
  rulemaking and advance rulemaking programmes for
  2007 in June 2006
• Long term
• Formalise the rulemaking cooperation under the
  bilateral agreement.

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Conclusion

• The commitment to cooperate on rulemaking is very
  strong
• Progress has been slower than expected reducing
  the visibility of the efforts.
• Your support, comments and advice are welcome.

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Attachment II

• Cooperation with standardisation bodies

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EASA use of standards in regulatory activities

• Quantitatively main use of standards is in
  CS-ETSO
• ETSO stands for European Technical Standard
  orders
• Such Standards comes from mostly SAE, RTCA and
  EUROCAE
• Special case of RTCA DO-160D/ EUROCAE ED-14D
  RTCA DO-178B/ED-12B.
• Standards may also be referred to in AMC
• E.g. AMC 25.1309 refer to RTCA DO-160 D/ EUROCAE
  ED-14D RTCA DO-178B/ED-12B SAE ARP 4754/EUROCAE
  ED-79 and SAE ARP 4761

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EASA use of standards in regulatory activities

• Standards may also be referred to in Implementing
  Rules
• E.g. Part M talks of officially recognized
  standards
• NPAs are needed to modify implementing Rules,
  Certification Specifications and Acceptable Means
  of Compliance

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EASA use of standards in regulatory activities

• The existing Standardization bodies should be
  encouraged to co-operate
• To avoid duplication of work and to enhance
  harmonization
• Based on the EU Global Approach the EASA is
  considering increasing its reliance on
  Standardization Bodies
• EU Novel Approach Essential requirements
  Community Specifications, modules for Conformity
  Assessments
• Increasing its reliance How and when is still TBD

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Rulemaking cooperation with Standardisation
bodies

• Active cooperation with EUROCAE
• Participation into the Technical Committee
• Planning outsourcing of some tasks to EUROCAE in
  the field of Equipment.
• Active cooperation with SAE (Society of
  Automotive Engineers)
• Participation into the Aerospace Council
• Contacts with CEN and ETSI
• For the future try to increase reliance on
  Standardisation Bodies.

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Attachment III

• ICAO
• Procedure to comment on State letters related to
  the amendment of ICAO Annexes 1, 5, 6, 8, 13, 16,
  17 and 18.
• Evaluation
• Drafting of the recommendation
• Consultation and final recommendation
• Sending out the recommendation to Member States
  and EU representative in ICAO
• Participation into ICAO Airworthiness panel

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Attachment IV

• Rulemaking process some developments
• Internal book of procedure to be ready for Autumn
  2006
• Discussion on a new procedure for guidance
  material
• Discussions on a general EASA Rulemaking template.