CHAPTER IPRINCIPLES

Article 1Subject matter and objectives

1.

The principal objective of this Regulation is to establish and maintain a high F1... level of civil aviation safety in the F2United Kingdom.

2.

This Regulation further aims to:

(a)

contribute to the wider F3United Kingdom aviation policy and to the improvement of the overall performance of the civil aviation sector;

(b)

F4provide a level playing field for all actors in the United Kingdom aviation market, and improve the competitiveness of the United Kingdom’s aviation industry;

(c)

contribute to a high F5... level of environmental protection;

(d)

facilitate, in the fields covered by this Regulation, the movement of goods, services and personnel worldwide, by establishing appropriate cooperation with third countries and their aviation authorities, and by promoting the mutual acceptance of certificates and other relevant documents;

(e)

promote cost-efficiency, by, inter alia, avoiding duplication, and promoting effectiveness in regulatory, certification and oversight processes as well as an efficient use of related resources at F6... national level;

(f)

contribute, in the fields covered by this Regulation, to establishing and maintaining a high F7... level of civil aviation security;

(g)

assist F8the United Kingdom, in the fields covered by this Regulation, in F9exercising its rights and fulfilling its obligations under the Chicago Convention F10...;

F11(h)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(i)

promote research and innovation, inter alia, in regulatory, certification and oversight processes;

(j)

promote, in the fields covered by this Regulation, technical and operational interoperability and the sharing of administrative best practices;

(k)

support passenger confidence in a safe civil aviation.

3.

The objectives set out in paragraphs 1 and 2 shall be achieved by, inter alia:

(a)

the preparation, F12making and F13... application of all necessary F14regulations;

(b)

the taking of measures to improve safety standards;

F15(c)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d)

the development, with the involvement of standardisation and other industry bodies, of detailed technical standards to be used as a means of compliance with this Regulation, and with the F16regulations made under it, where appropriate;

F17(e)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f)

the F18... implementation of all necessary acts by F19the Secretary of State and the CAA, within their respective areas of responsibility;

(g)

the gathering, analysis and exchange of information to support evidence-based decision making;

(h)

the undertaking of awareness and promotion initiatives, including training, communication and dissemination of relevant information.

Article 2Scope

1.

This Regulation shall apply to:

(a)

the design and production of products, parts and equipment to control aircraft remotely by a natural or legal person under the oversight of F20the CAA, to the extent not covered by point (b);

(b)

the design, production, maintenance and operation of aircraft, as well as their engines, propellers, parts, non-installed equipment and equipment to control aircraft remotely, where the aircraft is or will be:

  1. (i)

    registered in F21the United Kingdom, unless and to the extent that F22the United Kingdom has transferred its responsibilities pursuant to the Chicago Convention to a third country and the aircraft is operated by a third country aircraft operator;

  2. (ii)

    registered in a third country and operated by an aircraft operator established, residing or with a principal place of business in the F23United Kingdom;

  3. (iii)

    an unmanned aircraft, that is registered neither in F24the United Kingdom nor in a third country and that is operated within the F25United Kingdom by an aircraft operator established, residing or with a principal place of business within F26the United Kingdom;

(c)

the operation of aircraft into, within, or out of the F27United Kingdom by a third country aircraft operator;

(d)

the design, production, maintenance and operation of safety-related aerodrome equipment used or intended for use at the aerodromes referred to in point (e) and the provision of groundhandling services and AMS at those aerodromes;

(e)

the design, maintenance and operation of aerodromes, including the safety-related equipment used at those aerodromes, located in the F28United Kingdom, which:

  1. (i)

    are open to public use;

  2. (ii)

    serve commercial air transport; and

  3. (iii)

    have a paved instrument runway of 800 metres or more, or exclusively serve helicopters using instrument approach or departure procedures;

(f)

without prejudice to F29... national law on environment and land-use planning, the safeguarding of surroundings of the aerodromes referred to in point (e);

(g)

the provision of ATM/ANS in F30United Kingdom airspace, and the design, production, maintenance and operation of systems and constituents used in the provision of those ATM/ANS;

F31(h)

the design of airspace structures.

2.

This Regulation shall also apply to the personnel and organisations involved in the activities referred to in paragraph 1.

3.

This Regulation shall not apply to:

(a)

aircraft, and their engines, propellers, parts, non-installed equipment and equipment to control aircraft remotely, while carrying out military, customs, police, search and rescue, firefighting, border control, coastguard or similar activities or services under the control and responsibility of F32the United Kingdom, undertaken in the public interest by or on behalf of a body vested with the powers of a public authority, and the personnel and organisations involved in the activities and services performed by those aircraft;

(b)

aerodromes or parts thereof, as well as equipment, personnel and organisations, that are controlled and operated by the military;

(c)

ATM/ANS, including systems and constituents, personnel and organisations, that are provided or made available by the military;

(d)

the design, production, maintenance and operation of aircraft the operation of which involves low risk for aviation safety, as listed in Annex I, and to the personnel and organisations involved therein, unless the aircraft has been issued, or has been deemed to have been issued, with a certificate in accordance with Regulation (EC) No 216/2008.

As regards point (a), F33the CAA in relation to civil aviation, and the Secretary of State in relation to military aviation shall ensure that activities and services performed by the aircraft referred to in that point are carried out with due regard to the safety objectives of this Regulation. F34The CAA or the Secretary of State (as the case may be) shall also ensure that, where appropriate, those aircraft are safely separated from other aircraft.

F35...

4.

By derogation from point (d) of the first subparagraph of paragraph 3, this Regulation, and the F36regulations made under it, shall apply to the design, production and maintenance of an aircraft type falling within the scope of points (e), (f), (g), (h), or (i) of point 1 of Annex I and to the personnel and organisations involved in those activities, where:

(a)

the organisation responsible for the design of that aircraft type has applied for a type certificate to the F37CAA in accordance with Article 11 or, if applicable, has made a declaration to the F37CAA in accordance with point (a) of Article 18(1) in respect of that aircraft type;

(b)

that aircraft type is intended for serial production; and

(c)

the design of that aircraft type has not been previously approved in F38the United Kingdom.

This Regulation, and F39regulations made under it, shall apply with respect to the aircraft type concerned from the date on which the type certificate is issued or, if applicable, from the date on which the declaration is made. However, the provisions regarding the assessment of the application for the type certificate and the issuance of the type certificate by the F40CAA shall apply from the date at which the application is received.

5.

Without prejudice to national security and defence requirements, F41the Secretary of State shall ensure that:

(a)

the facilities referred to in point (b) of the first subparagraph of paragraph 3 of this Article that are open to public use; and

(b)

the ATM/ANS referred to in point (c) of the first subparagraph of paragraph 3 of this Article that are provided to air traffic to which Regulation (EC) No 549/2004 applies,

offer a level of safety and interoperability with civil systems that is as effective as that resulting from the application of the essential requirements set out in Annexes VII and VIII to this Regulation.

6.

F42The Secretary of State may decide to apply any, or any combination, of Section I, II, III, or VII of Chapter III, to some or all activities referred to in point (a) of the first subparagraph of paragraph 3 and to the personnel and organisations involved in those activities, F43where the Secretary of State considers that, in light of the characteristics of the activities, personnel and organisations in question and the purpose and content of the provisions concerned, those provisions can be effectively applied.

From the date specified in that decision, the activities, personnel and organisations concerned shall be solely regulated by the provisions of the Section, or Sections, concerned and by the provisions of this Regulation related to the application of those sections.

The F44Secretary of State shall without delay notify F45the CAA of F46a decision and shall F47provide the CAA with all relevant information, in particular:

(a)

the Section or Sections concerned;

(b)

the activities, personnel and organisations concerned;

(c)

the reasons for F48the decision; and

(d)

the date from which that decision applies.

F49...

F50The Secretary of State may also at any time decide to modify or revoke the earlier decision referred to in the first subparagraph of this paragraph. F51...

F52...

F52...

7.

F53The CAA may decide to exempt from this Regulation the design, maintenance and operation of an aerodrome, and the safety-related equipment used at that aerodrome, where that aerodrome handles no more than 10 000 commercial air transport passengers per year and no more than 850 movements related to cargo operations per year, and provided that F54... such exemption does not endanger compliance with the essential requirements referred to in Article 33.

From the date specified in that exemption decision, the design, maintenance and operation of the aerodrome concerned and the safety-related equipment and groundhandling services and AMS at that aerodrome shall no longer be regulated by this Regulation and by the F55regulations made under it.

F56...

F56...

F56...

F57The CAA shall, on an annual basis, examine the traffic figures of the aerodromes that F58it has exempted pursuant to this paragraph or Article 4(3b) of Regulation (EC) No 216/2008. Where that examination demonstrates that, over three consecutive years, one of those aerodromes handles more than 10 000 commercial air transport passengers per year or more than 850 movements related to cargo operations per year, F59the CAA shall revoke the exemption of that aerodrome. F60...

F61...

8.

F62The CAA may decide to exempt from this Regulation the design, production, maintenance and operation activities in respect of one or more of the following categories of aircraft:

(a)

aeroplanes, other than unmanned aeroplanes, which have no more than two seats, measurable stall speed or minimum steady flight speed in landing configuration not exceeding 45 knots calibrated air speed and a maximum take-off mass (MTOM), as recorded by the F63CAA, of no more than 600 kg for aeroplanes not intended to be operated on water or 650 kg for aeroplanes intended to be operated on water;

(b)

helicopters, other than unmanned helicopters, which have no more than two seats and a MTOM, as recorded by the F64CAA, of no more than 600 kg for helicopters not intended to be operated on water or 650 kg for helicopters intended to be operated on water;

(c)

sailplanes, other than unmanned sailplanes, and powered sailplanes, other than unmanned powered sailplanes, which have no more than two seats and a MTOM, as recorded by the F65CAA, of no more than 600 kg.

However, as regards the categories of aircraft referred to in the first subparagraph F66the CAA may not take such a decision concerning aircraft in respect of which a certificate has been issued, or has been deemed to have been issued, in accordance with Regulation (EC) No 216/2008 or with this Regulation, or in respect of which a declaration has been made in accordance with this Regulation.

9.

An exemption decision taken by F67the CAA pursuant to paragraph 8 shall not prevent an organisation with a principal place of business in F68the United Kingdom from deciding to carry out its design and production activities in respect of aircraft covered by that decision in accordance with this Regulation and with F69regulations made under it. Where such an organisation takes such a decision it shall inform the F70CAA thereof. In such cases, the exemption decision taken by the F71CAA pursuant to paragraph 8 shall not apply to those design and production activities or to the aircraft designed and produced as a result of those activities.

10.

F72...

Any certificate that is issued in respect of aircraft to which an exemption decision taken pursuant to paragraph 8 applies shall clearly indicate that that certificate is issued not under this Regulation but under F73the Air Navigation Order 2016.

11.

Any F74enactment regulating the design, production, maintenance and operation activities of the aircraft to which F75an exemption decision under paragraph 8 applies shall be proportionate to the nature and risk of the activity concerned and shall take account of the objectives and principles set out in Articles 1 and 4 respectively.

F76...

F77The CAA may decide to modify or revoke an exemption decision that it has taken pursuant to paragraph 8. F78...

F79...

An exemption decision taken by F80the CAA pursuant to paragraph 8 shall also apply to the organisations and personnel involved in the design, production, maintenance and operation activities to which that decision applies.

Article 3Definitions

For the purposes of this Regulation, the following definitions apply:

  1. (1)

    ‘oversight’ means the verification, by or on behalf of the F81CAA, on a continuous basis that the requirements of this Regulation and of F82regulations made under it, on the basis of which a certificate has been issued or in respect of which a declaration has been made, continue to be complied with;

  2. (2)

    ‘Chicago Convention’ means the Convention on International Civil Aviation and the Annexes thereto, signed in Chicago on 7 December 1944;

  3. (3)

    ‘product’ means an aircraft, an engine or a propeller;

  4. (4)

    ‘part’ means any element of a product, as defined by that product's type design;

  5. (5)

    ‘ATM/ANS’ means air traffic management and air navigation services and covers all of the following: the air traffic management functions and services as defined in point (10) of Article 2 of Regulation (EC) No 549/2004; the air navigation services as defined in point (4) of Article 2 of that Regulation, including the network management functions and services referred to in Article 6 of Regulation (EC) No 551/2004, as well as services which augment signals emitted by satellites of core constellations of GNSS for the purpose of air navigation; flight procedures design; and services consisting in the origination and processing of data and the formatting and delivering of data to general air traffic for the purpose of air navigation;

  6. (6)

    ‘ATM/ANS constituent’ means tangible objects such as hardware and intangible objects such as software upon which the interoperability of the EATMN depends;

  7. (7)

    ‘ATM/ANS system’ means the aggregation of airborne and ground-based constituents, as well as space-based equipment, that provides support for air navigation services for all phases of flight;

  8. (8)

    F83...

  9. (9)

    ‘certification’ means any form of recognition in accordance with this Regulation, based on an appropriate assessment, that a legal or natural person, product, part, non-installed equipment, equipment to control unmanned aircraft remotely, aerodrome, safety-related aerodrome equipment, ATM/ANS system, ATM/ANS constituent or flight simulation training device complies with the applicable requirements of this Regulation and of F84regulations made under it, through the issuance of a certificate attesting such compliance;

  10. (10)

    ‘declaration’ means any written statement made in accordance with this Regulation under the sole responsibility of a legal or natural person subject to this Regulation and which confirms that the applicable requirements of this Regulation and of F85regulations made under it relating to a legal or natural person, product, part, non-installed equipment, equipment to control unmanned aircraft remotely, safety-related aerodrome equipment, ATM/ANS system, ATM/ANS constituent or flight simulation training device are complied with;

  11. (11)

    ‘qualified entity’ means an accredited legal or natural person which may be charged with certain certification or oversight tasks under this Regulation by and under the control and the responsibility of the F86CAA;

  12. (12)

    ‘certificate’ means any certificate, approval, licence, authorisation, attestation or other document issued as the result of a certification attesting compliance with the applicable requirements;

  13. (13)

    ‘aircraft operator’ means any legal or natural person operating or proposing to operate one or more aircraft;

  14. (13a)

    F87‘UK operator’ means any aircraft operator established, residing or with a principal place of business in the United Kingdom;

  15. (14)

    ‘aerodrome operator’ means any legal or natural person operating or proposing to operate one or more aerodromes;

  16. (15)

    ‘flight simulation training device’ means any type of device in which flight conditions are simulated on the ground, including flight simulators, flight training devices, flight and navigation procedures trainers and basic instrument training devices;

  17. (16)

    ‘aerodrome’ means a defined area, on land or on water, on a fixed, fixed offshore or floating structure, including any buildings, installations and equipment thereon, intended to be used either wholly or in part for the arrival, departure and surface movement of aircraft;

  18. (17)

    ‘safety-related aerodrome equipment’ means any instrument, equipment, mechanism, apparatus, appurtenance, software or accessory that is used or intended to be used to contribute to the safe operation of aircraft at an aerodrome;

  19. (18)

    ‘apron’ means a defined area of an aerodrome intended to accommodate aircraft for purposes of loading or unloading passengers, baggage, mail or cargo, fuelling, parking or maintenance;

  20. (19)

    ‘apron management service (AMS)’ means a service provided to regulate the activities and the movement of aircraft and vehicles on an apron;

  21. (20)

    ‘flight information service’ means a service provided for the purpose of giving advice and information useful for the safe and efficient conduct of flights;

  22. (21)

    ‘general air traffic’ means all movements of civil aircraft and state aircraft carried out in conformity with the procedures of the International Civil Aviation Organization (‘ICAO’);

  23. (22)

    ‘international standards and recommended practices’ means the international standards and recommended practices adopted by ICAO in accordance with Article 37 of the Chicago Convention;

  24. (23)

    ‘groundhandling service’ means any service provided at aerodromes comprising safety -related activities in the areas of ground supervision, flight dispatch and load control, passenger handling, baggage handling, freight and mail handling, apron handling of aircraft, aircraft services, fuel and oil handling, and loading of catering; including the case where aircraft operators provide those groundhandling services to themselves (self-handling);

  25. (24)

    ‘commercial air transport’ means an aircraft operation to transport passengers, cargo or mail for remuneration or other valuable consideration;

  26. (25)

    ‘safety performance’ means the F88United Kingdom’s or an organisation's safety achievement, as defined by its safety performance targets and safety performance indicators;

  27. (26)

    ‘safety performance indicator’ means a parameter used for monitoring and assessing safety performance;

  28. (27)

    ‘safety performance target’ means a planned or intended objective for complying with safety performance indicators over a given period of time;

  29. (28)

    ‘aircraft’ means any machine that can derive support in the atmosphere from the reactions of the air other than reactions of the air against the earth's surface;

  30. (29)

    ‘non-installed equipment’ means any instrument, equipment, mechanism, apparatus, appurtenance, software or accessory carried on board of an aircraft by the aircraft operator, which is not a part, and which is used or intended to be used in operating or controlling an aircraft, supports the occupants' survivability, or which could impact the safe operation of the aircraft;

  31. (30)

    ‘unmanned aircraft’ means any aircraft operating or designed to operate autonomously or to be piloted remotely without a pilot on board;

  32. (31)

    ‘remote pilot’ means a natural person responsible for safely conducting the flight of an unmanned aircraft by operating its flight controls, either manually or, when the unmanned aircraft flies automatically, by monitoring its course and remaining able to intervene and change the course at any time;

  33. (32)

    ‘equipment to control unmanned aircraft remotely’ means any instrument, equipment, mechanism, apparatus, appurtenance, software or accessory that is necessary for the safe operation of an unmanned aircraft, which is not a part, and which is not carried on board of that unmanned aircraft;

  34. (33)

    F89...

  35. (34)

    F90“‘the CAA’ means the Civil Aviation Authority;

  36. (35)

    F91“‘third country’ means any country or territory other than the United Kingdom, except that British overseas territories, and the Channel Islands and the Isle of Man, are not within the meaning of third country for the purposes of Commission Regulation (EU) No 452/2014 of 29 April 2014 laying down technical requirements and administrative procedures related to air operations of third country operators pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council.

Article 4Principles for measures under this Regulation

1.

When taking measures under this Regulation F92the Secretary of State and the CAA shall:

(a)

reflect the state of the art and best practices in the field of aviation, and take into account worldwide aviation experience and scientific and technical progress in the respective fields;

(b)

build on the best available evidence and analysis;

(c)

allow for immediate reaction to established causes of accidents, serious incidents and intentional security breaches;

(d)

take into account interdependencies between the different domains of aviation safety, and between aviation safety, cyber security and other technical domains of aviation regulation;

(e)

lay down, where possible, requirements and procedures in a manner which is performance-based and focuses on objectives to be achieved, while allowing different means of achieving compliance with those performance-based objectives;

F93(f)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(g)

take non-binding measures, including safety promotion actions, where possible;

(h)

take into account the international rights and obligations in the field of civil aviation of the F94United Kingdom, including those under the Chicago Convention.

2.

The measures taken under this Regulation shall correspond and be proportionate to the nature and risk of each particular activity to which they relate. In preparing and enacting such measures, F95the Secretary of State and the CAA shall take into account, as appropriate for the activity concerned:

(a)

whether persons other than flight crew are carried on board, and in particular whether the operation is open to members of the public;

(b)

to what extent third parties or property on the ground could be endangered by the activity;

(c)

the complexity, performance and operational characteristics of the aircraft involved;

(d)

the purpose of the flight, the type of aircraft and type of airspace used;

(e)

the type, scale, and complexity of the operation or activity, including, where relevant, the size and type of the traffic handled by the responsible organisation or person;

(f)

the extent to which the persons affected by the risks involved in the operation are able to assess and exercise control over those risks;

(g)

the results of past certification and oversight activities.