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Accommodating Sub-orbital and Orbital (SOA) Flights in the EU
Jean-Bruno MARCIACQ EASA-RM Officer, SOA Coordinator
Regulation of Emerging Modes of Transportation (REMAT)
Institute for Air & Space Law-McGill University, 25 May 2013
How to allow Sub-Orbital and Orbital Aircraft to fly in the EU?
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Contents
• I. The institutional and legal framework
• II. The Role of EASA for Certification
• III. Status and Proposed regulatory approaches
• IV. Proposed Cooperation
• V. Conclusions
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I. The institutional and legal framework
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European Union and EFTA countries
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27 EU states
4 EFTA states
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How the European Union works
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SUPRANATIONAL
INTERGOVERNMENTAL
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The institutions
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European Court of Justice
European Council
European Commission
European Parliament
Council of the European Union
EASA
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EASA is an Executive and Implementing Body of the EU and a Technical/Regulatory Agency, established by the EU Council and Parliament
EASA is managed at Commission level by DG-MOVE (Transports), who also coordinates the adoption of EASA Opinions with the other DGs and EU-Institutions (Council, Parliament)
EASA may also provide Technical Assistance to other EU institutions or DGs within its competences and in coordination with DG-MOVE
DG-RTD (Research and Innovation)
DG-ENTR (Enterprise)
Research Projects in Aviation Safety: e.g. FAST20XX
EASA in the EU Context (1/2)
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EASA is managed at the strategic and budgetary levels by a Management Board, composed of representatives of the Commission and EU-Member States
EASA is financed by EU Subsidies for Rulemaking activities (to ensure its independence from stakeholders)
EASA is self-financed for certification and oversight (standardisation) activities by the Fees and Charges Regulation (EC) 593/2007
Member States retain some implementing powers (Subsidiarity)
EASA in the EU Context (2/2)
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The EU aviation safety system
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National Aviation Authorities
Issue most certificates, approvals and licences
Oversee organisations
Implement EU law
European Aviation Safety Agency
European Commission Adopts rules
Launches infringement
procedure
Manages Safety List
Proposes rules
Issues some certificates and
approvals
Performs inspections
Manages European Aviation Safety
Programme
Industry
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The European Aviation Safety Agency
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• European Union Agency• Technically independent• Legal and financial autonomy
“Ever safer and greener civil aviation”
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About EASA
• Founded in 2003• Built on
experience from the JAA & MS
• Located in Cologne, Germany
• Staff of more than 700
• Headed by Mr Patrick GOUDOU
Mr Patrick KY from 1.9.2013
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Scope
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Economic regulation
Performance regulation
ATM
/AN
S
Aer
odro
mes
3rd
Cou
ntry
Ope
ratio
ns
Ope
ratio
ns &
FCL
Air
wor
thin
ess
Interoperability regulation
Safety regulation TOTAL SYSTEM APPROACH
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Regulatory Structure
Agency Opinion
European Commission European Council
European Parliament
Basic
Regulation
Agency Opinion
European CommissionImplementing Rules
Agency Decision
AMC, GM, CS
Soft Law
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• Acceptable Means of Compliance• Guidance Material• Certification Specifications
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Current Regulations
Initial Airworthiness
Continuing Airworthiness Air Crew
Basic Regulation (EC) No
216/2008
Airworthiness Flight Standards ATM/ANS
Air Traffic Controllers Licences
ATM/ANS Oversight
ANS Providers
AUR and ACAS II
OPS SERA
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Advantages
• Centralisation – • efficiency
• Decentralisation – local application
• System, not task oversight
• Open to comment – transparent
Proportionate
• Flexible• (AMCs / GM /
CS)
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Soft Law
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Implementing Rules
Soft Law• Acceptable Means of Compliance• Guidance Material• Certification Specifications
Basic
Regulation
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Who decides what?
Legislator Commission Agency
Transfer ofpowers fromMS’s to EC.
EssentialRequirements
(ER’s)Specifying the
safety objectives.
ImplementingRules (IR’s)
=binding
standardsto implement
BR & ER’s.
CS, AMC, GM=
non-bindingstandards toimplement
ER’s and IR’s.
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Standards
• In establishing and maintaining a
• high and uniform level of safety for
civil aviation• the rules must reflect
the • “state of the art”
and the best practices in the fields concerned
• Standards and recommended practises established by ICAO need to be complied with
• Where applicable other technologies and practises need to be used where it can be demonstrated to be of benefit
• Appropriate use of standards developed by standardisation organisations will ensure a uniform application of technologies and best practices
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Move towards standards
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STANDARDS
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• The standards must be related to the Agency activities with respect to
recognition as a means of compliance or a certification scheme
to a rule
• The standardisation body must be an international recognised
standardisation body
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General Criteria for Participation
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Organisations
• ICAO
• ASTM
• ARINC
• European Standardisation Organisations (CEN/ETSI/ECSS)
• EUROCAE
• IATA
• SAE
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II. EASA’s Roles in Certification
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EASA’s role in the EU
EASA is a Technical Agency of the EUEU Aviation Authority for Safety and Environment
By EU law, EASA:Proposes EU-Aviation RegulationsCertifies Aircraft, Parts and Appliances Standardises OrganisationsAccredits EU AuthoritiesMaintains Oversight
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Certification Process
• 1• Application
• 2• Certification Basis
• 3• Demonstration of Compliance
• 4• Issuance of Certificate
• 5• Continuing Airworthiness
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Des
ign
Org
anis
ation
App
rova
l
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Types Certificates
Permits to Fly may be granted for Test Flights Flight Conditions are approved by EASAPermits to Fly are granted by MS based on FCsAnnex II Aircraft under full oversight of Member States
Restricted Type Certificates may be granted for limited series and contingent operationswhen Essential Requirements cannot be met
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III. Status and Proposed Approaches
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EASA is in touch with most EU stakeholders and some US developers
EASA has been working on possible approaches
Approaches presented to stakeholders via several media (publications, review of papers, conferences, workshops, direct contacts…)
Status of EASA Activities for Suborbital and Orbital Aircraft (SOA) Operations in the EU
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Proposed Regulatory Approaches (1/2)
0. Member States Regulate:• MS to develop own regulations: no harmonisation, no
interoperability, legal framework TBD• EU to ensure compatibility with EU/Aviation laws
1. Member States with EASA involvement:• EASA cooperates with MS to ensure safety/environment and
foster harmonisation
2. Association of States (=JARSOA):• International, with EASA participation• Rules to be implemented at National Level
3. EU Policy for SOA (=UAS): • Guidance to MS, Designers, Manufacturers and Operators• No legal framework
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Proposed Approaches (2/2)
4. “Light” Process• Essential Requirements • National Implementing Rules and Technical requirements• No full harmonisation, responsibility with MS
5. Full set of Rules for SoA• Following EASA established rules and processes• With provisions for High Altitude/High Speed Transportation
Aircraft (HST)
6. Phased approach (e.g: 1+2+3+4+5)• Progressive implementation along with projects development• Full set of rules published at maturity
7. Full set of Rules for Sub-orbital, Orbital and HST• Covering full spectrum from Ground to Orbit and A-B• Long and comprehensive process (~10 years)
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The European Commission is currently reviewing options
Development will start as soon as decision is taken
Actual Work on SoA has started!
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IV. Proposed Cooperation
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EU Context
CAA-UK/UKSARoadmap <31 March 2013First Meeting with Industry 30 April 2013EASA participating in Review GroupRules to accommodate SoA <31 March 2014
CAA-SwedenInitial Contacts in 2009Update on Governmental Action to host SoA under a special regimeMonitoring
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International Context
ICAOWorking Arrangement initialled on 17 May 2013 in Cologne on Continuous Monitoring Activities between EASA and ICAO
FAAPermanent contacts at working level
Official Cooperation to be started with FAA/FAA-ASTHarmonisation on ER+Technical RequirementsScope limited to SOA (not rockets)
CAASEADS-Demonstrator 2014 in ChangiRules to accommodate SoA <2018
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Proposed Cooperative Framework (1/2)
Under the frame of ICAO/UNCOPUOSICAO Concept of Sub-orbital flights C-WP/12436 of 2005
Letter to UNCOPUOS 17 March 2010Next ICAO General Assembly Oct 2013
UNCOPUOS Legal SubcommitteeConference Room Paper A/AC.105/C.2/2010/CRP.9
In full coordination withEuropean CommissionEU-Member States
In cooperation with FAA-HQ and –AVSE.g.: Safety Management SystemsPossible future Extension of BASA to SoA
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Proposed Cooperative Framework (2/2)
On Essential RequirementsBased on EASA Basic Regulation ERs, adaptedCould be also based on 14.CFR.400 series
On Technical RequirementsBased on respective projectsFollowing a CS+AMC/GM structureTaking into account existing Standards
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V. Conclusions
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Conclusions (1/3)
EASA has studied and submitted several options to the Commission to allow SOA flights in the EU
EASA is getting prepared to receive applications for the certification of SOA projects
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Conclusions (2/3)
An EU-framework exist
Actual Work on SOA has started
Option to be decided soon
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Conclusions (3/3)
Whatever the option, EASA wants and needs to cooperate with NAAs, NSAs and Stakeholders
on the subject of Sub-orbital and Orbital Aircraft Flights
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Questions?
Thank you for your attention!
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Thank you for your attention
Do not hesitate to contact us
for any further information
EASA Focal Point:
jean-bruno.marciacq@easa.europa.eu
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Backup Slides
Thank you for your attention!
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EASA competence: for aircraft
Aircraft definition in ICAO Ann. 6 & 8:“Any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth’s surface”
Machines able to fly in the atmosphere sustained by wings are aircraft Aircraft includes: Aeroplanes (fixed wings), Rotorcraft (rotating wings
and VTOL) and Balloons (incl. Stratospheric Balloons) Rockets and Orbital Operations are in the competence of MS
(EU)216/2008 Article 1: Aircraft under EASA scope need to be certified for their design,
production, maintenance and operations, as well as the personnel and organisations in charge of those.
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those listed in Annex II of the Basic Regulation:Historic aircraftResearch, experimental or scientific aircraftAmateur builtFormer military aircraft« light » aircraft
e.g. MTOM < 450 Kg for a two-seater aeroplane« light » gliders (MEM < 100 Kg)« replicas »
and those used for State missions
e.g. Police, Rescue, Military, etc…
All aircraft are in the EASA competence except…
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EASA’s Role in Certification
(EU)216/2008 (EASA Basic Regulation) Article 3:e) ‘Certification’ shall mean any form of recognition that a product,
part or appliance organisation or person complies with the applicable requirements…
f) ‘certificate’ shall mean any approval, license or other document issued as the result of certification
By EU delegation, EASA is in charge of certifying all aircraft designed and produced in the EU and/or operated in the EU by EU operators (Article 9)
Certification shall be performed in accordance with applicable requirements and/or standards, following established processes and based on return of experience and safety recommendations
Third Countries certifications may be accepted only in the frame of EU or Bilateral Aviation Safety Agreements (BASA)(Art.12)
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EASA’s Certification Process
EASA is due to accept and process in due time all properly established applications for certification of aircraft, parts and appliances
Large/Complex Aircraft: <5 yearsGeneral Aviation/Non Complex Aircraft: <3 years
Certification is financed by Fees and Charges (EC)593/2008 Indexed yearly on June 1stbased on MTOM for Airworthiness
E.g.: Fixed Wing Aircraft >5,7 tons and <22 tons:Flat Fee: 1.060.000 €Yearly fee: 17.000 € for EU designs, 5.700 € for non-EU designs
E.g.: Propulsion > 25 kNFlat Fee: 365.000 €Yearly fee: 40.000 € for EU design, 13.000 € for non EU designs
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EASA’s Technical Role
When no technical requirements exist (unusual or novel design) the Certification Basis is existing requirements, complemented with Special Conditions
Cooperative research frameworks may be proposed prior to application to investigate possible regulatory framework
Special Conditions are jointly defined by EASA, the applicant (and Third Country Authorities for validations)
The confidential exchange of proprietary information is covered by Certification Review Items (CRI) (=FAA’s Issue Papers)
Special Conditions are published, to ensure harmonisation and equal treatment
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The Parliament and the Council define the Scope of Powers transferred from the Member States to the EU
They adopt the Essential Requirements (ERs) specifying the safety objectives to be met
1st Layer: The Basic Regulation
Basic Regulation:Regulation (EC) 1592/2002 of 15 July 2002
Superseded by:
Regulation (EC) 216/2008 of 20 February 2008
Amended by:
Regulation (EC) 1108/2009 of 21 Oct 2009
• Annex I : ERs for Airworthiness
• Annex II : Excluded Aircraft• Annex III: ERs for pilot
licensing• Annex IV: ERs for air
operations• Annex V: Criteria for qualified
entities• Annex Va: ERs for Aerodromes• Annex Vb: ERs for ATM/ANS
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The Commission adopts measures for implementing the Essential Requirements
2nd Layer: Implementing Rules,e.g. for airworthiness
Regulation (EC) 2042/2003
on Continuing Airworthiness
Annex I (Part-M):• Continuing
Airworthiness RequirementsAnnex II (Part-145):
Maintenance Organisation Approvals
Annex III (Part-66):• AML
Annex IV (Part-147):• Training Organisation
Requirements
• Annex (Part 21)Section A: Technical Requirements
Section B: Procedures for Competent Authorities
Section A: Application Requirements
Section B: Administrative Procedures
Appendices: EASA forms
Appendices: EASA forms
Regulation (EC) 748/2012 on Airworthiness and Environmental Certification
Legally binding Directly applicable by EU
persons Processes (no technical details) Responsibilities and privileges26 May 2013
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3rd Layer: the Agency’s soft law, e.g. for airworthiness
The Agency adopts non binding specifications for implementing the essential requirementsTo allow for tailored flexibility, where necessary.
• Guidance Material
• Part 21
• AMC & Guidance Material
• Parts M, 145, 66, 147
• Certification• Specifications
• 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
Special Conditions or alternative AMCs possible
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New domains
More Implementing Rules coming for:
• ATCO licensing published 08/2011
• Safety of ATM/ANS(including Satellite SP) 12/2011• Flight Crew Licensing• Air operations published
04/2012• Authorisation of ThirdCountry Operators (TCO)
• Safety of aerodromes by 12/2013• FCL and OPS of RPAS by 12/2016• SOA…
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EASA Rulemaking Process
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European Commission
Drafting,Comitology with scrutiny
ECRegulation4-year
Rulemaking
ProgrammeDecision
Opinion
EASA
Commission RegulationImplementing Rules
Commission RegulationImplementing Rules
EASACommittee
EASACommittee
RAG/TAG & SSCC advise the Agency during programming and rule developmentRAG/TAG & SSCC advise the Agency during programming and rule development
Member States
• 53
Phase 1Programming
Phase 2Rule
development
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Rule development phases
Analyse issueand
developDraft RIA
DraftRule
PublicConsultation
Analysis of comments
and finalreview
Taskinitiation
RIA NPA(RIA)
Decisionwith CRD
Opinionwith CRD
4-year Rule
making Programme
2-6 months 3-18 months 1-3 months 2-6 months
ToRGC
ConsultRAG/TAGSSCC
If deemed necessary due to the nature of the comments received, focussed consultation (e.g. meeting with stakeholders, workshops, specific
reactions through CRT) during review of comments
Optional Technical consultation (e.g. workshop, joined meeting TAG and sub-
SSCC) before NPA publication
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Proposed Regulatory Approach(SOA Airworthiness)
Possibility of Limited Certification :EASA delivers Restricted Type Certificate (RTC)EU Member States to deliver Restricted Certificate of Airworthiness (RCofA)
Organisation Approvals / Certificates: Design (DOA)Production (POA)Continuous Airworthiness Management (CAMOA) Maintenance (MOA)
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Proposed Regulatory Approach (Special Conditions for SoA Airworthiness)
CS-23 and/or CS-25 (TBD) and CS-E + Equivalent Level of Safety (ELoS)
Classification depending on weight/fuel trade-offSafety not to be jeopardized by larger amount of fuel needed to accommodate required design features
CRIs and associated ELoS to be developed for:Rocket Propulsion and Control Systems (RPCS)FuelECSContainment of all fluids in weightlessnessIVA safety requirements…TBD depending on proposed designs and operations
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Proposed Regulatory Approach (SoA operations)
Organisation Approvals: Air Operator Certificate (AOC) for Commercial OPS
Operations:EU-OPS/ EASA-OPS with flexibility (Art. 14 BR) for EU operatorsEASA Authorization to non-EU operators flying to/from EUNational rules for operations outside EU (no EASA role)
Aerodromes and ATM/ANS:Special Conditions to be developed for “Spaceports” Procedures to be developed for Air/Space Traffic Management
Flight Crew Licensing and PAX Safety:Part-FCL with exemptions could work (Flight Test rating?)PAX Safety rules to be considered
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Thank you for your attentionAny questions?