Commission Implementing Regulation (EU) 2021/2070 of 25 November 2021 amending Regulation (EC) No 474/2006 as regards the list of air carriers banned from operating or subject to operational restrictions within the Union (Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EC) No 2111/2005 of the European Parliament and of the Council of 14 December 2005 on the establishment of a Community list of air carriers subject to an operating ban within the Community and on informing air transport passengers of the identity of the operating carrier, and repealing Article 9 of Directive 2004/36/EC (1), and in particular Article 4(2) thereof,

Whereas:

(1) Commission Regulation (EC) No 474/2006 (2) establishes the list of air carriers, which are subject to an operating ban within the Union.

(2) Certain Member States and the European Union Aviation Safety Agency (‘the Agency’) communicated to the Commission, pursuant to Article 4(3) of Regulation (EC) No 2111/2005, information that is relevant for updating that list. Third countries and international organisations also provided relevant information. On the basis of the information provided, the list should be updated.

(3) The Commission informed all air carriers concerned, either directly or through the authorities responsible for their regulatory oversight, about the essential facts and considerations which would form the basis of a decision to impose an operating ban on them within the Union or to modify the conditions of an operating ban imposed on an air carrier, which is included in the list in Annex A or B to Regulation (EC) No 474/2006.

(4) The Commission gave the air carriers concerned the opportunity to consult all relevant documentation, to submit written comments and to make an oral presentation to the Commission and to the Committee established by Article 15 of Regulation (EC) No 2111/2005 (the ‘EU Air Safety Committee’).

(5) The Commission has informed the EU Air Safety Committee about the ongoing joint consultations, within the framework of Regulation (EC) No 2111/2005 and Commission Regulation (EC) No 473/2006 (3), with the competent authorities and air carriers of Armenia, Comoros, Iraq, Kazakhstan, Libya, Mexico, Moldova, Pakistan, Russia and South Sudan. The Commission also informed the EU Air Safety Committee about the aviation safety situation in Congo (Brazzaville), Equatorial Guinea, Madagascar, Sudan and Suriname.

(6) The Agency informed the Commission and the EU Air Safety Committee about the technical assessments conducted for the initial evaluation and the continuous monitoring of third country operator (‘TCO’) authorisations, issued pursuant to Commission Regulation (EU) No 452/2014 (4).

(7) The Agency also informed the Commission and the EU Air Safety Committee about the results of the analysis of ramp inspections carried out under the Safety Assessment of Foreign Aircraft programme (‘SAFA’), in accordance with Commission Regulation (EU) No 965/2012 (5).

(8) In addition, the Agency informed the Commission and the EU Air Safety Committee about the technical assistance projects carried out in third countries affected by an operating ban under Regulation (EC) No 474/2006. Furthermore, the Agency and France provided information on the plans and requests for further technical assistance and cooperation to improve the administrative and technical capability of civil aviation authorities in third countries with a view to helping them resolve non-compliance with applicable international civil aviation safety standards. Member States were invited to respond to such requests on a bilateral basis in coordination with the Commission and the Agency. In that regard, the Commission reiterated the usefulness of providing information to the international aviation community, particularly through the International Civil Aviation Organisation’s (‘ICAO’) Aviation Safety Implementation Assistance Partnership tool, on technical assistance to third countries provided by the Union and Member States to improve aviation safety around the world.

(9) Eurocontrol provided the Commission and the EU Air Safety Committee with an update on the status of the SAFA and TCO alarming functions, including statistics about alert messages for banned air carriers.

Union air carriers

(10) Following the Agency’s analysis of information resulting from ramp inspections carried out on the aircraft of Union air carriers, as well as standardisation inspections carried out by the Agency, complemented also with information stemming from specific inspections and audits carried out by national aviation authorities, several Member States and the Agency, acting as competent authority, have taken certain corrective and enforcement measures and informed the Commission and the EU Air Safety Committee about those measures.

(11) Member States and the Agency, acting as competent authority, reiterated their readiness to act, as necessary, in the event that pertinent safety information indicates imminent safety risks resulting from non-compliance by Union air carriers with the relevant safety standards.

Air carriers from Armenia

(12) In June 2020, air carriers from Armenia were included in Annex A to Regulation (EC) No 474/2006, by Commission Implementing Regulation (EU) 2020/736 (6).

(13) On 3 November 2021, the Commission, the Agency, Member States and the Civil Aviation Committee of Armenia (‘CAC’) held a technical meeting, during which CAC provided an update regarding the actions taken since the technical meeting held on 15 April 2021 to address the identified safety deficiencies. CAC provided an overview of the latest developments regarding the civil aviation legislative framework in Armenia, information about the further development of CAC’s department/section functions and responsibilities, and the Human Resources Manual.

(14) CAC also informed the Commission about the newly developed Safety Management Manual and about the Safety Management System (SMS) trainings followed by CAC staff.

(15) Furthermore, CAC informed the Commission that the Air Operator Certificates (‘AOC’) of the air carriers Atlantis Armenian Airlines and Fly Armenia Airways have been revoked, and that a new air carrier Flyone Armenia (AOC No 074) has been certified. Since CAC has not demonstrated a sufficient ability to implement and enforce the relevant safety standards, the issuance of an AOC to this new air carrier does not guarantee sufficient compliance with international safety standards.

(16) The Commission takes note of the progress made by CAC in addressing the aviation safety concerns that in June 2020 led to the inclusion of air carriers certified in Armenia in Annex A to Regulation (EC) No 474/2006. From the information and documentation provided by CAC, there is however not enough evidence that the safety deficiencies identified during the 2020 Union on-site assessment visit have been effectively addressed to ensure compliance with international safety standards. The Commission will continue to engage with CAC and monitor the further measures adopted and activities undertaken to address those safety deficiencies, including CAC’s safety oversight capabilities. In this context, it was noted that the Agency will manage a technical assistance project to support CAC in their efforts to enhance the aviation safety oversight in Armenia.

(17) In accordance with the common criteria set out in the Annex to Regulation (EC) No 2111/2005, the Commission considers that with respect to air carriers from Armenia, the list of air carriers which are subject to an operating ban within the Union should be amended to include Flyone Armenia in Annex A to Regulation (EC) No 474/2006, and to remove Atlantis Armenian Airlines and Fly Armenia Airways from that Annex.

(18) Member States should continue verifying the effective compliance of air carriers certified in Armenia with the relevant international safety standards through prioritisation of ramp inspections of those air carriers, pursuant to Regulation (EU) No 965/2012.

Air carriers from Comoros

(19) The air carrier Air Service Comores was included in Annex A to Regulation (EC) No 474/2006 on 22 March 2006.

(20) On 12 October 2006, the air carrier Air Service Comores was moved from Annex A to Annex B to Regulation (EC) No 474/2006, by Commission Regulation (EC) No 1543/2006 (7).

(21) As part of its continuous monitoring activities, the Commission requested the Agence Nationale de l’Aviation Civile et de la Météorologie de l’Union des Comores (‘ANACM’) to provide a list of all AOC holders certified in the Comoros.

(22) On 15 July 2021, ANACM confirmed in writing the cessation of activities by the air carrier Air Service Comores.

(23) In accordance with the common criteria set out in the Annex to Regulation (EC) No 2111/2005, the Commission considers that the list of air carriers, which are subject to an operating ban within the Union, should be amended to remove the air carrier Air Service Comores from Annex B to Regulation (EC) No 474/2006.

(24) Member States should continue verifying the effective compliance of air carriers certified in Comoros with the relevant international safety standards through prioritisation of ramp inspections of those air carriers, pursuant to Regulation (EU) No 965/2012.

(25) Where any relevant safety information reveals imminent safety risks resulting from non-compliance with international safety standards, further action by the Commission can become necessary, in accordance with Regulation (EC) No 2111/2005.

Air carriers from Iraq

(26) In December 2015, the air carrier Iraqi Airways was included in Annex A to Regulation (EC) No 474/2006, by Commission Implementing Regulation (EU) 2015/2322 (8).

(27) On 17 June 2021, at Iraq’s request and as part of the continuous monitoring activities of the Commission, the Commission, the Agency, Member States, and the Iraqi Civil Aviation Authority (‘ICAA’) held a technical meeting. During that meeting, ICAA provided an update regarding the actions taken since Iraqi Airways was included in Annex A to Regulation (EC) No 474/2006, as well as information regarding the status of the completion of the ICAO Universal Safety Oversight Audit Programme Continuous Monitoring Approach (‘USOAP CMA’) Desk Audit.

(28) Furthermore, ICAA indicated to the Commission that all the recommendations resulting from the technical assistance project to ICAA, provided by the Agency in 2017, had been addressed and implemented. As a complement to information provided ahead of the technical meeting, ICAA committed to providing further evidence to demonstrate the progress mentioned. During the second part of that meeting, at the specific request of Iraq, the Commission and the Agency provided clarifications with respect to the TCO authorisation process, in view of a future application for TCO authorisations by Iraqi Airways or other air carriers certified in Iraq.

(29) The Commission, during the meeting held on 17 June 2021, specified that it could consider removing Iraqi Airways from Annex A to Regulation (EC) No 474/2006 when information, including through a Union on-site assessment visit, confirms Iraq’s compliance with ICAO certification and oversight standards, and Iraqi Airways demonstrates to the Agency and the Commission that the reasons leading to the negative TCO decision in 2015 have been resolved.

(30) In accordance with the common criteria set out in the Annex to Regulation (EC) No 2111/2005, the Commission considers that at this time there are no grounds for amending the list of air carriers which are subject to an operating ban within the Union with respect to air carriers from Iraq.

(31) Member States should continue verifying the effective compliance of air carriers certified in Iraq with the relevant international safety standards through prioritisation of ramp inspections of those air carriers, pursuant to Regulation (EU) No 965/2012.

Air carriers from Kazakhstan

(32) In December 2016, air carriers from Kazakhstan were removed from Annex A to Regulation (EC) No 474/2006, by Commission Implementing Regulation (EU) 2016/2214 (9).

(33) In February 2020, as part of the continuous monitoring of the safety oversight system in Kazakhstan, formal consultations were opened with the competent authorities of Kazakhstan. In that context, at the occasion of its meeting in May 2021, the EU Air Safety Committee was provided with an overview of the safety oversight situation in Kazakhstan.

(34) As a follow up to the May 2021 EU Air Safety Committee deliberations, experts from the Commission, the Agency and Member States conducted a Union on-site assessment visit in Kazakhstan between 11 and 15 October 2021 at the Civil Aviation Committee of Kazakhstan (‘CAC KZ’) and at the Aviation Administration of Kazakhstan Joint Stock Company (‘AAK’), as well as a sample of three air carriers certified in Kazakhstan, namely Air Astana, Jupiter Jet and Qazaq Air.

(35) The assessment visit focused its activities on AAK in view of the latter’s predominant role and responsibility for the oversight activities of the air carriers certified in Kazakhstan. Representatives from CAC KZ did, however, participate in all the assessment activities as a number of policy activities, such as the adoption of AAK procedures, are in their remit.

(36) From the assessment visit, it is clear that while AAK shows strengths, there are still weaknesses, such as a non-compliance with AAK’s obligations during the certification processes of the air carriers. Furthermore, the surveillance process should be adapted and where necessary strengthened to ensure that all air carriers are subject to an oversight commensurate with their size and complexity, and to ensure continued compliance with applicable international safety standards.

(37) Moreover, greater attention should be given by CAC KZ to ensuring that the legislative framework is kept updated in terms of integrating amendments of ICAO Annexes into the Kazakh regulations. CAC KZ and AAK need to ensure the implementation of sound internal mechanisms and procedures translating the existing legal and technical framework into routine activities and procedures of the organisation. In this context, CAC KZ and AAK should improve their overall quality management functions, as well as the State Safety Programme of Kazakhstan, to ensure that potential safety risks are identified and duly mitigated in a systemic and timely manner.

(38) With regard to the licensing activities performed by AAK, to ensure the implementation of licensing responsibilities of Kazakhstan as an ICAO Contracting State, the assessment team has identified areas needing improvement, in particular, inspectors’ procedures, the flight crew’s theoretical examinations system, and the procedures to enable a standardised approach to flight examiners’ qualification and the supervision thereof.

(39) The airworthiness staff has a good knowledge of the procedures in force within AAK. However, further improvements are necessary, notably in the field of recurrent and specialised training to guarantee the required qualifications of the inspectors. Sampling of activities carried out by airworthiness staff has shown deviations from the requirements, particularly in the areas of certification and surveillance of operators and maintenance organisations.

(40) Air Astana, Kazakhstan’s predominant passenger and cargo air carrier, was the subject of a dedicated visit by the assessment team on 13 October 2021. The air carrier has a well-functioning and solid SMS in place that generates useful data to the air carrier. Overall, based on the sample review, it was possible to confirm that a robust and functional Compliance Monitoring System (CMS) was in place. The upper management of the company have a good understanding of those systems, and use them to identify risks and take appropriate measures to mitigate the highest risks to acceptable levels.

(41) The operations of the air carrier are supported by qualified technicians and line stations with maintenance capability. No issues or shortcomings on the airworthiness domain were identified during the visit.

(42) The air carrier showed a robust and structured system to control the different aspects of the training for flight crew, cabin crew and flight operation officers/flight dispatchers, including instructors and flight examiners. The sampled files have demonstrated traceability of training certificates, and forms properly filled.

(43) Jupiter Jet is a Kazakh cargo air carrier based in Almaty, and was the subject of a dedicated visit by the assessment team on 13 October 2021. It was founded as Joint-Stock Company Air Company ATMA in 1996 and then renamed in 2016. It operates ad hoc charter services with one Antonov AN-12.

(44) While the air carrier has developed and implemented a SMS, further improvements are needed in order to achieve the system’s required maturity level.

(45) The air carrier showed a robust and structured system to control the different aspects of the continuing airworthiness.

(46) During the visit it was determined that the Electronic Flight Bag (EFB) related procedures, as part of the Operations Manual, were very generic. Furthermore, it was also identified in the Operations Manual that some of the procedures were not up to date or fully developed, e.g. the chapter related to Traffic Collision Avoidance System (‘TCAS’) did not include all the standard TCAS 7.1 call outs and associated procedures. The Operations Manual needs to be reviewed and checked for compliance with applicable standards.

(47) Qazaq Air, established in 2015, is an inter-regional passenger and cargo air carrier, based in Nur-Sultan, and operates a fleet of five De Havilland Dash-8-Q400NG turboprop aircraft. A dedicated visit to the air carrier by the assessment team took place on 14 October 2021.

(48) Qazaq Air has a SMS in place that generates useful data to the air carrier. However, during the assessment, it was identified that Qazaq Air did not systematically carry out all activities according to the requirements in the Safety Management Manual, e.g. no safety audits performed, and an emergency response exercise was still outstanding.

(49) The air carrier has developed and implemented a Compliance Monitoring function, but further improvements are needed to ensure its full potential, notably as regards the closure of findings from internal audits.

(50) During the assessment, some discrepancies have been observed with the air carrier’s Operations Manual. Of specific concern is the fact that the air carrier has not established low visibility operation qualifications criteria for flight crews, even though the air carrier has been approved for low visibility operations.

(51) Qazaq Air uses a computer-based crew scheduling and monitoring system for its flight crew. During the assessment of the flight dispatchers training record, it was found that a number of recurrent trainings were overdue.

(52) Based on its deliberations, the EU Air Safety Committee came to the conclusion that particular attention should be given to the monitoring, including through a hearing of CAC KZ as well as of AAK at the next meeting of the EU Air Safety Committee, of their follow-up activities, to address the observations made during the assessment visit, and notably as regards the elaboration and effective implementation of an appropriate corrective actions plan.