Commission Implementing Regulation (EU) 2022/862 of 1 June 2022 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 set out 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, Iraq, Kazakhstan, 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, 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 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 authorities, 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 authorities, 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 relevant safety standards.

Air carriers from Armenia

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

(13) On 29 April 2022, 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 measures taken since the technical meeting held on 3 November 2021 to address the identified safety deficiencies. The main measures are the amendment of its civil aviation legislation and supporting regulations, improvements relating to the structure and staff of the CAC, and the update of the CAC system for managing the qualification and training of its inspectors, including additional initial, recurrent and on-the-job training. Furthermore, the CAC explained that it developed additional oversight procedures and checklists in various domains, and drafted the national aviation safety plan and the safety occurrence reporting regulation, both of which are to be adopted in 2022. All of this material will be carefully scrutinised by the Commission and the Agency.

(14) The CAC provided an update of measures taken in connection with its corrective action plan (‘CAP’) with regard to the observations raised during the 2020 Union on-site assessment visit. These measures included the update of human resources planning and training processes, of several procedures and checklists to improve its safety oversight activities, the implementation of an electronic database to support its oversight activities, and the development of its safety occurrence reporting system.

(15) Furthermore, as part of the Union’s efforts to assist CAC in addressing its aviation safety improvement needs, the Agency launched, in March 2022, a dedicated technical project aimed at strengthening the CAC safety oversight in the Air Operations and Airworthiness domains.

(16) On the basis of all available information, it is considered that the CAC has made some noteworthy improvements to its safety oversight capacity. It is also recognised that the CAC appears committed to continuing its efforts to further develop its oversight capabilities and the resolution of identified safety concerns. Notwithstanding these positive developments, there is currently not enough substantiated evidence given that CAC has effectively addressed all the deficiencies that were identified during the on-site assessment visit in February 2020 that led to the decision to impose an operating ban pursuant to Implementing Regulation (EU) 2020/736. Information provided about the potential improvements requires further verification through additional technical meetings, and possibly through confirmation on-site.

(17) 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 Armenia.

(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 Iraq

(19) 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 (7).

(20) In February 2022 the Iraqi Civil Aviation Authority (‘ICAA’) and Iraqi Airways submitted to the Commission information on the actions and measures taken to improve their safety oversight and management systems and capacities. Based on information received, the Commission notes that some progress has been made to address identified safety concerns. However certain deficiencies were identified, including the quality of the check-lists used by ICAA inspectors for both certification and oversight processes, as well as the ICAA training plan and its implementation. Assessment of the ICAA oversight results showed several shortcomings, notably in the way oversight findings are drafted, and their follow up assured. In this regard, it was also noted that appropriate enforcement measures were not taken by ICAA inspectors when needed.

(21) The assessment of the information provided by Iraqi Airways demonstrated that the air carrier has made significant progress in different domains. It was noted that the air carrier had hired the services of an external consultant for the purpose of auditing the air carrier and developing a CAP, which is currently being implemented.

(22) A Flight Data Monitoring Programme was initiated to further improve the amount of data to be analysed and used for developing safety improvement measures. Moreover, an internal reporting system was established, safety meetings on different strategic levels were launched, and some of the organisation’s manuals were reviewed.

(23) Notwithstanding the aforementioned progress, a number of challenges remain, including that several software applications in maintenance, flight operations and document management still need to be installed. The air carrier also needs to improve its functions and procedures related to addressing oversight findings raised by ICAA. Moreover, whereas Iraqi Airways has developed a Quality Management System (‘QMS’), it seems that it is not capable to perform an appropriate follow-up of all findings raised under this system.

(24) On 14 December 2021 and on 4 May 2022, at Iraq’s request and as part of the Commission’s continuous monitoring activities, the Commission, the Agency, Member States, ICAA, and Iraqi Airways held two technical meetings. At both occasions, ICAA presented the progress it made in addressing the safety concerns regarding its capacity to ensure effective safety oversight in the country, and notably as regards oversight of Iraqi Airways. Iraqi Airways presented the progress made in order to address previously identified safety deficiencies that ultimately led to a negative TCO decision adopted by the Agency, as well as other associated safety improvements.

(25) ICAA and Iraqi Airways have shown a clear vision and ambition to improve their regulatory compliance and safety performance. However, additional improvements are still needed. The Commission will continue to engage with ICAA and Iraqi Airways to monitor and contribute to their efforts to enhance their safety oversight and management capabilities. In this context, it was noted that the Agency will launch a technical assistance project in the course of 2022 to support ICAA in its efforts to improve aviation safety oversight in Iraq.

(26) 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.

(27) 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.

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

Air carriers from Kazakhstan

(29) In December 2016, air carriers certified in Kazakhstan were removed from Annex A to Regulation (EC) No 474/2006, by Commission Implementing Regulation (EU) 2016/2214 (8), with the exception of Air Astana, which had been removed from Annex B in 2015 by Implementing Regulation (EU) 2015/2322.

(30) In October 2021, as part of the Commission’s continuous monitoring of the safety oversight system in Kazakhstan, experts from the Commission, the Agency, and Member States (the ‘assessment team’) conducted a Union on-site assessment visit in Kazakhstan at the offices of the Civil Aviation Committee of Kazakhstan (‘CAC KZ’), and the Aviation Administration of Kazakhstan Joint Stock Company (‘AAK’), as well as at the offices of three air carriers certified in Kazakhstan, namely Air Astana, Jupiter Jet, and Qazaq Air.

(31) On 2 February 2022, AAK submitted to the Commission a CAP to address the shortcomings observed and reported by the assessment team. The Commission, together with the Agency, assessed the CAP, and provided CAC KZ and AAK with comments and adjustment suggestions.

(32) On 27 and 28 April 2022, the Commission, the Agency, Member States and representatives of the CAC KZ and AAK held a technical meeting. The purpose of that meeting was to review the CAP development and implementation by CAC KZ and AAK, as well as the associated actions undertaken by them to ensure effective compliance of their safety oversight system with the relevant international safety standards.

(33) Based on the submitted CAP and on the discussions and evidence provided during the technical meeting, it was noted that progress has been made in terms of addressing the observations made during the on-site assessment visit. It is apparent that all of the observations have been addressed to some degree, and that some can be considered closed.

(34) The meeting showed that the CAC KZ and AAK still need to provide the Commission with further clarifications and evidence regarding certain actions and measures taken. The Commission also asked CAC KZ and AAK to review the CAP by further developing the root cause analysis of the safety deficiencies identified during the Union on-site assessment visit, with the aim to discuss it at the next technical meeting.

(35) As a follow up to the EU Air Safety Committee’s deliberations of November 2021, and confirmed during the April 2022 technical meeting, the Commission invited CAC KZ, AAK, and the air carrier Air Astana to a hearing before the EU Air Safety Committee on 17 May 2022.

(36) At the hearing, CAC KZ and AAK provided the Commission and the EU Air Safety Committee with an overview of the system put in place to ensure safety oversight of the air carriers certified in Kazakhstan. They explained the Kazakh national safety development plan, which includes measures to improve the effectiveness of Kazakh air transport, including the effective implementation of the relevant international safety standards. Furthermore, AAK reported on the latest developments regarding its organisational structure, the size of the aviation industry in Kazakhstan, as well as the results of the ICAO Coordinated Validation Mission carried out in August 2021.

(37) Underlining their commitment for continued improvement, CAC KZ and AAK provided the Commission and the EU Air Safety Committee with a comprehensive and detailed overview of the implementation of the CAP developed on the basis of the results of the Union on-site assessment visit of October 2021. This included the strategic objectives defined for the future, such as amendments to the Kazakh legal framework, AAK’s manuals and procedures, the continuation of the improvements of its QMS, and the further effective implementation of the relevant international safety standards.

(38) During the hearing, CAC KZ and AAK committed to keeping the Commission informed about the future actions to be taken with respect to the remaining observations made during the 2021 Union on-site assessment visit. Furthermore, they committed to a continued safety dialogue, including through the provision of relevant safety information and through additional meetings, at least twice a year, or when deemed necessary by the Commission.

(39) Evidence indicates that the measures undertaken by CAC KZ and AAK already contribute to strengthening their capabilities to oversee the aviation activities in Kazakhstan. However, further improvements are needed as regards their ability to oversee that operations by air carriers certified in Kazakhstan are conducted in accordance with the relevant international safety standards, including by ensuring that appropriate resources for such safety oversight activities are assured.

(40) On the basis of the information presented, it appears that since October 2021 CAC KZ and AAK have made noteworthy progress in the implementation of the relevant international safety standards. The Commission and the Agency noted their intent to further support CAC KZ and AAK with their efforts to further strengthen the aviation safety system in Kazakhstan.

(41) During the hearing, the air carrier Air Astana gave an overview of its current fleet, and of the available resources and facilities. It described its robust and well-developed Safety Management System (‘SMS’) and QMS. The air carrier noted that it uses a set of software tools in order to integrate the safety, quality, and risk management data, including the fatigue risk management system.

(42) When queried by the EU Air Safety Committee, the air carrier also debriefed on the oversight activities that AAK has performed on Air Astana in 2021-2022, and confirmed improvements in its interaction with the CAC KZ and AAK.

(43) Based on its deliberations, the EU Air Safety Committee came to the conclusion that particular attention should be given to the continuous monitoring of the safety situation and developments in Kazakhstan, including through regular progress reporting from CAC KZ and AAK, and the possibility of inviting them for another hearing at a future meeting of the EU Air Safety Committee.

(44) 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 Kazakhstan.

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

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