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P A G E 2 Annual General Report 2013

Foreword from the Chair

of the Management Board

The European Aviation Safety Agency is at the heart of the system for regulating aviation safety in Europe. To ful ‑ fil its mandate the Agency has an extensive range of functions and responsibilities which are of significance for everyone affected by air transport in Europe, whether as passengers, providers or overflown citizens. This Annu ‑ al Report provides a comprehensive overview of the Agency’s work in 2013.

EASA now covers all aspects of aviation safety – airworthiness, operations, personnel licensing, aerodromes and air traffic services. In addition to drawing up common rules for more than thirty countries, the Agency issues a range of certifications and approvals on its own account, and – where National Aviation Authorities are respon ‑ sible for implementation – inspects them to ensure that standards are consistently high across Europe.

In order to base its work on sound evidence, EASA collects and analyses a wide range of data of different kinds, to identify where the major safety risks lie, both as the industry currently operates and as it is likely to develop.

The annual European Aviation Safety Plan produced by EASA describes these main areas of risk and how the Agency proposes to address them. A process of monitoring the effectiveness of corrective measures enables the Agency to adapt its priorities as time goes on and circumstances change.

In September 2013 Patrick Ky became Executive Director of EASA. Patrick has stressed that this safety strate ‑ gy process, underpinned by comprehensive data collection, is central to the Agency’s operations. It will enable EASA to become increasingly pro‑active in identifying risk rather than merely reactive to accidents or incidents, and to regulate operators on the basis of safety performance. Patrick has also re‑affirmed the key importance of EASA and the National Authorities working in close partnership, assisting each other to discharge their respec ‑ tive responsibilities within the system, to provide safe air transport for users, operators and citizens. In focusing on these two principles ‑ data‑driven, performance‑based regulation, and effective partnership ‑ Patrick has the wholehearted support of the Management Board on which all EASA States are represented.

I will end on a personal note. Having been closely involved with the creation and development of EASA since the beginning, I will leave the Board in September 2014 when my term as Chair ends after six years. I have been privi ‑ leged to see the Agency grow from nothing early in the new Millennium to the authoritative and influential body it is today. The commitment and expertise of the Agency staff in Cologne has been outstanding, and the collab ‑ orative effort between the Agency, the Commission, the Member States and EU industry that has forged such an effective organisation in such a short period of time is an impressive example of European co‑operation. I look forward to following the Agency’s continuing progress from afar.

Michael Smethers Chair of the Management Board P A G E 3 Annual General Report 2013

Foreword from the Executive Director

During the period covered in this report the European Aviation Safety Agency delivered an impressive amount of work. Having taken over as Executive Director in September 2013, I was pleased to see the Agency continue to reinforce its position as Europe’s central pillar for aviation safety.

In 2013 the Agency saw stabilisation and improvement in its field of responsibilities. Building on existing exper ‑ tise and within a resource constrained environment, we managed to deliver on the high expectations reflected in the Annual Work Programme 2013.

We continued to work towards establishing a performance based approach for safety. In this context Safety Man ‑ agement System requirements were introduced in order to enhance safety and to address key risks identified in the European Aviation Safety Plan. Also, throughout the year, we put intensive efforts towards the introduc ‑ tion of the new Standardisation Methodology which became applicable with a new Commission regulation. This new regulation is building upon experience gained in the past 7 years and streamlines the inspection process.

In 2013 we advanced towards better addressing issues related to the General Aviation community, in order to minimise regulatory requirements, where possible, and to simplify them where needed. The long‑term goal is for a regulatory environment proportional to the safety expectations of the diverse General Aviation community.

In October 2013, the Agency’s Opinions on Flight Time Limitations and Third Country Operators passed the scru ‑ tiny of both the European Parliament and the Council. The Opinions reflected the broad acceptance from the European aviation community and the uncompromising priority for safety.

During the year we worked on numerous other tasks, including certification work on the new Airbus A350 and Airbus A320neo; expanding bilateral agreements with regions outside the EU and further promoting the EU SAFA system, now recognised as an important tool contributing to global aviation safety.

We are focused on delivering Europe’s aspiration for a safe and efficient aviation system. The expectations are higher than ever, since the Agency has won the trust from all stakeholders as a partner of technical excellence with impartiality and integrity. EASA’s activities are of strategic importance to Europe, as the impact of its work enables economic growth and allows the aerospace industry to increase its development within Europe and the rest of the world.

The year 2013 closed with the Agency completing the milestone of its first 10 ‑ years’ anniversary, entering a peri ‑ od where the use of resources and their availability will be critical towards effectively discharging its duties and fulfilling the expectations of the European citizen and industry alike.

Patrick Ky Executive Director

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Contents

Annual General Report 2013 P A G E 5 Contents Annual General Report 2013 Contents P A G E 6 ANNEX 2: ASSESSMENT OF THE AUDIT RESULTS AND FOLLOW‑UP OF AUDIT ANNEX 13: ANALYSIS AND ASSESSMENT OF THE ANNUAL GENERAL REPORT

Systems

P A G E 7

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Introduction

Annual General Report 2013

Introduction P A G E 8

This Annual General Report reflects the Work Programme 2013 which presented the plan of activities for the year. In 2013, the Agency paid particular attention to resource optimisation in an effort to perform its planned activities within budgetary constraints. The Agency further strengthened its role as the centrepiece of the European Union’s strategy for aviation safety. In the year it focused on further strengthening its existing compe ‑ tencies and introduced enhancements in order to address systemic issues mentioned in the European Aviation Safety Plan (EASp).

The Agency continued to actively engage and interact with external stakeholders, including industry and author ‑ ities, by organising forums and workshops. The Agency’s annual safety conference was on the topic of Winter Operations, covering issues related to aircraft de‑icing.

Apart from the activities mentioned above, the Agency also continued its efforts towards continuous improvement: • As part of its Integrated Management System and the Agency successfully completed its annual ISO9001:2008 recertification audit.

• In 2013, the Flight Crew Licensing Organisation approval section became fully operational overseeing organisations outside EASA Member States.

• Existing Bilateral Aviation Safety Agreements (BASAs) were further deepened with the addition of new Annexes while work on new ones continued towards completion in the next year.

• The SAFA database was upgraded towards enhancing its robustness and increasing industry access to analytical results.

• The work of the Ethical Committee continued supporting the process of assuring that the decisions or judgement of the Agency staff members are not influenced by their private interests. An Annex on the relevant Agency actions is provided at the end of this report.

• The rental contract for the new headquarter building, Neue Direktion Köln, was signed in July 2013, following the approval of the Management Board, the Council of the EU and the European Parliament.

This report was drafted in February 2014 and focuses solely on the year 2013 (January – December). As such, its information might not be up‑to‑date at the time of publication.

The Aviation System

Civil aviation is a global industry both in terms of manufacturing aeronautical products and in terms of air trans ‑ port services. In Europe, the sector contributes EUR 500 billion to EU GNP and employs 3.1 million people. It is estimated that exports outside EU amount to almost 40 billion per year .

Europe is one of the safest regions in the world. According to EASA’s Annual Safety Review for 2013, the rate in EASA MS was 1.8 fatal accidents per million flights, the lowest in the world. The European aviation system is com ‑ prised of multiple interactions between several interlocutors, like airlines, airports, national aviation authorities etc.

1 Competitiveness of the EU Aerospace Industry with focus on: Aeronautics Industry, ENTR/06/054, European Commission, 2009.

Annual General Report 2013

P A G E 9 Introduction

As an example of the complexity in Europe, a pilot might be trained and licensed in one member state, work for an airline registered in another member state, but have base of operation in a different member state.

EASA is part of this system and working together with national aviation authorities and the European Commis ‑ sion, the Agency provides the pan‑European safety regulatory framework and oversight to ensure the high level of safety is maintained.

Continuous improvement has always been aviation’s key driver. There is a constant effort to increase efficiency through the use of new materials in aircraft, new manufacturing techniques for components and new technolo ‑ gies for managing aircraft traffic. EASA is active in such an environment, where safety is a priority and innovation a necessity.

The Agency

The European Aviation Safety Agency is the centrepiece of the European Union’s aviation safety system com ‑ prised of the Agency, the European Commission and the National Aviation Authorities (NAAs).

Your safety is our mission

Our mission is to promote the highest common standards of safety and environmental protection in civil aviation.

A common strategy

Air transport is one of the safest forms of travel. As air traffic continues to grow, a common endeavour is need ‑ ed at the European level to keep air transport safe and sustainable. The Agency develops common safety and environmental rules. It monitors the implementation of standards through inspections in the Member States and provides the necessary technical expertise and training to the system. The Agency works hand in hand with NAAs, which have their own role to play in the EU system.

Agency tasks

The main tasks of the Agency currently include: • Coordination of safety programmes, data collection, analysis and research to improve aviation safety.

• Regulation: drafting aviation safety legislation and providing technical advice to the European Com ‑ mission and to the Member States; • Inspections and training to ensure uniform implementation of European aviation safety legislation in all Member States; • Airworthiness and environmental type‑certification of aeronautical products, parts and appliances; • Approval of aircraft design organisations world‑wide and of production and maintenance organisa ‑ tions outside the EU ; Annual General Report 2013

Introduction P A G E 10

• Coordination of the European Community SAFA (Safety Assessment of Foreign Aircraft) programme; • Coordination with international civil aviation bodies and aviation safety authorities in countries out ‑ side of the EU.

No change in the Agency’s tasks has taken place in 2013 in comparison to 2012.

Organisational Structure

´ Figure 1: EASA Organisation Chart (December 2013) Executive Director P. Ky Private Office of the Executive Director Strategic Safety Safety Analysis & Communications & General Affairs Research External Relations Professional & Internal Audit and Organisational Quality Development International Legal Cooperation Rulemaking Certification Finance & Business Approvals & Standardisation Director Director Services Director Director T. Woods J. Kneepkens N. Lohl L. Vanheel Applications & Environmental Outsourcing Products Standardisation Protection Services Flight Standards Experts Organisations Finance Services Certification Information Product Safety Technical Training Policy & Planning Services ATM / Airport ATM & ANS Operators Corporate Services Procurement Process Support Services Annual General Report 2013

P A G E 11 Introduction

Assessment of the Agency Integrated Management System

The EASA Integrated Management System (IMS) is based on management standards adopted by the Agen ‑ cy’s Management Board in 2013, as stipulated in Art. 44(2) of the Financial Regulation. These standards are derived from the internal control standards as developed by the European Commission and the international ISO9001:2008 standards.

The EASA IMS fully integrates the concept of ‘internal control’, which aims at ensuring that the risks are appropri ‑ ately mitigated, thereby enhancing the Agency’s ability to achieve operational, quality, compliance or financial objectives.

In 2010, the EASA IMS was certified for the first time against the ISO9001:2008 standards. The certificate was valid for 3 years (2010 ‑ 2013). Therefore, in 2013, the ISO9001 re‑certification was carried out, by GUTCert, and passed successfully. The ISO9001 certification confirms the Agency assessment of the effectiveness, suitability and adequacy of the EASA IMS.

The EASA IMS system has been set up using a four step framework that is based on best practices of a number of private and public sector organisations.

´ Figure 2: EASA Integrated Management System EASA Integrated Management System Process implementation The Agency Planning Risk Management Documentation Records PLAN DO Execute Aviation Regulations Prepare Safety and EASA Input Output Environmental EASA Processes Protection Management (eas@ris) Standards Evaluate Measure ACT CHECK Audit EASA IMS Related (Internal/External) Actions Follow-up Safety Analysis Management Review Stakeholder Feedback Continual Improvement Performance Measurement Exceptions (nonconformities) Annual General Report 2013

Introduction P A G E 12

In addition, the Internal Audit Capability of the Agency was also certified in 2010 for the first time against the Internal Professional Practices Framework (IPPF). The certificate was valid for 3 years (2010 ‑ 2013). Therefore, in 2013, the re‑certification was carried out, by IFACI (Institut Français de l’Audit et du Contrôle Internes), and passed successfully.

Mitigation of risks

The Agency also implemented an annual risk assessment process aiming at identifying the high‑level risks per macro‑process. The risks are assessed on their likelihood of occurrence and potential impact. For 2013, the fol ‑ lowing table provides the critical identified risks and their mitigation actions performed and/or initiated.

´ Table 1: Risks and main mitigation actions Risks Main mitigation actions performed/initiated in 2013 Management processes Change of Agency governance as result There is no need for mitigation actions at this moment since the legislative of Inter‑institutional Working Group process to modify the Governance of the Agency is still on‑going and its (IIWG) on Agencies. outcome is not foreseeable yet.

Failure to manage situations, in which a MB member or Board of Appeal The MB adopted a Code of Conduct for members of MB of EASA, which member has personal or professional includes an annex related to Conflict of Interest management, in December interest, that compromise independence 2012 (MB Decision 11 ‑ 2012). The implementation of the Code of Conduct in decision‑making or are perceived or was carried out in 2013 (i.e Declaration of Interests, training on Conflict of might be perceived as compromising Interest).

such independence.

Lack of or inappropriate crisis response The Crisis Response Approach was fully updated last year The respective in aviation. procedure is updated and is under approval by the management.

Inappropriate message management in An external communication strategy was defined and reviewed. It is under external communication. approval by the management.

Support processes a) Establishing the Agency’s reputation as an employer of choice: In order to address the current and future recruitment of sufficient staff with the adequate technical competences and taking into account the scarcity of resources in the aviation sector, the Agency has commissioned a study on employer branding. The results of this study were available late 2013 and will be implemented in close coordination with the Communications Department.

In addition, the Agency was represented as an employer of choice during Failure to recruit sufficient staff (both several external events technical and administrative) with b) Assessment Centres: necessary competences, experiences, skills (incl. managerial). In 2013 assessment centres have been introduced as part of the selection procedures for managerial functions in order to further improve the recruitment process and to support the recruitment of highly skilled staff as well as the Agency’s endeavour to identify managerial skills already available in the Agency to facilitate vertical career moves.

c) Retention of professional skills: A policy has been implemented in the areas of Certification and Standardisation addressing the retention of certain valid pilot licenses for posts where the retention is essential for carrying out the Agency’s tasks.

Sytems © BAE P A G E 13

Strategic Safety

Annual General Report 2013 Strategic Safety P A G E 14

1.1 Objective and scope

The worldwide rate of fatal accidents for scheduled passenger and cargo flights continued to decrease in 2012, providing a steady improvement in aviation safety. According to the EASA Annual Safety Review 2012 the rate of fatal accidents in EASA MS is comparable with and slightly lower than the one in North America.

Strategic safety brings together the Agency’s safety management activities. This ensures internal collaboration on safety topics and the sharing of lessons learned. Building on the Communication: “Setting up an Aviation Safety Management System for Europe”, the Agency works for the management of civil aviation safety risk. A key activity is the continuing development of the feedback system that gathers data, extracts intelligence and pro ‑ vides information for action.

In 2013, additional transversal activities have been undertaken: Risk Assessment, Operational Flight Data Monitoring, Performance Review Board (PRB), Crisis Management, Quality Management, Volcanic Ash and inter ‑ national technical activities on the future of air navigation.

1.2 Main achievements in 2013

1.2.1 Continuing Operational Safety The Internal Occurrence Reporting System (IORS) ensures detection and follow‑up of significant occurrences.

IORS is fully operational and stable. The system is handling around 100 reports per week. The Agency is able to process and act on the amount of information received. A start has been made considering the impact of updat ‑ ing the IORS to meet the new regulation on occurrence reporting. A pilot programme to link occurrences to the safety publications that are generated is underway.

1.2.2 Safety Analysis Work on the design and use of safety performance indicators has continued to expand as new data sources ma ‑ ture. In the Air Traffic management (ATM) field, the Agency has provided support to the Performance Review Board (PRB) activity, collecting indicators for ‘Performance Review 1’ and supporting the development of new sets of indicators. The Agency has set up a data‑warehouse system aiming at collecting exposure data and bet ‑ ter assessing the likelihood of hazards.

The Annual Safety Review 2012 was published, accompanied by two additional New Year and Mid‑Year statements.

The Agency has offered technical feedback to the European Commission in the frame of the development of the new legislation on the reporting, analysis and follow‑up of occurrences in European civil aviation which is now reaching completion. It has also supported the development of the ECCAIRS system and a wider usage by other Authorities through running workshops and developing tools, methods and techniques to improve data quality and analysis. This contributes to the global improvement of the European Central Repository (ECR) of Occurrences and also reinforces the Internal Occurrence Reporting capacity which directly supports the continuing airworthi ‑ ness function. In addition, EASA has led the development of Aviation Taxonomies at a European level through Annual General Report 2013 P A G E 15 Strategic Safety their chairmanship of the ECCAIRS Taxonomy WG. Moreover, as members of the CAST ICAO Common Taxonomy Team (CICTT) the Agency has also supported the coordination of taxonomies at a Global level.

EASA has also consolidated the central position of the Network of Analysts (NoA) in Europe and led the develop ‑ ment of a European Risk Classification Scheme. In 2013, the Agency coordinated activities on safety actions as part of State Safety Plans (SSPs) and developed European level solutions to support improvements in the quality of safety data with the ultimate aim to improve the safety analysis knowledge and capabilities across the EASA MS.

1.2.3 Safety information Safety Information dissemination is vital for the Continued Airworthiness oversight of products, parts and appli ‑ ances, which are either designed or in service in EU Member States and Associated Countries.

Safety information involves the issuance and dissemination of Airworthiness Directives (AD), Emergency Airwor ‑ thiness Directives (EAD) and Safety Information Bulletins (SIB), as well as for publication of AD, EAD and SIB issued by foreign authorities of the State of Design and adopted in Europe. The AD publication portal can be found at http://ad.easa.europa.eu/ In 2013, the number of mandatory publications issued by the Safety Information section was 350 AD (including revisions and corrections) and 32 EAD. The associated details are presented in the diagram below: ´ Figure 3: AD and EAD issues by EASA in 2013                      Large Aircraft General Aviation Rotorcraft Propulsion Parts & Appliances AD EAD In addition, 8 AD Cancellation Notices and 33 SIB (including revisions) were published. Furthermore, 234 foreign ADs (including revisions and corrections) were adopted and 23 Foreign Safety Advisory Information publications were uploaded onto the AD portal.

Annual General Report 2013 Strategic Safety P A G E 16 1.2.4 Safety Planning, Promotion and Initiatives The 4th edition of the EASp (European Aviation Safety Plan) was endorsed by the EASA Management Board at the end of 2013. It covers the period between 2014 and 2017 and encompasses three broad areas: systemic, op ‑ erational and emerging issues.

This edition includes an update to the main risk areas of the EASp portfolio by including fire, smoke and fumes as one of the categories where new opportunities to improve safety have been identified.

In addition, the EASp contains a report on the status of the 88 standing actions identified at the beginning of 2013 and proposes 18 new actions. They have been identified by the newly created Safety Risk Panel, reviewed by the European Aviation Safety Advisory Committee (EASAC) and agreed with EASA Member States and Industry.

The implementation of the EASp is extended to 45 States: 32 EASA States plus the 13 States outside the EASA sys ‑ tem that are members of ECAC. Thirty one (31) EASA States plus eight (8) non‑EASA States have nominated focal points. Eighteen (18) action reports have been received in 2013.

The European Strategic Safety Initiative (ESSI) continued to develop safety promotion material addressing iden ‑ tified safety risks and best practice material regarding Management Systems (MS/SMS). The ESSI coordinated its activities with other major safety initiatives worldwide, such as CAST and IHST in the US and ICAO RASG‑EUR in Europe. In 2013, the process for planning, publishing and distributing safety promotion publications was im ‑ proved using lessons‑learned from previous publication cycles.

1.2.5 Accident Investigation Support The Agency works with and supports the activities of European Network of Civil Aviation Safety Investigation Au ‑ thorities (ENCASIA). It advises on group activities, bringing in the expertise of regulators for the central EU Safety Recommendation Information System development and the training of Safety Investigators.

A new database matching the ECCAIRS 5 format for the exchange of information has been established, thus enhancing the capacity to collect and process bigger flows of Safety Recommendations and developing a part ‑ nership with the Federal Aviation Authority (FAA) for sharing and coordinating follow‑up on investigations.

The Agency also monitors the development of corrective actions that were launched in the aftermath of acci ‑ dents, learning from investigation reports and reinforcing safety measures.

Urgent actions were taken in relation to major helicopter accidents and several landing gear incidents in 2013.

This key activity was continued with a flow of 97 draft reports reviewed in 2013 and 97 Safety Recommenda ‑ tions received.

2 The latest copy of the EASp can be found: http://www.easa.europa.eu/easa ‑ and ‑ you/aviation ‑ domain/safety ‑ management 3 More information on ESSI can be found: http://www.easa.europa.eu/essi/ Annual General Report 2013 P A G E 17 Strategic Safety 1.2.6 Research and Foresight Taking into consideration the priorities of the European Aviation Safety Plan (EASp) and the European Aviation Research Partnership Group (EARPG) Thematic Programme, the Agency consolidated the needs for new research projects in the 2013 Research Plan and performed the launch of selected projects.

The research projects funded by the Agency originates from proposals and requests originating from the Rule ‑ making Programme, projects which are suggested by Safety Recommendations, proposals made by ESSI, requests from Certification and Rulemaking Directorates as well as proposals from the European Human Factors Adviso ‑ ry Group (EHFAG).

The Agency cooperated with the European Commission regarding the Community research activities impacting the EASA system, through a series of recommendations for the Research and Innovation Framework Programme named ‘Horizon 2020’. Agency’s experts take part in the advisory boards of on‑going EU funded research projects.

In addition EASA interfaced with the large‑scale Joint Technology Initiatives; SESAR and CLEAN SKY and also par ‑ ticipated in the monitoring activities of the Advisory Council for Aeronautics Research and Innovation in Europe (ACARE).

A list of 2013 Studies and Research Projects is provided in Annex 11: Studies and research projects .

1.2.7 Human Factors In accordance with the priorities of the European Aviation Safety Plan (EASp), and the published EASA Human Factors Strategy, an integrated Human Factors Plan sets out to achieve better integration of arrangements with respect to the regulation, advice, training, licensing, and audit.

A European Human Factors Advisory Group supported the Agency in the following areas: • Rulemaking inputs to RMT 004 AMC/GM; • Reviewing the content of NPA ‑ 2013 ‑ 09 “Reduction of Runway Excursions”; • Developing further guidance material for CS 25.1302; • Continuing Airworthiness focus group provided support to NPA ‑ 2013 ‑ 01; • Supporting the MDM.055 RMT task for implementation of SMS into the continuing airworthiness codes and • Guidance on follow‑up of Safety Recommendations.

Annual General Report 2013 Strategic Safety P A G E 18 1.2.8 Other transversal activities Crisis Coordination: The Agency is an active member of the European Aviation Crisis Coordination Cell (EACCC).

Space Weather: On 20 March 2013, EASA and EUROCONTROL Network Management held a workshop “Space Weather – Effects on Aviation; Building a Proportionate Response in Europe” in Cologne. The workshop looked at how to manage safety risks and increase awareness of the possible effects of space weather. Moreover, par ‑ ticipants made a start on elaborating mitigation actions. Together, they identified priorities, shared knowledge and encouraged further cooperation and harmonisation in this area.

Volcanic Ash: During the year 2013, the Agency has continued undertaking work in the last three years to pro ‑ vide a framework of rules and therefore give a structure for decision‑making in the European environment.

There has been good progress against the action plan put in place after the events of 2010 and 2011.

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Regulation

Annual General Report 2013 Regulation P A G E 20

2.1 Objective and scope

The Agency manages and coordinates the preparation of EU legislation related to the regulation of civil aviation safety and environmental compatibility. In this context, EASA produces and submits opinions to the European Com ‑ mission and adopts supporting certification specifications, acceptable means of compliance and guidance material.

In 2013, the Agency further continued its activities aiming at drafting the legislation and related soft‑rules in order to complete the Set of Regulations. Ensuring the timely delivery of airworthiness rules (safety and environ ‑ mental protection) remained a major challenge in 2013.

2.2 Main achievements in 2013

2.2.1 Production of new rules In 2013, the Agency focused on preparing the introduction of SMS requirements for design, production and maintenance in order to comply with ICAO SARPS (ICAO Standards and Recommended Practices), enhance the overall safety and contribute to address the systemic issues mentioned in the EASp. The reorganization of CS ‑ 23 to enhance safety of General Aviation (GA), while reducing the certification costs, has been a key project. Con ‑ cerning third country operators a stepped approach has been implemented, i.e. finalising first the rules for Commercial Air Transport (CAT) operators followed by those for sub‑ICAO aircraft and non‑commercial oper ‑ ations with complex motor‑powered aircraft. In addition, the opinion on Part M General Aviation (GA) Task Force (TF) brought some additional benefits to GA and keeps the safety levels. The Agency continued its work in finalising all annexes of the Air Ops Regulation. While Annexes VI and VII (Part‑NCC (Non‑Commercial opera ‑ tions with Complex motor‑powered aircraft)and Part‑NCO (Non‑Commercial operations with Other‑than‑complex motor‑powered aircraft) were already published in August 2013 (together with the amended Annexes I‑V), as European Commission’s Regulation (EU) No. 800/2013 (and its associated five Agency Decisions) for Non‑CAT Op ‑ erations, the last package of this regulation composed of Annex VIII (Part‑SPO (Specialised Operations)) and CAT (A‑A) & CAT(S,B) is undergoing scrutiny with the European Parliament and the Council until end of first quarter of 2014. The associated Decision for Part‑SPO is under Agency’s preparation; the publication is planned for 2014.

Furthermore, the Agency’s Opinion on FTL (Flight Time Limitations) and TCO (Third Country Operators) passed the European Parliament (EP) and Council scrutiny in October 2013, the Regulation being planned for publica ‑ tion during the first quarter in 2014.

Following the regulatory comparison for the licensing annex, in 2013 EASA participated in several meetings with the FAA in the framework of the confidence building exercise on the new annexes to the Bilateral Aviation Safety Agreement (BASA). The first package of this annex covers the Private Pilot License, the night and the instrument rating. This has been nearly completed and the draft documents of the annex itself and the Implementation Pro ‑ cedures (IPL) have been sent to the Member States for their review.

Furthermore, in 2013 the Agency continued the development of rules on ATM/ANS and Aerodromes for the implementation of the requirements stemming from the Basic Regulation, contributing to the systemic and oper ‑ ational issues addressed in the EASp, aligning with ICAO SARPs requirements and addressing the feedback from the ATM standardisation visits. The Agency’s work on the first common rules for the European airports was final ‑ ised via their formal adoption by the Commission. Implementation of the Basic Regulation was also finalised in the area of Air Traffic Controller licencing for which the Agency issued its Opinion to the Commission. The nec ‑ essary work to support future developments in these domains was also laid down. Special attention was paid on the horizontal tasks such as PBN (Performance Based Navigation), aiming to enable PBN operations in support of Annual General Report 2013 P A G E 21 Regulation the SES and its global application in other regions. The Agency also supported the implementation of European ATM Regulatory Roadmap and the regulatory needs stemming from SESAR deployment and started with the im ‑ plementation of decisions from CAEP/9 (ICAO Committee on Aviation Environmental Protection, 9th meeting).

The Agency published 20 Decisions and 12 Opinions in 2013. The complete list of Decisions, Opinions and Notic ‑ es of Proposed Amendment can be found in Annex 10: Decision, Opinions and Notice of Proposed Amendments (NPAs) in 2013 .

The figures below show details on the origins and drivers of the opinions and decisions delivered in 2013.

´ Figure 4: Origin of Opinions and Decisions delivered in 2013 Origin of the opinions and decisions delivered in 2013 % % % % % % % Safety Industry request Air Accident investigation JAA Transfer recommendation % MS request Basic Regulation Other % % Certification request Review of feedback EC Request from implementation % ICAO alignment Technological development % % Industry and MS request ´ Figure 5: Drivers of the opinions and decisions delivered in 2013 % % Origin of the opinions and decisions delivered in 2013 % Legal Requirements Level playing field Other % Safety Annual General Report 2013 Regulation P A G E 22 2.2.2 Support to rules The main challenges of the activity are: • To assist the Member States and the Industry at an adequate level during the implementation of the new regulations; • to increase the production of Technical Publications; • to consolidate processes for the development of a risk‑based rulemaking programme.

Supporting the implementation of the new rules was a major activity. Significant time was devoted communicat ‑ ing with Member States and stakeholders. The Rulemaking Directorate increased attendance at external events and organised regional workshops.

A close cooperation with the Standardisation Directorate facilitated the most optimal support to Member States and Stakeholders on the new regulations related to the first and second extension.

2.2.3 Coordination with ICAO and rule harmonisation with third countries In 2013 EASA was fully involved in Rulemaking at the ICAO level in order to assure consistency and support to the European approach. The Agency participated in panels/working groups such as SMS, PBN, AWO, DG, pilot train ‑ ing, aerodromes and RPAS. This facilitated a more effective rulemaking process, thus positioning the Agency to better influence ICAO SARPs development (at the earliest possible stage) and to represent a European expert view.

For environmental protection, the emphasis was to be proactive in the ICAO Committee on Aviation Environmental Protection (CAEP). The key work items in ICAO/CAEP 2012 ‑ 2016 timeframe were: the development CO2 requirement and standard; noise stringency; new requirement on Particulate Matter; and emerging task as the development of verification method for noise contour calculation data (with regard to the Balanced Approach for Noise).

2.2.4 Regulation related tasks In 2013, the Agency consulted on the regulatory challenges for 2013 ‑ 2023. Many stakeholders and Member States replied with the priorities according to their views and needs. The feedback received has been used as in ‑ put for the reviewed rulemaking programme 2014 and 2015. It will also be used by the high level group of the Management Board in defining the challenges for the coming 10 years.

The Agency aligned all the procedures, work instructions and templates to implement the changes of the revised Rulemaking Process as agreed by the Management Board in 2012. This revised process allows, among others, the possibility to tailor the rulemaking process to the typology of the task or to have a focused consultation on spe ‑ cific items during the review of the comments. Training has been given to EASA staff as well as to Member States and stakeholders.

In the context of the review of the rulemaking process and the ‘Better Regulation’ initiative, the upstream co ‑ ordination by the Agency, with the European Commission, NAAs and stakeholders was reinforced. Additionally, the structure and scope of the operation of the Agency’s rulemaking advisory bodies, Member States and avia ‑ tion partners has been revised. In this regard, the new Rulemaking Advisory Group (RAG) and Thematic Advisory Group (TAGs) regularly met in 2013 and the Safety Standards Consultative Committee (SSCC) and its subcommit ‑ tees have undergone changes in composition, working methods. In addition, a new subcommittee has been established on General Aviation issues.

In the context of ‘better regulation’ the Executive Director and the Management Board identified the need to use risk hierarchy to allocate resources. The measures adopted (regulatory or other) should be proportionate to the risk they intend to address. This will result in efficiency improvements and in better facilitating new technologies.

van Dijk P A G E 23 © Arjan

Product Safety

Oversight

Annual General Report 2013 Product Safety Oversight P A G E 24

3.1 Objective and scope

The Agency is responsible for the airworthiness and environmental certification of aeronautical products, parts and appliances. This responsibility encompasses the initial type certification and a variety of related ac ‑ tivities, such as supplemental type certifications, approval of changes to type certificate and of repair design.

Furthermore, it also covers activities to ensure the continuing airworthiness of the certified products, parts and appliances during their entire operational lifecycles. This includes identifying and reacting without undue de ‑ lay to obvious or potential safety problem and issuing, disseminating the applicable mandatory Airworthiness Directives (AD).

The Agency provides also services to external stakeholders, such as the approval of MRB and OEB reports, the Certification Support for Validation (CSV) of Certificates outside the EU and the Technical Advice and Assistance upon request of industry, aviation authorities or other public institutions.

3.2 Main achievements in 2013

In the area of initial airworthiness the certification of the Airbus A400M, superseding the restricted type certif ‑ icate issued in April 2012, represents the first large military aircraft complying with the civil airworthiness and environmental requirements. 2013 has been also the first full year of carrying out the issuance of Flight Simula ‑ tion Training Devices (FSTD) qualification certificates outside EASA Member States and the associated operational oversight. The relevant procedure and working methods have been successfully established. It is worth mention ‑ ing in the field of initial airworthiness that the Agency, in close cooperation with the industry, continued its work on the development of enhanced criteria for the level of the Agency’s involvement on a risk based approach in certification activities.

The Agency continued to actively promote its cooperation and improve its communication with stakeholders.

One of the main events was the third Certification Workshop with Industry. Furthermore, specific events were organised such as the regular ETSO Workshop, the second General Aviation Seminar and the regular Rotorcraft Symposium. Additionally, the “Certification Strategy Industry/EASA Working Group”, established by the Manage ‑ ment Board with the purpose to discuss the need to further refine and supplement the Certification Strategy, presented its recommendation to the Management Board.

Annual General Report 2013 P A G E 25 Product Safety Oversight 3.2.1 Product Certification Trend of applications received The amount of applications submitted to the Agency for the certification activities (5,081) is slightly below the 2012 level. The number of new type design applications has decreased while the number of major changes and derivatives has increased. The applications for certification of new type design covered mainly the general avi ‑ ation and propulsion sectors. Regarding the large aviation sector, it is worth mentioning the Airbus A350 ‑ 1000 and the Embraer ERJ 190 ‑ 300 and ERJ 190 ‑ 400 derivatives.

´ Figure 6: Applications submitted to the Agency for the certification activities in 2013                    Type Certificates TC New Supplemental Minor Changes / Aircraft Flight Approval of flight European Alternative Flight Simulation Certification (TC). Restricted TCs Derivatives, Type Minor repairs Manual conditions for Technical Method of Training Support for Major changes, Certificates Permit to fly Standard Order Compliance Device Validation (CSV) Major repairs Authorisation (AMOC) (ETSOA) Major on - going multi - annual type certification programmes The performance of a number of multi‑annual type certification projects continued in 2013, such as the Airbus A350, Airbus A320neo, Falcon 5X from Dassault Aviation, Embraer EMB ‑ 545/550 business jets, Mitsubishi’s Re ‑ gional Jet, the MRJ ‑ 200 and the large helicopters AW169 and AW189 from Agusta Westland.

Number of certificates issued During 2013, 3,741 certificates were issued. Type Certificates were awarded among others for the Airbus A400M, the Gulfstream G280 business jet, the Trent XWB engine (designed to power the Airbus A350 ‑ 800/ ‑ 900 XWB air ‑ craft) and the Trent 1000 C1 from Rolls‑Royce.

Annual General Report 2013 Product Safety Oversight P A G E 26 3.2.2 Continuing Airworthiness Oversight During 2013 the Agency dedicated a significant amount of hours in continuing airworthiness oversight, increas ‑ ing the overall volume in comparison with 2012 figures. The Internal Occurrence Reporting System (IORS), which collects incoming safety information and supports analysis and follow‑up by technical staff in a consistent and effective manner, has played an important role. Furthermore, the activity of continuing airworthiness oversight was performed in close cooperation with the bilateral partners in the framework of the relevant Bilateral Avia ‑ tion Safety Agreements (BASA).

3.2.3 Flight Standards Services Two pilot projects (Airbus A350 and Falcon 5X) were selected in 2012 in preparation of the entry into force of the implementing regulation which introduces the OSD concept (Operational Suitability Data). The experience gained has been used as a starting point for the development of a certification process integrating the opera ‑ tional suitability data into the product certification process.

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Organisation

Approvals

Annual General Report 2013 Organisation Approvals P A G E 28

4.1 Objective and scope

EASA is responsible for approving design organisations wherever they are located as well as those responsible for production, maintenance, maintenance training and continued airworthiness management outside the ter ‑ ritory of the Member States. It also includes approving production organisations located within the territory of one or more Member State(s), if requested by the Member State(s). The ATM/ANS section has to support the Eu ‑ ropean Commission on the oversight of the Network Manager Function in Eurocontrol, and has taken over the EGNOS oversight and the approval and oversight of ATCO training organisations outside of Europe. As of 2013, the Flight Crew Licensing Organisation Approval (FCLOA) section is fully operative with regard to approval and oversight of Approved Training Organisations for Flight Training and Aeromedical Centres, if located outside the EASA Member States.

4.2 Main achievements in 2013

Organisation approvals activities have grown steadily in 2013, including Design Organisation Approvals (DOA) / Alternative Procedure (AP) to DOA, Production Organisation Approvals (POA) and Maintenance/Continuing Air ‑ worthiness Organisation Approvals (MOA/MTOA/CAMO). The workload on surveillance of the Airbus European Single Production Organisation Approval (SPOA) slightly increased with ramp‑up of production rate and new programs (A350), also on the non‑European locations. The figures related to organisation approvals can be sum ‑ marised as follows: ´ Figure 7 Newly approved organisations in 2013       Newly approved organisations in 2013    DOA POA AP to DOA SPOA MOA Foreign LOA  MOA US FCLOA  MOA Canada ATMOA MTOA Annual General Report 2013 P A G E 29 Organisation Approvals ´ Figure 8: Approved organisations at the end of 2013       Approved Organisations at the end of 2013    DOA POA AP to DOA SPOA  MOA Foreign LOA MOA US FCLOA  MOA Canada ATMOA MTOA Design Organisation Approvals On 31 December 2013, 294 DOA (Design Organisation Approvals) in total were issued, of which 227 have been handled by the Agency. 67 were investigated on behalf of EASA by NAAs. 80 organisations were under initial as ‑ sessment for DOA and 39 for AP to DOA. Internalisation of activities has reached the expected target of 40%.

5 additional organisations were transferred to EASA Team Leaders in 2013, including 2 DOA and 3 AP to DOA.

Further transfers will occur if NAAs decide to stop their activities or if the extension of the DOA scope requires it.

Production Organisation Approvals In the end of 2013, 22 EASA POAs (Production Organisation Approval) in total have been issued to foreign production organisations and one Single POA to Airbus and 4 Letters of acceptance for navigation database sup ‑ pliers. Additionally, EASA continued to issue Export Certificates of Airworthiness for aircraft manufactured by EASA POA organisations (SBAAI in China and Airbus in China and Europe).

Maintenance / Continuing Airworthiness Organisation Approvals In the field of Maintenance/Continuing Airworthiness Organisation Approvals (MOA/CAMO), EASA is performing investigations and surveillance either by outsourcing the tasks to accredited NAAs or by using in‑house audi ‑ tors/experts. As of 2013 EASA has issued 328 Maintenance organisation, 52 Maintenance training organisation, 4 CAMO, 1,375 US and 169 Canadian approvals and there is still a steady number of new applications in the field of maintenance and maintenance training organisation approvals.

Flight Crew Licensing Organisation Approvals During 2013 FCL OA (Flight Crew Licensing Organisation Approval) coordinated with major NAAs and provide support to address various approval issues related to the FCL regulation. Implementation processes of FCL OA have been integrated into the daily work including working instructions and guidance material. Recruitment of FCL OA Team Leaders had been finalized. In addition, technical specifications and workload estimations for out ‑ sourcing have been achieved. The EASA FCL organisation approval activity has reached full operational level, Annual General Report 2013 Organisation Approvals P A G E 30 and where support is needed, the qualified entities for the oversight of Pilot Training organisations are actively working on behalf of EASA.

ATM/ANS Approvals The ATM/ANS Organisation Approvals Section has developed and implemented procedures and working instruc ‑ tion for the oversight of the Eurocontrol Network Manager on behalf of the European Commission.

In parallel, the section took over the oversight of the EGNOS service provider, ESSP. This activity consisted of over ‑ sight meetings with the French and Belgian authorities as well as participation in audits and execution of the oversight responsibility to EASA. As from the second half of 2013, measures were taken to prepare for the ap ‑ proval of Centralised Services in Eurocontrol.

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Inspection of

Member States

Annual General Report 2013 Inspection of Member States P A G E 32

5.1 Objective and scope

According to art. 24 of Basic Regulation, the Agency is tasked to monitor the application by national competent authorities of the same Regulation and of its implementing rules in all domains where it is applicable. They are: • Airworthiness • Air operations • Aircrew • Ramp inspections (SAFA inspections) • Air traffic management and air navigation services, including Air traffic controllers Since 3 February 2012, when Regulation (EU) No. 90/2012 entered into force, Standardisation Inspections in all the domains above have the same legal basis.

The geographical scope of standardisation inspections covers 46 Countries: 32 “EASA States” (i.e. the 28 EU Member States plus 4 States where Union law in the domain of aviation safety is applicable through bilateral or multilateral agreements with the EU), and 14 States under the provisions of working arrangements with EASA (“WA States”). In the course of 2013, 38 of them were inspected in one or more technical domains, of which 29 were “EASA States” and 9 “WA States”.

5.2 Main achievements in 2013

The Agency successfully implemented its Standardisation Inspection Annual Programme 2013 and performed a total of 103 inspections in the domains of Airworthiness (AIR), Air Operations (OPS), Flight Crew Licensing (FCL), Aeromedicine (MED), Flight Simulation Training Devices (FSTD), Air Traffic Management/Air Navigation Services (ATM/ANS) and Safety Assessment of Foreign Aircraft (SAFA), as show in the table below.

In the course of these inspections 802 non‑compliance findings were raised requiring a corrective action plan to be proposed and implemented by the inspected NAA. Approximately 34% of all findings were classified as signif ‑ icant deficiencies that may raise safety concerns if not duly corrected.

´ Table 2: Summary of Standardisation Inspections performed in 2013 ATM/ Inspection type AIR OPS FCL MED FSTD SAFA total ANS Regular 22 5 10 9 7 12 13 78 Follow‑up ‑ 11 6 3 2 3 ‑ 25 Total 22 16 16 12 9 15 13 103 4 One Member State was visited for the first time in the FSTD domain.

Annual General Report 2013 P A G E 33 Inspection of Member States 5.2.1 Air Operations / Aircrew (OPS, FCL, MED, FSTD) In the fields of Air Operations and Aircrew, 2013 was a year of transition. The entry into force of the EU Imple ‑ menting Rules (IRs) required substantial preparatory work not only for Competent Authorities but also by the respective sections within the Agency. This included the preparation of new working tools (e.g. pre‑visit ques ‑ tionnaires and inspection checklists) and internal training in order to maintain Team Leader’s competency. During the transition more emphasis was also placed on pro‑active standardisation activities to assist Member States in implementing the new regulations. The inspection teams focused particularly on the implementation of cor ‑ rective action plans for findings which were raised in previous inspections and which remain relevant under the new Implementing Rules, and on Member States’ progress with implementation plans and conversion reports.

The same approach will be continued in 2014.

5.2.2 Air Traffic Management/ Air Navigation Services EASA started to perform standardisation inspections in the field of ATM/ANS in 2012. In 2013, EASA continued to perform comprehensive inspections with the aim to complete a full cycle of inspections in all Member States at the end of 2014, in order to establish a consistent “baseline” for the risk based continuous monitoring approach.

As requested by the Commission EASA also performed a first verification round of Safety KPIs (Key Performance Indicators) and assessed the Annual Performance Reports as required under Regulation (EU) 691/2010.

5.2.3 Airworthiness In the domain of Airworthiness, the standardisation process is well established and mature, and the regulatory framework is relatively stable. The standardisation inspection results reflect this level of maturity.

5.2.4 Monitoring of SAFA process In the ramp inspections domain, a total of 47 countries are part of the SAFA programme, and 13 of them were visited in 2013: 8 “EASA States” and 5 “WA States”. The geographical scope of SAFA Standardisation is the same as Standardisation but including Kosovo, San Marino, Liechtenstein, Canada, Morocco, Singapore and United Arab Emirates. Several inspections have been aligned with other domains, thus ensuring that visits have been conducted within a narrow timeframe.

5.2.5 Aerodromes All necessary organisational and procedural measures are in planning and development, but due to lack of re ‑ sources we were not able to recruit and initiate any proactive measures so far.

5.2.6 Preparation to implement a new Standardisation Methodology On 29 June 2013 a new Standardisation Methodology was issued with Commission Regulation (EU) No 628/2013.

It became applicable on 1 January 2014, at the same time Regulation (EC) No 736/2006 was repealed. The new Regulation introduces a risk based and Continuous Monitoring Approach (CMA) to Standardisation.

Annual General Report 2013 Inspection of Member States P A G E 34 This new approach relies on an improved exchange of information between Competent authorities and the Agency. It aligns EASA working methods to those used by ICAO in its USOAP programme and streamlines the in ‑ spections process to take advantage of the experience gained in applying Regulation (EC) No 736/2006.

The second half of the year was devoted to the preparation of the implementation of Regulation (EU) 628/2013.

In particular, a model that was developed to support the inspection planning process was validated, finalised and already used to support the inspection planning for 2014. Existing IT tools had to be adapted, internal proce ‑ dures and work instructions had to be aligned to the new regulation, and training had to be provided to already qualified standardisation inspectors.

5.2.7 Proactive Standardisation In a proactive effort to support standardisation, a total of 12 Standardisation meetings and sectorial workshops were organised with a wide participation of representatives of Competent Authorities.

Following on from the 2012 EASA Annual Safety Conference on the topic of “Safety Oversight ‑ managing safe ‑ ty in a performance based regulatory environment”, a workshop on the transition towards Risk Based Oversight was held on 27 June 2013. The aim was to build a common understanding on how Risk Based Oversight could be implemented by Competent Authorities, and how its effectiveness can be assessed in the context of standardi ‑ sation inspections. The workshop helped to build consensus on a number of aspects and identified areas where more work is required.

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Accreditation

Annual General Report 2013 Accreditation P A G E 36 Accreditation is the process of qualifying and performing continuous surveillance of EASA’s contracted Certifica ‑ tion Service Providers (CSP) on the basis of the Management Board Decision number 01 ‑ 2011.

By the end of 2013 all CSPs which passed the tender process EASA.2011.RP.06 were audited in accordance with a framework service contract signed and the respective scope of accreditation was issued to 14 NAAs (National Aviation Authorities) and 8 QE (Qualified Entities). During this process 2 QE withdraw their application.

This concluded the roundof initial accreditation audits that started in 2012.

Three National Aviation Authority are accredited in accordance with Working Arrangements signed with the Agency. However, certification tasks were only allocated to one of those NAAs..

In 2013 the Accreditation section started to plan the Accreditation surveillance audits based on a newly im ‑ plemented Risk Evaluation Process (REP) in order to better optimise EASA’s resources and provide all EASA Directorates which outsource certain tasks with a perceived risk level for each CSP.

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Operators

Annual General Report 2013 Operators P A G E 38

7.1 Objective and scope

The Operators Department covers the activities of the Agency related to the coordination of the Ramp Inspec ‑ tion Programmes (SAFA/SACA) and the authorisation of Third Country Operators (TCO).

The ramp inspection activity carried out by EASA is a coordination function, including: • Maintaining and updating the database of reports from ramp inspections; • Providing analysis and reports on the collected data; • Fostering the organisation and implementation of training courses; • Providing proposals for manuals and procedures; • Fostering the standardisation of the SAFA activity.

In addition, within the scope of Article 23 of the EASA Basic Regulation, the Agency will be responsible for issu ‑ ing authorisations to Third Country Operators (TCO) wishing to fly into the EASA airspace and land in one of the EASA countries.

In 2013, the Agency focused on consolidating the SAFA programme, expanding its membership, preparing the implementation of subpart ARO.RAMP (e.g. issuance of the NPA 2013 ‑ 13 containing SAFA/SACA AMCs and GMs), carrying out SAFA standardisation audits to NAAs and providing continuous support to the Commission for the Air Safety Committee (ASC) on the EU Safety List.

Annual General Report 2013 P A G E 39 Operators

7.2 Main achievements in 2013

7.2.1 Ramp Inspection Programmes (SAFA/SACA) Coordination of the SAFA programme SAFA analysis was performed in line with the established schedule, and, based on the risks identified, EASA en ‑ gaged with a number of states to address the issues identified through ramp inspections. The analysis results as well as the results of the process of prioritising SAFA inspections were presented during the meetings of the Air Safety Committee (Safety List). Numerous ad‑hoc analyses were also performed on request of the European Com ‑ mission to support various cases being investigated.

As mandated by the SAFA Directive and by the amended Standardisation Regulation, EASA continued the SAFA standardisation process, adopting a more performance driven approach when planning the onsite visits. A total of 13 standardisation inspections were planned and completed in EU and non‑EU SAFA Participating States, in ‑ cluding visits in two candidate states (Morocco and Montenegro).

The SAFA database, received an upgrade mainly focused on enhancing its robustness and increase industry ac ‑ cess to analytical results.

Consulting with the industry is important. As part of the dialogue with the industry EASA organised the 3nd SAFA Regulators & Industry Forum, hosted by IATA, which brought together representatives from the SAFA Partici ‑ pating States, IATA, AEA, ELFAA, IACA, AACO, AFRAA, ERAA and major aircraft manufacturers to discuss openly about SAFA related matters.

Regulation (EC) 965/2012, which introduces the sub‑part ARO.RAMP and repeals the existing SAFA regulato ‑ ry framework. In order to ensure a smooth transition, it was agreed with that all the states will opt‑out until 28 October 2014. Significant efforts were invested in drafting AMCs and GMs for the new sub‑part ARO.RAMP, transferring the existing EASA SAFA Guidance Material and complementing with new ones covering SACA in ‑ spections. The new material was published for public consultation in July (as NPA 2013 ‑ 13) and is expected to be adopted at the end of the first semester of 2014.

International promotion of the EU SAFA Programme The EU SAFA Programme continued to be promoted to international audiences, and its principles and procedures are employed in various regions and states around the globe. In 2013, three new states: Canada, Singapore and the United Arab Emirates, concluded Working Arrangements with EASA, thus bringing the total number of par ‑ ticipating states to 47.

Annual General Report 2013 Operators P A G E 40 7.2.2 Third Country Operators (TCO) In the reporting period, the TCO Section contributed to finalise the draft rule on TCO, submitting a correspond ‑ ing draft to the EASA Management Board Decision and collaborating with Rulemaking on the AMC and GM for Part‑TCO. The TCO Project Plan was further implemented including, amongst other things, a validated risk‑based TCO Model, internal administrative and operational working procedures, a TCO Communications Plan. Fur ‑ thermore there was close collaboration with Information Services in the development and testing of the TCO software application. The terms of reference, implementing the MoU on the exchange of safety information, were agreed between EASA and IATA. Specifications for traffic data to be provided to EASA were agreed with DG MOVE E3 and Eurocontrol.

The coordination of the EU Safety List and TCO was agreed and formalised between the TCO Section and DG MOVE E3 – Air Safety Unit. The TCO Section continued to regularly support the European Commission in the context of the EU Safety List, which included EASA participation in numerous preparatory hearings with foreign authorities and foreign operators and corresponding case analyses. The TCO Section continued to coordinate the ICAO USOAP report analysis working group, which provided the EU Air Safety Committee with numerous country reports. EASA TCO staff members participated in four ICAO USOAP missions, four EASA Standardisation Inspections, two EASA Technical Assistance missions, one EU Safety List Visit, and two EU Air Safety Committee meetings. The planned recruitment of TCO Officers and Team Leaders had been further put on hold owing to the austerity measures of EU institutions and the Agency’s reorganisation project.

Nicaise P A G E 41 Christophe ‑ © Jean

International

Cooperation

Annual General Report 2013 International Cooperation P A G E 42

8.1 Objective and scope

The Agency concludes working arrangements with foreign NAAs and participates in the negotiation and imple ‑ mentation of Bilateral Aviation Safety Agreements (BASAs) and other aviation agreements, on an ad‑hoc basis.

Furthermore, the Agency is strengthening its relations with ICAO, in close coordination with the European Com ‑ mission (EC) and the Member States, and in cooperation with Eurocontrol.

Moreover, the Agency supports partner countries in improving their regulatory capabilities.

8.2 Main achievements in 2013

Bilateral Agreements and Working Arrangements (BASA) Intense coordination activity took place under the EU‑US BASA. In particular, the first phase of the development of a new annex on pilot licensing is close to completion: the text of the Annex for private pilot licenses, as well as the draft Implementation Procedure for Licensing, were shared for comments with the NAAs. Work on the Flight Simulation Training Devices (FSTD) annex continued, with mutual confidence building activities and regulatory comparison exercise well advanced.

The EU‑Brazil BASA formally entered into force in August 2013. Intense activity has taken place between EASA and ANAC‑Brazil in order to advance the negotiation of implementation procedures for both annexes – a work which should be completed in 2014.

Rulemaking cooperation guidelines, aiming at better cooperating with our BASA partners in the rulemaking do ‑ main, were signed with Transport Canada and the US Federal Aviation Administration (FAA).

For SAFA Working Arrangements (WAs) please refer to the relative section on SAFA. Several other Working Ar ‑ rangements were concluded in 2013 e.g. with ex‑JAA States, the UAE and CAAC (China).

Annual General Report 2013 P A G E 43 International Cooperation Cooperation with ICAO In 2013, the negotiations of a Working Arrangement between EASA and ICAO on continuous monitoring activ ‑ ities were finalised, and the WA was initialled. Furthermore, EASA developed, in coordination with the EC and EU Member States, some guidelines on the filing of differences under the EFOD tool developed by ICAO. The Agency participated actively in the EU preparatory and coordination work for the safety topics of the 38th ICAO Assembly.

Technical Assistance In 2013, EASA implemented or assisted 9 regional projects, supporting: • The European Neighbourhood, such as the Western Balkans, Eastern Europe and Mediterranean, sup ‑ porting safety and interoperability (IPA, MASC, TRACECA) • The developing world, such as Africa, parts of Latin‑America and South‑East Asia, supporting safety and national development (AATIP, ATA‑AC, SIASA, Zambia) • Emerging markets, such as China and India, supporting safety and EU commercial and environmental interests (EU China, SARI) Furthermore the Agency implemented 4 horizontal projects, promoting EU safety regulations and building capacity in safety oversight (EASA International Cooperation Forum, Regional Safety Oversight Organisation support, Safety List assistance and SOFIA oversight tool).

Annual General Report 2013 International Cooperation P A G E 44 ´ Figure 9: Geographical split of EASA Technical Assistance in the context of International Cooperation TRACECA IPA CHINA MASC SARI SIASA AATIP ATA ‑ AC ZAMBIA EASA ICF RSOO support Safety List assistance SOFIA oversight tool

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Support Activities

Annual General Report 2013 Support Activities P A G E 46

9.1 Objective and scope

EASA’s support activities encompass the general management and administration of the Agency. This includes the overall organisation (management, planning and general coordination), communication, legal advice, audit and quality. Furthermore the support activities include finance, human resources management and information services as well as operational support (e.g. training, NAA contract management etc.)

9.2 Main Achievements 2013

9.2.1 Applications management and procurement services The new Fees & Charges Regulation with cost‑reflective tariffs for certification activities was endorsed by the EASA Management Board and the EASA Committee. It is expected to enter into force after parliamentary scruti ‑ ny in the first quarter of 2014.

New framework contracts were implemented with National Aviation Authorities and Qualified Entities for the provision of certification services and phase out of previous generation of framework contracts was completed.

Administrative complexity was reduced through regrouping projects mainly related to minor changes.

Due to creation of the Procurement Services Department, the Applications and Procurement Services Depart ‑ ment was renamed to Applications and Outsourcing Services Department as of 1 July 2013.

9.2.2 Finance Services Quarterly closings were performed in 2013, in addition to the 2012 official yearly closing and three 2013 inter ‑ im closings. These closings included an estimate of the year end economic outturn and allowed the Agency to monitor the activities financed by fees and charges. Following the first quarterly closing and year end estimate, an amending budget was adopted to adapt the level of revenues of fees and charges to the new estimate and © adjust the expenses accordingly. The SAP tool was optimised and used for such quarterly and annual closings.

The financial controllers held regular meetings with the management of operational Directorates to discuss the above reported performance.

The Agency issued all planning and reporting documents on time and following the set deadlines in the relevant regulations, namely the 2014 Work Programme, 2014 Budget, Business Plan 2014 ‑ 2018 and drafts of all 2015 planning documents.

The Annual Accounts 2012 were approved by the European Court of Auditors without qualifications and the Eu ‑ ropean Parliament granted discharge to the Agency for the year 2011.

In addition, the Agency strengthened its internal control system by performing ex‑post controls on transactions selected following a risk analysis.

Annual General Report 2013 P A G E 47 Support Activities The communication and promotion of the financial rules and their correct implementation was further improved through an updated intranet site and through the organisation of ‘Finance Days’ with the ‘Agency Finance and Procurement’ focal points in order to discuss and explain financial technical issues.

The department drafted and published the ‘Accounting Protocol’, a specific handbook describing in detail the Agencies cost accounting setup.

9.2.3 Information Technology Services In 2013, the department was successfully reorganized into a ‘Demand – Supply – Run’ model with a clear and transparent interface and governance to the business partners, and a more efficient and optimized internal op ‑ eration modus, including significantly improved project status reporting through the use of the SAP Project Management tool.

The Information Services Department continued to support the Agency’s core business tasks through work on the following applications: • Third Country Operators (TCO) application (stage 1) to provide the necessary ‘decision support’ tool to the Agency Senior Management to manage (grant, limit or refuse) TCO authorization; • Applicant Portal project, to enable applicants to submit on‑line applications for the certification tasks entrusted to the Agency; • Update of our SAP system to facilitate the implementation of the new remit activities and relevant fees and charges, as soon as the new Fees & Charges Regulation enters into force in 2014; • Further support to the Agency wide implementation program for document and records manage ‑ ment system; • Upgrade of technical infrastructure and enhancement of Disaster Recovery capacities.

9.2.4 Corporate Services The rental contract for the new headquarter building, Neue Direktion Köln, was signed in July 2013, after approv ‑ al of the Management Board, the Council of the EU and the European Parliament. In parallel a general contractor agreement for the EASA‑specific fit out was signed. In the second half of the year detailed planning work contin ‑ ued in order to prepare for construction planned to begin in May 2014.

A final solution for the longstanding dispute with EASA’s current landlord was successfully negotiated resulting in the waiver of EASA’s obligation to pay for substantial dilapidation work at the end of the lease in 2016.

A first release of the document management system started in January 2014. The system applies Agency policy and procedures on document management. A pilot project on document management for Certification Review Items (CRI) also entered into production during the year. Work continues on rolling out the document manage ‑ ment system across the Agency and on a second pilot project (EASA Repository on the Interpretation of Rules).

Annual General Report 2013 Support Activities P A G E 48 9.2.5 Procurement Services The Procurement Services Department was created on 1 July 2013 as a next step in on‑going procurement centralisation, with the aim to increase transparency on procurement transactions across the Agency and to con ‑ centrate all technical procurement work into one centre of expertise. The procurement centralisation for low value procedures was initiated at the beginning of 2013. In December 2013, the transition was nearly completed.

Some 38 (high value) procedures were managed throughout 2013 resulting in the conclusion of 44 contracts cov ‑ ering the procurement needs of the different EASA directorates (See details in Annex 7: Procurement procedures launched and/or finalised in 2013 ). In addition to the high value procurement activity, around 300 contracts were signed as a result of low value procedures and 500 specific contracts / order forms issued under frame ‑ work contracts.

9.2.6 Legal Services During the reporting period the Legal Department was moved from the Rulemaking Directorate to the Executive Directorate, while keeping its internal structure intact. It provided strong support to rulemaking and standard ‑ isation activities in particular regarding the transition to and initial implementation of the Aircrew, OPS and ATM/ANS Regulations. Also the Legal Department participated in various Agency‑wide projects and was involved in key activities such as: • Completion of the work on ICAO Safety Information Protection Task Force (SIP‑TF); • Organisation of a Conference addressing various legal aspects related to Remotely Piloted Aircraft Systems (RPAS) in cooperation with the Cologne Institute of Air and Space Law, Cologne University; • Ensuring proper response to requests from judicial authorities following judicial investigation in a Member State in the aftermath of an aircraft accident; • Providing the Agency’s defence in appeal hearings before the EASA Board of Appeal and court proce ‑ dures before the EU Civil Service Tribunal.

9.2.7 Communications In 2013 the Agency organised one more successful Annual Safety Conference, while at the same time it provided communications coverage for several Agency activities, including but not limited to the new Flight Time Limi ‑ tations regulations and the new guidance material on the use of Personal Electronic Devices on‑board aircraft.

Annual General Report 2013 P A G E 49 Support Activities Major events 2013 ´ Table 3: Major Events in 2013 Event Date Organised/co‑organised by EASA rd 3 Certification Workshop 24 January Space Weather Workshop: “Effects on Aviation ‑ Building a proportionate response in 20 March Europe” Annual European Aviation Safety Agency Coordination Meeting with CASIA 4 April RPAS/UAS ‑ A challenge for International, European and National Air Law 23 May 2013 EASA / FAA International Aviation Safety Conference 12 ‑ 14 June rd 3 European Aviation Safety Plan (EASp) implementation and review summit 18 June General Aviation Seminar 1 ‑ 2 October Annual Safety Conference: Icing conditions: on‑ground and in‑flight 15 ‑ 16 October th 4 European Aviation Safety Plan (EASp) implementation and review summit 7 November Part 21 Design Organisation Approval (DOA) Implementation Workshop (Industry 20 ‑ 21 November Representatives) th 7 Rotorcraft Symposium 4 ‑ 5 December Organised at ICAO / EU level th ICAO Assembly 38 Session 28 September ‑ 4 October 9.2.8 Human Resources: Professional and Organisational Development/Personnel Administration A small group around the Head of Professional and Organisational Development Department and the Deputy Head of Professional and Organisational Development Department deals with general management, budget and planning, quality coordination, retention of skills and the disciplinary procedures.

Recruitment At the end of 2013, EASA employed 648 Temporary Agents (TA), 34 more than the year before. Additionally, 85 Contract Agents (CA) and 16 Seconded National Experts (SNE) were employed at EASA. Altogether EASA con ‑ cluded 73 new contracts of employment while 19 staff members left the Agency. This resulted in a net increase of 54 staff members. 24 staff members were successful in external or internal selection procedures.

The Agency published 34 vacancy notices, targeting 33 temporary posts and 15 contract agent positions. 44 se ‑ lection procedures were finalised corresponding to 38 temporary posts and 24 contract agent positions. Roughly 2.509 applications have been received and more than 300 interviews were conducted.

Annual General Report 2013 Support Activities P A G E 50 ´ Table 4: Summary of Recruitment activity New contracts concluded 2013 (TA/CA/SNE) 73 Staff members leaving 2013 (TA/CA/SNE) 19 Net staff increase 2013 (TA/CA/SNE) 54 Vacancies published 2013 (TA/CA/SNE) 34 Successful internal candidates (TA) 24 Additionally, 6 TA candidates accepted an offer of employment in 2013 and will take up their post during the first months of 2014. Details on the Agency’s 2013 staffing figures and demography can be found in Annex 9: Staff ‑ ing figures and demography .

Taking into account the labour market conditions and the scarce resources of aviation experts, it is important not only to be attractive for senior experts, but also to qualify young graduates internally. In 2013, the Agency launched two calls for paid traineeships with intakes in spring and autumn. 11 trainees were selected to per ‑ form a six months traineeship in a function corresponding to their academic background. The feedback received so far from trainees and advisors/managers on the organisation and value of the traineeships is very positive.

EASA was represented as an employer in 2013 during the career days at the Paris Air show. The Recruitment Team represented the Agency at the trade fair and at the “Nacht Der Technik” event in collaboration with Com ‑ munication Department. Several actions to develop EASA employer branding strategy in collaboration with the Communications Department were initiated and are currently under development.

Aiming to further improve the recruitment process and following a tender procedure completed at the end of 2012, in 2013 the Recruitment Team prepared the setup of assessment centres in order to include them as a part of the managerial selection procedures. During 2013, two selections for managerial posts – one internal and one external, incorporated an assessment centre as an instrument in the selection process. This will not only support the recruitment of highly skilled staff members, but will also enable the organisation to ensure that internally present managerial skills are identified to facilitate vertical career moves.

Management & Development A new procedure on reclassification was applied in 2013 revising the existing rules for both temporary and con ‑ tract staff and setting up the Joint Career Committee (JCC) as the responsible body for reclassification decisions.

The new procedure establishes a closer link between performance and reclassification by introducing criteria for the assessment of merit in addition to the thresholds of points. In 2013, 113 staff members (111 TAs and 2 CAs) were proposed for reclassification. The proposed CAs were reclassified directly; 83% of the TAs have successful ‑ ly met the third language requirement.

Two important projects were started in 2013, for developing an EASA competency framework and a model of job families. An extensive organisational analysis was conducted, including interviews with directors and manag ‑ ers, in order to produce a draft catalogue of core and leadership competencies that are highly relevant for EASA.

These will be consulted with a large pool of staff and managers in a questionnaire. The final list of competencies will be presented in 2014. The framework will support competency management at EASA as a crucial pre‑req ‑ uisite for the Agency’s prominent status and high working standards. As part of the competency framework, skills were defined for the support processes. The aviation expertise, as a major resource for the Agency, is to be managed in a dedicated process which started with the development of a detailed list of aviation disciplines and a related survey. Job families will be contributory to competencies and job descriptions for creating a clear Annual General Report 2013 P A G E 51 Support Activities structure of jobs and possible moves and career paths. All such settings are aimed at ensuring the long‑term sta ‑ bility and efficiency of the Agency.

In November 2013, the policy on internal mobility was launched. It aims at offering staff opportunities for con ‑ tinuous professional development within EASA. Thus it will also support cross‑functional collaboration and will ensure business efficiency by making best use of staff members’ skills and competencies.

Another pulse check on the staff motivation survey was conducted in early 2013. It aimed at assessing the devel ‑ opment compared to the previous year’s study. The response rate reached 65%. Similar observations as in former staff motivation surveys continued in terms of strengths and weaknesses about the working atmosphere at EASA as perceived by staff. The detailed report was made available to all staff. Results have been used in developing the subsequent management training and team building activities, as well as in the preparation of staff policies, internal communication events and the large‑scale re‑organisation of the Agency.

The development of new values for EASA, as a common initiative of staff and managers, emerged with the or ‑ ganisational development workshop on culture and communication at the start of 2013. The workshop was part of the overall plan to improve the working atmosphere and to promote EASA corporate culture in line with the feedback of the staff motivation survey. The new values were developed by a working group of volunteers. Broad consultation with staff was conducted. The finalised values will be endorsed and announced in 2014.

Personnel Administration Conflict of Interest and Ethical Committee: Following the final audit report conducted by the European Court of Auditors (ECA) in 2011, the Agency adopted in 2012 the policy “Code of Conduct for the staff of EASA”, which also includes rules related to the “prevention and mitigation of Conflict of Interest” and “Gifts and Hospitality”. The adoption and implementation of this pol ‑ icy aims to ensure that EASA staff members act with impartiality, independence and integrity when performing their duties, one of the key principles of the governance of all EU institutions and Agencies. The main measures EASA took to continue with the implementation of this policy in 2013 were as follows: • the collection of an annual declaration of interest from each manager, • the requirement for the EASA Executive Committee, which includes the Directors, to complete an an ‑ nual declaration of interest. The Directors’ annual declarations of interest have been published on the EASA website, • the revision of the composition procedure and powers of the Ethical Committee to provide opinions and support to the Executive Director to assess the completed declaration of interest, • the implementation of a register related to gifts, hospitality and invitations applicable to all staff members, • the accomplishment of a mandatory training related to the Code of Conduct and focusing on its annex ‑ es for all EASA staff members organised by E.6.2. By the end of 2013, 93,2% of the total target group was trained.

A summary of actions taken to prevent and manage conflict of interest is contained in Annex 3: Agency actions to prevent and manage Conflict of Interest .

Annual General Report 2013 Support Activities P A G E 52 Reform of the Staff Regulations: On 1 January 2014, the reform of the Staff Regulations of Officials and the Conditions of Employment of Other Servants of the European Union entered into force. As a consequence the work conditions for EASA staff mem ‑ bers will change in many areas and new implementing rules need to be adopted. In order to ensure a smooth transition from the former to the new working conditions, EASA is participating in the “Permanent Group of Agencies” which reviews and elaborates together with DG HR of the European Commission implementing rules for the agencies. EASA has 9 months as of 1st January 2014 to notify (draft) implementing rules to DGHR for ap ‑ proval before EASA can adopt them. As a first measure and in order to ensure continuity an interim decision had been adopted in December 2013 which regulates that the current EASA implementing rules for staff members continue to apply until new implementing rules are in place within the deadline mentioned.

9.2.9 General and Technical Training General Training Overall, training KPIs on attendance and satisfaction were met in 2013. As in 2012, management training and team development continued to be major topical activities. The standard offer of business skill courses was also well attended. A large‑scale tender procedure for language training services was run in 2013 in order to sup ‑ port staff in meeting the third language requirement and to ensure the multilingual objective of the EU function.

A shift of interest towards more tailored training was observed in 2013 which is the regular expected develop ‑ ment in a mature organisation like EASA. Such a shift in the training implementation has been supported and promoted by the team responsible for general training through stronger training needs analysis with the respec ‑ tive managers and teams (e.g. intercultural courses for the rulemaking and standardisation function, web writing for the communications team, business process management for the quality function, performance management for reporting officers). The successful cross‑functional cooperation between the Management & Development Section and other departments and committees, such as Communications and Quality, is reaching staff more di ‑ rectly and is impacting on organisational developments.

In April 2013 a policy on high‑level training was launched. It is an initiative to further foster professional develop ‑ ment and knowledge management at the Agency by granting financial support and special leave to selected staff members for attending professional courses and degree programmes. Applications are assessed by the Joint Ca ‑ reer Committee with the focus on the strategic objectives of the Agency. The first decision is expected for 2014.

The General Training activities in 2013 are summarised as follows: ´ Table 5: General Training activities 2013 TOTAL General training sessions 254* Language training classes and tests 78 Attendees in general training 1876** Attendees in language training 456 *additional 24 sessions organised in 2013 are being delivered during January‑March 2014 **additional 235 participants are enrolled in the above‑mentioned sessions Annual General Report 2013 P A G E 53 Support Activities The provided statistics on training are an early non‑final estimation (as of February 2014) and may differ slightly from the Annual HR Report which is published later in the year.

Technical Training To meet the increasing request of specific training, the following actions were taken in 2013: • Publication of course catalogues on ELG (Electronic Learning Gateway) for all stakeholders using a sin ‑ gle registration process; • Implementation of a credit card payment system for ELG; • Publication of unique courses such as ECCAIRS, Composite, Flight Test Organisations and Propulsion Systems; • Best practice sharing through Common Training Initiative Group; • Participation to Standardisation, Rulemaking and International Cooperation workshops; • Maintenance, acquisition and renewal of technical library resources; • Training on ELG e‑examination system for Organisations and NAAs; • Implementation of the Smartboard environment for training delivery.

The main achievements in 2013 included: • Increase of e‑examination providers to 59 including 33 NAAs; • Increase the number of e‑exams from 15 to 30; • Implementation of the testing base for Inspectors’ qualification; • Procurement of specialty courses for Falcon 7X, 900EX, Airbus A380 and Composite Repair Forensics; • Adoption of new training technologies to increase development quality; • Development and delivery of full set of courses for Aircrew Regulation; • Presentation to the Management Board of the ELG and EASA training system; • Completion of the Inspector Qualification Programme; • Delivery of 10 days BR 216/08 training to Australian Air Force in Melbourne.

Annual General Report 2013 Support Activities P A G E 54 In 2013 the technical training activities were as follows: ´ Table 6: Summary of Technical Training activity in 2013 Activity Figures People trained 1219 Trained by Technical Training Department (S.3) / S.3 courses 855 (70.2%) Trained by Externals 364 (29.8%) Delivered Courses 138 S.3 Courses 75% External Courses 25% Total Training Days 240

Nicaise

P A G E 55

Christophe ‑ © Jean

Annexes

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P A G E 56 Annexes

Annex 1: Declaration of Assurance from

the Authorising Officer

I, the undersigned, Patrick Ky, Executive Director of the European Aviation Safety Agency, in my capacity as Au ‑ thorising officer , Declare that the information contained in this report gives a true and fair view .

State that I have reasonable assurance that the resources assigned to the activities described in this report have been used for their intended purpose and in accordance with the principle of sound financial management, and that the control procedures put in place give the necessary guarantees concerning the legality and regularity of the underlying transactions.

This reasonable assurance is based on my own judgement and on the information at my disposal, such as the re ‑ sults of the EASA management standards self‑assessment, exceptions analysis, ex‑post controls, risk assessment, the work of the Internal Audit Capability, the observations of the Internal Audit Service and the lessons learnt from the reports of the Court of Auditors for years prior to the year of this declaration.

Confirm that I am not aware of anything not reported which could harm the interests of the Agency.

Patrick Ky, Executive Director of the European Aviation Safety Agency 5 From September 2013 onwards.

6 True and fair view in this context means a reliable, complete and correct picture of the state of affairs.

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Annex 2: Assessment of the audit results and follow‑up

of audit recommendations

The Agency is audited by both internal and external independent auditors: its Internal Audit Capability, the Com ‑ mission Internal Audit Service and the European Court of Auditors.

Internal Audit Capability (IAC)

In 2013, the IAC carried out 9 audits in accordance with the Agency annual audit programme Consequently, the IAC expressed the opinion that the internal control system in place provides reasonable assurance regarding the achievement of the business objectives set up for the processes audited except for the following processes: In ‑ formation Management Programme, Fees & Charges invoicing and the Facility Management. However, most of the actions related to these audits have been or are being implemented as foreseen.

All recommendations from audits are recorded and centralised. Continuous monitoring and reporting of these recommendations is performed. The average implementation rate for the year 2013 is of 85%.

Commission Internal Audit Service (IAS)

In 2013, the IAS released the final report of 1 limited review on IT project management with no audit opinion and 2 very important recommendations and completed 1 audit on Building Blocks Assurance which provides a rea ‑ sonable assurance and 2 very important recommendations. The actions have been or are being implemented as foreseen and their status reported to the IAS accordingly.

As regards the implementation of recommendations from previous years, the IAS confirmed that 22 of the 23 very important recommendations from 2006 ‑ 2011 audits have been implemented and noted that the Agency reported the remaining recommendation as implemented, waiting final assessment by IAS. No assessment was provided and no follow‑up audit was performed in 2013.

Finally the IAS performed the Agency risk assessment to establish the 3 years strategic audit plan 2014 ‑ 2016 of the Agency.

European Court of Auditors (ECA)

The ECA issued the annual report on 2012 EASA accounts on its web‑site; confirming the legality and regularity of the transactions and providing 4 recommendations.

As regards the implementation of recommendations from the previous year 2011, the ECA confirmed in its 2012 annual report the implementation of 4 recommendations out of 6.

The actions related to the recommendations from the 2011 and 2012 annual accounts reports have been or are being implemented as foreseen in the EASA reply included in the respective ECA annual report.

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Annex 3: Agency actions to prevent and manage

Conflict of Interest

The Agency adopted in 2012 the policy “Code of Conduct for the staff of EASA”, which also includes rules re ‑ lated to the “prevention and mitigation of Conflict of Interest” and “Gifts and Hospitality”. The adoption and implementation of this policy aims to ensure that EASA staff members act with impartiality, independence and integrity when performing their duties, one of the key principles of the governance of all EU institutions and Agencies.

For 2013, the result of the application of the adopted policy and procedure can be summarised as follows: 1. Cases of conflicts of interest verified: EASA has reviewed and verified 213 declarations of interest in light of the established policy.

2. Cases of revolving door identified: There were 2 cases identified in 2013.

3. Measures taken in each category of cases: No conflict of interest instances were found in the 213 dec ‑ larations reviewed. In both cases of revolving doors, EASA has permitted the notified activities under certain conditions. The conditions were to not contact and lobby vis‑à‑vis EASA staff members and to abstain from direct contract negotiations with EASA during a cooling‑off period of 12 to 24 months, they were reminded their continuous obligation of confidentiality and EASA staff members concerned had been informed of these cases and the conditions put.

4. Breaches of trust procedures launched and their outcomes: There were no cases identified in 2013.

5. Sanctions applied: N/A (please see point 4 above).

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Annex 4: Key Performance Indicators

SAFETY STRATEGY

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 Improve the Release date is timely availability Achieved, Achieved, new Content Completed on time.

advanced, indicators and enhance the new chapter chapter on complete and ASR 2012 is available are enhanced range content of the on ATM Aerodromes approved by in hardcopy and on the and detail are Annual Safety added added 22 April EASA internet site improved Review IORS functions with 20 reporting organisations.

On‑going internal Effective provision working group on of safety Contaminated Cabin Establish and IORS functions information to Full operation Air is being supported maintain an with 20 interested parties / Achieved achieved in by providing all related Internal Occurrence reporting decision makers February 2012 data. In addition, IORS Reporting System organisations through specific provides available reports and bulletins information on similar occurrences upon high profile events under the request of E2 management Improve Agency’s Percentage of Safety response to Recommendations 97% of formal 91% 100% 94% formal Safety answered within 90 answers sent Recommendations days of receipt Detailed follow‑up Coordinated, and actively support Follow‑up measured and Follow‑up of Follow‑up of 48 civil investigations to of 10 civil timely responses to 10 6 major fatal aviation accidents out determine the best aviation major civil aviation accidents of 97.

corrective action accidents accidents plan EASp. Tracking On track. rd 3 EASp Improve the of action plan Performance is enacted.

planning and implementation audited as part 8 69% completed by 20% of implementation showing that actions 46% of the Agency’s 31 December actions rate of planned are being addressed Integrated completed by actions in the year they are Management year end due System 7 Due to the 90 days period to answer the final 2013 result will be available at the end of March 2014.

8 The 2013 target reported in the 2013 Work Programme (76% days) has been reviewed. The completion rate needs to be monitored for a few years before a solid and realistic baseline can be developed.

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REGULATION

Result Result Target Objective KPI Result 2013 2011 2012 2013 • Percentage of positive feedback received from stakeholders on Increasing rulemaking events n/a 61% 65% 80% communication and • Percentage of cooperation with the number of 87% 96% 60% 92% the stakeholders correspondence from Industry, Member States and Commission provided on time 53% Some delays were experienced due to increase in number of exemptions (22%). In addition, with the extension of Agency Having a proactive scope to Flight Crew Licensing, • Percentage of the approach towards Air Operations and ATM/ number of Exemptions ICAO, Member ANS, all technical fields are answered on time States, EU 86% 60% 60% now subject to the flexibility • Time (Full Time Institutions in order provisions.

Equivalents) spent in n/a 14,3 FTEs 10 FTEs to take a leading supporting to ICAO, 16,8 FTEs role in preparing Member States and EU rules and setting The Agency significantly Institutions safety objectives increased efforts in supporting stakeholders and NAAs in the implementation of the regulatory framework, in particular when it concerns new rules and concepts.

Percentage of implementation Implementing of the Rulemaking the adopted Work Programme Rulemaking Work (only considering the 91% 113% 80% 88% programme task R committed for during the Year N of the (Year N – N+3) adopted Rulemaking work Programme) • Percentage of positive feedback received from 61% Improving/ stakeholders on the Non‑NAAs 10 n/a 75% n/a streamlining Rulemaking process the Rulemaking • Percentage of 74% NAAs 11 n/a 60% n/a processes initiatives completed 100% from the recent stakeholder survey 9 The targets set for 2012 and 2013 are defined in FTEs and not percentages. The KPI definition has been reviewed accordingly.

10 Stakeholder survey for 2013 will be carried out in 2014.

11 Same as above.

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PRODUCT SAFETY OVERSIGHT

Result Result Target Objective KPI Result 2013 2011 2012 2013 78% The available resources Number of yearly Ensure minimum (internal & external) are not technical working level of continuing yet sufficient to cope with hours performed as 88% 85% 92% airworthiness the planned involvement a percentage of planned oversight in the field of continuing hours airworthiness oversight Number of technical Ensure adequate working hours n/a fulfilment of all performed per project as 114% n/a 92% Flight Standards a percentage of planned certification tasks hours 81% Enhancement of Internalise outsourcing control across certification Internal hours as the Directorate has led project and CAW a percentage of total 76% 76% 75% to better use of internal tasks in line with hours resources. This is also in internalisation in line with the current policy (Average) outsourcing strategy Internalise Flight Standards Internal hours as n/a certification a percentage of total n/a n/a 26% tasks in line with hours internalisation policy Share of technical hours (project work) as a percentage of total Improve efficiency hours 15 82% 84% 78% 84% of technical staff 1. Product Certification 2. Flight Standards Services Percentage of positive Satisfaction of feedback received 71% 77% 76% n/a Industry through stakeholders feedback questionnaires 12 Due to the evolution of the working methodology, Flight Standards and Product Certification were incorporated as a consequence of the reorganisation in 2011. Therefore, since 2012 this KPI is not measured anymore and will not be used in future documents.

13 Due to the transitional/interim period for some Flight Standards certification tasks (in particular OEB and FSTD), limited data are available from NAAs.

14 Due to the evolution of the working methodology, Flight Standards and Product Certification were incorporated as a consequence of the reorganisation in 2011. Therefore, since 2012 this KPI is not measured anymore and will not be used in future documents.

15 KPIs merged as of 2011.

16 Stakeholder survey for 2013 will be carried out in 2014.

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ORGANISATION APPROVALS

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 Establish means of NAA surveillance performance Monthly checks in order to planning from ensure common Number of NAA January until application of visits accompanied December 5% quarterly pro rata organisation’s by EASA team 5% 2012 has been 5% achieved surveillance; no leaders or EASA executed to matter whether management staff 100%. Target surveillance will be of 5% has been performed by EASA reached or a NAA on its behalf Imp. has been New remits Implement new executed in implemented.

New remits New remits remits, taking into Availability of as much as Feedback to have been implemented account changes to implementation drafting of Rulemaking successfully and the implementation plan procedures Directorate w.r.t.

implemented consolidated dates and forms has lessons learned (rule been finalized changes) finalised Outsourcing Support to procedures tendering Preparation were Advances made in process is Outsourcing of adequate established, Outsourcing preparation and on‑going, procedures procedures for tasks have procedures implementation support to implemented.

NAA outsourcing been implemented of outsourcing accreditation Feedback loops to with regard to new outsourced incl. for QEs procedures had been NAAs/QE established remits to qualified scheduled entities and (new remits) NAAs already Concept Implementation had been Develop a risk is on‑going and Implementation extended to all Tailored based surveillance will depend on of the risk based Organisations procedures Implementation system with the level of SMS surveillance phases approvals in CAO, POA of Risk based defined testing and implementation vs implementation remits, and DOA have oversight implementation requested by the plan coordination been adjusted phases affected regulations with S.1 and (DOA, MOA, POA) S.4 is on‑going Annual General Report 2013

P A G E 63 Annexes

INSPECTION IN MEMBER STATES

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 100% 100% accomplished accomplished Complete the in all domains in all domains agreed number 100% of planned (plus of visits as per Percentage of visits incl. 95% (plus a significant the approved planned visits a certain number (89 out of a significant number of Standardisation carried out of ad‑hoc and 94 planned) number of additional Inspection Annual follow up visits additional ad‑hoc and Programme ad‑hoc and follow‑up follow‑up visits) visits) 1 STD AIR meeting Maintain the Target conduct of 1 STD ACW meeting Target achieved achieved Extend the scope standardisation 3 STD OPS meeting Improve the (std. meetings and ensure meetings in (std. meetings proactive were the conduct of all domains 2 STD ANS meeting were standardisation conducted in standardisation (ensuring that conducted in approach 1 STD AIR workshop all existing meetings the most relevant all existing domains) scope for NAAs is 1 STD MED workshop domains) addressed) 1 STD FSTD workshop Data collection on‑going, summary will be provided Ensure that in the Annual Assess the each section has Standardisation Annual analysis impact of the performed an Report 2013 which per scope implementation annual analysis is always published performed of the Basic in the context of in the following 100% 100% Regulation and its (in the context the Annual Std. year. All sections implementing rules of the Annual Report covering have performed an (Art 24.3) Standardisation all applicable annual analysis for Report) domains (ref. BR 2012 in the context (3rd strategic pillar) and its IRs) of the Annual Standardisation Report which was published in 2013 Annual General Report 2013

Annexes P A G E 64

OPERATORS

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 Participate Number of to seminars, initiatives 7 3 At least 3 3 conferences, road attended outside shows the routine events Present the EC‑SAFA system during relevant international Number of conferences and external on request of presentations 5 6 5 6 individual States and exchanges in order to align with third country ramp‑inspections authorities methods with other major aviation authorities 87% of planned visits Complete the Percentage (two cancelled visits, agreed number of of planned 100% of one upon the request 100% n/a standardisation inspections planned visits of Azerbaijan and one inspections carried out as FYROM failed to sign the WA) Completion of training This objective has Qualification of with an EASA Achieved n/a n/a been regarded as SAFA inspectors approved training obsolete organisation Develop process Draft procedures Process for the evaluation available. Finalisation established in the n/a n/a Process applied of SAFA training subject to decision on Agency’s BPM tool organisations cost recovery Initiate and implement Development and Major upgrade Minor update Ease of use and New Database change update of the SAFA deployed in deployed. Well quality of output deployed requests database October 2012 received by industry based on user feedback Annual General Report 2013

P A G E 65 Annexes

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 Draft Draft procedure procedure developed developed in in BPM tool; ARIS; Business Establish the Business Analysis necessary processes Analysis Document and procedures, Document has has been including a full Procedures been established established Initial database for the and processes, Draft procedures for the TCO for the TCO procedures collection, analysis database business and processes ready software software applied and and management of requirements, to be reviewed and application; application; reviewed and the authorisations, application forms adjusted in ARIS, once regular regular adjusted as together with and funding IR is published meetings took meetings took necessary the necessary scheme place with the place with the modifications F directorate for F directorate implemented in the the integration for the Agency’s ERP tool of TCO admin integration procedure in of TCO admin SAP procedure in SAP In Q4 2013, the Rulemaking Communication TCO implementing procedure Successful activities Completed rule was sent to the Smooth for envisaged implementation of performed; assessment parliament. Ready to implementation of Part‑TCO the implementing confidence of 50% of the implement the IR and the implementing delayed rule on TCO model transition assess the transition rule (Opinion authorisations developed and cases cases, once the IR is published in tested published (expected Dec 2012) in Q1 2014) 2 missions Support the for CION (EU Two ASC meetings Commission in Safety List); took place as the context of planned. Preparatory EC Regulation Support the 13 (ASC 14 ASC ASC meetings meetings took place No 2111/2005 Commission as meetings; hearings/ as planned as requested.

of the European requested pre‑hearings) meetings in Parliament and Brussels; 3 missions: of the Council of 19 hearings 7 mission with 14 December 2005 ICAO USOAP Annual General Report 2013

Annexes P A G E 66

INTERNATIONAL COOPERATION

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 • Percentage negotiation 98% Promote EASA system actively initiated within the via bilateral agreements n/a 98% 90% of 97% initially agreed deadline (BASA), working coordination • Percentage of the number 100% 98% 96% arrangements (WA) and meetings of coordination meetings, as local representatives organised follow‑up of the agreements Support Commission coordination of ICAO Percentage of State Letters State Letters (SL) (SL) recommendations 100% 97% 90% 100% in accordance with provided on time Commission procedure Develop and implement Technical Cooperation Number of technical activities Activities such as training organised for disseminating and technical workshops 20 events 27 events 15 events 53 events and explaining the EU for the benefit of the regulations international partners authorities Support the EC Number of projects with in the definition, direct EASA involvement implementation and (participation in Projects’ 19 projects 13 projects 8 projects 9 projects evaluation of EU Civil Steering Committee Aviation Cooperation meetings, contribution to Programmes Technical activities, etc.)

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SUPPORT ACTIVITIES

Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 Process applications in a timely manner Percentage of applications to pursue quality allocated within 5 working 73% 80% 80% 84% and continuous days from receipt improvement of service to the industry Process closure documents in a timely Percentage of certificates manner to pursue issued within 2 working 90% 88% 90% 92% quality and continuous days from technical visa improvement of receipt service to the industry Percentage of invoices Meet the terms of the processed (payment framework contracts initiated) within 45 99% 100% 98% 100% with the NAAs calendar days from invoice registration Percentage of high‑value (>60k) planning (reviewed Offer adequate in September) achieved at procurement service the end of the year (number 96% 95% 95% 100% to the business of procedures, number of signed contracts, budget volume) Percentage of executed Maintain commitments compared to a high budget 98% 97% 98% 98% the forecast considering the implementation rate whole annual budget Improve the efficiency Average number of days to of the debt recovery 98 74,2 75 59,3 cash recovery orders process Provide adequate Scoreboard provided for management 4 4 4 4 each MB meeting reporting to the MB 17 The 2013 target reported in the 2013 Work Programme (95 days) has been reviewed due to change in calculation method.

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Objective KPI Result 2011 Result 2012 Target 2013 Result 2013 Functional and technical requirements Pilot project and design (Certification of the Review Items) Establish common generic DM delivered, records management functionalities Evaluation of Successful roll out of Business evaluated and system across drafted. C‑Dir pilot project records management across assessment closed. Roll EASA that satisfies pilot project and roll out of all departments completed out projects compliance and ISO developed phase 2 for Phase 2 9001 requirements and ready proposed for for testing.

decision by Design for COMINFO R‑Dir pilot project initiated.

Successful ISO.

Assessment by an external Certificate Certificate Certificate ISO 9001 Certification body maintained maintained renewed Recertification in 2013 100% up to 2013 Risk date. 2012 Perform an annual 100% up to 100% up to register Up to date risk register Risk Register risks analysis exercise date date released in finalised and May 2013 up to date Percentage of authorised Implementation of the Temporary Agents posts 99,8 % 97 % 98% 94% Establishment Plan that are filled by the end of the year Q1 100% Ensure the Q2 110% development, implementation and Developed courses versus Q3 14 out of 0 122% n/a 75% delivery of technical planned planned training related Q4 6 out of 0 activities to the stakeholders identified planned by the Agency’s Delivered courses versus strategy 72% n/a 75% 87% planned 18 The definition of KPI has been corrected. In the 2013 Work Programme it reads as follows: “ Percentage of authorised Temporary Agents posts that are filled by the end of 2010 ”.

19 The number of recruitments was revised downwards against the amended 2013 budget and in anticipation of the decreased Establishment Plan in 2014.

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Annex 5: Waivers of recoveries

According to article 62 ‑ Waiving of recovery of an established amount receivable, in the current EASA Imple ‑ menting Rules, waivers involving EUR 100 000 or more should be reported. Below is a relation of such cases which took place in 2013: Customer SKY AIRCRAFT Waiver EUR 462 881,80 Reason Bankruptcy of the customer Annual General Report 2013

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Annex 6: Agency’s financial performance in 2013

(EASA Budget Implementation)

6.1. Preliminary Budgetary Outturn Account for 2013

( All figures in thousands of euros - € ‘000 ).

The budget accounts give a detailed picture of the implementation of the budget. They are based on the modi ‑ fied cash accounting principle.

2013 2012 REVENUE Commission subsidy (for the operating budget ‑ Titles 1,2 and 3 ‑ of the agency) 35,830 35,728 Phare funds from Commission 4,689 2,924 Other contributions and funding received via the Commission 1,407 1,514 Fee income 81,942 74,241 Other revenue 1,003 727 TOTAL REVENUE (a) 124,870 115,132 EXPENDITURE Title I:Staff 69,438 64,276 Title II: Administrative Expenses 15,934 13,563 Title III: Operating Expenditure excluding assigned revenues from Fees and charges 53,894 56,812 Assigned revenue carried over from F&C 27,757 24,197 TOTAL EXPENDITURE (b) 167,024 158,848 OUTTURN FOR THE FINANCIAL YEAR (a‑b) (42,154) (43,716) Cancellation of unused payment appropriations carried over from previous year 555 1,612 Adjustment for carry‑over from the previous year of appropriations available at 31.12 42,402 42,177 arising from assigned revenue Exchange differences for the year (gain +/loss ‑ ) (5) (12) BALANCE OF THE OUTTURN ACCOUNT FOR THE FINANCIAL YEAR 798 62 Balance year N ‑ 1 62 1,361 Positive balance from year N ‑ 1 reimbursed in year N to the Commission (62) (1,361) Result used for determining amounts in general accounting 798 62 Commission subsidy ‑ agency registers accrued revenue and Commission accrued 35,032 35,666 expense Pre‑financing remaining open to be reimbursed by agency to Commission in year N+1 798 62 Not included in the budget outturn: Interest generated by 31/12/N on the Commission subsidy funds and to be reimbursed to 80 55 the Commission (liability) 20 The final report from the European Court of Auditors on the EASA 2013 accounts is expected to be received in June 2014.

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6.2 Preliminary 2013 Budget Implementation

( All figures in thousands of euros - € ‘000 ).

2013 2012 Payments Commitment Payments Commitment TITLE I ‑ Staff expenses Budget appropriation ‑ C1+R0+C4+C5(1) 70,719 70,719 66,743 66,743 Committed 69,437 64,265 Paid 68,774 63,520 Automatic carryovers 665 756 Total expenditure/commitment (2) 69,438 69,437 64,276 64,265 Appropriations carried over from assigned revenue (3) 1 11 Cancelled 1,280 1,280 2,467 2,467 % used on budget appropriation (2+3)/(1) 98.19% 98.19% 96.30% 96.30% TITLE II ‑ Administrative expenses Budget appropriation ‑ C1+R0+C4+C5(1) 16,280 16,280 14,193 14,193 Committed 15,918 13,559 Paid 12,740 10,198 Automatic carryovers 3,194 3,365 Non‑automatic carryovers Total expenditure/commitment (2) 15,934 15,918 13,563 13,559 Appropriations carried over from assigned revenue (3) 17 4 Cancelled 346 346 630 630 % used on budget appropriation (2+3)/(1) 97.88% 97.88% 95.56% 95.56% TITLE III ‑ Operating expenses Budget appropriation ‑ C1+R0+C4+C5(1) 82,318 82,318 82,726 82,726 Committed 49,865 54,456 Paid 33,282 32,399 Automatic carryovers 48,368 48,610 Non‑automatic carryovers Total expenditure/commitment (2) 81,651 49,865 81,009 54,456 Appropriations carried over from assigned revenue (3) 31,786 26,553 Cancelled 667 667 1,716 1,716 % used on budget appropriation (2+3)/(1) 99.19% 99.19% 97.93% 97.93% Annual General Report 2013

Annexes P A G E 72

2013 2012 Payments Commitment Payments Commitment TOTAL Budget appropriation ‑ C1+R0+C4+C5(1) 169,317 169,317 163,661 163,661 Committed 135,220 132,280 Paid 114,796 106,118 Automatic carryovers 52,228 52,731 Non‑automatic carryovers 0 0 Total expenditure/commitment (2) 167,024 135,220 158,848 132,280 Appropriations carried over from assigned revenue (3) 31,804 26,568 Cancelled 2,293 2,293 4,813 4,813 % used on budget appropriation (2+3)/(1) 98.65% 98.65% 97.06% 97.06% Major aspects of the implementation of the budget In 2013, the Agency has used only non‑differentiated appropriations.

The total consumption of commitment appropriations reached 167.024 K€ (158.848 K€ in 2012), of which 135.220 K€ (132.280 K€ in 2012) have been committed and 31.804 K€ (26.568 K€ in 2012) on credit appropria ‑ tions from assigned revenue were automatically carried over as per Article 15 of the EASA Financial Regulation.

The total consumption of payment appropriations reached 167.024 K€ (158.848 K€ in 2012), of which 114.796 K€ (106.118 K€ in 2012) have been paid and 52.228 K€ (52.731 K€ in 2012) were automatically carried over (20.424 K€ on commitments and 31.804 K€ on credit appropriations from assigned revenue).

Budget Implementation by Title 2013 2012 Title I Title I .% .% Title III Title III .% .% Title II Title II .% .% Annual General Report 2013

P A G E 73 Annexes

Administrative Appropriations (Title I and II) Staff expenditure increased by 5.162 €K in 2013 to 69.438 €K (64.276 €K in 2012). This growth is driven largely by the staff evolution required in particular to support the Agency’s certification role in relation to its new remits.

Staff expenditure rose slightly as a percentage of the overall budget in 2013 to 41.6% (40.5% ‑ 2012).

Other administrative expenditure also rose slightly as an overall percentage of the Agency’s budget and in ab ‑ solute terms to 15.934 €K ‑ 9.5% (13.563 €K ‑ 8.5% in 2012). This is in line with staff increases and reflects the reclassification of all IT appropriations as administrative expenditure.

Operational Appropriations (Title III) Operational expenditure increased slightly by 0.642 €K in 2013 to 81.651 €K (81.009 €K in 2012). As a percentage of the Agency’s overall budget, operational expenditure reduced by 2.1% during 2013 to 48.9% (51.0% in 2012) reflecting the Agency’s continued internalisation strategy in certification and approval activities and the catego ‑ risation of all IT expenditure as administrative cost.

The credit appropriations from assigned revenue of 31.804 K€, which were carried over automatically, are com ‑ posed of 27.757 K€ external assigned revenue from Fees and Charges and 4.047 K€ from other assigned revenue (3.538 K€ earmarked for technical assistance and cooperation projects and 0.509 K€ of internal assigned revenue).

Appropriations corresponding to earmarked revenues of 5.797 K€, to continue with technical assistance and cooperation projects with third countries, were estimated and authorised in the Final Budget for 2013. The amounts actually received including amounts carried over from 2012 totalled 7.390 K€ of which 3.852 K€ were committed and 3.538 K€ credit appropriations have been automatically carried over to 2013.

Overall Budget Implementation Rate As a result of comprehensive in year budget monitoring, the final C1 budget implementation rate for 2013 was 98% (95% ‑ 2012) whilst the overall budget implementation rate, including adjustments for assigned revenues, reached 99% (97% ‑ 2012).

6.3. Preliminary Economic Outturn Account 2013

(All figures in thousands of euros - € ‘000).

The financial statements show all charges and income for the financial year based on accrual accounting rules complying with the EC Accounting Rules.

6.3.1. Aggregated Fees and Charges and subsidy 2013 2012 OPERATING REVENUE Fees and Charges 78,324 76,600 Contribution from EU entities 37,903 36,549 Recovery of expenses 1,062 751 Contribution from EFTA countries 991 994 TOTAL OPERATING REVENUE 118,280 114,895 Annual General Report 2013

Annexes P A G E 74

2013 2012 OPERATING EXPENSES Staff expenses (67,819) (63,925) Buildings and related expenses (7,716) (8,325) Other expenses (7,706) (6,511) Depreciation and write offs (2,192) (3,293) Outsourcing and contracting activities (35,684) (36,942) TOTAL OPERATING EXPENSES (121,117) (118,996) SURPLUS (DEFICIT) FROM OPERATING ACTIVITIES (2,837) (4,101) NON OPERATING REVENUES (EXPENSES) Interests received from third parties 603 519 Interests & charges paid to third parties (54) (33) SURPLUS (DEFICIT) FROM NON OPERATING ACTIVITIES 549 486 SURPLUS (DEFICIT) FROM ORDINARY ACTIVITIES (2,288) (3,615) SURPLUS (DEFICIT) FROM EXTRAORDINARY ITEMS ‑ ‑ NET SURPLUS (DEFICIT) FOR THE PERIOD (2,288) (3,615) 6.3.2. Fees and Charges only 2013 2012 OPERATING REVENUE Fees and Charges 78,324 76,600 Contribution from EU entities 0 Recovery of expenses 570 470 Contribution from EFTA countries 0 TOTAL OPERATING REVENUE 78,893 77,071 OPERATING EXPENSES Staff expenses (42.811) (39,371) Buildings and related expenses (4.886) (5,238) Other expenses (4.803) (4,048) Depreciation and write offs (1.415) (2,166) Outsourcing and contracting activities (27.356) (27,689) TOTAL OPERATING EXPENSES (81,271) (78,511) SURPLUS (DEFICIT) FROM OPERATING ACTIVITIES (2,378) (1,440) Annual General Report 2013

P A G E 75 Annexes

2013 2012 NON OPERATING REVENUES (EXPENSES) Interests received from third parties 603 519 Interests & charges paid to third parties (36) (21) SURPLUS (DEFICIT) FROM NON OPERATING ACTIVITIES 567 498 SURPLUS (DEFICIT) FROM ORDINARY ACTIVITIES (1,811) (943) SURPLUS (DEFICIT) FROM EXTRAORDINARY ITEMS NET SURPLUS (DEFICIT) FOR THE PERIOD (1,811) (943) 6.3.3 Subsidy only 2013 2012 OPERATING REVENUE Fees and Charges Contribution from EU entities 37,903 36,549 Recovery of expenses 492 280 Contribution from EFTA countries 991 994 TOTAL OPERATING REVENUE 39,386 37,824 OPERATING EXPENSES Staff expenses (25.008) (24,554) Buildings and related expenses (2.830) (3,087) Other expenses (2.902) (2,463) Depreciation and write offs (777) (1,127) Outsourcing and contracting activities (8.328) (9,253) TOTAL OPERATING EXPENSES (39,846) (40,485) SURPLUS (DEFICIT) FROM OPERATING ACTIVITIES 459 (2,661) NON OPERATING REVENUES (EXPENSES) Interests received from third parties Interests & charges paid to third parties (18) (12) SURPLUS (DEFICIT) FROM NON OPERATING ACTIVITIES (18) (12) SURPLUS (DEFICIT) FROM ORDINARY ACTIVITIES (477) (2,672) SURPLUS (DEFICIT) FROM EXTRAORDINARY ITEMS NET SURPLUS (DEFICIT) FOR THE PERIOD (477) (2,672) Annual General Report 2013

Annexes P A G E 76

Annex 7: Procurement procedures launched

and/or finalised in 2013

Status Complete Complete Complete Complete Complete Complete Complete Complete Complete Complete Complete Contract Signature 02/07/2013 02/07/2013 TBC 18/06/2013 07/06/2013 27/05/2013 07/06/2013 25/06/2013 10/06/2013 28/05/2013 30/05/2013 ‑ ‑ ‑ ‑ ‑ Successful Tenderer Lease Agreement: Projektgesellschaft Konrad‑Adenau er‑Ufer Köln GmbH & Co KG represented by Hochtief Works contract: HOCHTIEF Projektent wicklung GmbH Parking in adjacent building: CA Immo Deutschland GmbH facts and fiction GmbH ergo Unternehmen skommunikation GmbH & Co. KG Media Consulta Inter national Holding AG ergo Unternehmen skommunikation GmbH & Co. KG Eworx S.A. Bilbomatica S.A. MCS Kick & Rush SPRL BVBA Baretz SRL Contract Ref. N/A N/A N/A (i) EASA.2013. FC01 (ii) EASA.2013. FC02 (i) EASA.2013. FC03 (ii) EASA.2013. FC04 (i) EASA.2013. FC05 (ii) EASA.2013. FC06 (i) EASA.2013. FC07 (ii) EASA.2013. FC08 Total (max) value N/A N/A N/A € 3,000,000.00 € 1,000,000.00 € 500,000.00 € 500,000.00 ‑ ‑ ‑ ‑ ‑ ‑ Type of Contract Lease Agree ment Works Contract Service / Lease Agree ment Frame work Frame work Frame work Frame work ‑ ‑ ‑ ‑ Event Commu Website Layout & ‑ ‑ ‑ ‑ Title of contract Development, Rental and Estab lishment of an Office Building for the European Avia tion Safety Agency (EASA) Communication Services Management Communication Services nication Strategy Advice Communication Services Extensions & Web Services Communication Services Production of pro motional Material ‑ Lot No. Lease Works Addi tional Parking Lot 1 Lot 2 Lot 3 Lot 4 Ref. EASA.2010. NP.23 EASA.2012. OP.16 Type of Procedure NP OP D F E Annual General Report 2013

P A G E 77 Annexes

Status Complete Complete Complete Complete Complete Complete Complete Complete Complete Complete Contract Signature N/A 07/06/2013 13/11/2013 16/06/2013 22/07/2013 22/07/2013 18/07/2013 03/09/2013 28/08/2013 30/08/2013 ‑ ‑ ‑ ‑ ‑ ‑ ‑ ‑ ‑ Ing Kunibert Len ‑ Successful Tenderer CFT launched how ever subsequently cancelled GUT Certifizierungsge sellschaft für Managementsysteme mbH Umweltgutachter Deloitte Tax & Con sulting S.à r.l. Bishop GmbH Ernst & Young Real Es tate GmbH Drees & Sommer Pro jektmanagement und bautechnische Bera tung GmbH BMP Baumanagement GmbH Cgmunich GmbH Consortium: Reali ty Consult GmbH & ikl Ingenieurbuero Prof. Dr. nerts GmbH Ernst & Young Real Es tate GmbH Contract Ref. N/A E.3.2013.FC01 EASA.2013. FC23 EASA.2013. FC09 (i) EASA.2013. FC10 (ii) EASA.2013. FC11 (iii) EASA.2013. FC12 (i) EASA.2013. FC13 (ii) EASA.2013. FC14 (iii) EASA.2013. FC15 Total (max) value € 3,000,000.00 € 50,000.00 € 400,000.00 € 4,500,000.00 € 2,400,000.00 € 1,600,000.00 ‑ ‑ ‑ ‑ ‑ ‑ Type of Contract Frame work Frame work Frame work Frame work Frame work Frame work ‑ ‑ ‑ ‑ ‑ ‑ ‑ ‑ ‑ ‑ Title of contract Further develop ment, maintenance and implemen tation of SOFIA (Safety Oversight Facilitated Integrat ed Application) in EASA Partner States Framework contract for cer tification of EASA integrated management sys tem against ISO standard Assistance to pro cess modelling with ARIS Temporary Workers for the Europe an Aviation Safety Agency Property Consul tancy and Project Supervision/Man agement Services Facility Manage ment Consultancy Services Lot No. Lot 1 Lot 2 Ref. EASA.2012. OP.29 E.3.2013. NP.01 EASA.2013. OP.05 EASA.2013. OP.04 EASA.2013. OP.06 Type of Procedure OP LVP OP OP OP D E E E E F Annual General Report 2013

Annexes P A G E 78

‑ ‑ ‑ Status Complete Contracts in circu lation for coun ter‑signa ture Complete Complete Complete Complete Complete Contract Signature 21/11/2013 TBC 19/08/2013 24/09/2013 16/10/2013 08/10/2013 08/10/2013 ‑ ‑ ‑ Successful Tenderer National Research Council Canada Carl Duisberg Centren GmbH Volkshochschule Koeln Volkshochschule Koeln Carl Duisberg Centren GmbH Volkshochschule Koeln Pan Praxisklinik am Neumarkt GmbH & Co. KG Consortium UniSys tems SA (leader) and Serco Belgium SA Deloitte Consulting cvba Consortium Atos Bel gium s.a. (leader) and Trasys s.a. Consortium Atos Bel gium s.a. (leader) and Trasys s.a.

Contract Ref. EASA.2013.C22 (i) EASA.2013. FC30 (ii) EASA.2013. FC31 EASA.2013. FC32 (i) EASA.2013. FC33 (ii) EASA.2013. FC34 EASA.2013. FC16 (i) EASA.2013. FC17 (ii) EASA.2013. FC18 (iii) EASA.2013. FC19 EASA.2013. FC20 Total (max) value € 150,000.00 € 350,000.00 € 350,000.00 € 70,000.00 € 250,000.00 € 4,500,000.00 € 7,000,000.00 ‑ ‑ ‑ Type of Contract Direct Frame work Frame work Frame work – ‑ ‑ IT IS ‑ ‑ ‑ De‑icing fluid ‑ Title of contract DIFT wind tunnel testing Language tuition on EASA premises Language tui tion outside EASA premises TELC testing Provision of Medical Services Pre‑employment Medical Examina tions for New Staff Members & Annual Medical Check‑ups for Existing Staff Members ICT Services infrastructure support and de velopment of and maintenance for in‑house business applications ICT Services infrastructure support Lot No. Lot 1 Lot 2 Lot 3 Lot 1 Lot 2 Ref. EASA.2013. OP.08 EASA.2013. OP.07 EASA.2013. OP.09 EASA.2013. RP.10 Type of Procedure OP OP OP RP D E E E F Annual General Report 2013

P A G E 79 Annexes

Status Complete Complete Complete Complete Complete Complete Complete Complete Complete Complete Contract Signature 18/11/2013 N/A 19/12/2013 28/06/2013 27/07/2013 26/04/2013 24/05/2013 28/06/2013 11/11/2013 04/06/2013 ‑ ‑ – ‑ ‑ Successful Tenderer Bishop GmbH Procedure cancelled no suitable offers received. Consortium between Airbus Operations SAS (leader) and Centre National de la Re cherche Scientifique (partner) Banque et Caisse d’Epargne de l’Etat (BCEE) Luxembourg Consortium between ECORYS Nederland (leader) and NLR DTZ Consulting Brussels SA IRM Versicherungsber atung GmbH J.W. Pulles Stichting Nationaal Lucht en Ruimtevaartlabora torium (NLR) ACI Europe Contract Ref. EASA.2013.C21 N/A EASA.2013. FC27 N/A EASA.2011. FC25. SC03 500004869 F.4.2013.FC01 EASA.2011. FC15. SC03 EASA.2011. FC14. SC01 EASA/ PO/2013/ 500004973 Total (max) value € 120,000.00 € 80,000.00 € 800,000.00 N/A € 180,800.00 € 158,161.86 € 60,000.00 € 119,620.00 € 113,964.00 € 12,000.00 ‑ ‑ ‑ ‑ ‑ ‑ ‑ ‑ reo reo reo ‑ ‑ ‑ Type of Contract Direct Direct Frame work Direct SC pening of competi tion Works Contract Frame work SC pening of competi tion SC pening of competi tion Direct ‑ ‑ ‑ ‑ first ‑ ‑ ‑ – Con Deposit/savings Title of contract CODAMEIN III Composite Damage Metrics and Inspection Electronic Flight Bag (EFB) weight and balance applications HighIWC II tribution to the definition of Ice Water Content of clouds at High altitude Banking Services ‑ account Study on models and methodology for safety assess ment of runway end safety areas (RESA) Brussels office extension works Insurance consul tancy Services Support to the CAEP forecasting and economics sup port group (FESG) Support to CAEP Economic Analysis (CAEP II) ADR rules workshops Lot No.

Ref. EASA.2013. OP.12 EASA.2013. OP.14 EASA.2013. NP.15 F.2.2.2013. NP.01 EASA.2011. OP.14/ L2.04 EASA.2013. NP.16 F.4.2013. NP.01 EASA.2011. OP.14/L1.02 EASA.2011. OP.14/L1.03 R.5.2013. NP.01 ‑ ‑ ‑ Type of Procedure OP OP NP LVP ROC ASSESS NP NP ROC ASSESS ROC ASSESS NP D E E E F R F F R R R Annual General Report 2013

Annexes P A G E 80

‑ Status Complete Complete Complete Complete Request for clar ification on‑going Complete Complete Complete no ‑ Contract Signature 02/04/2013 N/A offers received 08/07/2013 01/01/2014 TBC 25/10/2013 03/09/2013 16/12/2013 ‑ ‑ ‑ NLR ‑ no suitable offers Successful Tenderer Redeker Sellner Dahs Procedure cancelled ‑ received. Mobistar SA/NV Agreement with 10 Hotels TBC Lyreco Deutschland GmbH Consortium between Egis Avia (leader), Bu reau Veritas, CAA International, SGI Avi ation Services and Lufthansa Consulting Stichting Nationaal Lucht‑en Ruimtevaart laboratorium Contract Ref. R.7.2013.FC01 N/A 500005084 N/A TBC EASA.2011. FC01. AM01 & EASA.2011. FC05. AM01 EASA.2009. FC32. SU01 EASA.2013.C29 Total (max) value € 50,000.00 € 60,000.00 € 60,000.00 N/A € 60,000.00 N/A € 600,000.00 € 49,500.00 ‑ ‑ ‑ ‑ ‑ ‑ ‑ Type of Contract Frame work Frame work Frame work 10 agree ments Frame work Amend ment Contract Supple ment Direct ‑ ‑ ‑ ‑ 102/13, ‑ Title of contract Litigation support in General Court case No T Heli‑Flight GmbH & Co. KG vs EASA, and adjacent or similar services Mobile Commu nication Services Brussels Office Mobile Commu nication Services Brussels Office Hotels selection list 2014 for EASA visitors Internet/landline Services Brussels Office Office supplies for Brussels Office Further develop ment, maintenance and implementa tion of SOFIA in EASA Partner States (bridging contract) RECAT EU Lot No.

Ref. R.7.2013. NP.01 F.3.3.2013. NP.01 F.3.3.2013. NP.02 F4.2013. NP.17 F.3.3.2013. NP.03 EASA.2013. NP.20 EASA.2013. NP.22 E.2.2013. NP.08 Type of Procedure NP NP NP NP NP NP NP NP D E F F F F E E E Annual General Report 2013

P A G E 81 Annexes

Annex 8: Temporary Agents per activity

Temporary Draft Budget 2013 Draft Budget 2013 (EC Actual EOY 2012 MSPP 2012 (Ref only) Agents (EASA Proposal) Proposal) Total Total Total Total Safety Assessment and 17 18 18 18 Promotion Regulation 80 81 81 81 Product Safety 211 213 249 249 Oversight Standardisation 50 53 63 54 Organisation 60 65 69 69 Approvals Operators 14 17 29 22 International 16 15 15 16 Cooperation Support Activities 166 172 182 183 Total Agency 614 634 706 692 Delta year on year 58 F&C financed 400 405 464 465 Delta year on year 60 Subsidy financed 214 229 242 227 Delta year on year ‑ 2 Annual General Report 2013

Annexes P A G E 82

Annex 9: Staffing figures and demography

This part provides analysis and statistics of the staff employed at the end of the reporting period, according to different parameters such as nationality, gender and age. For all tables in this part, figures reflect the situation on 31.12.2013.

´ Figure 1: Establishment Plan Filled Posts on Establishment plan Filled Posts on Occupation rate on Category/Grade 31.12.2012 2013 31.12.2013* 31.12.2013 AD 480 551 510 93% 15 2 2 1 14 5 14 6 13 9 21 14 12 21 37 15 11 15 60 18 10 70 84 73 9 73 107 83 8 85 100 92 7 105 75 123 6 78 46 73 5 17 5 12 AST 133 141 137 97% 8 2 7 8 6 2 19 4 5 10 34 10 4 23 31 28 3 52 23 53 2 32 20 27 1 14 4 15 Total 613 692 647 93% Only Temporary Agent (TA) posts are considered in the table. This table shows the filled posts at the end of the reporting period and not the number of employed staff. It has to be noted that two structural part time pilots occupy only one post. Therefore, EASA employs 648 temporary agents while filling in 647 posts. In addition, 85 Contract Agents (CA) and 16 Seconded National Experts (SNE) have been employed at the end of 2013.

All posts authorised in the EASA Establishment Plan are defined as “Temporary”.

Annual General Report 2013

P A G E 83 Annexes

It should be noted that it is possible in EU institutions to “under‑occupy” posts which means to fill a post with a staff member whose contractual grade is lower than the theoretical grade attached to the post. In fact, the dis ‑ tribution of grades in the Establishment Plan corresponds to the “highest” authorised distribution of contractual grades, where the filled posts are counted from the highest to the lowest with a cascading mechanism.

´ Figure 2: Staff distribution by Directorate   % % E C R  S %  F %  % Staff considered: TA, CA, SNE ´ Figure 3: Gender distribution % F M % Staff considered: TA, CA, SNE Annual General Report 2013

Annexes P A G E 84

´ Figure 4: Age distribution No of staff    .%  . %   .%    .%  .%   .%    .%    .%  .%   -   -   -   -   -   -   -   -   Age groups Staff considered: TA, CA ´ Figure 5: Nationality distribution   EASA staff by nationality                                     DE FR GB IT ES BE GR RO NL PL BG PT HU FI AT IE CH SE SK DK LV SI IS LT CY EE NO CR Staff considered: TA, CA Annual General Report 2013

P A G E 85 Annexes

Annex 10: Decision, Opinions and Notice of Proposed

Amendments (NPAs) in 2013

Decisions

Decision Task number Subject ED Decision 2013/001/R BR.008 Implementation of CAEP 8 amendments Update CS 34 to refer to the Environmental Technical Manual on ED Decision 2013/002/R RMT.0082 (34.002) Emissions Certification as amended after CAEP 8.

Update CS 36 to refer to the Environmental Technical Manual on ED Decision 2013/003/R RMT.0085 (36.006) Noise Certification as amended after CAEP 8.

Guidance Material related to the Aircraft Continuing ED Decision 2013/005/R RMT.0216 (M.027) Airworthiness Monitoring Guidance material for development of a safety risk assessment ED Decision RMT.0460 for flight operations with known or forecast volcanic cloud 2013/009/008/007/006/R contamination ED Decision 2013/010/R RMT.0067 (25.070) Incorporation of generic SC and AMC/GM in CS ‑ 25 RMT.0081 Certification Specifications for Gas balloons and Thethered gas ED Decision 2013/011/R (31.003&31.004) balloons Systematic review and transposition of existing FAA TSO for parts ED Decision 2013/012/R RMT.0186 (ETSO.008) and appliances into EASA ETSO Requirements on Air Navigation Service Provision and associated ED Decision 2013/013/R RMT.0149 (ATM.001 b) services (“AMC/GM on SERA”) ED Decision 2013/015/R RMT.0003 (LSA.001) Regular update of CS‑LSA ED Decision 2013/016/R RMT.0584 Amendment of the AMC for pilot medical certification (LAPL) ED Decisions 2013/017/ RMT.0289 (OPS.001 b) Implementing rules for air operations 018/019/020/021/022 List of type ratings This task has for objective to regularly update this living AMC, ED Decision 2013/024/R RMT.0461 which is used as a reference for issuing type ratings.

Envisaged deliverable: A decision updating Appendix I of AMC to Part ‑ 66.

ED Decision 2013/025/R RMT.0239 (MDM.038) Recommended practice for TBO extension ED Decision 2013/026/R RMT.0462 Software considerations for airborne systems and equipment Portable Electronic Devices (PEDs) ‑ AMC & GM to Part CAT ED Decision 2013/028/R RMT.0636 Amendment 1 ED Decision 2013/030/R RMT.0099 (20.006 b) Miscellaneous improvement to AMC 20 Approval requirements for Air‑Ground Data Link and ADS‑B in ED Decision 2013/031/R RMT.0559 (20.016 support of Interoperability requirements (related to NPA ‑ 2012 ‑ 19) ED Decision 2013/032/R RMT.518 AMC & GM to safety Key Performance Indicators (KPIs) Protection From Debris Impacts and Fire, ED Decision 2013/033/R RMT.0048 (25.028) Landing gear mechanism Annual General Report 2013

Annexes P A G E 86

Opinions Opinion Task number Subject Requirements for aerodrome operators and RMT.0136 competent authorities (IRs) Opinion 01/2013 RMT.0140 Requirements on aerodrome operations (IRs) Guidance Material related to the Aircraft Continuing Opinion 02/2013 RMT.0216 (M.027) Airworthiness Monitoring Opinion 03/2013 RMT.0198 (FCL.008 a) Qualifications for flying in IMC Alignment of the EASA and the Single European Sky Opinion 04/2013 RMT.0635 frameworks through the SES 2+ initiative Opinion 05/2013 RMT.0416 (OPS.009 a) Sterile flight deck procedures Opinion 06/2013 RMT.0222 (MDM.020), RMT.0553 Definition of “critical systems” Flight testing The objective is to establish, using material developed by the JAA, common rules applicable to design flight testing for certification purposes (e.g.: Opinion 07/2013 MDM.003 (a) to obtain approval for TC, change to TC, STC, repair design, etc.).

Envisaged deliverable: an opinion proposing amendment to Part 21.

Additional airworthiness requirements for Opinion 08/2013 RMT.0110 (21.039 k) operations (title changed) Opinion 09/2013 RMT.0327 (OPS.058 a) Transfer of JAA cabin safety tasks Task force for the review of Part‑M for General Opinion 10/2013 RMT.0463 Aviation RMT.0153 (ATM.003 a) / RMT.0154 Opinion 11/2013 Requirements on Air Traffic Controller licensing (ATM.003 b) Control of suppliers of components, parts and Opinion 12/2013 RMT.0093 (145.017), RMT.0555 appliances used in maintenance

Notice of Proposed Amendments (NPAs)

NPA Task number Subject RMT.0385, 0435, 0441 (OPS.087 NPA 2013 ‑ 13 SAFA and SACA a, b, c) NPA 2013 ‑ 10 RMT.0409, 0410 (OPS.093 a+b) Helicopter offshore operations RMT.0256 (MDM.062 a, former OPS.013 a) NPA 2013 ‑ 25 PBN Operational Approvals RMT.0257 (MDM.062 b former OPS.013 b) Updating Part‑MED (Annex IV to Regulation Aircrew) NPA 2013 ‑ 15 RMT.0287/.0288 (MED.001 a & b) and Acceptable Means of Compliance and Guidance Material NPA 2013 ‑ 22 RMT.0350-0351 (OPS.074) Helicopter Vibration Health Monitoring Annual General Report 2013

P A G E 87 Annexes

NPA Task number Subject RMT.0400 & RMT.0401 Amendment of requirements for flight recorders and NPA 2013 ‑ 26 (OPS.090(A) & OPS.090(B)) underwater locating devices List of type ratings This task has for objective to regularly update this living AMC, which is used as a reference for issuing NPA 2013 ‑ 03 RMT.0461 type ratings.

Envisaged deliverable: A decision updating Appendix I of AMC to Part ‑ 66.

Amendments (rule and AMC/GM) adapted to the NPA 2013 ‑ 12 RMT.0096 (145.023) process of granting foreign Part ‑ 145 approvals NPA 2013 ‑ 05 RMT.0003 (LSA.001) Regular update of CS‑LSA NPA 2013 ‑ 02 RMT.0048 (25.028) Protection from debris impacts Embodiment of Safety Management System (SMS) NPA 2013 ‑ 01 NPA 2013 ‑ 19 RMT.0251 (MDM.055) requirements into Commission Regulation (EC) No 2042/2003 NPA 2013 ‑ 04 NPA 2013 ‑ 18 RMT.0134 (27&29.029) Rotorcraft AMC Revision NPA 2013 ‑ 07 RMT.0225 (MDM.028 a) Development of an Ageing Aircraft Structure plan NPA 2013 ‑ 09 NPA 2013 ‑ 20 RMT.0569 Reduction of runway excursions (retrofit Part ‑ 26) NPA 2013 ‑ 11 RMT.0500 Regular update of CS ‑ 25 NPA 2013 ‑ 16 RMT.0583 (MDM.0032) A‑NPA on Flight test Engineer (FTE) Licensing Certification Specifications and Guidance Material for the development of the definition of scope of the aircraft validation source data to support the NPA 2013 ‑ 17 RMT.0108 (21.039 g) objective qualification of simulator(s) associated to the pilot type rating training (simulator data) — CS‑SIMD NPA 2013 ‑ 21 RMT.0119 (27&29.003) Yawing Conditions (Rotorcraft) Additional airworthiness specifications for operations: NPA 2013 ‑ 23 RMT.0070 (OLD 26.003) Fire hazard in Class D cargo compartments RMT.0559 (20.016) Approval requirements for Air‑Ground Data Link and NPA 2013 ‑ 06 RMT.0099 ADS‑B in support of Interoperability requirements (20.016b) RMT.0148 (ATM.001 a) RMT.0149 (ATM.001 b) Requirements on Air Navigation Service Provision and NPA 2013 ‑ 08 requirements on Competent Authorities in ATM/ANS RMT.0157 (ATM.004 a) RMT.0158 (ATM.004 b) Requirements for Apron Management Services at RMT.0485 aerodromes (IR) NPA 2013 ‑ 24 Requirements for Apron Management Services at RMT.0465 aerodromes(CS, AMC and GM) Development of AMC/GM for SKPI (ATM performance NPA 2013 ‑ 14 RMT.0518 / 0623 IR) for RP2 Annual General Report 2013

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Annex 11: Studies and research projects

In 2013, the following 4 projects, each of 6 to 15 months duration, were decided to be funded by the Agency fol ‑ lowing a successful tendering process and for a total budget of € 619,500.00: • CODAMEIN – III ‑ Composite Damage Metrics and Inspection (high energy blunt impact threat) • DIFT ‑ De‑icing fluid wind tunnel testing • HighIWC II ‑ Contribution to the Definition of Ice Water Content of Clouds at High Altitude • RECAT EU ‑ Review of the proposed re‑categorisation of aircraft wake turbulence separations and associated minima for application in EU The tendering process of the following project was not successful due to insufficient proposals: • Electronic Flight Bag(EFB) —Aircraft performance calculations and mass & balance ‑ Best practices for evaluation and use of EFB In 2013 the Agency received and accepted the final reports of the following projects: • APAG ‑ Whole‑aircraft emergency parachute (ballistic recovery) for GA • COCAM ‑ Comparison and harmonisation of Aircraft Collision Avoidance System (ACAS) event monitoring • COTS‑AEH ‑ Use of complex COTS (Commercial‑Off‑The‑Shelf) in airborne electronic hardware – failure mode and mitigation • EROMDAT ‑ Engine Rotor Material Damage Tolerance • ICAR ‑ Ice Accretion and Release in fuel systems • MASH ‑ Metallurgical Analysis of Standard Hardware parts • WATUS‑III ‑ Wake turbulence separation for new large aircraft In 2013 the Agency extended the date to 2014 for completion and final delivery of the following projects due to unforeseeable technical issue during the conduct of the project: • HELMGOP‑II ‑ Helicopter main gearbox loss of oil performance optimisation • VHM ‑ Helicopter vibration health Monitoring and alternative technologies Annual General Report 2013

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Annex 12: EASA Management Board Members

The EASA Management Board brings together representatives of the Member States and the European Commis ‑ sion. The Management Board is responsible for the definition of the Agency’s priorities, the establishment of the budget and for monitoring the Agency’s operation.

The Management Board met four times during 2013.

Composition

Members with voting rights European Commission and European Member States (28) Members without voting rights Norway, Liechtenstein, Iceland, Switzerland Albania, Bosnia and Herzegovina, FYROM, Montenegro, Serbia and United Observers Nations mission in Kosovo (to be nominated) Also, the EASA Advisory Board (EAB) participates in the Management Board meetings as observer.

Chair of the Management Board Deputy Chair of the Management Board Mr Michael SMETHERS (United Kingdom) Mr Pekka Hentu (Finland) The members of the Management Board are: Country Member Ms Silvia GEHRER Austria Bundesministerium für Verkehr, Innovation und Technologie Mr Frank DURINCKX Directeur Général Belgium Service Public Fédéral Mobilité Et Transport Direction Générale Transport Aérien Captain Mintcho TZVETKOV Director General Bulgaria Civil Aviation Administration Mr Dan SIMONIĆ Croatia Director General for Civil Aviation Electronic Communications and Postal Services Ministry of Maritime Affairs, Transport and Infrastructure Mr Iakovos DEMETRIOU Director Cyprus Department of Civil Aviation Ministry of Communications and Works 21 EASA MB Members current as on December 2013. A detailed list of EASA MB Members is available on the EASA website http://www.

easa.europa.eu/management‑board/management‑board.php .

Annual General Report 2013

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Country Member Mr Josef RADA Czech Republic General Director Civil Aviation Authority of the Czech Republic Mr Jesper RASMUSSEN Denmark Deputy Director General Danish Transport Authority Director General Estonia Civil Aviation Administration Mr Pekka HENTTU Finland Director General Civil Aviation, Finnish Transport Agency (TraFi) Mr Patrick CIPRIANI France Directeur de la sécurité de l’aviation civile Nord (DSAC/DSAC‑N) Mr Gerold REICHLE Director General ‑ Aviation and Space Division Germany Bundesministerium für Verkehr, Bau und Stadtentwicklung Mr Dimitrios N KOUKIS Greece Governor of Hellenic CAA Director General of Civil Aviation Civil Aviation, Maritime and Inland Navigation Department Hungary Ministry of National Development Mr Einar Orn HEDINSSON Director of the Flight Division and Iceland Deputy Director General of Civil Aviation The Icelandic Transport Authority Ms Ethna BROGAN Deputy Director General for Civil Aviation Ireland Aviation Regulation and International Relations Division Department of Transport Dott. Alessio QUARANTA Italy Director General Ente Nazionale per l’Aviazione Civile (ENAC) Mr Maris GORODCOVS Director General of Civil Aviation Latvia Civil Aviation Agency, Ministry of Transport Annual General Report 2013

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Country Member Mr Henrik CADUFF Office of Economic Affairs Liechtenstein Division Civil Aviation Mr Kestutis AURYLA Lithuania Director of Civil Aviation Administration Mr Claude WALTZING Directeur de l’Aviation Civile Luxembourg Ministère des Transports (MoT/CAA) Direction de l’Aviation Civile Mr Ian FALZON Director General for Civil Aviation Malta Transport Malta Civil Aviation Directorate Mr Rob HUYSER Director and Acting Director General The Netherlands Directorate of Civil aviation Ministry of Infrastructure and Environment Mr Stein Erik NODELAND Norway Director General Civil Aviation Authority Mr Piotr OŁOWSKI Poland President Civil Aviation Authority Mr Luís Miguel PEREIRA TRINDADE SANTOS Chairman of the Board Portugal Instituto Nacional de Aviação Civil (INAC) Mr Armand PETRESCU Romania Director General Romanian Civil Aeronautical Authority (RCAA) Mr Ján BREJA Slovak Republic Director Civil Aviation Authority Mr Damjan HORVAT Head of Aviation Division Slovenia Directorate of Civil Aviation Ministry of Infrastructure and Spatial Planning Annual General Report 2013

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Country Member Ms Isabel MAESTRE Director of AESA Spain Agencia Estatal de Seguridad Aerea (AESA) Ms Ingrid CHERFILS Sweden Director Civil Aviation Department Swedish Transport Agency Mr Marcel ZUCKSCHWERDT Director Switzerland Aviation Policy & Strategy Division Department of the Environment, Transport, Energy and Communications Mr Michael SMETHERS Director United Kingdom European & International Strategy Civil Aviation Authority Mr Matthias RUETE European Commission Director‑General Directorate‑General for Mobility and Transport Annual General Report 2013

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Annex 13: Analysis and assessment of the Annual

General Report of the Authorising Officer for 2013

rd Brussels, 3 June 2014 MB/02/2014

ANALYSIS AND ASSESSMENT OF THE ANNUAL GENERAL REPORT OF THE AUTHORISING

OFFICER FOR THE YEAR 2013

THE MANAGEMENT BOARD, Having regard to the Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008, Having regard to the Financial Regulation of the European Aviation Safety Agency (MB/06/2009) and in partic ‑ ular Article 40 thereof, Having regard to the Work Programme of the European Aviation Safety Agency for the year 2013 adopted by the Management Board at its meeting of 6 June 2012, Having regard to the Annual General Report of the Authorising Officer of the European Aviation Safety Agency for the year 2013 as submitted to the Board on March 2014 Management Board Meeting (MB 01/2014), 1. Welcomes the results presented in the Annual General Report of the Authorising Officer as well as the performance achieved in discharging the tasks under EASA’s Basic Regulation 216/2008.

2. The activity report is considered by the Management Board to provide a faithful and comprehensive account undertaken by the Agency in 2013. It notes that most of the actions outlined in the Annual Work Programme 2013 were achieved.

3. The Management Board also welcomes that the contents of the Annual General Report follow those of the Annual Work Programme 2013. The Agency is strongly encouraged to continue this practice in future reporting linking closer the two documents.

4. As part of providing the building blocks of assurance the Management Board is pleased to note the as ‑ sessment of the audit results and the follow‑up of audit recommendations.

5. The Management Board welcomes the addition of a special section describing the actions taken to prevent and manage conflict of interest.

rd Brussels, 3 June 2014 For the Management Board Michael Smethers Annual General Report 2013

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Annex 14: List of Acronyms

Acronym Explanation AACO Arab Air Carriers Organisation ACARE Advisory Council for Aeronautics Research and Innovation in Europe AD Airworthiness Directives AEA Association of European Airlines AFRA African Airlines Association AMC Acceptable Means of Compliance ANS Air Navigation Services ANSP Air Navigation Service Provider AP Alternative Procedure ARIS Business Process Management Tool ARO Authority Requirements for Air Operations ASC Air Safety Committee ATCO Air Traffic Controller ATM Air Traffic Management AWO All Weather Operations BASA Bilateral Aviation Safety Agreement BR Basic Regulation BPM Business Process Management CA Contract Agents CAA Civil Aviation Authority CAAC Civil Aviation Administration of China CAEP Committee on Environmental Protection CASIA Civil Aviation Safety Investigation Authorities CAST Commercial Aviation Safety Team CAT Commercial Air Transport CAW Continuing Airworthiness CICTT CAST ICAO Common Taxonomy Team CMA Continuous Monitoring Approach COA Continuing Airworthiness Organisation Approval CRI Certification Review Items CS Certification Specifications CSP Certification Service Providers Annual General Report 2013

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Acronym Explanation CSV Certification Support for Validation D Directorate DLR German Aerospace Centre DOA Design Organisation Approval EACCC European Aviation Crisis Coordination Cell EAD Emergency Airworthiness Directives EARPG European Aviation Research Partnership Group EASA European Aviation Safety Agency EASA MS EASA Member States EASAC European Aviation Safety Advisory Committee EASp European Aviation Safety Plan EC European Commission ECA European Cockpit Association ECAC European Civil Aviation Conference ECCAIRS European Co‑ordination Centre for Aviation Incident Reporting Systems ECR European Central Repository EFOD Electronic Filing of Differences EGNOS European Geostationary Navigation Overlay Service EHFAG European Human Factors Advisory Group ELFAA European Low Fare Airline Association ELG Electronic Learning Gateway ENCASIA European Network of Civil Aviation Safety Investigation Authorities EP European Parliament ERAA European Regional Airlines Association ERP Enterprise Resource Planning ESA European Space Agency ESSI European Strategic Safety Initiative ETSO European Technical Standards Order EU European Union FAA Federal Aviation Administration FCL Flight Crew Licensing FCLOA Flight Crew Licensing Organisation Approval FSTD Flight Simulation Training Devices FTL Flight Time Limitations GA General Aviation Annual General Report 2013

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Acronym Explanation GM Guidance Material IACA International Air Carrier Association IATA International Air Transport Association ICAO International Civil Aviation Organisation IHST International Helicopter Safety Team IIWG Inter‑institutional Working Group IMS Integrated Management System IORS Internal Occurrence Reporting System IPL Implementing Procedures IPPF Internal Professional Practices Framework IR Implementing Rule JCC Joint career Committee KPI Key Performance Indicator LVP Low Value Procedure MB Management Board MOA Maintenance Organisation Approval MRB Maintenance Review Board NAA National Aviation Authority NoA Network of Analysts NP Negotiated Procedure OEB Operations Evaluations Board OEM Original Equipment Manufacturers OP Open Procedure OSD Operational Suitability Data PBN Performance Based Navigation POA Production Organisation Approval PRB Performance Review Board QE Qualified Entities RAG Rulemaking Advisory Group RASG‑EUR Regional Aviation Safety Group ‑ Europe REP Risk Evaluation Process RMT Rulemaking Task RPAS Remotely Piloted Air System SACA Safety Assessment of Community Aircraft SAFA Safety Assessment of Foreign Aircraft Annual General Report 2013

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Acronym Explanation SARPS Standards and Recommended Practices SIB Safety Information Bulletins SMS Safety Management System SNE Seconded National Experts SOFIA EASA Safety Oversight Facilitated Integration Application SPO Specialised Operations SPOA Airbus European Single Production Organisation Approval SSCC Safety Standards Consultative Committee TA Temporary Agents TAG Thematic Advisory Group TCO Third Country Operators TF Task Force UAS Unmanned Air System USOAP Universal Safety Oversight Audit Programme WA Working Arrangement WG Working Group European Aviation Safety Agency 2013 Annual General Report Luxembourg: Publications Office of the European Union 2012 —97 pp. —21 × 29.7 cm ISSN 1831 ‑ 9599 doi:10.2822/50784 ISBN 978 ‑ 92 ‑ 9210 ‑ 189 ‑ 3 IMPRINT European Aviation Safety Agency (EASA) Communications & External Relations Department Ottoplatz 1 D-50679 Cologne Tel.: +49 (221) 89 99 00 00 Fax: +49 (221) 89 99 09 99 E-mail: communications@easa.europa.eu Reproduction is authorised provided the source is acknowledged.

This publication is largely based on the “Annual General Report” of the Agency for the year 2013 which the European Aviation Safety Agency established according to the requirements defined in Article 57 of Regulation (EC) No 216/2008.

The “Annual General Report” is published on the Agency’s website at www.easa.europa.eu.

TO-AC-14-001-EN-N