2. Accommodating Sub-orbital and Orbital (SOA) Flights in the EU Jean-Bruno MARCIACQ EASA-RM Officer, SOA Coordinator Regulation of Emerging Modes of Transportation (REMAT) Institute for Air & Space Law-McGill University, 25 May 2013

3. How to allow Sub-Orbital and Orbital Aircraft to fly in the EU?

4. Contents I. The institutional and legal framework II. The Role of EASA for Certification III. Status and Proposed regulatory approaches IV. Proposed Cooperation V. Conclusions IASL/REMAT - Montreal, Canada - EASA26 May 20133

5. I. The institutional and legal framework IASL/REMAT - Montreal, Canada - EASA26 May 20134

6. European Union and EFTA countries 26 May 2013 27 EU states 4 EFTA states IASL/REMAT - Montreal, Canada - EASA5

7. How the European Union works 26 May 2013IASL/REMAT - Montreal, Canada - EASA6

8. The institutions 26 May 2013 European Court of Justice European Council European Commission European Parliament Council of the European Union EASA IASL/REMAT - Montreal, Canada - EASA7

9. EASA is an Executive and Implementing Body of the EU and a Technical/Regulatory Agency, established by the EU Council and Parliament EASA is managed at Commission level by DG-MOVE (Transports), who also coordinates the adoption of EASA Opinions with the other DGs and EU-Institutions (Council, Parliament) EASA may also provide Technical Assistance to other EU institutions or DGs within its competences and in coordination with DG-MOVE DG-RTD (Research and Innovation) DG-ENTR (Enterprise) Research Projects in Aviation Safety: e.g. FAST20XX EASA in the EU Context (1/2) IASL/REMAT - Montreal, Canada - EASA26 May 20138

10. EASA is managed at the strategic and budgetary levels by a Management Board, composed of representatives of the Commission and EU-Member States EASA is financed by EU Subsidies for Rulemaking activities (to ensure its independence from stakeholders) EASA is self-financed for certification and oversight (standardisation) activities by the Fees and Charges Regulation (EC) 593/2007 Member States retain some implementing powers (Subsidiarity) EASA in the EU Context (2/2) IASL/REMAT - Montreal, Canada - EASA26 May 20139

11. The EU aviation safety system 26 May 2013 National Aviation Authorities Issue most certificates, approvals and licences Oversee organisations Implement EU law European Aviation Safety Agency European Commission Adopts rules Launches infringement procedure Manages Safety List Proposes rules Issues some certificates and approvals Performs inspections Manages European Aviation Safety Programme Industry IASL/REMAT - Montreal, Canada - EASA10

12. The European Aviation Safety Agency 26 May 2013 European Union Agency Technically independent Legal and financial autonomy European Union Agency Technically independent Legal and financial autonomy “Ever safer and greener civil aviation” IASL/REMAT - Montreal, Canada - EASA11

13. About EASA Founded in 2003 Built on experience from the JAA & MS Located in Cologne, Germany Staff of more than 700 Headed by Mr Patrick GOUDOU Mr Patrick KY from 1.9.2013 26 May 2013IASL/REMAT - Montreal, Canada - EASA12

14. Scope 26 May 2013 Economic regulation Performance regulation ATM/ANS Aerodromes 3rd Country Operations Operations & FCL Airworthiness Interoperability regulation Safety regulation IASL/REMAT - Montreal, Canada - EASA13

15. Regulatory Structure Agency Opinion European Commission European Council European Parliament Basic Regulation Agency Opinion European Commission Implementing Rules Agency Decision AMC, GM, CS Soft Law 26 May 2013 Acceptable Means of Compliance Guidance Material Certification Specifications IASL/REMAT - Montreal, Canada - EASA14

16. Current Regulations Initial Airworthiness Continuing Airworthiness Air Crew Basic Regulation (EC) No 216/2008 Airworthiness Flight Standards ATM/ANS Air Traffic Controllers Licences ATM/ANS Oversight ANS Providers AUR and ACAS II OPS SERA 26 May 2013IASL/REMAT - Montreal, Canada - EASA15

17. Advantages Centralisation – efficiency Decentralisation – local application System, not task oversight Open to comment – transparent Proportionate Flexible (AMCs / GM / CS) 26 May 2013IASL/REMAT - Montreal, Canada - EASA16

18. Soft Law 26 May 2013 Implementing Rules Soft Law Acceptable Means of Compliance Guidance Material Certification Specifications Basic Regulation IASL/REMAT - Montreal, Canada - EASA17

19. Who decides what? Legislator Commission Agency Transfer of powers from MS’s to EC. Essential Requirements (ER’s) Specifying the safety objectives. Implementing Rules (IR’s) = binding standards to implement BR & ER’s. CS, AMC, GM = non-binding standards to implement ER’s and IR’s. 26 May 2013IASL/REMAT - Montreal, Canada - EASA18

20. Standards In establishing and maintaining a high and uniform level of safety for civil aviation the rules must reflect the “state of the art” and the best practices in the fields concerned Standards and recommended practises established by ICAO need to be complied with Where applicable other technologies and practises need to be used where it can be demonstrated to be of benefit Appropriate use of standards developed by standardisation organisations will ensure a uniform application of technologies and best practices 26 May 2013IASL/REMAT - Montreal, Canada - EASA19

21. Move towards standards 26 May 2013 STANDARDS IASL/REMAT - Montreal, Canada - EASA20

22. The standards must be related to the Agency activities with respect to recognition as a means of compliance or a certification scheme to a rule The standardisation body must be an international recognised standardisation body 26 May 2013 General Criteria for Participation IASL/REMAT - Montreal, Canada - EASA21

23. 26 May 2013 Organisations ICAO ASTM ARINC European Standardisation Organisations (CEN/ETSI/ECSS) EUROCAE IATA SAE IASL/REMAT - Montreal, Canada - EASA22

24. II. EASA’s Roles in Certification IASL/REMAT - Montreal, Canada - EASA26 May 201323

25. EASA’s role in the EU EASA is a Technical Agency of the EU EU Aviation Authority for Safety and Environment By EU law, EASA: Proposes EU - Aviation Regulations Certifies Aircraft, Parts and Appliances Standardises Organisations Accredits EU Authorities Maintains Oversight IASL/REMAT - Montreal, Canada - EASA26 May 201324

26. Certification Process 1 Application 2 Certification Basis 3 Demonstration of Compliance 4 Issuance of Certificate 5 Continuing Airworthiness 26 May 2013IASL/REMAT - Montreal, Canada - EASA Design Organisation Approval 25

27. Types Certificates Permits to Fly may be granted for Test Flights Flight Conditions are approved by EASA Permits to Fly are granted by MS based on FCs Annex II Aircraft under full oversight of Member States Restricted Type Certificates may be granted for limited series and contingent operations when Essential Requirements cannot be met IASL/REMAT - Montreal, Canada - EASA26 May 201326

28. III. Status and Proposed Approaches IASL/REMAT - Montreal, Canada - EASA26 May 201327

29. EASA is in touch with most EU stakeholders and some US developers EASA has been working on possible approaches Approaches presented to stakeholders via several media (publications, review of papers, conferences, workshops, direct contacts…) Status of EASA Activities for Suborbital and Orbital Aircraft (SOA) Operations in the EU IASL/REMAT - Montreal, Canada - EASA26 May 201328

30. Proposed Regulatory Approaches (1/2) 0. Member States Regulate: MS to develop own regulations: no harmonisation, no interoperability, legal framework TBD EU to ensure compatibility with EU/Aviation laws 1. Member States with EASA involvement: EASA cooperates with MS to ensure safety/environment and foster harmonisation 2. Association of States (=JARSOA): International, with EASA participation Rules to be implemented at National Level 3. EU Policy for SOA (=UAS): Guidance to MS, Designers, Manufacturers and Operators No legal framework IASL/REMAT - Montreal, Canada - EASA26 May 201329

31. Proposed Approaches (2/2) 4. “Light” Process Essential Requirements National Implementing Rules and Technical requirements No full harmonisation, responsibility with MS 5. Full set of Rules for SoA Following EASA established rules and processes With provisions for High Altitude/High Speed Transportation Aircraft (HST) 6. Phased approach (e.g: 1+2+3+4+5) Progressive implementation along with projects development Full set of rules published at maturity 7. Full set of Rules for Sub-orbital, Orbital and HST Covering full spectrum from Ground to Orbit and A-B Long and comprehensive process (~10 years) IASL/REMAT - Montreal, Canada - EASA26 May 201330

32. The European Commission is currently reviewing options Development will start as soon as decision is taken Actual Work on SoA has started! IASL/REMAT - Montreal, Canada - EASA26 May 201331

33. IV. Proposed Cooperation IASL/REMAT - Montreal, Canada - EASA26 May 201332

34. 26 May 2013 EU Context CAA-UK/UKSA Roadmap <31 March 2013 First Meeting with Industry 30 April 2013 EASA participating in Review Group Rules to accommodate SoA <31 March 2014 CAA-Sweden Initial Contacts in 2009 Update on Governmental Action to host SoA under a special regime Monitoring IASL/REMAT - Montreal, Canada - EASA33

35. 26 May 2013 International Context ICAO Working Arrangement initialled on 17 May 2013 in Cologne on Continuous Monitoring Activities between EASA and ICAO FAA Permanent contacts at working level Official Cooperation to be started with FAA/FAA-AST Harmonisation on ER+Technical Requirements Scope limited to SOA (not rockets) CAAS EADS-Demonstrator 2014 in Changi Rules to accommodate SoA <2018 IASL/REMAT - Montreal, Canada - EASA34

36. Proposed Cooperative Framework (1/2) Under the frame of ICAO/UNCOPUOS ICAO Concept of Sub-orbital flights C-WP/12436 of 2005 Letter to UNCOPUOS 17 March 2010 Next ICAO General Assembly Oct 2013 UNCOPUOS Legal Subcommittee Conference Room Paper A/AC.105/C.2/2010/CRP.9 In full coordination with European Commission EU-Member States In cooperation with FAA-HQ and –AVS E.g.: Safety Management Systems Possible future Extension of BASA to SoA 26 May 2013IASL/REMAT - Montreal, Canada - EASA35

37. Proposed Cooperative Framework (2/2) On Essential Requirements Based on EASA Basic Regulation ERs, adapted Could be also based on 14.CFR.400 series On Technical Requirements Based on respective projects Following a CS+AMC/GM structure Taking into account existing Standards 26 May 2013IASL/REMAT - Montreal, Canada - EASA36

38. V. Conclusions IASL/REMAT - Montreal, Canada - EASA26 May 201337

39. Conclusions (1/3) EASA has studied and submitted several options to the Commission to allow SOA flights in the EU EASA is getting prepared to receive applications for the certification of SOA projects 26 May 2013IASL/REMAT - Montreal, Canada - EASA38

40. Conclusions (2/3) An EU-framework exist Actual Work on SOA has started Option to be decided soon 26 May 2013IASL/REMAT - Montreal, Canada - EASA39

41. Conclusions (3/3) Whatever the option, EASA wants and needs to cooperate with NAAs, NSAs and Stakeholders on the subject of Sub-orbital and Orbital Aircraft Flights 26 May 2013IASL/REMAT - Montreal, Canada - EASA40

42. Questions? Thank you for your attention! IASL/REMAT - Montreal, Canada - EASA26 May 201341

43. Thank you for your attention Do not hesitate to contact us for any further information EASA Focal Point: jean-bruno.marciacq@easa.europa.eu

44. Backup Slides Thank you for your attention! 26 May 2013IASL/REMAT - Montreal, Canada - EASA43

45. EASA competence: for aircraft Aircraft definition in ICAO Ann. 6 & 8: “Any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth’s surface” Machines able to fly in the atmosphere sustained by wings are aircraft Aircraft includes: Aeroplanes (fixed wings), Rotorcraft (rotating wings and VTOL) and Balloons (incl. Stratospheric Balloons)  Rockets and Orbital Operations are in the competence of MS  (EU)216/2008 Article 1:  Aircraft under EASA scope need to be certified for their design, production, maintenance and operations, as well as the personnel and organisations in charge of those. 26 May 2013IASL/REMAT - Montreal, Canada - EASA44

46. those listed in Annex II of the Basic Regulation: Historic aircraft Research, experimental or scientific aircraft Amateur built Former military aircraft « light » aircraft e.g. MTOM < 450 Kg for a two-seater aeroplane « light » gliders (MEM < 100 Kg) « replicas » and those used for State missions e.g. Police, Rescue, Military, etc… All aircraft are in the EASA competence except… 26 May 2013IASL/REMAT - Montreal, Canada - EASA45

47. EASA’s Role in Certification  (EU)216/2008 (EASA Basic Regulation) Article 3: e) ‘Certification’ shall mean any form of recognition that a product, part or appliance organisation or person complies with the applicable requirements… f) ‘certificate’ shall mean any approval, license or other document issued as the result of certification By EU delegation, EASA is in charge of certifying all aircraft designed and produced in the EU and/or operated in the EU by EU operators (Article 9) Certification shall be performed in accordance with applicable requirements and/or standards, following established processes and based on return of experience and safety recommendations Third Countries certifications may be accepted only in the frame of EU or Bilateral Aviation Safety Agreements (BASA)(Art.12) 26 May 2013IASL/REMAT - Montreal, Canada - EASA46

48. EASA’s Certification Process EASA is due to accept and process in due time all properly established applications for certification of aircraft, parts and appliances Large/Complex Aircraft: <5 years General Aviation/Non Complex Aircraft: <3 years Certification is financed by Fees and Charges (EC)593/2008 Indexed yearly on June 1st based on MTOM for Airworthiness E.g.: Fixed Wing Aircraft >5,7 tons and <22 tons: Flat Fee: 1.060.000 € Yearly fee: 17.000 € for EU designs, 5.700 € for non-EU designs E.g.: Propulsion > 25 kN Flat Fee: 365.000 € Yearly fee: 40.000 € for EU design, 13.000 € for non EU designs 26 May 2013IASL/REMAT - Montreal, Canada - EASA47

49. EASA’s Technical Role When no technical requirements exist (unusual or novel design) the Certification Basis is existing requirements, complemented with Special Conditions Cooperative research frameworks may be proposed prior to application to investigate possible regulatory framework Special Conditions are jointly defined by EASA, the applicant (and Third Country Authorities for validations) The confidential exchange of proprietary information is covered by Certification Review Items (CRI) (=FAA’s Issue Papers) Special Conditions are published, to ensure harmonisation and equal treatment 26 May 2013IASL/REMAT - Montreal, Canada - EASA48

50. The Parliament and the Council define the Scope of Powers transferred from the Member States to the EU They adopt the Essential Requirements (ERs) specifying the safety objectives to be met 1 st Layer: The Basic Regulation Basic Regulation: Regulation (EC) 1592/2002 of 15 July 2002 Superseded by: Regulation (EC) 216/2008 of 20 February 2008 Amended by: Regulation (EC) 1108/2009 of 21 Oct 2009 Annex I : ERs for Airworthiness Annex II : Excluded Aircraft Annex III: ERs for pilot licensing Annex IV: ERs for air operations Annex V: Criteria for qualified entities Annex Va: ERs for Aerodromes Annex Vb: ERs for ATM/ANS 26 May 2013IASL/REMAT - Montreal, Canada - EASA49

51. The Commission adopts measures for implementing the Essential Requirements 2 nd Layer: Implementing Rules, e.g. for airworthiness Regulation (EC) 2042/2003 on Continuing Airworthiness Annex I (Part-M): Continuing Airworthiness Requirements Annex II (Part-145): Maintenance Organisation Approvals Annex III (Part-66): AML Annex IV (Part-147): Training Organisation Requirements Annex (Part 21) Section A: Technical Requirements Section B: Procedures for Competent Authorities Section A: Application Requirements Section B: Administrative Procedures Appendices: EASA forms Regulation (EC) 748/2012 on Airworthiness and Environmental Certification  Legally binding  Directly applicable by EU persons  Processes (no technical details)  Responsibilities and privileges 26 May 2013IASL/REMAT - Montreal, Canada - EASA50

52. 3 rd Layer: the Agency’s soft law, e.g. for airworthiness The Agency adopts non binding specifications for implementing the essential requirements To allow for tailored flexibility, where necessary. Guidance Material Part 21 AMC & Guidance Material Parts M, 145, 66, 147 Certification Specifications AMC-20 AMC-21 CS-25 CS-34 CS-36 CS-E CS-P CS-APU CS-22 CS-23 CS-27 CS-29 CS-VLA CS-VLR CS AWO CS ETSO CS Definitions Special Conditions or alternative AMCs possible 26 May 2013IASL/REMAT - Montreal, Canada - EASA51

53. New domains More Implementing Rules coming for: ATCO licensing published 08/2011 Safety of ATM/ANS(including Satellite SP) 12/2011 Flight Crew Licensing Air operations published 04/2012 Authorisation of Third Country Operators (TCO) Safety of aerodromesby 12/2013 FCL and OPS of RPASby 12/2016 SOA… 26 May 2013IASL/REMAT - Montreal, Canada - EASA52

54. EASA Rulemaking Process 26 May 2013 Commission Regulation Implementing Rules Commission Regulation Implementing Rules EASA Committee EASA Committee RAG/TAG & SSCC advise the Agency during programming and rule development RAG/TAG & SSCC advise the Agency during programming and rule development Member States 53 Phase 1 Programming Phase 2 Rule development IASL/REMAT - Montreal, Canada - EASA53

55. Rule development phases Analyse issue and develop Draft RIA Draft Rule Public Consultation Public Consultation Analysis of comments and final review Task initiation RIA NPA (RIA) NPA (RIA) Decision with CRD Opinion with CRD 4-year Rule making Programme 2-6 months 3-18 months 1-3 months 2-6 months ToR GC ToR GC Consult RAG/ TAG SSCC Consult RAG/ TAG SSCC If deemed necessary due to the nature of the comments received, focussed consultation (e.g. meeting with stakeholders, workshops, specific reactions through CRT) during review of comments Optional Technical consultation (e.g. workshop, joined meeting TAG and sub- SSCC) before NPA publication 26 May 2013IASL/REMAT - Montreal, Canada - EASA54

56. Proposed Regulatory Approach (SOA Airworthiness) Possibility of Limited Certification : EASA delivers Restricted Type Certificate (RTC) EU Member States to deliver Restricted Certificate of Airworthiness (RCofA) Organisation Approvals / Certificates: Design (DOA) Production (POA) Continuous Airworthiness Management (CAMOA) Maintenance (MOA) 26 May 2013IASL/REMAT - Montreal, Canada - EASA55

57. Proposed Regulatory Approach (Special Conditions for SoA Airworthiness) CS-23 and/or CS-25 (TBD) and CS-E + Equivalent Level of Safety (ELoS) Classification depending on weight/fuel trade-off Safety not to be jeopardized by larger amount of fuel needed to accommodate required design features CRIs and associated ELoS to be developed for: Rocket Propulsion and Control Systems (RPCS) Fuel ECS Containment of all fluids in weightlessness IVA safety requirements … TBD depending on proposed designs and operations 26 May 2013IASL/REMAT - Montreal, Canada - EASA56

58. Slide 57 Proposed Regulatory Approach (SoA operations) Organisation Approvals: Air Operator Certificate (AOC) for Commercial OPS Operations: EU-OPS/ EASA-OPS with flexibility (Art. 14 BR) for EU operators EASA Authorization to non-EU operators flying to/from EU National rules for operations outside EU (no EASA role) Aerodromes and ATM/ANS: Special Conditions to be developed for “Spaceports” Procedures to be developed for Air/Space Traffic Management Flight Crew Licensing and PAX Safety: Part-FCL with exemptions could work (Flight Test rating?) PAX Safety rules to be considered 26 May 2013IASL/REMAT - Montreal, Canada - EASA57

59. Thank you for your attention Any questions?