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National Supervisory Authority ANSP
Certification Process
NSA - ANSP Certification Process
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TABLE OF CONTENTS
1. INTRODUCTION ......................................................................................................................... 4
1.1 Purpose ................................................................................................................................. 4
1.2 Intended Audience ........................................................................................................... 4
1.3 Document Structure ........................................................................................................ 4
2. SCOPE ........................................................................................................................................... 4
3. CONTEXT ...................................................................................................................................... 5
3.1 Mission Statement ............................................................................................................ 5
3.2 Relation to other processes .......................................................................................... 5
3.3 Terminology ........................................................................................................................ 5
4. ANSP CERTIFICATION PROCEDURE STEPS .................................................................... 6
4.1 Triggers ................................................................................................................................. 6
4.2 Activities-Steps .................................................................................................................. 6
4.3 Application for Certification........................................................................................... 7
4.4 Application Management by NSA ................................................................................ 9
4.5 Certification Teams .......................................................................................................... 9
4.6 Assessment of capability ............................................................................................. 10
4.7 Review of Service Provider’s Documentation ...................................................... 10
4.8 On-site audits ................................................................................................................... 11
4.9 Criteria to Assess Compliance with Applicable Common Requirements in
the Certification Process .......................................................................................................... 13
4.10 Non-conformities resolution and follow up ....................................................... 13
5. CERTIFICATION ....................................................................................................................... 14
5.1 Issuance of a certificate ............................................................................................... 14
5.2 Validity of the Certificate ............................................................................................. 15
5.3 Changes within the Organisation .............................................................................. 15
5.4 On-going compliance ..................................................................................................... 15
5.5 Possible Derogations ..................................................................................................... 15
5.6 Document Confidentiality ............................................................................................ 16
6. Reference Documents ........................................................................................................... 16
7. ANNEXES .................................................................................................................................... 17
7.1 Annex 1 - ANSP Certification Procedure Lifecycle .................................................. 17
7.2 Annex 2 - Application Form for the Certification of an ANSP ............................ 18
7.3 Annex 3 – Model Certificate for the Provision of ANS .......................................... 22
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7.4 Annex 4 - Table defining the scope of the services for which certification
can be requested and granted............................................................................................... 26
7.5 Annex 5 - Implementing Regulation (EC) 1035/2011 Common
Requirements compliance checklist ..................................................................................... 35
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1. INTRODUCTION
1.1 Purpose
This document provides instructions to the Slovenian Civil Aviation Agency in certification
process of air navigation service providers (ANSPs) against the Common Requirements in
the Republic of Slovenia.
ANSPs due to Single European Sky (SES) Legislation are required to obtain a certificate
and be designated in order to provide air navigation services in the Republic of Slovenia.
1.2 Intended Audience
This document is intended for NSA staff and from this perspective, the process identifies
the steps to be followed by the NSA staff in accordance with the specific regulatory
requirements in order to certify the ANSPs.
This procedure is a managed and controlled document based on the NSA’s Compliance
Monitoring and Safety Management System Manual (CMSMSM). The document comes
into force 10 days after its publication in DNA.
1.3 Document Structure
This document is structured as follows:
1. Introduction;
2. Scope;
3. Context;
4. ANSP Certification Procedure;
5. Certification
6. Reference documents;
7. Annexes.
2. SCOPE
In order to obtain the certificate necessary to provide air navigation services, and without
prejudice to Article 7(5) of Regulation (EC) No 550/2004, the ANSP shall comply with:
(a) The general requirements for the provision of air navigation services set out in Annex
I of CR;
(b) The additional specific requirements set out in Annexes II to V of CR, according to the
type of service they provide.
This process has to be applied by the NSA to certify a ANSP (ATS, AIS, MET, CNS)
according to the service provision Regulation, Basic Regulation and Commission
Implementing Regulation (EU) No 1035/2011 (CR). Aviation act, Article 179i requires the
CAA as NSA to conduct this process.
The NSA decides which arrangements, elements, services, products, physical locations
and activities of an ANSP will be made subject to certification.
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3. CONTEXT
3.1 Mission Statement
This process identifies the basic principles, actions, inputs and outputs of the NSA
process intended to harmonise and standardise the actions required in the context of a
certification scheme such as the one established in Regulation (EC) 550/2004.
Due to its significance, the present process is actually defined in relation to that specific
certification scheme applicable in EU Member States in accordance with:
Regulation (EC) 550/2004 (the Service Provision Regulation) and
Implementing Regulation (EC) 1035/2011 Common Requirements (CRs) for the
Provision of Air Navigation Service (amending Regulation (EC) 482/2008 and (EU)
691/2010 and all relevant mostly recent amendments of the above-mentioned
regulations.
It has however to be noted that the Common Requirements, contain in many respects,
minimal requirements. Other international norms, binding on the States, address similar
areas sometimes with greater detail or constraints, and States are under the obligation to
equally ensure their full implementation.
In application of Article 28 of the ICAO Convention on international civil aviation, States
are responsible for the provision of air navigation facilities and services. They are under
the obligation to exercise due diligence in particular with regard to safety aspects.
Other international norms are therefore also taken into account in the establishment of
national legal and institutional frameworks and in the allocation of respective
responsibilities to regulators and ANSPs, in order to meet the objective of achieving safe
and efficient provision of air navigation services.
The extent to which these other norms, common to most of the European States, should
be applied by the National Supervisory Authorities in the exercise of their oversight
functions within the context of the SES, is currently under consideration, but it should be
noted that these norms form an essential condition for the safe provision of air
navigation services.
3.2 Relation to other processes
The certification process is linked to the ANSP’s oversight process and Compliance
Monitoring and Safety Management System Manual (CMSMSM).
3.3 Terminology
Assessment An evaluation based on engineering, operational judgement and/or
analysis methods.
ATM Air Traffic Management. The aggregation of ground-based
(comprising variously ATS, ASM, ATFM) and airborne functions to
ensure the safe and efficient movement of aircraft during all
appropriate phases of flight.
ATS Air Traffic Services. A generic term meaning variously, flight
information service, air traffic advisory service, air traffic control
service (area control service, approach control service or aerodrome
control service).
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Certificate A document issued by a Member State in any form complying with
national law, which confirms that an ATM service provider meets the
requirements for providing a specific service.
CMSMSM Compliance Monitoring and Safety Management System Manual
Corrective action Action to eliminate the cause of a detected non-conformity or other
undesirable situation.
CTL Certification Team Leader
CTM Certification Team Member
Designation The process by which States designate ANSPs to provide ATM
services within specific airspace blocks in respect of the airspace
under their responsibility.
CAA Slovenia Slovenian Air Navigation Supervisory Authority, the body
established by Slovenian State with NSA tasks.
NSA A body nominated or established by States, which is independent of
service providers at least at functional level and according to the
existing regulatory framework, supervises the implementation of
requirements applicable to the provision of ATM services to General
Air Traffic.
Process A set of interrelated or interacting activities, which transforms
inputs into outputs.
Regulation The adoption, enactment and implementation of rules for the
achievement of stated objectives by those to whom the regulatory
process applies.
Risk The combination of the overall probability or frequency of
occurrence of a harmful effect induced by a hazard and the severity
of that effect.
System A combination of technical systems, procedures and human
resources organised to perform a function.
Verification Confirmation through the provision of objective evidence that
specified requirements have been fulfilled.
4. ANSP CERTIFICATION PROCEDURE STEPS
4.1 Triggers
The main triggers or inputs, which start the whole process, are:
1. The initial application for an ANSP’s certification;
2. The application for the renewal of the ANSP’s certification. In the case of
renewal, the same process as the initial certification can be applied but not
all the steps are mandatory.
4.2 Activities-Steps
Three main parts constitute the whole process:
1. Application and preparation;
2. Assessment of compliance;
3. Certification.
Further breakdown into steps provides details at the level of actions. The flow chart gives
details of the process in a pictorial way and specific tasks are then more fully explained in
the table, which follows.
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4.3 Application for Certification
Under this step, the ANSP will send the formal Application for Certification to the NSA.
Applicants shall use the application form specifically defined in the NSA’s documented
procedures established for the certification of ANSPs. The application form is included in
Annex 2 of this procedure. The application form is published on the CAA webpage in
Slovenian language. However, if it is necessary could be also provided in English
language. The application should include the scope of services for which the certificate is
requested. The application for the initial certification shall be sent 6 months in advance,
the application for the recertification in due time.
The application form shall be forwarded together with an organisation exposition
demonstrating how the applicant intends to comply with the CRs applicable to the
services for which certification is asked for.
The organisation exposition shall contain the following information. Existing data may be
used to the maximum extent possible:
A statement signed by the Chief Executive Officer confirming that the organisation
exposition and any associated referenced documentation define the organisation’s
compliance with the common requirements and that they will be complied with at
all times; and agreeing to supply any information needed for its evaluation;
The duties and responsibilities of the senior managers as regards the
implementation of the Common Requirements,
An organisation chart showing the chain of responsibility in the areas covered by
the CRs,;
A general description of human resources;
A general description of the organisation’s facilities existing infrastructure referred
to ANS provision;
A complete description of the means and arrangements established by the
organisation to meet the Common Requirements, including detailed references to
the main documents and manuals, which document them and appropriate cross
references to the common requirements.
The applicant as necessary shall amend the organisation exposition in order that it
remains an up-to-date description of the organisation. To that end, the NSA and the
applicant should agree on an update procedure.
In addition to the organisation exposition, an NSA may decide that a complementary
questionnaire needs to be forwarded by the applicant together with the application form
and its organisation exposition. Therefore, depending on the service to be provided, the
ANSP shall accompany the Application for Initial Certification with fill-in compliance
checklists as follows:
1. Providers of Air Traffic Services (ATS)
a) Specific requirements for the provision of Air Traffic Services (Common
Requirements, Annex II)
b) Compliance Checklist, ICAO Annex 2, Rules of the Air (latest edition, including all
amendments);
c) Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications, Volume
2, Communication Procedures (latest edition, including all amendments)
d) Compliance Checklist, ICAO Annex 11, Air Traffic Services, (latest edition,
including all amendments).
2. Providers of Meteorological Services (MET)
a) Specific requirements for the provision of Meteorological Services (Common
Requirements, Annex III)
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b) Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air
Navigation, (latest edition, including all amendments).
c) Compliance Checklist, ICAO Annex 11, Air Traffic Services, (latest edition,
including all amendments).
d) Compliance Checklist, ICAO Annex 14, Aerodromes, Volume I & II, (Volume I:
latest edition, including all amendments; Volume II, latest edition, including all
amendments).
3. Providers of Aeronautical Information Services (AIS)
a) Specific requirements for the provision of Aeronautical Information Services
(Common Requirements, Annex IV)
b) Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air
Navigation, (latest edition, including all amendments).
c) Compliance Checklist, ICAO Annex 4, Aeronautical Charts, (latest edition,
including all amendments).
d) Compliance Checklist, ICAO Annex 15, Aeronautical Information Services, (latest
edition, including all amendments).
4. Providers of Communication, Navigation and Surveillance (CNS)
a) Specific requirements for the provision of CNS (Common Requirements, Annex V)
b) Specific requirements for the provision of Air Traffic Services (part 3 of Common
Requirements, Annex II), Safety of Services
c) Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications
Volume I (latest edition, including all amendments);
Volume II (latest edition, including all amendments);
Volume III (latest edition, including all amendments);
Volume IV (latest edition, including all amendments);
Volume V (latest edition, including all amendments);
as far as they are relevant for the provision of communication, navigation or surveillance
services in the airspace concerned1.
When requested, the compliance checklists shall be filled-in as specified in the pre-amble
to the checklist. There shall be a statement of compliance and there shall be a reference
to the applicable documentation where evidence of compliance can be found.
In addition, the ANSP shall accompany the Application for Initial Certification (or
Changes) with compliance checklists covering Specific Conditions for Certification (to be
developed by the Applicant as applicable for the service to be certified.
For those special conditions, such as technical equipment to be used for the provision of
services, the information included in the application will be used for the certificate. The
NSA shall verify the correctness of the information.
The organisation exposition and any complementary questionnaire forwarded by the
applicant are primarily intended to support:
1. A first assessment of the eligibility of the organisation according to the
CRs;
2. The technical investigations for initial and ongoing oversight intended to
verify compliance with applicable requirements, including any applicable
safety regulatory requirements.
The organisation exposition and any complementary questionnaire shall not be
considered as sole and exclusive proof of compliance with applicable common
1 Which parts are relevant for the provision of CNS shall be clearly specified in the conditions associated with the Certificate
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requirements. Any statement made by an applicant in their exposition or the completed
questionnaires will potentially be subject to further investigation by means of auditing in
order to confirm the accuracy of the statement and its effective implementation.
4.4 Application Management by NSA
1. Applications shall be sent by mail or e-mail to [email protected] from where it will be
forwarded to Head of Air Navigation Services Division, to act as the focal point
(FP) 2 with responsibility for the management of applications. The main office
assigns the case number in accordance with classification plan (klasifikacijski
načrt).
2. FP shall acknowledge receipt of applications within ten working days of its
receipt by the NSA.
3. FP checks all applications. Where incorrect or incomplete information is supplied,
he/she should notify the applicant in writing as soon as possible detailing the
omissions and errors.
4. For any technical issues raised by the application, the FP consults appropriate NSA
experts or experts working for the NSA.
5. FP, supported by appropriate NSA experts or experts working for the NSA, make a
first assessment of the documentation received. The FP determines how to
proceed with the application. This is communicated to the applicant following
receipt of the correct application.
6. When eligibility has been assessed, the FP informs the applicant (copied to the
appropriate NSA departments and, where applicable/identified the certification
team to be involved in the technical investigations), of the following:
1. Whether the application is accepted to proceed further or not, and if
accepted:
2. The details of the certification team leader (if appropriate) who will
perform the technical investigation for initial oversight to verify
compliance with applicable requirements, including the applicable
safety regulatory requirements. If no selection has been made yet,
the FP notifies the applicant of the projected time frames for when
such resources are expected to be available.
7. In case of the refusal of an application, the NSA notifies this decision in writing to
the applicant together with the reasons and the right to appeal
4.5 Certification Teams
1. The NSA shall establish a certification team.
2. The certification team consists of a certification team leader (CTL) and certification
team members (CTMs). Where the extent of the investigation does not justify the
need for the full team, one team member or team leader himself may perform the
full investigation tasks.
3. Prior to the implementation of the initial oversight audits, the certification team
will be formed by the CTL and, if appropriate, a number of CTMs appointed to
support the review of the ANSP’s documentation.
4. If so decided, to determine the composition and size of the certification team, the
following considerations are taken into account:
2 Head of Air Navigation Services Division can delegate tasks of Focal Point
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1. The size of the applicant’s organisation;
2. The number of sites covered by the certificate;
3. The nature of the services to be provided by the organisation and
their direct impact upon aviation safety;
4. The various criteria as regards the review of ANSP’s documentation
and the implementation of initial oversight audit visits.
5. Within the team, specific responsibilities are allocated as regards the activities
intended to verify compliance with all the common requirements applicable to the
services for which the certification is requested.
6. Both the CTL and CTMs shall be trained in auditing techniques and have suitable
knowledge of the applicable requirements and procedures. There must be no
conflict of interest with the application to be investigated.
7. For specific investigations the basic team can call upon the assistance of
appropriate experts.
4.6 Assessment of capability
Initial oversight investigations are conducted by the Certification Team to gain objective
information to enable an NSA decision on the recognition of the applicant organisation as
capable to provide specific services.
For that purpose, the certification team, under the co-ordination of the CTL, makes direct
arrangements with the applicant for the assessment of documentation, meetings and
investigations at the relevant location(s).
The certification team maintains records of all documents generated and received during
the initial oversight investigations in accordance with Decree on administrative operations
and internal procedures.
4.7 Review of Service Provider’s Documentation
The certification team undertake a review of the documentation that the ANSP has put in
place to describe, communicate and operate its arrangements for providing the services
for which it has applied in accordance with the applicable requirements.
As regards the review of documentation:
1. The certification team looks for evidence that the applicable common
requirements have been understood and there are clear indications that
processes and disciplines have been developed to meet them.
2. The review should not necessarily be confined to the documents referenced
by the applicant in its organisational exposition. It could also cover:
Operational documentation (e.g. OPS, technical manuals, etc.);
Technical systems documentation (e.g. arrangements related to the
installation and maintenance of equipment, etc.);
Various documentation in the areas of quality, human resources, staffing
plans and security quality of services, etc. depending upon the case.
3. If the document review indicates possible areas of weakness or concern
regarding the ANSP’s arrangements to meet common requirements, this is
subject to further investigation such as an on-site audit.
For certain areas a review of the documentation is sufficient.
In the event that the documentation review reveals serious concerns about the
applicant’s level of understanding of the applicable CRs or the processes that may have
been put in place to meet them, the CTL will not proceed with the initial oversight audit
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visits. The matter is referred to the NSA’s management for decision on further action to
be taken.
4.8 On-site audits
Once the documentation review has been performed, the certification team verifies that
the arrangements described in the documentation are indeed being used and are
effectively implemented within the organisation.
This verification should involve a series of on-site audit visits to the relevant site(s) of the
organisation. At least one on-site audit visit should be conducted at each location of the
organisation. (Locations: ATCC Brnik, Airport Brnik, Airport Maribor, Airport Portorož,
Airport Cerklje ob Krki, including MET offices). Concerning the renewal of the certificate
the on-site audit visit focuses only on areas where ANSPs do not give sufficient
explanations on compliance.
The team leader shall develop an oversight visit schedule and determine where in the
organisation the various requirements are to be verified, recognising that is feasible to
verify only a sample of the total requirements in each area of the organisation. However,
CTL should ensure that all requirements are ultimately verified somewhere within the
organisation.
Based upon the information obtained at the documentation review, the CTL should
identify areas of the ANSP organisation and specific processes to be audited in order to
test the applicant’s compliance with a selected set of common requirements.
The sampling of requirements in each area of the organisation should:
1. Depend upon the processes being verified and the level of confidence
obtained by the certification team from the documentation review. It
should not exclusively cover the areas highlighted by the documentation
review.
2. Take into account the results from audits, inspections or surveys conducted
by the NSA in the 24-months, identifying areas where sufficient level of
confidence exists as regards management practices already implemented
by the organisation.
Depending on the area of the CRs, its criticality in terms of safety, the type of evidence
that the applicant can provide and the result of the review of the documentation,
different ways to assess compliance can be considered:
1. Review of Documentation: Minimum approach to address areas where
reviews of the documentation provide sufficiently evidence of compliance
with the common requirements.
2. Review of Documentation & On Site Audit: Approach to address areas
where a review of documentation does not provide sufficient evidence of
compliance with the common requirements or where the review of
documentation indicates possible areas of weakness or concern regarding
the ANSP’s arrangements to meet common requirements (relevant for
Initial Certification).
Preliminary guidance on the way to assess compliance of the different areas is provided
in the table below.
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Preliminary guidance on the way to assess compliance
Title Review of
documents
Review of
documents &
On-Site Audit
ANNEX I
1 TECHNICAL AND OPERATIONAL
COMPETENCE AND CAPABILITY
X X
2 ORGANISATIONAL STRUCTURE AND
MANAGEMENT
2 1 Organisational structure X
2 2 Organisational management X
3 SAFETY AND QUALITY MANAGEMENT
3 1 Safety management X X
3 2 Quality management system X
3 3 Operations manuals X X
4 SECURITY X X
5 HUMAN RESOURCES X
6 FINANCIAL STRENGTH
6 1 Economic and financial capacity X
6 2 Financial audit X
7 LIABILITY AND INSURANCE COVER X
8 QUALITY OF SERVICES
8 1 Open and transparent provision of services X
8 2 Contingency plans X X
9 REPORTING REQUIREMENTS X
ANNEX II (ATSP)
1 OWNERSHIP X
2 OPEN AND TRANSPARENT PROVISION OF
SERVICES
X
3 SAFETY OF SERVICES
3 1 Safety management system X X
3 2 Safety Requirements for Risk Assessment
and Mitigation with regard to changes
X X
3 3 Safety requirements for engineering and
technical personnel
undertaking operational safety related tasks
X X
4 WORKING METHODS AND OPERATING
PROCEDURES
X X
ANNEX III (METEO)
1 TECHNICAL AND OPERATIONAL
COMPETENCE AND
CAPABILITY
X X
2 WORKING METHODS AND OPERATING
PROCEDURES
X X
ANNEX IV (AIS)
1 TECHNICAL AND OPERATIONAL
COMPETENCE AND
CAPABILITY
X X
2 WORKING METHODS AND OPERATING
PROCEDURES
X X
ANNEX V (CNS)
1 TECHNICAL AND OPERATIONAL
COMPETENCE AND
CAPABILITY
X X
2 SAFETY OF SERVICES X X
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3 WORKING METHODS AND OPERATING
PROCEDURES
X X
4.9 Criteria to Assess Compliance with Applicable Common Requirements in the
Certification Process
Compliance will be assessed against the Common Requirements established with regard
to the services for which the applicant requested certification.
For each set of requirements, a non-prescriptive approach of assessment of compliance is
presented in a number of tables covering:
Key elements of the CR driving its assessment;
Evidence (description which evidence is expected from ANSP);
A proposal how to evaluate evidence.
These tables, which are presented in Annex 4, cover the issues incorporated within the
Common Requirements.
4.10 Non-conformities resolution and follow up
Non-conformities can only be raised in relation to the Common Requirements applicable
to the services for which certification was requested. The related Common
Requirement(s) should always be made explicit wherever a non-conformity is
determined.
Once the assessment is completed, the CTL forwards a report (minutes) including as a
minimum the following information to the applicant organisation within 15 working days.
General information about the audits including date, auditor(s),
observer/specialists accompanying the auditors, objectives and scope of the audit
and audit schedule.
Details of non-conformity identified, including its perceived significance.
A request for the determination of corrective actions, and their subsequent
implementation, including a timeframe identified on the basis of the significance
and impact on safety of the audit findings.
Conclusions of the assessment as regards the overall certification process.
The applicant organisation is responsible for determining and initiating the actions
needed to correct the non-conformity or to correct the cause(s) of non-conformity.
The certification team assesses the proposed corrective actions and accepts them if this
assessment demonstrates that they are sufficient to address the non-conformity
identified by the audit.
Corrective actions are completed by the applicant organisation within a time period
agreed by the CTL. The CTL records details of all non-conformities, agreed corrective
actions, the closure of non-conformities and recommendations.
The applicant organisation should modify the relevant documentation including the
organisation exposition to incorporate the resolution of non-conformities found in the
initial oversight investigations.
As established in article 6(3) of the CRs wherever corrective actions have not been
properly implemented, the NSA shall take appropriate enforcement measures in as
provided for in Article 7(7) of Regulation (EC) No 550/2004 and Article 10, Article 22a(d),
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and Articles 25 and 68 of Regulation (EC) No 216/2008, in relation to ZLet and ZIN while
taking into account the need to ensure the continuity of air navigation services.
5. CERTIFICATION
5.1 Issuance of a certificate
All non-conformities should be corrected prior to a certificate being issued or corrective
plan shall be approved by NSA prior to issue of certificate.
In case of identified non-conformities, certificate to ANSP can be issued only if
classification of findings is level C in accordance with CAA Compliance Monitoring and
Safety Management System Manual.
Any finding found during the oversight is entered into the Audit Register. From
1.10.2016, the Audit Register will be kept in the CAA application DNA.
The process of updating the Audit Register, findings monitoring, updating databases and
closing of findings are defined in CMSMSM, Section 5.2 Oversight process.
In the event of failure to comply with deadlines for the implementation of the CAP, action
owner informs the ANSP of the deadline and initiates proceedings in accordance with the
Inspection act and General Administrative Procedure Act, in the part that relates to
administrative enforcement. The imposed measures shall be entered in the register of
the imposed measures (decision reference number, date of issue, finality of the decision).
When the full investigation for the initial oversight of the compliance of the applicant with
the Common Requirements has been satisfactorily determined, the CTL produces a
certification report and forwards it to the appropriate points of responsibility within the
NSA.
The certification report includes as a minimum the following information:
1. General information about the investigations for initial oversight conducted,
including:
The date(s) of the initial oversight audit(s)
The name(s) of the team members of team and the initial oversight audits
in which they participated
The names and addresses of all sites audited
2. The assessed scope of certification, including reference to the applicable
requirements considered
3. Reference to the main ANSP documents reviewed
4. Details on identified non-conformity, corrective actions determined by the
applicant organisation and accepted by the CTL as sufficient and their
implementation and closure
5. Conclusions and recommendations based on the findings of the initial
oversight process, including if applicable proposals for any condition to be
attached to the certificate, and the initial plan of audits for on-going
compliance
The NSA ensures that the final decisions on certification and the conditions attached to it
are made by a person or persons different from those who formed the certification team.
The Certificate is based on the application included in Annex 2 of this document, which
includes also derogation criteria as defined in EC Regulation 1035/2011, which could be
met by ANSPs.
The certificate(s) should be issued in both Slovenian and English Languages.
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5.2 Validity of the Certificate
The Certificate should be valid for a limited period of time after its issue in association
with the yearly ongoing compliance assessment.
In case of a newly established ANSP the NSA may decide to grant a certificate with
specific conditions establishing a transitional period to allow the complete implementation
of the ANSP arrangements and its verification by the NSA. That transitional period should
be no longer than one year.
In case of recertification, a validity extension of 4 years is being considered as
reasonable in usual cases; this duration could be reduced in cases where there is, for
objective reasons established by the oversight process, a lower confidence in the ability
of the ANSP to ensure on going compliance.
As a general principle, the introduction of changes to the organisation does not modify
the validity period whenever a Certificate has been issued unless the change requires a
full initial oversight investigation leading to issuing a new certificate.
5.3 Changes within the Organisation
Applicant shall notify the NSA:
of planned changes to its provision of services, which may affect its compliance
with the applicable common requirements or with the conditions attached to the
certificate (Article 9 (2)).
of planned safety related changes to the provision of air traffic services (Article 9
(3)) in accordance with the procedure prescribed by NSA.
5.4 On-going compliance
The NSA monitors annually the on-going compliance of the ANSPs, which it has certified
on the basis of the evidence at its disposal.
To this end, the NSA establishes inspection programme for period of 24 months and
updates it annually as prescribed in Compliance Monitoring and Safety Management
System Manual. The NSA communicates that initial plan of audits to the ANSP.
Previous provisions do not mean that all CRs should be checked annually. Different areas
of CRs may have different oversight cycles. All CRs should be checked at least once in 2-
year time.
5.5 Possible Derogations
Prior to the implementation of the certification procedure, the NSA establishes a policy
with respect to the granting of derogations in accordance with Article 5 of the CRs. That
policy shall:
1. Identify the specific requirements for which derogations may be granted to
applicants:
Falling under the categories of ANSP described in Article 5(1) of the CRs.
Providing or intending to provide AFIS by operating not more than one
working position in aerodromes.
2. Ensure additional safety regulatory actions wherever that is necessary to
implement international obligations in relation to the services for which
derogations have been granted.
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In order to deal with the applications requesting certification under the provisions of
Article 5 of the CRs wherever the NSA policy allows that option, the certification
procedure should be implemented with the following modifications:
1. The application form and the certificate contains the information relevant to
this situation.
2. The organisation exposition should document the relevant evidence that
demonstrates the applicant’s qualification to be certified under the
provisions of Article 5.
3. The assessment conducted by the FP determines whether the organisation
qualifies to be certified under the provisions of Article 5.
4. When informing the applicant about the acceptability of its application, the
FP also informs the applicant of:
The set of CRs applicable to its services in accordance with the NSA policy
established as regards possible derogations in the framework of Article 5.
The fact that a certificate issued under Article 5 does not allow the
organisation to provide cross-border services and that it does not obtain
any benefit from the right of mutual recognition of certificates within the
Single European Sky.
5. The request for a new certificate six months before the end of the validity
of the certificate will include relevant information to document that the
organisation continues qualifying for the derogations.
6. Wherever an organisation certified under the provisions of Article 5 applies
to introduce changes to provide services for which no derogations are
possible, the NSA assesses whether a complete initial oversight process will
have to be performed to certify the organisation under the general
procedures established by the NSA.
7. The NSA establishes mechanisms to monitor whether ANSP certified under
the provisions of Article 5 continue to qualify for the derogations.
5.6 Document Confidentiality
All documents and information received by the NSA relating to the certification process is
subject to protection from disclosure according to applicable national legislation and
Article 18 of the Regulation (EC) 550/2004.
6. Reference Documents
All updated reference documents can be found on bellow mentioned web sites:
https://www.easa.europa.eu/document-library
https://trainingzone.eurocontrol.int/doc/seslex.htm
http://www.pisrs.si/Pis.web/
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7. ANNEXES
7.1 Annex 1 - ANSP Certification Procedure Lifecycle
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7.2 Annex 2 - Application Form for the Certification of an ANSP
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7.3 Annex 3 – Model Certificate for the Provision of ANS
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USE OF MODEL FORM (CERTIFICATE) WHEREVER DEROGATIONS ARE GRANTED
Wherever the NSA chooses to grant derogations in accordance with the Common
Requirements, the NSA should specify the nature and scope of the derogation in the
conditions attached to the certificate indicating its legal basis. Accordingly, the Model
Form should be modified as follows:
On Page 1, the “General Conditions” should state the following:
1. This certificate has been issued under the provisions of Commission
Implementing Regulation (EC) 1035/2011 of 17 October 2011 and,
therefore, does not entitle the holder to provide cross-border services or
benefit from the right to mutual recognition within the Single European
Sky.
2. This certificate requires compliance with the procedures and other
arrangements specified in the organisation exposition.
3. This certificate is valid whilst the organisation remains compliant with:
a) The Common Requirements applicable to the organisation within the
scope defined by the derogations identified in certification schedule,
b) The qualifying criteria as have been identified under the provisions of
Implementing Regulation (EC) 1035/2011
c) The specific conditions identified in the certificate schedule.
Subject to continuous compliance with the foregoing conditions, which may be verified by
the NSA at any time, this Certificate shall remain valid for two (2) year period and be
renewed if requested by the holder six months before the end of that period and the
request includes relevant information to show that the organisation continues to qualify
for the derogations.
On Page 2, the “Conditions Identified” should also refer the Common Requirements for
which derogations have been granted.
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7.4 Annex 4 - Table defining the scope of the services for which certification can be
requested and granted
According with Regulation (EC) 550/2004 (the Service Provision Regulation), an
organisation may apply for a certificate as regards any service included in the scope of
the Regulation. That scope includes ATS, CNS, AIS and MET as defined in Regulation (EC)
549/2004 (the Framework Regulation).
The table included in this annex defines the possible services for which certification may
be requested and granted within the scope of the Service Provision Regulation.
The table is intended to harmonise the classification of services, which needs to be used
in the certification process. This harmonisation is indeed essential to ensure that the
main input (application form) and output (certificate) of the certification process are
standardised across Europe.
USE OF THE TABLE
The table, including only the services relevant to the ANSP, should be attached to:
The application form submitted by an applicant organisation,
The certificate issued by the NSA.
When used in conjunction with the application form, the conditions included should
be those identified and proposed by the applicant in relation to the services for which
certification is requested.
When used by the NSA in conjunction with the Certificate, the conditions included
should be those eventually determined by the NSA as a result of the investigations
conducted in the certification process. These conditions should not be necessarily
confined to those proposed by the applicant.
In order to meet the provisions of Article 6 and Annex II of the Service Provision
Regulation the conditions included in the Certificate should be confined to the following
categories of possible conditions3:
a) Non-discriminatory access to services for airspace users and the required level of
performance of such service, including safety and interoperability levels;
b) The operational specifications for the particular service;
c) The time by which the services should be provided;
d) The various operating equipment to be used within the particular services;
e) Ring-fencing or restriction of operation of services other than those related to the
provision of air navigation services;
f) Contracts, agreements and other arrangements between the service providers
and a third party and which concern the service(s);
g) Provision of information reasonably required for the verification of compliance of
the services with the common requirements, including plans, financial and
operational data, and major changes in the type and/or scope of the air
navigation services provided;
h) Any other legal conditions, which are not specific to air navigation services, such
as conditions relating to the suspension or revocation of the certificate.
i) It should be noted that safety-related conditions might be identified in relation to
any of those eight categories of potential conditions.
3 These eight categories have been taken from Annex II of the Service Provision Regulation
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TABLE DEFINING THE SCOPE OF SERVICES
The table is based on the description of services and terminology used in ICAO Annexes
10, 11 and 15 unless a different reference is indicated.
TABLE DEFINING THE SCOPE OF SERVICES
SERVICES TYPE OF SERVICE
TO BE PROVIDED
PART OF THE
SERVICE TO
BE PROVIDED
SUB-PART
OF
THE
SERVICE
TO BE
PROVIDED
CONDITIONS
IDENTIFIED
Air Traffic
Services
(ATS)
Air Traffic Control
(ATC)
Area Control
Service
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Approach Control
Service
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Aerodrome
Control Service
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Flight Information
Service
(FIS)
HF Operational
Flight
Information
Service (OFIS)
Broadcasts
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
VHF Operational
Flight
Information
Service (OFIS)
Broadcasts
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
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Voice- Automatic
Terminal
Information
Service (Voice-
ATIS)
Broadcasts
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Data Link
Automatic
Terminal
Information
Service (DATIS)
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
VOLMET
Broadcasts
and/or DVOLMET
Service
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Alerting Services
(AL)
N/A N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Advisory Service N/A N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Aerodrome Flight
Information Service
(AFIS)
(Combination of FIS
and AL in an
aerodrome with
no ATC services)
N/A N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CNS Communications(C) Aeronautical
Mobile Service
(air-ground
For flight
information
service
As appropriate.
Wherever
necessary this
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communications) box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
For area
control
service
As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
For approach
control
service
As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
For
aerodrome
control
service
As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Aeronautical
Fixed Service
(ground-ground
communications)
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Aeronautical
Mobile Satellite
Service (AMSS)
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Navigation (N)
(SES definition:
Navigation services
means those facilities
and services that
Provision of
NDB signal-
inspace
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
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provide aircraft with
positioning and
timing information)
(NOTE: the service
should include the
generation of
aeronautical radio
navigation signal-
inspace, and its
subsequent
distribution
and processing up to
the delivery for its
use by aircraft)
the table or
other relevant
documentation.
Provision of VOR
signal-inspace
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Provision of DME
signal-inspace
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Provision of ILS
signal-inspace
CAT I As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT II As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT III a As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT III b As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
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other relevant
documentation.
CAT III c As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Provision of MLS
signal-inspace
CAT I As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT II As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT III a As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT III b As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
CAT III c As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
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documentation.
Navigation (N)
(SES definition:
Navigation services
means those facilities
and services that
provide aircraft with
positioning and
timing
information)
(NOTE: the service
should include the
generation of
aeronautical radio
navigation signal-
inspace,
and its
subsequent
distribution
and processing up to
the delivery for its
use by aircraft)
Provision of
GNSS signal in
space
GNNS Core
System
(GALILEO)
As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Satellite
Based
Augmentation
System
(SBAS)
As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Ground
Based
Augmentation
System
(GBAS)
As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Surveillance (S)
(SES definition:
Surveillance services
means those facilities
and services used to
determine the
respective positions
of
aircraft to allow safe
separation)
(NOTE: the service
should include the
generation of
surveillance data by
means of sensors and
its subsequent
distribution and
processing up to the
delivery for use
Provision of data
from
Primary
Surveillance
Radar (PSR)
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Provision of data
from
Secondary
Surveillance
Radar (SSR)
Mode A/C As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Mode S As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
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other relevant
documentation.
Provision of
data from
Automatic
Dependent
Surveillance
(ADS)
ADS-C As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
ADS-B As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Provision of
data from
Surface
Movement
Radar (SMR)
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Aeronautical
Information
Services
(AIS)
AIS Provision of the
whole AIS
service as
described in
ICAO Annex 15.
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
Meteorological
Services
(MET)
MET Provision of the
whole MET
service as
described in
ICAO Annex 3.
Note: When the
METP provides
part of the MET
service (e.g.
aerodrome
observing and
reporting) the
limitations have
to be indicated.
N/A As appropriate.
Wherever
necessary this
box may refer to
appendices to
be attached to
the table or
other relevant
documentation.
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7.5 Annex 5 - Implementing Regulation (EC) 1035/2011 Common Requirements compliance checklist
Arti-
cle nr Para. Nr
Applicability
Area Text Domain
Key
Elements Evidence
Compliance Actions
needed &
planned
completion
date
Yes On
going No
INTRO 1 1 NSA, ANSP,
STATE
Having regard to the Treaty on the
Functioning of the European Union, ALL
INTRO 1 1 NSA, ANSP,
STATE
Having regard to Regulation (EC) No
550/2004 of the European
Parliament and of the Council of 10
March 2004 on the provision of air
navigation services in the single
European sky (the service provision
Regulation) (1), and in particular
Articles 4, 6 and 7 thereof,
ALL
INTRO 1 2 NSA, ANSP,
STATE
Having regard to Regulation (EC) No
216/2008 of the European
Parliament and of the Council of 20
February 2008 on common rules in
the field of civil aviation and
establishing a European Aviation
Safety Agency, and repealing Council
Directive 91/670/EEC, Regulation
(EC) No 1592/2002 and Directive
2004/36/EC ( 2 ), and in particular
Article 8b(6) thereof,
ALL
INTRO 2 1 NSA, ANSP,
STATE Whereas: ALL
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INTRO 3 1 NSA, ANSP,
STATE
(1) Pursuant to Regulation (EC) No
216/2008, the Commission, assisted
by the European Aviation Safety
Agency (the Agency), is required to
adopt implementing rules for the
provision of air traffic management
and air navigation services
(ATM/ANS) throughout the Union.
Article 8b(6) of that Regulation
requires those implementing rules to
be based on the regulations adopted
under Article 5(3) of Regulation (EC)
No 549/2004 of the European
Parliament and of the Council of 10
March 2004 laying down the
framework for the creation of the
single European sky (the framework
Regulation).
ALL
INTRO 4 1 NSA, ANSP,
STATE
(2) The provision of air navigation
services within the Union should be
subject to certification by Member
States or the Agency. Air navigation
service providers which comply with
the common requirements should be
granted a certificate in accordance
with Article 7 of Regulation (EC) No
550/2004 and Article 8b(2) of
Regulation (EC) No 216/2008.
ALL
INTRO 5 1 NSA, ANSP,
STATE
(3) The application of the common
requirements laid down pursuant to
Article 6 of Regulation (EC) No
550/2004 and Article 8b of
Regulation (EC) No 216/2008 should
be without prejudice to Member
States’ sovereignty over their
airspace and to the requirements of
the Member States relating to public
ALL
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order, public security and defence
matters, as set out in Article 13 of
Regulation (EC) No 549/2004. The
common requirements should not
cover military operations and
training, as provided for in Article
1(2) of Regulation (EC) No 549/2004
and Article 1(2) of Regulation (EC)
No 216/2008.
INTRO 6 1 NSA, ANSP,
STATE
(4) The definition of common
requirements for the provision of air
navigation services should take due
account of the legal status of air
navigation service providers in the
Member States. Furthermore, when
an organisation pursues activities
other than the provision of air
navigation services, the common
requirements should not apply to
such other activities or to resources
allocated to activities outside the
provision of air navigation services,
unless provision is made to the
contrary.
ALL
INTRO 7 1 STATE, NSA
(5) The application of the common
requirements to air navigation
service providers should be
proportionate to the risks linked with
the specific features of each activity
such as the number and/or the
nature and characteristics of
processed movements. Should
certain air navigation service
providers elect not to avail
themselves of the opportunity to
provide cross-border services within
the single European sky, a
ALL
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competent authority should be
entitled to allow those providers to
comply commensurately with,
respectively, certain general
requirements for the provision of air
navigation services and certain
specific requirements for the
provision of air traffic services.
Consequently, the conditions
attached to the certificate should
reflect the nature and the scope of
the derogation.
INTRO 8 1 STATE, NSA
(6) In order to ensure the proper
functioning of the certification
scheme, Member States should
provide the Commission and the
Agency with all relevant information
on the derogations granted by their
competent authority in the context
of their annual reports.
ALL
INTRO 9 1 STATE, NSA
(7) The different types of air
navigation service activities are not
necessarily subject to the same
requirements. It is therefore
necessary to adjust common
requirements to the special features
of each type of activity.
ALL
INTRO 10 1 NSA
(8) The onus of proving compliance
with the applicable common
requirements should lie with the air
navigation service provider, for the
period of validity of the certificate
and for all the services covered by it.
ALL
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INTRO 11 1 NSA
(9) In order to ensure the effective
application of the common
requirements, a system of regular
supervision and inspection of
compliance with those common
requirements and with the conditions
specified in the certificate should be
established. The competent authority
should examine the suitability of a
provider prior to issuing a certificate
and should assess the ongoing
compliance of the air navigation
service providers it has certified on a
yearly basis. Consequently, it should
establish and update annually an
indicative inspection programme
covering all the providers it has
certified, on the basis of an
assessment of the risks. That
programme should allow the
inspection of all relevant parts of the
air navigation service providers
within a reasonable time frame.
When assessing the compliance of
designated providers of air traffic
services and meteorological services,
the competent authority should be
entitled to check relevant
requirements stemming from the
international obligations on the
Member State in question.
ALL
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INTRO 12 1 NSA
(10) Peer reviews of national
supervisory authorities could further
a common approach to the
supervision of air navigation service
providers throughout the Union. The
Commission, in cooperation with the
Member States and the Agency, may
arrange these peer reviews, which
should be coordinated with the
activities undertaken within the
framework of Articles 24 and 54 of
Regulation (EC) No 216/2008 and
any other international monitoring
and oversight programmes. This
would avoid duplication of work. In
order to allow the exchange of
experience and best practice during
a peer review, the experts should
preferably be from a competent
authority.
ALL
INTRO 13 1 NSA
(11) Eurocontrol has developed
Safety Regulatory Requirements
(ESARRs) which have been of the
highest importance for the safe
provision of air traffic services. In
accordance with Regulation (EC) No
550/2004, the Commission should
identify and adopt the relevant
provisions of ESARRs in Union
regulations. The ESARRs
incorporated in Commission
Regulation (EC) No 2096/2005 of 20
December 2005 laying down
common requirements for the
provision of air navigation services (
1 ) form the basis of these
implementing rules.
ALL
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INTRO 14 1 NSA
(12) When adopting Regulation (EC)
No 2096/2005, the Commission
concluded that it was not appropriate
to repeat the ESARR 2 provisions on
reporting and assessment of safety
occurrences in ATM, which are
covered by Regulation (EU) No
996/2010 of the European
Parliament and the Council of 20
October 2010 on the investigation
and prevention of accidents and
incidents in civil aviation and
repealing Directive 94/56/EC ( 2 )
and by Directive 2003/42/EC of the
European Parliament and of the
Council of 13 June 2003 on
occurrence reporting in civil aviation
( 3 ). However, new provisions on
safety occurrences should be
introduced in order to require a
competent authority, as defined by
this Regulation, to check whether
providers of air traffic services, and
also providers of communication,
navigation or surveillance services,
meet the arrangements required to
cover the reporting and assessment
of such occurrences.
ALL
INTRO 15 1 EC
(13) It should be recognised in
particular that, firstly, safety
management is that function of air
navigation services which ensures
that all safety risks have been
identified, assessed and satisfactorily
mitigated, and that, secondly, a
formal and systematic approach to
safety management and
ALL
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management systems, towards a
total system approach, will maximise
safety benefits in a visible and
traceable way. The Agency should
further evaluate the safety
requirements of this Regulation and
integrate them into a common
regulatory structure for civil aviation
safety.
INTRO 16 1 EC, STATE
(14) Until the Agency has drawn up
the implementing measures
transposing the relevant standards
of the International Civil Aviation
Organisation (ICAO) into Union
implementing measures, acceptable
means of compliance, certification
specifications and guidance material,
air navigation service providers
should operate in compliance with
the relevant ICAO standards. With a
view to facilitating the cross-border
provision of air navigation services,
and until the finalisation of the work
of the Agency to draw up the
relevant measures transposing the
ICAO standards, the Member States,
the Commission and the Agency,
acting in close cooperation with
Eurocontrol where relevant, should
work towards minimising the
differences notified by Member
States in the application of ICAO
standards in the field of air
navigation services in order to reach
a common set of standards between
Member States within the single
European sky.
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INTRO 17 1 STATE, NSA
(15) Different national
arrangements as to liability should
not prevent air navigation service
providers from entering into
agreements on the cross-border
provision of services, once the air
navigation service providers have set
up arrangements to cover losses for
damages arising from liabilities
under the applicable law. The
method employed should comply
with the requirements of national
law. Member States which allow the
provision of air navigation services in
all or part of the airspace under their
responsibility without certification in
accordance with Regulation (EC) No
550/2004 should cover the liabilities
of those air navigation service
providers.
ALL
INTRO 18 1 EC, STATE
(16) The Agency should further
evaluate the provisions of this
Regulation, in particular those
related to the safety assessment of
changes to the provision of air
navigation services by the certified
organisation and engineering and
technical personnel, and issue an
opinion to adapt them towards a
total system approach, taking into
account the integration of these
provisions into a future common
regulatory structure for civil aviation
safety and the experience gained by
stakeholders and competent
authorities in the field of safety
oversight.
ALL
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INTRO 19 1 EC
(17) Regulation (EC) No 551/2004
of the European Parliament and of
the Council of 10 March 2004 on the
organisation and use of the airspace
in the single European sky (the
airspace Regulation) ( 1 ) requires
that specific functions called network
functions are to be set up to allow
optimum use of airspace and scarce
resources, while allowing users
maximum access to airspace as well
as the ability to operate preferred
trajectories. As provided for in
Regulation (EC) No 551/2004,
Commission Regulation (EU) No
677/2011 of 7 July 2011 laying down
detailed rules for the implementation
of air traffic management (ATM)
network functions and amending
Regulation (EU) No 691/2010 ( 2 )
lays down the rights, obligations and
responsibilities of the entity involved
in the provision of those functions.
ALL
INTRO 20 1 NSA, ANSP,
STATE
(18) For the safe execution of
certain network functions, the entity
involved is subject to certain
requirements. These requirements
aim to ensure that the entity or
organisation operates in a safe
manner and they are laid down in
Annex VI Regulation (EU) No
677/2011. These are organisation
safety requirements which are very
similar to the general requirements
for the provision of air navigation
services laid down in Annex I to this
Regulation but adapted to the safety
ALL
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responsibilities of the network
functions.
INTRO 21 1 NSA, ANSP,
STATE
(19) Regulation (EC) No 2096/2005
should therefore be repealed. ALL
INTRO 22 1 NSA, ANSP,
STATE
(20) Commission Regulation (EC)
No 482/2008 of 30 May 2008
establishing a software safety
assurance system to be implemented
by air navigation service providers
and amending Annex II to
Regulation (EC) No 2096/2005 ( 3 )
and Commission Regulation (EU) No
691/2010 of 29 July 2010 laying
down a performance scheme for air
navigation services and network
functions and amending Regulation
(EC) No 2096/2005 laying down
common requirements for the
provision of air navigation services (
4 ) should be amended in order to
be adapted to this Regulation.
ALL
INTRO 23 1 NSA, ANSP,
STATE
(21) The measures provided for in
this Regulation are in accordance
with the opinion of the Single Sky
Committee established by Article 5
of Regulation (EC) No 549/2004,
ALL
ANSP HAS ADOPTED THIS REGULATION: ALL
1 ANSP Article 1
Subject-matter and scope ALL
1 1 1 ANSP This Regulation lays down the ALL
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common requirements for the
provision of air navigation services.
1 1 ANSP
However, unless Annex I or II makes
provision to the contrary, those
common requirements shall not
apply to:
ALL
1 1 a ANSP
(a) activities other than the
provision of air navigation services
by a provider of such services;
ALL
1 1 b ANSP
(b) resources allocated to activities
outside the provision of air
navigation services.
ALL
2 NSA, ANSP Article 2
Definitions ALL
2 1 1 NSA, ANSP
For the purposes of this Regulation,
the definitions in Article 2 of
Regulation (EC) No 549/2004 and
Article 3 of Regulation (EC) No
216/2008 apply. However, the
definition of ‘certificate’ in Article
2(15) of Regulation (EC) No
549/2004 does not apply.
ALL
2 2 1 NSA, ANSP The following definitions also apply: ALL
2 2 1 NSA, ANSP
(1) ‘aerial work’ means an aircraft
operation in which an aircraft is used
for specialised services such as
agriculture, construction,
photography, surveying, observation
and patrol, earch and rescue or
aerial advertisement;
ALL
2 2 2 NSA, ANSP
(2) ‘commercial air transport’ means
any aircraft operation involving the
transport of passengers, cargo or
mail for remuneration or hire;
ALL
2 2 3 NSA, ANSP (3) ‘functional system’ means a
combination of systems, procedures ALL
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and human resources organised to
perform a function within the context
of ATM;
2 2 4 NSA, ANSP
(4) ‘general aviation’ means any
civil aircraft operation other than
aerial work or commercial air
transport;
ALL
2 2 5 NSA, ANSP
(5) ‘national supervisory authority’
means the body or bodies nominated
or established by Member States as
their national supervisory authority
pursuant to Article 4(1) of
Regulation (EC) No 549/2004;
ALL
2 2 6 NSA, ANSP
(6) ‘hazard’ means any condition,
event, or circumstance which could
induce an accident;
ALL
2 2 7 NSA, ANSP (7) ‘organisation’ means an entity
providing air navigation services; ALL
2 2 8 NSA, ANSP
(8) ‘operating organisation’ means
an organisation responsible for the
provision of engineering and
technical services supporting air
traffic, communication, navigation or
surveillance services;
ALL
2 2 9 NSA, ANSP
(9) ‘risk’ means the combination of
the overall probability, or frequency
of occurrence of a harmful effect
induced by a hazard and the severity
of that effect;
ALL
2 2 10 NSA, ANSP
(10) ‘safety assurance’ means all
planned and systematic actions
necessary to provide adequate
confidence that a product, a service,
an organisation or a functional
system achieves acceptable or
tolerable safety;
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2 2 11 NSA, ANSP
(11) ‘safety objective’ means a
qualitative or quantitative statement
that defines the maximum frequency
or probability at which a hazard can
be expected to occur;
ALL
2 2 12 NSA, ANSP
(12) ‘safety requirement’ means a
risk-mitigation means, defined from
the risk-mitigation strategy that
achieves a particular safety
objective, including organisational,
operational, procedural, functional,
performance, and interoperability
requirements or environment
characteristics;
ALL
2 2 13 NSA, ANSP
(13) ‘services’ means either an air
navigation service or a bundle of
such services;
ALL
2 2 14 NSA, ANSP
(14) ‘pan-European air navigation
service’ means an air navigation
service which is designed and
established for users within most or
all Member States and which may
also extend beyond the airspace of
the territory to which the Treaty
applies.
ALL
2 2 15 NSA, ANSP
(15) ‘air navigation service provider’
means any public or private entity
providing ANS for general air traffic,
including an organisation having
applied for a certificate to provide
such services.
ALL
NSA, ANSP
Article 3
Competent authority for
certification
ALL
3 1 NSA, ANSP
1. For the purpose of this
Regulation, the competent authority
for the certification of air navigation
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service providers shall be:
3 1 a NSA, ANSP
(a) for organisations having their
principal place of operation and, if
any, their registered office located in
a Member State, the national
supervisory authority nominated or
established by that Member State;
ALL
3 1 b NSA, ANSP
(b) for organisations providing air
navigation services in the airspace of
the territory to which the Treaty
applies and having their principal
place of operation and, if any, their
registered office located outside the
territory subject to the provisions of
the Treaty, the Agency;
ALL
3 1 c NSA, ANSP
(c) for organisations providing pan-
European air navigation services in
the airspace of the territory to which
the Treaty applies, the Agency.
ALL
3 2 NSA, ANSP
2. The competent authority for
safety oversight shall be the
authority determined in accordance
with Article 3 of Commission
Implementing Regulation (EU) No
1034/2011.
ALL
4 ANSP Article 4
Granting of certificates ALL
4 1 ANSP
1. In order to obtain the certificate
necessary to provide air navigation
services, and without prejudice to
Article 7(5) of Regulation (EC) No
550/2004, organisations shall
comply with:
ALL
4 1 a ANSP
(a) the general requirements for the
provision of air navigation services
set out in Annex I;
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4 1 b ANSP
(b) the additional specific
requirements set out in Annexes II
to V according to the type of service
they provide.
ALL
4 2 ANSP
2. A competent authority shall verify
an organisation’s compliance with
the common requirements before
issuing a certificate to it.
ALL
4 3 ANSP
3. An organisation shall comply with
the common requirements no later
than at the time at which the
certificate is issued pursuant to:
ALL
4 3 a ANSP (a) Article 7 of Regulation (EC) No
550/2004; ALL
4 3 b ANSP
(b) Article 8b(2) and Article 22a(b)
and (c) of Regulation (EC) No
216/2008.
ALL
5 ANSP Article 5
Derogations ALL
5 1 1 ANSP
1. By way of derogation from Article
4(1), certain air navigation service
providers may elect not to avail
themselves of the opportunity to
provide cross-border services and
may waive the right to mutual
recognition within the single
European sky.
ALL
5 1 2 ANSP
They may, in those circumstances,
apply for a certificate which is limited
to the airspace under the
responsibility of the Member State
referred to in Article 7(2) of
Regulation (EC) No 550/2004.
ALL
5 2 ANSP
2. In order to make an application as
referred to in paragraph 1, a
provider of air traffic services shall
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provide services or plan to provide
them only with respect to one or
more of the following categories:
5 2 a ANSP (a) aerial work; ALL
5 2 b NSA, ANSP (b) general aviation; ALL
5 2 c ANSP
(c) commercial air transport limited
to aircraft with less than 10 tonnes
of maximum take-off mass or less
than 20 passenger seats;
ALL
5 2 d 1 NSA
(d) commercial air transport with
less than 10 000 movements per
year, regardless of the maximum
take-off mass and the number of
passenger seats; ‘movements’ being
counted as the sum of take-offs and
landings and calculated as an
average over the previous three
years.
ALL
5 2 d 2 NSA, ANSP
In order to make such an
application, an air navigation service
provider other than a provider of air
traffic services shall have a gross
annual turnover of EUR 1 000 000 or
less in relation to the services it
provides or plans to provide.
ALL
5 2 d 3 NSA, ANSP
Where, owing to objective practical
reasons, an air navigation service
provider is unable to provide
evidence that it meets those
qualifying criteria, the competent
authority may accept analogous
figures or forecasts in relation to the
ceilings defined in the first and the
second subparagraphs.
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5 2 d 4 NSA, ANSP
When submitting such an
application, the air navigation
service provider shall submit to the
competent authority, at the same
time the relevant evidence regarding
the qualifying criteria.
ALL
5 3 1 NSA
3. The competent authority may
grant specific derogations to
applicants who fulfil the qualifying
criteria of paragraph 1,
commensurately with their
contribution to ATM in the airspace
under the responsibility of the
Member State concerned.
ALL
5 3 2 NSA, ANSP Those derogations may relate only to
the requirements set out in Annex I. ALL
5 3 3 NSA, ANSP
However, no derogation shall be
granted for the following
requirements:
ALL
5 3 3 a NSA, ANSP (a) technical and operational
competence and capability (point 1); ALL
5 3 3 b NSA, ANSP (b) safety management (point 3.1); ALL
5 3 3 c NSA, ANSP (c) human resources (point 5); ALL
5 3 3 d NSA, ANSP (d) open and transparent provision
of air navigation services (point 8.1). ALL
5 4 1 NSA, ANSP
4. In addition to the derogations
provided for in paragraph 3, the
competent authority may grant
derogations to applicants who
provide aerodrome flight information
services by operating regularly not
more than one working position at
any aerodrome. It shall do so
commensurately with the applicants’
contribution to ATM in the airspace
under the responsibility of the
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Member State concerned.
5 4 2 NSA, ANSP
Those derogations may relate only to
the following requirements of point 3
of Annex II:
ALL
5 4 2 a NSA, ANSP
(a) safety management
responsibility and external services
and supplies (point 3.1.2(b) and
(e));
ALL
5 4 2 b NSA, ANSP (b) safety surveys (point 3.1.3(a)); ALL
5 4 2 c NSA, ANSP
(c) safety requirements for risk
assessment and mitigation with
regard to changes (point 3.2).
ALL
5 5 NSA, ANSP
5. No derogations shall be granted
from the requirements in Annexes
III, IV or V.
ALL
5 6 NSA, ANSP
6. In accordance with Annex II of
Regulation (EC) No 550/2004, the
competent authority shall:
ALL
5 6 a NSA, ANSP
(a) specify the nature and the scope
of the derogation in the conditions
attached to the certificate by
indicating its legal basis;
ALL
5 6 b NSA, ANSP
(b) limit the validity of the
certificate in time, where considered
necessary for oversight purposes;
ALL
5 6 c NSA, ANSP
(c) monitor whether the air
navigation service providers continue
to qualify for the derogation.
ALL
6 ANSP Article 6
Demonstration of compliance ALL
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6 1 ANSP
1. Organisations shall provide all the
relevant evidence to demonstrate
compliance with the applicable
common requirements at the request
of the competent authority.
Organisations may make full use of
existing data.
ALL
6 2 ANSP
2. A certified organisation shall
notify the competent authority of
planned changes to its provision of
air navigation services which may
affect its compliance with the
applicable common requirements or
with the conditions attached to the
certificate, where applicable.
ALL
6 3 1 ANSP
3. Where a certified organisation no
longer complies with the applicable
common requirements or, where
applicable, with the conditions
attached to the certificate, the
competent authority shall, within one
month of the date of discovering the
non-compliance, require the
organisation to take corrective
action.
ALL
6 3 2 NSA That decision shall immediately be
notified to the relevant organisation. ALL
6 3 3 NSA
The competent authority shall check
that the corrective action has been
implemented before notifying its
approval to the relevant
organisation.
ALL
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6 3 4 NSA
Where the competent authority
considers that corrective action has
not been properly implemented
within the timetable agreed with the
organisation, it shall take
appropriate enforcement measures
as provided for in Article 7(7) of
Regulation (EC) No 550/2004 and
Article 10, Article 22a(d), and
Articles 25 and 68 of Regulation (EC)
No 216/2008, while taking into
account the need to ensure the
continuity of air navigation services.
ALL
7 NSA
Article 7
Facilitation of compliance
monitoring
ALL
7 1 NSA, ANSP
Organisations shall facilitate
inspections and surveys by the
competent authority or by a qualified
entity acting on the latter’s behalf,
including site visits and visits without
prior notice.
ALL
7 2 2 NSA
The authorised persons shall be
empowered to perform the following
acts:
ALL
7 2 2 a NSA
(a) to examine the relevant records,
data, procedures and any other
material relevant to the provision of
air navigation services;
ALL
7 2 2 b NSA
(b) to take copies of or extracts
from such records, data, procedures
and other material;
ALL
7 2 2 c NSA (c) to ask for an oral explanation on
site; ALL
7 2 2 d NSA (d) to enter relevant premises, lands
or means of transport. ALL
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7 3 NSA
Such inspections and surveys, when
conducted by a competent authority
or by a qualified entity acting on
their behalf, shall be carried out in
compliance with the legal provisions
of the Member State in which they
are to be undertaken.
ALL
8 NSA Article 8
Ongoing compliance ALL
8 1 NSA
The competent authority shall, on
the basis of the evidence at its
disposal, monitor annually the
ongoing compliance of the
organisations which it has certified.
ALL
8 2 NSA
To that end, the competent authority
shall establish and update annually
an indicative inspection programme
which covers all the providers it has
certified and which is based on an
assessment of the risks associated
with the different operations
constituting the air navigation
services provided. It shall consult the
organisation concerned as well as
any other competent authority
concerned, if appropriate, before
establishing such a programme.
ALL
8 3 NSA
The programme shall indicate the
envisaged interval of the inspections
of the different sites.
ALL
9 NSA
Article 9
Safety regulation of engineering
and technical personnel
ALL
9 1 NSA
With regard to the provision of air
traffic, communication, navigation or
surveillance services, the competent
authority or any other authority
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designated by a Member State to
fulfil this task shall:
9 1 a NSA
(a) issue appropriate safety rules for
engineering and technical personnel
who undertake operational safety-
related tasks;
ALL
9 1 b NSA
(b) ensure adequate and
appropriate safety oversight of the
engineering and technical personnel
assigned by any operating
organisation to undertake
operational safety- related tasks;
ALL
9 1 c NSA
(c) on reasonable grounds and after
due enquiry, take appropriate action
in respect of the operating
organisation and/or its technical and
engineering personnel who do not
comply with the requirements of
point 3.3 of Annex II;
ALL
9 1 d NSA
(d) verify that appropriate methods
are in place to ensure that third
parties assigned to operational
safety-related tasks comply with the
requirements of point 3.3 of Annex
II.
ALL
10 NSA Article 10
Peer review procedure ALL
10 1 NSA
1. The Commission, acting in
cooperation with the Member States
and the Agency may arrange peer
reviews of national supervisory
authorities in accordance with
paragraphs 2 to 6.
ALL
10 2 1 NSA
2. A peer review shall be carried out
by a team of national experts and,
where appropriate, observers from
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the Agency.
10 2 2 EC
A team shall be comprised of experts
coming from at least three different
Member States and the Agency.
ALL
10 2 3 STATE, NSA
Experts shall not participate in peer
reviews in the Member State where
they are employed.
ALL
10 2 4 EC, NSA
The Commission shall establish and
maintain a pool of national experts,
designated by Member States, which
shall cover all aspects of the
common requirements as listed in
Article 6 of Regulation (EC) No
550/2004.
ALL
10 3 1 EC
3. Not less than three months before
a peer review, the Commission shall
inform the Member State and the
national supervisory authority
concerned of the peer review, the
date on which it is scheduled to take
place and the identity of the experts
taking part in it.
ALL
10 3 2 EC
The Member State whose national
supervisory authority is subject to
review shall approve the team of
experts before it may carry out the
review.
ALL
10 4 1 EC
4. Within a period of three months
from the date of the review, the
review team shall draw up, by
consensus, a report which may
contain recommendations.
ALL
10 4 2 STATE, NSA
The Commission shall convene a
meeting with the Agency, the
experts and the national supervisory
authority to discuss that report.EN L
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271/28 Official Journal of the
European Union 18.10.2011
10 5 1
5. The Commission shall forward the
report to the Member State
concerned.
ALL
10 5 2 STATE, NSA
The Member State may, within three
months from the date of receipt of
the report, present its observations.
ALL
10 5 3 STATE, NSA
Those observations shall include,
where relevant, the measures which
the Member State has taken or
intends to take to respond to the
review within a given timescale.
ALL
10 4 4 STATE, NSA
Unless otherwise agreed with the
Member State concerned, the report
and the follow-up shall not be
published.
ALL
10 6 STATE, NSA
6. The Commission shall inform the
Member States through the Single
Sky Committee of the main findings
of these reviews on an annual basis.
ALL
11 NSA, ANSP,
STATE
Article 11
Transitional provisions ALL
11 1 NSA, ANSP,
STATE
1. Air navigation service providers
holding a certificate issued in
accordance with Regulation (EC) No
2096/2005 on the date of entry into
force of this Regulation shall be
deemed to hold a certificate issued
in accordance with this Regulation.
ALL
11 2 NSA, ANSP,
STATE
2. Applicants for an air navigation
service providers’ certificate which
submitted their application before
the date of entry into force of this
Regulation and were not already
issued with a certificate on that date
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shall show compliance with the
provisions of this Regulation before
the certificate is issued.
11 3 NSA, ANSP,
STATE
3. Where organisations, for which
the competent authority will be the
Agency in accordance with Article 3,
have applied to a national
supervisory authority of a Member
State for the issue of a certificate
before the date entry into force of
this Regulation, the national
supervisory authority shall finalise
the certification process in
coordination with the Agency and
transfer the file to the Agency upon
the issue of the certificate.
ALL
12 NSA, ANSP,
STATE
Article 12
Repeal ALL
12 NSA, ANSP,
STATE
Regulation (EC) No 2096/2005 is
repealed. ALL
13 NSA, ANSP,
STATE
Article 13
Amendment to Regulation (EC)
No 482/2008
ALL
13 NSA, ANSP,
STATE
Regulation (EC) No 482/2008 is
amended as follows: ALL
13 1 NSA, ANSP,
STATE
(1) in Article 4(5), the reference to
‘Regulation (EC) No 2096/2005’ is
replaced by a reference to
‘Commission Implementing
Regulation (EU) No 1035/2011.
ALL
13 2 NSA, ANSP,
STATE (2) Article 6 is deleted; ALL
13 3 NSA, ANSP,
STATE
(3) in Annex I, in points 1 and 2,
the reference to ‘Regulation (EC) No
2096/2005’ is replaced by a
ALL
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reference to ‘Implementing
Regulation (EU) No 1035/2011’.
14 NSA, ANSP,
STATE
Article 14
Amendment to Regulation (EC)
No 691/2010
ALL
14 NSA, ANSP,
STATE
In Regulation (EU) No 691/2010,
Article 25 is deleted. ALL
15 NSA, ANSP,
STATE
Article 15
Entry into force ALL
15 NSA, ANSP,
STATE
This Regulation shall enter into force
on the 20th day following its
publication in the Official Journal of
the European Union.
ALL
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Nr.of
Annex Point
Para.
Nr
Appli-
cability
Area
Text of Common
Requirement Domain Key Elements Evidence
How to Assess the
Evidence
Compliance Actions
needed &
planned
completion
date
Yes On
going No
I 1 ANSP
1. TECHNICAL
AND
OPERATIONAL
COMPETENCE
AND CAPABILITY
SAF,
CNS
I 1 ANSP
Air navigation
service providers
shall be able to
provide their
services in a safe,
efficient,
continuous and
sustainable
manner
consistent with
any reasonable
level of overall
demand for a
given airspace. To
this end, they
shall maintain
adequate
technical and
operational
capacity and
expertise.
SAF,
CNS
ANSP to provide safe,
efficient, continuous
and consistent in
respect of given
airspace.
This
requirement is
incorporated in
the other CRs.
Therefore it is
not necessary
to assess this
requirement
separately.
Consider the size of
the organisation.
check if the ANSP’s
organisational
structure supports:
1. safe service
2. efficient service
3. continuous
provision of services.
check if the
organisational
structure defines the
above mentioned
criteria for the ANSP
I 2 ANSP
2.
ORGANISATIONAL
STRUCTURE AND
MANAGEMENT
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I 2 1 ANSP
2.1.
Organisational
structure
ALL
I 2 1 1 ANSP
Air navigation
service providers
shall set up and
manage their
organisation
according to a
structure that
supports the safe,
efficient and
continuous
provision of air
navigation
services.
ALL
the organisational
structure of the ANSP
shall support the safe,
efficient and
continuous provision
of services.
Set up structure
that supports
the:
1. safe
2. efficient
3. continuous
provision of
services
Evidence should
be collected
that indicate
the ANSP has
an effective
SMS (safe) and
QMS (efficient).
Consider the size of
the organisation.
check if the ANSP’s
organisational
structure supports:
1. safe service
2. efficient service
3. continuous
provision of services.
check if the
organisational
structure defines the
above mentioned
criteria for the ANSP
This is a high level
requirement that
cannot be checked
without checking
other requirements
(especially regarding
SMS and QMS). This
should be the result
of the analysis of
evidence from those
requirements.
I 2 1 2 ANSP
The organisational
structure shall
define:
ALL
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I 2 1 3 a ANSP
(a) the authority,
duties and
responsibilities of
the nominated
post holders, in
particular of the
management
personnel in
charge of safety,
quality, security,
finance and
human resources
related functions;
ALL
the organisational
structure of the ANSP
shall define the
different functions
and responsibilities of
its and the
nominated post
holders for this
divisions
Manage organisation
according to the
structure defined
Designate positions
for management
personnel in charge
of:
1. safety
2. quality
3. security
4. finance and
5. human resources
Job descriptions
for
management
personnel in
charge of
1. safety
2. quality
3. security
4. finance and
5. human
resources
Document of
delegation of
power and
signature (e.g.
copy of
company
registration if
applicable
check if the
organisational
structure defines the
following
organizational parts
and if nominates the
post holders for it:
1. safety
management
2. quality
management
3. security
management
4. financial
management
5. human resources
management
if yes check if it is
defined their
1. authority
2. duties
3. responsibilities
Verify that signed job
descriptions exist for
this personnel.
Verify that the
delegation of power
and signature (e.g.
copy of company
registration if
applicable) is
consistent with the
organisational
chart/documentation
of organisational
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structure.
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I 2 1 3 b ANSP
(b) the
relationship and
reporting lines
between different
parts and
processes of the
organisation.
ALL
the organisational
structure of the ANSP
shall define the
relationship and
reporting lines
between different
parts and processes
of the organisation.
Define
1. authority
2. duties and
3.
responsibilities
Define the
different parts
and processes
of the
organisation.
Define
1. Relationship
and
2. Reporting
lines
Check if the ANSP’s
organisational
structure defines in
an adequate manner
the:
1. relationship
between different
parts of the
organisation
2. reporting lines
between different
parts of the
organisation
3. processes between
different parts of the
organisation
Verify the relevant
reporting lines are
identified and
described.
Verify that the
1. relevant processes
2. process owner
3. reporting lines
4. nterfaces to the
outside world
are described.
Organisational
chart/documentation
of organisational
structure
Service Level
Agreements
Definition and
implementation of a
description of the
departments as well
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as of the processes
(e.g. process model)
Documentation on
outsourced/external
activities including
their legal framework
I 2 2 ANSP
2.2.
Organisational
management
ALL
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I 2 2 1 ANSP 2.2.1. Business
plan ALL
I 2 2 1 ANSP
Air navigation
service providers
shall produce a
business plan
covering a
minimum period
of five years. The
business plan
shall:
ALL
Business plan which
cover at least a period
of five years
Business plan
(or any other
document
covering the
required
content) that
covers at least
a period of five
years.
Verify if a business
plan that covers at
least a period of five
years exists.
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I 2 2 1 a ANSP
(a) set out the
overall aims and
goals of the air
navigation service
provider and its
strategy towards
achieving them in
consistency with
any overall longer
term plan of the
air navigation
service provider
and with relevant
Union
requirements for
the development
of infrastructure
or other
technology;
ALL
1. Overall aims and
goals
2. Strategy towards
achieving them in
consistency with any
overall longer term
plan of the provider
and with relevant
Community European
Union requirements.
Re to SESAR
progressive
implementation.
Existence of a
business plan
Verify if the business
plan covers:
1. the ANSP’s Vision,
Mission and Values;
2. a description of
the Business Context
that provides
information on the
governing and
managerial
framework the ANSP
operates in;
3. the Business
strategies;
4. the long-term
goals (5 years) and
the short term goals
(1-2 years);
5. the activities for
the short term goals
– It will be the basis
of the
Annual Plan;
1. the human and
financial resources
and investments;
2. the organisational
issues/structure;
3. the development
plans of
infrastructure and
technology (in
accordance with
relevant Community
and EUROCONTROL
requirements (e.g.
European
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Convergence and
Implementation
Plan).
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I 2 2 1 b ANSP
(b) contain
appropriate
performance
targets in terms
of safety,
capacity,
environment and
cost-efficiency, as
may be
applicable.
ALL
The business plan
contains performance
indicators;Consistency
with the national or
FAB performance plan
as per Art. 11 of the
Framework
Regulation.
Safety data consistent
with the State safety
programme.
Safety and business
justification (i.e.
business cases) for
major investments
(e.g. above 10% of
its annual budget).
Impact on
performance
indicators shall be
assessed and
demonstrated.
Moreover, inv. Plans
should be in line with
the legal obligations
stemming from
SESAR.
The business
plan contains
performance
indicators
Verify if the business
plan describes
performance
objectives in terms
of:
- quality and level of
service,
1. safety,
2. capacity
3. environment and
4. cost-efficiency
as may be
applicable.
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I 2 2 1 b ANSP
The information
listed in points (a)
and (b) shall be
consistent with
the national or
functional
airspace block
performance plan
referred to in
Article 11 of
Regulation (EC)
No 549/2004 and,
as far as safety
data is concerned,
consistent with
the State Safety
Programme
referred to in
Standard 2.27.1
of Annex 11 to
the Convention on
International Civil
Aviation,
Amendment 47B
from 20 July 2009
as applicable.
ALL
I 2 2 1 b ANSP
Air navigation
service providers
shall produce
safety and
business
justifications for
major investment
projects including,
where relevant,
the estimated
impact on the
ALL
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appropriate
performance
targets referred
to in point (b) and
identifying
investments
stemming from
the legal
requirements
associated with
the
implementation of
the Single
European Sky
ATM Research
Programme
(SESAR).
I 2 2 2 ANSP 2.2.2. Annual
plan ALL
I 2 2 2 ANSP
Air navigation
service providers
shall produce an
annual plan
covering the
forthcoming year
which shall
specify further the
features of the
business plan and
describe any
changes to it.
ALL
Annual plan that
a. Covers the
forthcoming year
b. Specifies further
the business plan
c. Describes any
changes to the
business plan.
Annual plan
a. Verify if the annual
plan covers the
forthcoming year
b. provides more
detailed information
that is in line with the
business plan for the
forthcoming year
c. specifies any
changes to the
business plan.
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I 2 2 2 ANSP
The annual plan
shall cover the
following
provisions on the
level and quality
of service, such
as the expected
level of capacity,
safety,
environment and
cost-efficiency, as
may be
applicable:
ALL
Annual plan that
covers
a. Provisions on the
level of quality of
service (expected
capacity, safety and
delays to flights
incurred)
b. Financial
arrangements
Annual plan See below
I 2 2 2 a ANSP
(a) information
on the
implementation of
new infrastructure
or other
developments and
a statement how
they will
contribute to
improving the
performance of
the air navigation
service provider,
including level
and quality of
services;
ALL
1. Provide information
on the new
infrastructure or other
development
2. Provide a
statement saying how
they contribute to the
quality of services.
improving the
performance of the air
navigation service
provider, including
level and quality of
services.
Annual plan
Verify if the
information provided
in the annual plan
with regard to the
new infrastructure or
other developments
is consistent with the
information provided
in the business plan.
Verify whether the
contribution of the
new infrastructure or
other developments
on the quality of
service is described.
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I 2 2 2 b ANSP
(b) performance
indicators
consistent with
the national or
functional
airspace block
performance plan
referred to in
Article 11 of
Regulation (EC)
No 549/2004
against which the
performance level
and quality of
service may be
reasonably
assessed;
ALL
1. provide
performance
indicators consistent
with the national or
functional airspace
block
2. performance plan
referred to in Article
11 of the framework
Regulation against
which the
performance level and
quality of service may
be reasonably
assessed;
Measures plan to
mitigate safety risks
idenrtified in the
safety plan of the air
navigation service
provider.
This should include
safety indicators to
monitor safety risk
and where
appropriate the
estimated cost of
mitigation measures;
Annual plan
Verify that that
Annual Plan covers:
a. performance
target settings
b. capacity plan
c. predicted
performance in terms
of safety
d. predicted
performance in terms
and delays.
Verify if the
performance
indicators of the
annual plan are
consistent with the
performance
objectives described
in the business plan.
I 2 2 2 c ANSP
(c) information
on the measures
foreseen to
mitigate the
safety risks
identified in the
safety plan of the
air navigation
service provider,
ALL
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including safety
indicators to
monitor safety
risk and, where
appropriate, the
estimated cost of
mitigation
measures;
I 2 2 2 d ANSP
(d) the air
navigation service
provider’s
expected short-
term financial
position as well as
any changes to or
impacts on the
business plan.
ALL
a. the short- term
expected financial
position
b. any changes to or
impacts on the
business plan The
content of the
performance part of
the business plan and
of the annual plan to
be available to the
European Commission
on request under
conditions set by the
national supervisory
authority in
accordance with
national law.'
The annual plan
provides
information on
the expected
short-term
financial
position of the
ANSP.
Verify if the annual
plan provides
information on the
1. short-term
expected financial
position
2. links of
implementation of
new infrastructure or
other developments
with human and
financial resources
and investments.
Verify if the
information provided
in the annual plan is
consistent with
information provided
in the 5-year
business plan.
Verify if any changes
to or impacts on the
business plan are
described in the
annual plan.
I 2 2 3 ANSP
2.2.3.
Performance part
of the plans
ALL
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I 2 2 3 ANSP
The air navigation
service provider
shall make the
content of the
performance part
of the business
plan and of the
annual plan
available to the
Commission on
request under the
conditions set by
the competent
authority in
accordance with
national law.
ALL
I 3 ANSP
3. SAFETY AND
QUALITY
MANAGEMENT
SAF,
QTY
I 3 1 ANSP 3.1. Safety
management SAF
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I 3 1 1 ANSP
Air navigation
service providers
shall manage the
safety of all their
services. In doing
so, they shall
establish formal
interfaces with all
stakeholders
which may
influence directly
the safety of their
services.
SAF
The proposed
approach is in
consultation with NSA
to identify list of
Stakeholders subject
to this requirement.
ANSP shall formalise
interfaces and binding
procedures (e.g.
Service Level
Agreements) related
to the concerned
Stakeholders, for
providing and
receiving the
information necessary
for the provision of a
certain part of the
service provided by
an ANSP.
For the
identified
stakeholders,
Service Level
Agreements
established in a
way that ensure
that decisions
taken, that may
impact safety,
are clearly
documented as
well as the
rationale for
these decisions.
Verify whether the
Service Level
Agreement covers all
interfaces with
stakeholders that
may influence the
safety of its services.
Verify whether the
Service Level
Agreements formalise
the interfaces for
providing and
receiving all material
and non-material
supplies and services.
I 3 1 2 ANSP
Air navigation
service providers
shall develop
procedures for
managing safety
when introducing
new functional
systems or
changing the
existing functional
systems.
SAF
I 3 2 ANSP
3.2. Quality
management
system
QTY
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I 3 2 1 ANSP
Air navigation
service providers
shall have in
place a quality
management
system which
covers all air
navigation
services that they
provide, according
to the following
principles.
QTY
1. The ANSP shall
have a quality
management system
(QMS) in place that
shall cover all air
navigation services
provided.
The following at
least should be
in place:
1. A quality
policy text well
communicated
in the
organisation;
2. Quality
assurance
programme and
associated
procedures;
3. Quality
management
system
documents and
records;
4. Management
representative
confirmation;
5. Records from
management
reviews;
6. Internal
quality audits
and provision of
relevant
reports.
Scenario 1: Check
the availability, the
scope and validity of
the EN ISO 9001
Certificate
Scenario 2:
NSA could check
evidence by
1. conducting a desk
audit (on/off site)
2. conducting an on-
site audit
3. issuing its own
NSA questionnaire
4. contracting a
third-party for
auditing
5. checking internal
quality audits by
ANSP & provision of
audit reports
I 3 2 2 ANSP
The quality
management
system shall:
QTY
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I 3 2 2 a ANSP
(a) define the
quality policy in
such a way as to
meet the needs of
different users as
closely as
possible;
QTY
1. A quality policy
text well
communicated in the
organisation should
be agreed;
2. This quality policy
should be agreed via
an internal ANSP
consultation process
with the wide
participation of key
management and
individuals of the
organisation;
3. The quality policy
defined shall cover
the needs of the
different stakeholders
(customers,
employees, suppliers,
regulatory
authorities).
1. The text of
the quality
policy should be
included in the
ANSP QMS
manual or
handbooks;
2. Notes,
minutes or
other records of
various
consultation
sessions should
be filled and
archived as a
piece of
evidence.
Verify whether the
quality policy has
been defined and
covers the needs of
the different users
(clients, employees,
suppliers...).
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I 3 2 2 b ANSP
(b) set up a
quality assurance
programme that
contains
procedures
designed to verify
that all operations
are being
conducted in
accordance with
applicable
requirements,
standards and
procedures;
QTY
1. The ANSP should
set up a quality
assurance programme
with relevant
procedures in place’
2. The quality
procedures are used
to verify that all
operations are being
conducted in
accordance with
applicable
requirements,
standards and
procedures.
Quality
assurance
programme and
associated
procedures in
place
Verify whether the
quality procedures
are used to verify
that all operations
are being conducted
in accordance with
applicable
requirements,
standards and
procedures.
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I 3 2 2 c ANSP
(c) provide
evidence of the
functioning of the
quality
management
system by means
of manuals and
monitoring
documents;
QTY
Manuals, handbooks
and documented
monitoring
procedures should be
in place
A clear
evidence that
the of the
quality system
is functioning as
appropriate
should consist
of the following:
1. quality
management
system
documents e.g.
quality
management
manual;
2. process
procedures,
work
procedures &
instructions,
3. monitoring
documents;
4. internal
quality audit
documents
(schedules,
audit reports,
corrective
action reports);
and
5. quality
records;
6. verification
whether the
quality
management
documents
Verify whether the
quality management
documents have
been implemented
and verify examples
of quality records
based on the
procedure outputs.
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have been
implemented
and verify
examples of
quality records
based on the
procedure
outputs.
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I 3 2 2 d ANSP
(d) appoint
management
representatives to
monitor
compliance with,
and adequacy of,
procedures to
ensure safe and
efficient
operational
practices;
QTY
1. The ANSP should
have formally
appointed
management
representatives
responsive to monitor
the competence of
processes and
procedures of the
work flow;
2. Organisational
structure of the
quality management
should be also defined
with associated terms
of reference, working
arrangements, job
and task descriptions.
The
organisational
documentation
or quality
manual should
clearly state;
1. the role of
management
representative
(e.g. QMS
manager) for
the quality
system who,
irrespective of
other
responsibilities:
2. the
responsibility
and authority of
the
management to
ensure that the
QMS is
established,
implemented
and maintained
and reports on
the
performance of
the QMS to top
management;
3. an adequate
job description
to make sure
that the person
for this role
has;
Verify whether the
organisational
documentation or
quality manual
includes:
1. a role of
Management
Representative for
the quality system
who,
2. irrespective of
other responsibilities
3. has the
responsibility and
4. authority
5. to ensure that the
QMS is
a. established
b. implemented
c. maintained
d. to report on the
performance of the
QMS
to top management;
make sure that the
person for this role
has an adequate job
description
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4. relevant
working
arrangements.
I 3 2 2 e ANSP
(e) perform
reviews of the
quality
management
system in place
and take remedial
actions, as
appropriate.
QTY
1. ANSP perform
surveys, reviews and
audits of the quality
system;
2. take remedial
actions, as
appropriate
The following
records should
be in place:
1. records from
management
reviews on the
QMS by top
management;
2. records of
implementing
Verify whether
records from
management reviews
are available and if
they include action
items if appropriate;
if action items have
been defined, check
whether these action
items are traced;
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action items
and if are
properly traced
I 3 2 3 ANSP
An EN ISO 9001
certificate, issued
by an
appropriately
accredited
organisation,
covering the air
navigation
services of the
provider shall be
considered as a
sufficient means
of compliance.
The air navigation
service provider
shall accept the
disclosure of the
documentation
related to the
certification to the
competent
authority upon
the latter’s
request.
QTY
1. An EN ISO 9001
certificate, issued by
an appropriately
accredited
organisation and
covering all air
navigations services
the ANSP provides is
a sufficient means of
compliance.
2. Much attention
should be paid to the
scope of the
certifications for they
were issued.
1. The
Certification
(registration)
body should
have been
approved by an
Accreditation
Body, e.g. refer
to the ISO
Directory of ISO
9000
Accreditation
and
Certification
Bodies – focus
on the
certification
(registration)
bodies
operating
nationally or
multi-
nationally.
2. The
accredited
organisation
that issued the
1. Accredited
organisation should
have previous
experience in air
traffic business at
least (if not ATM).
2. & 3. Audit report
will reveal the scope
and depth of the
audit.
ISO certificates
shoud never be taken
"as is".
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certificate has
the required
specific
business-sector
experience (SIC
9621 and 4581)
3. the scope of
the certificate
must cover all
air navigation
services
provided by the
ANSP.
I 3 2 4 ANSP
Air navigation
service providers
may integrate
safety, security
and quality
management
systems into their
management
system.
QTY
Independantly how
the combination is
made particular
oversight on ANSP
quality should take
place.
I 3 3 ANSP 3.3. Operations
manuals
SAF,
QTY
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I 3 3 1 ANSP
Air navigation
service providers
shall provide and
keep up-to-date
operations
manuals relating
to the provision of
their services for
the use and
guidance of
operations
personnel.
SAF,
QTY
1. Operations
manuals for ATS,
CNS, AIS and MET
providers shall be in
place
2. All formal
operations manuals
must be regularly or
ad hoc updated in line
with a procedure in
place;
3. up-to-date
documented
processes on work
flow should provide
users with adequate
guidance;
4. The ANSP should
ensure that it has an
effectively functioning
document control
system.
The following
evidence should
be at least
acquired:
1. ANSP’s
document
control
procedure,
together with a
list of examples
of controlled
documents;
2. the
documents
listed are
appropriate for
the scope of the
ANSP services
provided and
include the
relevant
operations
manuals;
3. records
demonstrating
an effectively
functioning
document
control system;
e.g.
management
reviews, quality
audit reports
and corrective
action plans
4. all operations
manuals are
Scenario 1:
Check the availability
and scope of a valid
EN ISO 9001
Certificate
Scenario 2:
1. Check ANSP’s
document control
procedure, together
with a list of
controlled
documents;
Verify whether the
documents listed are
appropriate for the
scope of the ANSP
services provided and
include the relevant
operations manuals;
2. Verify records
demonstrating an
effectively
functioning document
control system; e.g.
management
reviews, quality audit
reports and
corrective action
plans
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available and
updated;
5. The following
should be
checked: the
date of last
review,
alignment with
ICAO
requirements
regarding
operations
manuals in
particular
regarding Air
Traffic Services,
the updating
and validity of
local operations
manuals (e.g.
TWRs),
I 3 3 2 ANSP They shall ensure
that:
SAF,
QTY
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I 3 3 2 a ANSP
(a) operations
manuals contain
the instructions
and information
required by the
operations
personnel to
perform their
duties;
SAF,
QTY
1. Operations
manuals contain the
appropriate
instructions and
2. information
required by
operations personnel
to perform their duty
Documents
listed are
appropriate for
the scope of
ANSP's services
provided and
include the
relevant
operations
manuals;
Verify whether the
operations manuals
cover all areas of
operations the ANSP
provides (AIS(P),
ATS(P), MET(P),
CNS(P)) and contain
the required
information needed
by the operations
personnel.The ANSP
should be able to
provide evidence of a
process that ensures
that the
documentation is in
line with the
appropriate ICAO
Standards mentioned
in the specific ANNEX
for each ANSP.
I 3 3 2 b ANSP
(b) relevant parts
of the operations
manuals are
accessible to the
personnel
concerned;
SAF,
QTY
1. All key operational
manuals should be
accessible to the
personnel concerned;
2. adequate number
of hard copies for all
manuals must
available
1. The
operations
personnel can
access the
relevant and
current parts of
the operations
manuals;
2. In each
operational
position should
be a set of
applicable up
today
operations
manuals
Verify whether the
operations personnel
can access the
relevant and current
parts of the
operations manuals.
Should be covered by
the QMS but due to
the importance of the
operations manuals
the NSA may decide
to assess this
requirement in any
case.
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accessible to
operational
staff.
I 3 3 2 c ANSP
(c) the operations
personnel are
expeditiously
informed of
amendments to
the operations
manual applying
to their duties as
well as of their
entry into force.
SAF,
QTY
1. Expeditious
communication of
amendments to the
operations manual
2. and their entry into
force to the
operations personnel
Documentation
management
system should
cover:
1. the change
management;
2. records
demonstrating
an effectively
functioning
document
control system.
1. Ask the ANSP to
explain the process
that assures that the
operation personnel
is informed about
changes to
operations manuals
based on an example
(e.g. latest change);
2. Verify whether the
date when the
changes enter into
force is specified;
3. Verify if the
described evidence is
available.
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I 4 ANSP 4. SECURITY SEC Establish a security
management system
1.
Documentation
of procedures
with regard to
the security
management
system
2. Evidence that
the procedures
have been
implemented
1. Desktop review of
the security
management system
documentation.
2. On-site audit of
the implementation
of the procedures.
Recital 14 states
"(14) Air navigation
service providers
should operate in
compliance with the
relevant ICAO
standards". The
ICAO requirements
for aviation security
are summarised in
ICAO Doc. 8973,
Security Manual for
Safeguarding Civil
Aviation Against Acts
of Unlawful
Interference.
I 4 1 ANSP
Air navigation
service providers
shall establish a
security
management
system to ensure:
SEC
Ensure security of:
a. facilities
b. personnel
prevent unlawful
interference with the
provision of services
1.
Documentation
of procedures
with regard to
the security
management
system
2. Evidence that
the procedures
are
implemented
1. Verify if a security
concept for facilities
(infrastructure and IT
systems) and
personnel exists.
2. Verify if there is
evidence available
that this concept has
been implemented.
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I 4 1 a ANSP
(a) the security
of their facilities
and personnel so
as to prevent
unlawful
interference with
the provision of
air navigation
services;
SEC
1. Ensure security of
operational data
(send, receive,
employ)
2. restricted access to
operational data to
authorised personnel
1.
Documentation
of procedures
with regard to
the security
management
system
2. Evidence that
the procedures
are
implemented
1. Verify if a security
concept for
operational data
exists.
2. Verify if
procedures to restrict
access to operational
data exists.
3. Verify if there is
evidence available
that this concept has
been implemented.
I 4 1 b ANSP
(b) the security
of operational
data they receive
or produce or
otherwise employ,
so that access to
it is restricted
only to those
authorised.
SEC
Note: It is
recommended that
the NSA should agree
with the ANSP the
threat assessment
that is appropriate for
each facility and the
type of response that
is needed. The threat
assessment should
be made in
conjunction with
appropriate national
government and/or
military agencies.
I 4 2 ANSP
The security
management
system shall
define:
SEC
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I 4 2 a ANSP
(a) the
procedures
relating to
security risk
assessment and
mitigation,
security
monitoring and
improvement,
security reviews
and lesson
dissemination;
SEC
Procedures relating to
1. security risk
assessment and
mitigation,
2. security monitoring
and improvemen
3. security reviews
and lesson
dissemination;
Documentation
describing the
procedure
related to
1. security risk
assessment and
mitigation
2. security
monitoring and
improvement
3. security
reviews
4.
dissemination
of lessons
learned
Verify if the
procedures related to
1. security risk
assessment and
mitigation
2. security
monitoring and
improvement
3. ecurity reviews
4. dissemination of
lessons learned
are documented and
implemented.
I 4 2 b ANSP
(b) the means
designed to
detect security
breaches and to
alert personnel
with appropriate
security warnings;
SEC
Means designed to:
1. detect security
breaches
2. to alert personnel
with appropriate
security warnings
Documentation
describing the
1. means to
detect security
breach
2. means to
alert personnel
with
appropriate
security
warnings
Verify if the
procedures related to
the
1. means to detect
security breaches
2. means to alert
personnel with
appropriate security
warnings
are documented and
implemented.
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I 4 2 c ANSP
(c) the means of
containing the
effects of security
breaches and to
identify recovery
action and
mitigation
procedures to
prevent
reoccurrence.
SEC
Means of containing
the effects of security
breaches and to
identify recovery
action and mitigation
procedures to prevent
re-occurrence.
Documentation
describing the
1. means
containing the
effects of
security
breaches
2. means
identifying
recovery and
mitigation
procedures
3. means
preventing re-
occurrence
Verify if the
procedures related to
the
1. means containing
the effects of security
breaches
2. means identifying
recovery and
mitigation procedures
3. means preventing
re-occurrence
are documented and
implemented.
I 4 3 ANSP
Air navigation
service providers
shall ensure the
security clearance
of their personnel,
if appropriate,
and coordinate
with the relevant
civil and military
authorities to
ensure the
security of their
facilities,
personnel and
data.
SEC
1. security clearance
of its personnel, if
appropriate.
2. coordination with
relevant civil and
military authorities to
ensure the security of
its facilities, personnel
and data
Documentation
describing
1. whether
security
clearance of the
personnel is
implemented or
not
2. how security
clearance is
implemented if
appropriate
3. Evidence of
coordination
with relevant
civil and
military
authorities to
ensure security
of facilities,
personnel and
data
1. Verify if security
clearance of the
personnel is
implemented.
a. If there is no
security clearance
implemented verify
the rationale.
2. Check the
evidence for the
coordination with
relevant civil and
military authorities to
ensure
a. security of
facilities,
b. personnel
c. data
are defined.
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I 4 4 ANSP
The safety,
quality and
security
management
systems may be
designed and
operated as an
integrated
management
system.
SEC
I 5 ANSP 5. HUMAN
RESOURCES HUM
I 5 ANSP
Air navigation
service providers
shall employ
appropriately
skilled personnel
to ensure the
provision of air
navigation
services in a safe,
efficient,
continuous and
sustainable
manner. In this
context, they
shall establish
policies for the
recruitment and
training of
personnel.
HUM
1. Employ
appropriately skilled
personnel
2. Establish policies
for the recruitment
and training of
personnel
1. Human
Resource policy
describing
recruitment and
training of
personnel
2. Training
documentation
and records
1. Verification if a
human resources
policy exists covering
a. recruitment and
b. training.
2. Ensure that the
same policy exists for
appointing internal
staff for certain
positions.
3. Verify if evidence
exists that human
resource policy is
implemented.
I 6 ANSP 6. FINANCIAL
STRENGTH FIN
I 6 1 ANSP
6.1. Economic
and financial
capacity
FIN
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I 6 ANSP
Air navigation
service providers
shall be able to
meet their
financial
obligations, such
as fixed and
variable costs of
operation or
capital investment
costs. They shall
use an
appropriate cost
accounting
system. They
shall demonstrate
their abilities
through the
annual plan as
referred to in
point 2.2.2 as
well as through
balance sheets
and accounts as
practicable under
their legal statute.
FIN
1. Ability to meet
financial obligations
2. Appropriate cost
accounting system
3. Demonstration by
means of
a. annual plan,
b. balance sheets
c. accounts as
practicable under its
legal status
1. Balance
sheets and
accounts
2. Annual plan
3. Financial
audit report (as
required by
ANNEX I, 6.2
Financial audit)
1. Verify whether the
compliance of the
balance sheets and
accounts with IFRS
has been confirmed
by an independent
auditor.
a. If compliance is
not achieved owing
to the legal status of
ANSP verify whether
is explanation where
is non-compliance
and why.
2. Verify that the
process of financial
audit itself
demonstrates that, in
the view of the
auditor, the company
is ‘a going concern’.
a. If this were not the
case, the auditor
would be compelled
to include a
statement
highlighting any
financial difficulties.
I 6 2 ANSP 6.2. Financial
audit FIN
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I 6 2 ANSP
In accordance
with Article 12(2)
of Regulation (EC)
No 550/2004, air
navigation service
providers shall
demonstrate that
they are
undergoing an
independent audit
on a regular
basis.
FIN independent audit on
a regular basis Audit report(s)
Verify whether an
audit report from the
independent auditor
in accordance with
article 12(2) of
Regulation (Ec. No
550/2004 exists.
In case that the
assessment is not an
initial oversight,
verify whether audit
reports exist
documenting that the
audit has taken place
on a regular basis.
I 7 ANSP
7. LIABILITY AND
INSURANCE
COVER
FIN
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I 7 1 ANSP
Air navigation
service providers
shall have in
place
arrangements to
cover their
liabilities arising
from applicable
law.
FIN
1. The liabilities of the
ANSP are difficult to
define in advance:
they depend on the
applicable legal
regime, which may
change according to
the situation and
status of the ANSP as
well as of the
potential damage.
2. The international
character of the
damages resulting
from the provision of
air navigation services
may involve the
competence of foreign
courts and
applicability of foreign
laws.
3. The ANSP should at
least comply with the
requirements of its
national law(s).
Documentation
of the
arrangements
to cover each
ANSPs activities
1. Insurance
contract
2. Guarantee
letters/decisions
by the State -
Bank guarantee
3. Fund, etc.
1. Verify if
documentation exists
that provides
evidence for
arrangements to
cover the liabilities of
an ANSP.
a. Each document
should specify the
activities concerned,
the type of damages
covered, and the
amount of the
coverage.
2. Verify if the
arrangements to
cover the liabilities
are in accordance
with the applicable
law.
3. Define, where
appropriate, a
minimum level of
insurance coverage
taking into account
the State's interests
(since the State
remains ultimately
liable for the
provision of air
navigation services
over its territory.
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I 7 2 ANSP
The method
employed to
provide the cover
shall be
appropriate to the
potential loss and
damage in
question, taking
into account the
legal status of the
organisation and
the level of
commercial
insurance cover
available.
FIN
The level of insurance
coverage will depend
on:
1. the risks the
insurance companies
will accept to cover: it
seems that war and
terrorism risks can be
included in insurance
policies but for a high
premium and a
limited coverage
(usually 50 million
dollars); however the
insurance market is
currently questioning
this possibility;
2. the maximum
liability the insurance
companies accept to
cover: the maximum
amounts currently
insured are between
1.5 and 1.75 billion
dollars, the average
being around 1
billion;
3. The premiums the
ANSPs can afford;
i. the premiums are
calculated on a
number of criteria
such as the type of
activity (airport, ACC,
en route), the loss
record and the
Any
documentation
supporting the
definition of the
level of
insurance
coverage set in
the insurance
contract or
guarantee
letters/decisions
by the state
1. Verify if any
calculation/estimation
with regard to the
possible loss and
damage exists (e.g.
risk assessment).
2. Assess if method
employed is
appropriate to cover
potential loss and
damage, in
accordance with
applicable law and
requirements set by
the NSA,
3. Take into account
the legal status of the
ANSP and the level of
commercial insurance
cover available.
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aircraft movements;
considering the
relatively low number
of insurers involved in
the coverage of air
navigation services
(15 to 20), their joint
commitment is often
necessary. This may
result in the
impossibility to reach
the required level of
coverage and/or to
negotiate the
premium offered.
4. the requirements
set by the NSA to
protect the State’s
financial interests
according to Chicago
Convention with
regard to additional
liabilities going
beyond the insurance
coverage.
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I 7 3 ANSP
An air navigation
service provider
which avails itself
of the services of
another air
navigation service
provider shall
ensure that the
agreements cover
the allocation of
liability between
them.
FIN
Agreements must be
concluded between
ANSPs whether the
cooperation takes
place within the same
State, or across two
states, and whether
they concern services
subject to designation
or not.
1. Formal
agreement
concerning
allocation of
liability between
the two ANSPs
2. Notification
to the National
Supervisory
Authority / ies
concerned for
all services
3. Approval of
the State(s)
concerned in
case of ATS or
MET
The NSA will have to
verify that:
1. the agreement
exists and has been
concluded by
competent
representatives of
the ANSPs
2. the agreement
describes in sufficient
detail the services
provided and the
allocation of liability
between the parties
3. the NSA has been
notified and that the
State (in case of ATS
or MET) has
approved
4. the ATSP or METSP
to which the service
is delegated has been
designated ,
5. Where the service
is provided cross-
border, the
respective NSAs shall
conclude cooperation
arrangements to
ensure adequate
supervision of the
ANSPs (cf art. 2,4
SPR).
6. Where the service
is provided cross-
border, the States
concerned may wish
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to conclude
agreements in order
to address issues
such as liability,
accident
investigations,
relations with
military, etc.
I 8 ANSP 8. QUALITY OF
SERVICES
SAF,
QTY
I 8 1 ANSP
8.1. Open and
transparent
provision of air
SAF,
QTY
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navigation
services
I 8 1 1 ANSP
Air navigation
service providers
shall provide air
navigation
services in an
open and
transparent
manner. They
shall publish the
conditions of
access to their
services and
establish a formal
consultation
process with the
users of air
navigation
services on a
regular basis,
either individually
or collectively,
and at least once
a year.
SAF,
QTY
1. Open and
transparent provision
of services if
the conditions of
access to ANSPs
services are published
e. g. in relevant part
of AIP, normally GEN
2. formal consultation
process with users of
its services is
documented
3. consultation is
performed at least
once a year on the
most relevant topics
from service provision
with operational and
technical issues
including military
issues and financial
aspects for the
service provision;
1. Conditions of
access to its
services are
published (e. g.
in relevant part
of AIP)
2. Procedure
defining the
consultation
process with
users
3. Results of
the consultation
process with
users (for on-
going
oversight)
4. Official
company policy
to provide
services in an
impartial and
non-
discriminatory
way (where
applicable)
1. Verify if the
conditions of the
access to the services
are published.
2. Verify if a
description of the
formal consultation
process incl.
components such as
complaints handling,
customer surveys,
consultation meetings
is available.
3. Verify if the
consultation with the
users takes place at
least once a year.
4. Verify the formal
statement in
company policy
(where applicable).
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I 8 1 2 ANSP
Air navigation
service providers
shall not
discriminate on
the grounds of
the nationality or
identity of the
user or the class
of users in
accordance with
applicable Union
law.
SAF,
QTY
No discrimination on
grounds of
1. nationality or
2. identity of the user
or the class of users
in accordance with
applicable Community
law.
A formal
commitment in
the official
company policy
to provide
services in an
impartial and
non-
discriminatory
way and as
such not distort
or prevent
competition
where
applicable.
Verify if the formal
statements are made
in official company
policy documents in
reference to
applicable community
law.
I 8 2 ANSP 8.2. Contingency
plans
SAF,
QTY
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I 8 2 ANSP
Air navigation
service providers
shall have in
place contingency
plans for all the
air navigation
services they
provide in the
case of events
which result in
significant
degradation or
interruption of
their operations.
SAF,
QTY
1. one year after
certification at the
latest
2. have contingency
plans in place
3. for all the services
4. covering events
which result in
significant
degradation or
interruption
For initial
certification
audit:
1. Programme
to create and
implement
contingency
plans within one
year
OR
2. Contingency
plans exist and
are
implemented
For on-going
oversight
3. Existence of
contingency
plans
4. Evidence that
provisions of
the contingency
plans are
implemented
For initial certification
audit
I. In case that no
contingency plans
exist:
a. Verify if a program
exists that defines
the creation in
implementation of
contingency plans
within one year after
certification
II. In case that
contingency plans
exist:
a. Verify if the
contingency plan
addresses all services
the ANSP is seeking
certification for
b. Verify if the
contingency plan
covers events which
result in significant
degradation or
interruption.
c. Verify that staff is
aware of contingency
plans and trained.
For on-going
oversight:
1. Verify if the
procedures defined in
the contingency plan
have been
implemented (ask for
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evidence).
2. Verify that staff is
aware of contingency
plans and trained.
I 9 ANSP 9. REPORTING
REQUIREMENTS
QTY,
FIN
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I 9 1 ANSP
Air navigation
service providers
shall be able to
provide an annual
report of their
activities to the
relevant
competent
authority.
ALL
1. be able to provide
an annual report of
activities
2. cover financial
results without
prejudice to article 12
of the service
provision regulation
3. cover operational
performance and
4. cover any other
significant activities
and developments in
particular in the area
of safety
Procedure that
defines the
creation of the
annual report
Verify that a process
has been
implemented that
1. defines the
creation of the
annual report and
2. that ensures that
the required
information is
available.
I 9 2 ANSP
That annual
report shall cover
their financial
results without
prejudice to
Article 12 of
Regulation (EC)
No 550/2004, as
well as their
operational
performance and
any other
significant
activities and
developments in
particular in the
area of safety.
FIN
I 9 3 ANSP
The annual report
shall include as a
minimum:
ALL
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I 9 3 a ANSP
(a) an
assessment of the
level of
performance of
air navigation
services
generated;
ALL
assessment of the
level of performance
of service generated.
Annual report
Verify if the annual
report covers the
assessment of
performance of
service generated.
I 9 3 b ANSP
(b) the
performance of
the air navigation
service provider
compared to the
performance
targets
established in the
business plan
referred to in
point 2.2.1,
reconciling actual
performance
against the
annual plan by
using the
indicators of
performance
established in the
annual plan;
ALL
the performance of
the service provider
compared to the
performance targets
established in the
business plan;
1. reconciling actual
performance against
the annual plan;
2. using the
indicators of
performance
established in the
annual plan;
3. identify differences
and provide
explanations;
4. describe measures
for closing gaps
during the Reference
Period.
Annual report
Verify if the annual
report
1. covers the
performance of the
service provider
compared to the
performance targets
established in the
business plan
2. reconciles actual
performance against
the annual plan
3. uses the indicators
of performance
established in the
annual plan
I 9 3 c ANSP
(c) provide an
explanation for
differences with
the targets, and
identify measures
for closing any
gaps during the
ALL
developments in
operations and
infrastructure,
Annual report
Verify if the annual
report covers the
developments in
operations and
infrastructure
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reference period
referred to in
Article 11 of
Regulation (EC)
No 549/2004;
I 9 3 d ANSP
(d) developments
in operations and
infrastructure;
ALL
the financial results,
as long as they are
not separately
published in
accordance with
article 12(1) of the
service provision
regulation;
Annual report
Verify if the annual
report covers the
financial results, as
long as they are not
separately published
(see ANNEX I, 6.1
Economic and
financial capacity).
I 9 3 e ANSP
(e) the financial
results, as long as
they are not
published
separately in
accordance with
Article 12(1) of
Regulation (EC)
No 550/2004;
ALL
information about the
formal consultation
process with the users
of its services;
Annual report
Verify if the annual
report covers the
formal consultation
process with the
users of its services
(see ANNEX I, 8.1
Open and transparent
provision of services)
I 9 3 f ANSP
(f) information
about the formal
consultation
process with the
users of its
services;
ALL
information about the
human resources
policy.
Annual report
Verify if the annual
report covers the
human resources
policy (see ANNEX I,
5 HUMAN
RESOURCES)
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I 9 3 g ANSP
(g) information
about the human
resources policy.
ALL
1. make the content
of the annual report
available to the public
2. under conditions
set by the national
supervisory authority
3. in accordance with
national law
Publishes
annual report
(in accordance
with national
law)
Verify if the ANSP
publishes the content
of the annual report
in accordance with
the national law.
I 9 4 ANSP
Air navigation
service providers
shall make the
content of the
annual report
available to the
Commission and
the Agency on
request and to
the public under
the conditions set
by the competent
authority in
accordance with
national law.
ALL
Nr.of
Anne
x
Poin
t
Para.
Nr
Appli-
cabilit
y Area
Text of Common
Requirement
Domai
n
Key
Elements Evidence
How to Assess
the Evidence
Compliance Actions
needed &
planned Ye
s
On
goin
N
o
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g completio
n date
II 1 ANSP 1. OWNERSHIP ALL
II 1 ANSP
Providers of air
traffic services
shall notify to the
competent
authorities
referred to in
Article 7(2) of
Regulation (EC)
No 550/2004:
ALL
Art. 7(2) of
Regulation
(EC) No
550/2004
states:
Applications
for
certification
shall be
submitted to
the national
supervisory
authority of
the Member
State where
the applicant
has its
principal place
of operation
and, if any, its
registered
office.
II 1 1 a ANSP
(a) their legal
status, their
ownership
structure and any
arrangements
having a
significant impact
on control over
their assets;
ALL
1. legal
status
2. ownership
structure
3. any
arrangements
having a
significant
impact on the
control over
its assets
1. copy of
company
registration
(for
privatised or
corporatised
ANSPs)
2. or decree
having
created the
public or
semi-public
1. Verify if valid
documentation
on legal status
and ownership
structure is
available.
2. Verify if there
are any
arrangements
that have a
significant
impact on the
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ANSP control over the
ANSPs assets.
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II 1 1 b ANSP
(b) any links with
organisations not
involved in the
provision of air
navigation
services, including
commercial
activities in which
they are engaged
either directly or
through related
undertakings,
which account for
more than 1 % of
their expected
revenue;
furthermore, they
shall notify any
change of any
single
shareholding
which represents
10 % or more of
their total
shareholding.
ALL
1. any links
with
organisations
not involved
in the
provision of
air navigation
services
2. a list of
commercial
contracts for
the provision
or “buy-in” of
services which
account for
more than 1%
of its
expected
revenue;
3. of
information
on subsidiary
companies
and joint
undertakings
1. List of
shareholders
representing
10 % or more
of the total
shareholding
of the ANSP.
2. Any
change of any
single
shareholding
which
represents 10
% or more of
its total
shareholding
(including
notification of
the change to
the NSA).
3. List of
commercial
contracts for
the provision
or “buy-in” of
services not
related to the
provision of
air navigation
services
which
account for
more than
1% of its
expected
revenue.
4.
1. Verify if a list
of shareholders
representing 10
% or more of the
total
shareholding of
the ANSP exists.
2. Verify if a list
of commercial
contracts for the
provision or
“buy-in” of
services not
related to the
provision of air
navigation
services which
account for more
than 1% of its
expected
revenue exists.
3. Verify if
information on
subsidiary
companies and
joint undertaking
is available.
4. In case that
the assessment
is not an initial
oversight, verify
whether any
change of any
single
shareholding
which represents
10 % or more of
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Information
on subsidiary
companies
and joint
undertakings.
Compliance
with this
requirement
will also be
supported by
the
information
provided
under other
paragraphs of
the
Regulation,
such as
Annex 1
paragraph
2.1
(Organisation
al structure),
paragraphs
6.1 and 6.2
(Economic
and financial
capacity,
Financial
audit),
paragraph
8.1 (Open
and
transparent
provision of
services),
paragraph 9
its total
shareholding has
taken place and
whether the NSA
has been
notified.
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(reporting
requirements
and annual
report).
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II 1 2 ANSP
Providers of air
traffic services
shall take all
necessary
measures to
prevent any
situation of conflict
of interests that
could compromise
the impartial and
objective provision
of their services.
ALL
Prevention of
any situation
of conflict of
interests
self-
explanatory;
The
requirement
is also related
to Annex 1
paragraph
2.1
(Organisation
al structure),
paragraphs
6.1 and 6.2
(Economic
and financial
capacity,
Financial
audit),
paragraph
8.1 (Open
and
transparent
provision of
services) and
to Annex 2
paragraph 1.
Verify if the
material
provided by the
ANSPs indicates
a potential
conflict of
interests that
could
compromise the
impartial and
objective
provision of the
ANSPs' services.
II 2 ANSP
2. OPEN AND
TRANSPARENT
PROVISION OF
SERVICES
ALL
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II 2 ANSP
In addition to
point 8.1 of Annex
I and where a
Member State
decides to
organise the
provision of
specific air traffic
services in a
competitive
environment, that
Member State
may take all
appropriate
measures to
ensure that the
providers of these
specific air traffic
services shall
neither engage in
conduct that
would have as its
object or effect
the prevention,
restriction or
distortion of
competition, nor
shall they engage
in conduct that
amounts to an
abuse of a
dominant position
in accordance with
applicable national
and Union law.
ALL
II 3 ANSP 3. SAFETY OF
SERVICES SAF
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II 3 1 ANSP
3.1. Safety
management
system (SMS)
SAF
II 3 1 1 ANSP
3.1.1. General
safety
requirements
SAF
II 3 1 1 ANSP
Providers of air
traffic services
shall, as an
integral part of the
management of
their services,
have in place a
safety
management
system (SMS)
which:
SAF
As a general
principle,
compliance
with ESARR 3
and 4 and
their
acceptable
means of
compliance
formally
assessed and
recognised by
the SRC or
the NSA,
should be
considered
sufficient to
meet the
safety-related
common
requirements
specifically
intended to
transpose
ESARRs into
Community
law;
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II 3 1 1 a ANSP
(a) ensures a
formalised, explicit
and proactive
approach to
systematic safety
management in
meeting their
safety
responsibilities
within the
provision of their
services; operates
in respect of all
their services and
the supporting
arrangements
under its
managerial
control; and
includes, as its
foundation, a
statement of
safety policy
defining the
organisation’s
fundamental
approach to
managing safety
(safety
management);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.1.1
(safety
management)
Evidence, as
proposed
below, should
be collected
that indicate
the ANSP has
an effective
SMS.
Based on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
This is a high
level
requirement
that cannot
be checked
without
checking
other SMS
requirements.
This should
be the result
of the
analysis of
evidence
from those
requirements
as proposed
below.
EAM 3 / GUI 3,
Edition 2.0,
Appendix B,
ESARR3
references 5.1.1
a., b. and c. ;
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II 3 1 1 b ANSP
(b) ensures that
everyone involved
in the safety
aspects of the
provision of air
traffic services has
an individual
safety
responsibility for
their own actions;
that managers are
responsible for the
safety
performance of
their respective
departments or
divisions and that
the top
management of
the provider
carries an overall
safety
responsibility
(safety
responsibility);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.1.2
(safety
responsibility)
Based on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3,
Edition 2.0,
Appendix B,
ESARR3
reference 5.1.2
;Consideration
Areas (Table).
II 3 1 1 c ANSP
(c) ensures that
the achievement
of satisfactory
safety in air traffic
services shall be
afforded the
highest priority
(safety priority);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.1.3
(safety
priority)
Based on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR3
reference 5.1.3
;Consideration
Areas (Table)
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show
compliance
with ESARR 3
and possible
ways to
assess them.
The policy
must be
known and
applied by
staff.
II 3 1 1 d ANSP
(d) ensures that
while providing air
traffic services,
the principal
safety objective is
to minimise its
contribution to the
risk of an aircraft
accident as far as
reasonably
practicable (safety
objective).
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.1.4
(safety
objective)
Based on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
The policy
must be
known and
applied by
staff. To note
that the fact
that an ANSP
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR3
reference 5.1.4.;
Consideration
Areas (Table)
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writes in its
policy these
statements
does not
imply that
these
requirements
are fulfilled.
Procedures
and
processes
must be in
place and the
ANSP must
be in a
position to
demonstrate
that they
provide the
expected
results.
II 3 1 2 ANSP
3.1.2.
Requirements for
safety
achievement
SAF
II 3 1 2 ANSP
Within the
operation of the
SMS, providers of
air traffic services
shall:
SAF
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II 3 1 2 a ANSP
(a) ensure that
personnel are
adequately trained
and competent for
the job they are
required to do, in
addition to being
properly licensed if
so required and
satisfying
applicable medical
fitness
requirements
(competency);
SAF
This
requirement
covers the
provisions of
ESARR 3
Section 5.2.1
(competency).
In addition, it
should be
noted that:
1. According
with Recital
11 of the
Common
Requirements,
the
expression
“properly
licensed if so
required”
should be
interpreted in
terms of the
NSA checking
that whether
personnel of
ANSP, in
particular
ATCOs, is
properly
licensed if so
required.
2. Further,
the
expression “if
so required”
needs to be
Documentatio
n and records
regarding the
system of
training and
competency
assessment
as well as
system for
monitoring of
medical
fitness, if
applicable.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR 3
reference 5.2.1.
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associated:
- with
Regulation
(EU)
805/2011;
- or the
applicable
national rules
established in
regard with
licensing of
ANSP's
personnel.
This
requirement
should be
checked for
personnel who
are not
otherwise
regulated
(such as
safety related
personnel
other than
ATCOs or
ATSEP).
For those
personnel a
separate
audit,
regarding
respective
requirements,
should be
performed.
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II 3 1 2 b ANSP
(b) ensure that a
safety
management
function is
identified with
organisational
responsibility for
development and
maintenance of
the SMS; ensure
that this point of
responsibility is
independent of
line management,
and accountable
directly to the
highest
organisational
level. However, in
the case of small
organisations
where a
combination of
responsibilities
may prevent
sufficient
independence in
this regard, the
arrangements for
safety assurance
shall be
supplemented by
additional
independent
means; and
ensure that the
top management
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.2.2
(safety
management
responsibility)
.
It should be
noted that the
derogations
established in
Article 4 as
regards AFIS
operators
define a
minimum
below the
safety
standards
required in
ESARR 3 and
ICAO Annex
11, 2.26.
It should be
noted that
this CR is
more "sharp
expressed"
than the
corresponding
text in
ESARR3 5.2.2
b.
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3,
Edition 2.0,
Appendix B,
ESARR 3
reference 5.2.2
a., b., c. and d.
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of the service
provider
organisation is
actively involved
in ensuring safety
management
(safety
management
responsibility);
The text
“wherever
possible” has
been removed
which,
according to
“additional
information”
below, put the
pressure on
the provider
to create clear
channels to
the highest
management
level.
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II 3 1 2 c ANSP
(c) ensure that,
wherever
practicable,
quantitative safety
levels are derived
and are
maintained for all
functional systems
(quantitative
safety levels);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.2.3
(quantitative
safety levels)
It should be
noted that
this CR is
more sharp
expressed
than the
corresponding
text in
ESARR3
5.2.3.
The word
“functional” is
added
compared to
the ESARR3
text.
According to
the CR
definition of
“functional
system” it
comprises of
systems,
procedures
and human
resources.
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3,
Edition 2.0,
Appendix B,
ESARR 3
reference 5.2.3.
NSAs shouldn't
insist on
quantitative
safety levels
when it is clear
that they cannot
be derived and
qualitative levels
are in place.
However, for
qualitative safety
levels some
guidance should
be documented
by the ANSP.
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II 3 1 2 d ANSP
(d) ensure that
the SMS is
systematically
documented in a
manner which
provides a clear
linkage to the
organisation’s
safety policy (SMS
documentation);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.2.5
(SMS
documentatio
n)
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR 3
reference
5.2.5Considerati
on Areas (Table).
II 3 1 2 e ANSP
(e) ensure
adequate
justification of the
safety of the
externally
provided services
and supplies,
having regard to
their safety
significance within
the provision of its
services (external
services and
supplies);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.2.6
(external
services)
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR3
reference 5.2.6
Consideration
Areas (Table).
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assess them.
Also, SLAs
should be in
place for
external
services to
ensure
quality and
safety of
those
services.
II 3 1 2 f ANSP
(f) ensure that
risk assessment
and mitigation is
conducted to an
appropriate level
to ensure that due
consideration is
given to all
aspects of the
provision of ATM
(risk assessment
and mitigation).
As far as changes
to the ATM
functional system
are concerned,
point 3.2 shall
apply;
SAF
Equivalent to
the
requirements
of ESARR 3
Sections 5.2.4
bullet a) (risk
assessment
and
mitigation)
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR 3
reference 5.2.4
a. Consideration
Areas (Table)
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II 3 1 2 g ANSP
(g) ensure that
ATM operational or
technical
occurrences which
are considered to
have significant
safety implications
are investigated
immediately, and
any necessary
corrective action is
taken (safety
occurrences).
They shall also
demonstrate that
they have
implemented the
requirements on
the reporting and
assessment of
safety occurrences
in accordance with
applicable national
and Union law.
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.2.7
(safety
occurrences)
Requirements
from
Regulation
(EU) No
996/2010 and
Directive
2003/42/EC
applicable to
ANSPs should
be checked.
Allocation of
State tasks
for occurrence
reporting
should be
done on a
national level
and checked
accordingly.
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix B
and EAM
2/GUI 7. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and ESARR 2
and possible
ways to
assess them.
Use parts of
EAM2/GUI 7,
which comply
with safety
occurrence
reporting
tasks
allocated to
the ANSP by
the State.
Also, the
Regulation
(EU)
996/2010
should be
taken into
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR 3
reference 5.2.7
and
EAM 2 / GUI 7,
Edition 1.0
Consideration
Areas (Table)
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account,.
II 3 1 3 ANSP
3.1.3.
Requirements for
safety assurance
SAF
II 3 1 3 ANSP
Within the
operation of the
SMS, providers of
air traffic services
shall ensure that:
SAF
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II 3 1 3 a ANSP
(a) safety surveys
are carried out as
a matter of
routine, to
recommend
improvements
where needed, to
provide assurance
to managers of
the safety of
activities within
their areas and to
confirm
compliance with
the relevant parts
of the SMS (safety
surveys);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.3.1
(safety
surveys)
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
In particular,
existence of
Safety Survey
procedures
and records
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR 3
reference
5.3.1Considerati
on Areas (Table).
In addition, NSAs
should check if
the corrective
actions resulting
from safety
surveys (if any)
are properly
implemented by
the ANSP.
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II 3 1 3 b ANSP
(b) methods are
in place to detect
changes in
functional systems
or operations
which may
suggest any
element is
approaching a
point at which
acceptable
standards of
safety can no
longer be met,
and that corrective
action is taken
(safety
monitoring);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.3.2
(safety
monitoring).
The word
“functional” is
added
compared to
the ESARR3
text.
According to
the CR
definition of
“functional
system” it
comprises of
systems,
procedures
and human
resources and
is equivalent
with the
system
definition of
ESARR 3.
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR3
reference 5.3.2.,
Consideration
Areas (Table)
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II 3 1 3 c ANSP
(c) safety records
are maintained
throughout the
SMS operation as
a basis for
providing safety
assurance to all
associated with,
responsible for or
dependent upon
the services
provided, and to
the competent
authority (safety
records).
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.3.3
(safety
records)
To be based
on the
referred
sections of
EAM 3/ GUI
3, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR3
reference 5.3.3.,
Consideration
Areas (Table)
Additionally, this
process should
be checked
against ANSP's
documentation
management
procedures
(quality).
II 3 1 4 ANSP
3.1.4.
Requirements for
safety promotion
SAF
II 3 1 4 ANSP
Within the
operation of the
SMS, providers of
air traffic services
shall ensure that:
SAF
II 3 1 4 a ANSP
(a) all personnel
are aware of the
potential safety
hazards connected
with their duties
(safety
awareness);
SAF
Not explicitly
addressed in
ESARR 3. This
requirement
goes beyond
ESARR 3.
However the
notion is
somehow
Evidence of :
1. safety
training
(safety
training
records);
2. awareness
campaigns.
Check that
safety training
records and
evidence of
awareness
campaigns exist
and that regular
actions are
undertaken.
Also, check
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embedded
within various
ESARR 3
requirements,
such as
ESARR 3
Section 5.2.1
(competency)
lesson
dissemination
requirement in
this context.
II 3 1 4 b ANSP
(b) the lessons
arising from safety
occurrence
investigations and
other safety
activities are
disseminated
within the
organisation at
management and
operational levels
(lesson
dissemination);
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.4.1
(lesson
dissemination
)
1. To be
based on the
referred
sections of
EAM 3/ GUI
3, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR 3
reference 5.4.1
Consideration
Areas (Table)
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II 3 1 4 c ANSP
(c) all personnel
are actively
encouraged to
propose solutions
to identified
hazards, and
changes are made
to improve safety
where they appear
needed (safety
improvement).
SAF
Equivalent to
the
requirements
of ESARR 3
Section 5.4.2
(safety
improvement)
1. To be
based on the
referred
sections of
EAM 3/ GUI
3, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 3
and possible
ways to
assess them.
EAM 3 / GUI 3
Edition 2.0,
Appendix B,
ESARR3
reference 5.4.2
a. and b.
Consideration
Areas (Table).
II 3 2 ANSP
3.2. Safety
requirements for
risk assessment
and mitigation
with regard to
changes
SAF
II 3 2 1 ANSP 3.2.1. Section 1 SAF
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II 3 2 1 ANSP
Within the
operation of the
SMS, providers of
air traffic services
shall ensure that
hazard
identification as
well as risk
assessment and
mitigation are
systematically
conducted for any
changes to those
parts of the ATM
functional system
and supporting
arrangements
within their
managerial
control, in a
manner which
addresses:
SAF
1. Almost
equivalent to
the
requirements
of ESARR4
Section 5.1
2. The word
“functional” is
added
compared to
the ESARR4
text.
3. According
to the CR
definition of
“functional
system” it
comprises of
systems,
procedures
and human
resources.
4. Functional
system
definition in
CR is the
same with the
ESARR 3
definition for
system
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B,
ESARR 4
reference 5.1,
Consideration
Areas. (Table)
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II 3 2 1 a ANSP
(a) the complete
life cycle of the
constituent part of
the ATM functional
system under
consideration,
from initial
planning and
definition to post-
implementation
operations,
maintenance and
decommissioning;
SAF
1. Almost
equivalent to
the
requirements
of ESARR4
Section 5.1
2. The word
“functional” is
added
compared to
the ESARR4
text.
3. According
to the CR
definition of
“functional
system” it
comprises of
systems,
procedures
and human
resources.
4. Functional
system
definition in
CR is the
same with the
ESARR 3
definition for
system
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B,
ESARR 4
reference
5.1.1a),
Consideration
Areas (Table)
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II 3 2 1 b ANSP
(b) the airborne,
ground and, if
appropriate,
spatial
components of the
ATM functional
system, through
cooperation with
responsible
parties;
SAF
1. Almost
equivalent to
the
requirements
of ESARR4
Section 5.1
2. The word
“functional” is
added
compared to
the ESARR4
text.
3. According
to the CR
definition of
“functional
system” it
comprises of
systems,
procedures
and human
resources.
4. Functional
system
definition in
CR is the
same with the
ESARR 3
definition for
system
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
EAM 4 / GUI 2
Edition 4.0,
Appendix B,
ESARR 4
reference
5.1.1b)
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II 3 2 1 c ANSP
(c) the
equipment,
procedures and
human resources
of the ATM
functional system,
the interactions
between these
elements and the
interactions
between the
constituent part
under
consideration and
the remainder of
the ATM functional
system.
SAF
1. Almost
equivalent to
the
requirements
of ESARR4
Section 5.1
2. The word
“functional” is
added
compared to
the ESARR4
text.
3. According
to the CR
definition of
“functional
system” it
comprises of
systems,
procedures
and human
resources.
4. Functional
system
definition in
CR is the
same with the
ESARR 3
definition for
system
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B,
ESARR 4
reference 5.1.1c)
II 3 2 2 ANSP 3.2.2. Section 2 SAF
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II 3 2 2 ANSP
The hazard
identification, risk
assessment and
mitigation
processes shall
include:
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference
a. 5.2.a (and all
sub-bullets);
b. 5.2.b (and all
sub-bullets);
c. 5.2.c (and all
sub-bullets) and
d. 5.2.d (and all
sub-bullets).
are fulfilled.
See below.
II 3 2 2 a ANSP
(a) a
determination of
the scope,
boundaries and
interfaces of the
constituent part
being considered,
as well as the
identification of
the functions that
the constituent
part is to perform
and the
environment of
operations in
which it is
intended to
operate;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 a.
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assess them.
II 3 2 2 b ANSP
(b) a
determination of
the safety
objectives to be
placed on the
constituent part,
incorporating:
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 b).
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II 3 2 2 b ANSP
(i) an
identification of
ATM-related
credible hazards
and failure
conditions,
together with their
combined effects;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 b i
).
II 3 2 2 b ANSP
(ii) an assessment
of the effects they
may have on the
safety of aircraft,
as well as an
assessment of the
severity of those
effects, using the
severity
classification
scheme set out in
Section 4;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 b ii
).
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assess them.
II 3 2 2 b ANSP
(iii) a
determination of
their tolerability,
in terms of the
hazard’s maximum
probability of
occurrence,
derived from the
severity and the
maximum
probability of the
hazard’s effects, in
a manner
consistent with
Section 4;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 b
iii ).
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II 3 2 2 c ANSP
(c) the derivation,
as appropriate, of
a risk mitigation
strategy which:
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 c ).
II 3 2 2 c ANSP
(i) specifies the
defences to be
implemented to
protect against the
risk-bearing
hazards;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 c i
).
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assess them.
II 3 2 2 c ANSP
(ii) includes, as
necessary, the
development of
safety
requirements
potentially bearing
on the constituent
part under
consideration, or
other parts of the
ATM functional
system, or
environment of
operations;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B,
2. ESARR 4
reference 5.2 c
ii).
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II 3 2 2 c ANSP
(iii) presents an
assurance of its
feasibility and
effectiveness;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 c iii
).
II 3 2 2 d ANSP
(d) verification
that all identified
safety objectives
and safety
requirements have
been met:
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
"1. EAM 4 / GUI
2 Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 d
).
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assess them.
II 3 2 2 d ANSP
(i) prior to its
implementation of
the change;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
"1. EAM 4 / GUI
2 Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 d
i).
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II 3 2 2 d ANSP
(ii) during any
transition phase
into operational
service;
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 c
ii) .
II 3 2 2 d ANSP (iii) during its
operational life; SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 d
iii).
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assess them.
II 3 2 2 d ANSP
(iv) during any
transition phase
until
decommissioning.
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.2.
To be based
on the
referred
sections of
EAM 4/ GUI
2, Appendix
B. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.2 d
iv).
II 3 2 3 ANSP 3.2.3. Section 3 SAF
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II 3 2 3 ANSP
The results,
associated
rationales and
evidence of the
risk assessment
and mitigation
processes,
including hazard
identification, shall
be collated and
documented in a
manner which
ensures that:
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.3.
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B,
2. ESARR 4
reference 5.3).
II 3 2 3 a ANSP
(a) complete
arguments are
established to
demonstrate that
the constituent
part under
consideration, as
well as the overall
ATM functional
system are, and
will remain
tolerably safe by
meeting allocated
safety objectives
and requirements.
This shall include,
as appropriate,
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.3.
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.3 a).
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specifications of
any predictive,
monitoring or
survey techniques
being used;
and possible
ways to
assess them.
II 3 2 3 b ANSP
(b) all safety
requirements
related to the
implementation of
a change are
traceable to the
intended
operations/
functions.
SAF
Equivalent to
the
requirements
of ESARR 4
Section 5.3.
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference 5.3 b).
II 3 2 4 ANSP 3.2.4. Section 4 SAF
II 3 2 4 ANSP Hazard
identification and SAF
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severity
assessment
II 3 2 4 ANSP
A systematic
identification of
the hazards shall
be conducted. The
severity of the
effects of hazards
in a given
environment of
operations shall be
determined using
the classification
scheme set out in
the following
table, while the
severity
classification shall
rely on a specific
argument
demonstrating the
most probable
effect of hazards,
under the worst-
case scenario.
SAF
Equivalent to
the
requirements
of ESARR 4 ,
Appendix A-1
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B,
2. ESARR 4
reference A1
Paragraph 1,
Paragraph 2; and
3. Figure A-1,
Paragraph 3 and
Paragraph 4.
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II 3 2 4 ANSP
In order to deduce
the effect of a
hazard on
operations and to
determine its
severity, the
systematic
approach/ process
shall include the
effects of hazards
on the various
elements of the
ATM functional
system, such as
the air crew, the
air traffic
controllers, the
aircraft functional
capabilities, the
functional
capabilities of the
ground part of the
ATM functional
system, and the
ability to provide
safe air traffic
services.
SAF
Equivalent to
the
requirements
of ESARR 4 ,
Appendix A-1
"1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them."
1. EAM 4 / GUI 2
Edition 4.0,
Appendix B;
2. ESARR 4
reference A1
Paragraph 1,
Paragraph 2; and
3. Figure A-1,
Paragraph 3 and
Paragraph 4.
II 3 2 4 ANSP Risk classification
scheme SAF
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II 3 2 4 ANSP
Safety objectives
based on risk shall
be established in
terms of the
hazard’s maximum
probability of
occurrence,
derived both from
the severity of its
effect, and from
the maximum
probability of the
hazard’s effect.
SAF
1. ESARR 4 is
more
demanding
than the
current
version of the
Common
Requirements.
ESARR 4
requires that
safety
objectives are
derived in
accordance to
maximum
tolerable
probabilities
consistent
with the one
identified in
ESARR 4 for
severity class
1 (1,55.10-8
per
flight/hour).
2. Recital 16
of the CR
recognised
that ESARR 4
defines a
maximum
tolerable
probability for
ATM directly
contributing
to accidents in
the ECAC
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 GUI 2 v
4.0, Appendix B;
2. ESARR 4
reference A2
Paragraph 1; and
3. Figure A-2,
and Paragraph 2.
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region,
maximum
tolerable
probability for
the remaining
severity
classes 2 to 5
have not been
established.
3. The
Member
States and
the EC
working
together with
EUROCONTRO
L should
complete and
update these
probabilities
and develop
mechanisms
to apply them
in different
environments.
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II 3 ANSP
As a necessary
complement to the
demonstration
that established
quantitative
objectives are
met, additional
safety
management
considerations
shall be applied so
that more safety is
added to the ATM
system, whenever
reasonable.
SAF
1. ESARR 4 is
more
demanding
than the
current
version of the
Common
Requirements.
ESARR 4
requires that
safety
objectives are
derived in
accordance to
maximum
tolerable
probabilities
consistent
with the one
identified in
ESARR 4 for
severity class
1 (1,55.10-8
per
flight/hour).
2. Recital 16
of the CR
recognised
that ESARR 4
defines a
maximum
tolerable
probability for
ATM directly
contributing
to accidents in
the ECAC
1. To be
based on the
referred
sections of
EAM 4/ GUI
2, Appendix
B.
2. This
material
includes
comprehensiv
e guidance on
possible
evidences to
show
compliance
with ESARR 4
and possible
ways to
assess them.
1. EAM 4 GUI 2 v
4.0, Appendix B;
2. ESARR 4
reference A2
Paragraph 1; and
3. Figure A-2,
and Paragraph 2.
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region,
maximum
tolerable
probability for
the remaining
severity
classes 2 to 5
have not been
established.
3. The
Member
States and
the EC
working
together with
EUROCONTRO
L should
complete and
update these
probabilities
and develop
mechanisms
to apply them
in different
environments.
II 3 2 5 ANSP 3.2.5. Section 5 SAF
II 3 2 5 ANSP Software safety
assurance system SAF
II 3 2 5 ANSP
Within the
operation of the
SMS, a provider of
air traffic services
shall implement a
software safety
assurance system
in accordance with
SAF
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Regulation (EC)
No 482/2008.
II 3 3 ANSP
3.3. Safety
requirements for
engineering and
technical
personnel
undertaking
operational safety
related tasks
SAF
II 3 3 1 ANSP
Providers of air
traffic services
shall ensure that
technical and
engineering
personnel
including
personnel of
subcontracted
operating
organisations who
operate and
maintain ATM
equipment
approved for their
operational use
have and maintain
sufficient
knowledge and
understanding of
the services they
SAF
Technical and
engineering
personnel
competency
and safety
awareness.
This
requirement
should be
checked in
the context of
SMS
competency
requirement.
Also, Article 9
of CRs states
that States
need to issue
appropriate
safety rules
for
engineering
and technical
personnel
who
undertake
operational
Evidence should
be checked in
the same
manner as for
SMS
competency.
Additional
national
guidelines for
assessing
evidence of
compliance with
national rules
should be
developed.
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are supporting, of
the actual and
potential effects of
their work on the
safety of those
services, and of
the appropriate
working limits to
be applied.
safety-related
tasks.
Evidence of
compliance
with those
national rules
should be
checked.
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II 3 3 2 ANSP
With regard to the
personnel involved
in safety-related
tasks including
personnel of
subcontracted
operating
organisations,
providers of air
traffic services
shall document
the adequacy of
the competence of
the personnel; the
rostering
arrangements in
place to ensure
sufficient capacity
and continuity of
service; the
personnel
qualification
schemes and
policy, the
personnel training
policy, training
plans and records
as well as
arrangements for
the supervision of
non-qualified
personnel. They
shall have
procedures in
place for cases
where the physical
or mental
SAF
This
requirement is
aimed at
ATSPs and
requires
documentatio
n of:
- adequacy of
competence;
- rostering
arrangements
;
- personnel
qualification
schemes and
policy;
- training
policy, plans
and records;
- supervision
of non-
qualified
personnel;
- procedures
for cases
where the
physical or
mental
condition of
the personnel
is in doubt.
Evidence
documenting
all these
requirements
should be
checked such
as technical
or
engineering
operation
manuals,
training
manuals,
duty rosters,
procedures
for
competency
in doubt, etc.
Documentation
should be
updated and
consisstent for
all safety-related
personnel and in
line with
documentation
management
process
(quality).
Sampling should
be used to check
if what is
documented is in
fact
implemented.
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condition of the
personnel is in
doubt.
II 3 3 3 ANSP
Providers of air
traffic services
shall maintain a
register of
information on the
numbers, status
and deployment of
the personnel
involved in safety
related tasks.
SAF
ATSP needs to
maintain a
register of
safety-related
personnel.
Register of
safety-related
personnel.
The register
should be
updated and in
line with
documentation
management
process
(quality). Check
if all safety-
related personnel
are a part of the
register.
II 3 3 4 ANSP That register shall: SAF
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II 3 3 4 a ANSP
(a) identify the
accountable
managers for
safety-related
functions;
SAF
II 3 3 4 b ANSP
(b) record the
relevant
qualifications of
technical and
operational
personnel, against
required skills and
competence
requirements;
SAF
II 3 3 4 c ANSP
(c) specify the
locations and
duties to which
technical and
operational
personnel are
assigned,
including any
rostering
methodology.
SAF
II 4 ANSP
4. WORKING
METHODS AND
OPERATING
PROCEDURES
ATS
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II 4 ANSP
Providers of air
traffic services
shall be able to
demonstrate that
their working
methods and
operating
procedures are
compliant with the
standards in the
following annexes
to the Convention
on International
Civil Aviation as
far as they are
relevant for the
provision of air
traffic services in
the airspace
concerned:
ATS
II 4 a ANSP
(a)►M1
Implementing
Regulation (EU) No 923/2012 ◄,
including all
amendments up to
No 42;
ATS
II 4 b ANSP
(b) Annex 10 on
aeronautical
telecommunication
s, Volume II on
communication
procedures
including those
with PANS Status
in its sixth edition
of October 2001,
ATS
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including all
amendments up to
No 85;
II 4 c ANSP
(c) Annex 11 on
air traffic services
in its 13th edition
of July 2001,
including all
amendments up to
and including No
49 and
Implementing
Regulation (EU)
No 923/2012 as
applicable.
ATS
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Nr.of
Annex Point
Para.
Nr
Applica-
bility
Area
Text of
Common
Requirement
Domain Key Elements
of CR Evidence
How to
Assess the
Evidence
Compliance Actions
needed &
planned
completion
date
Yes On
going No
III 1 ANSP
1. TECHNICAL
AND
OPERATIONAL
COMPETENCE
AND
CAPABILITY
MET
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III 1 1 ANSP
Providers of
meteorological
services shall
ensure that
the
meteorological
information,
necessary for
the
performance
of their
respective
functions and
in a form
suitable for
users, is made
available to:
MET
This is to prove
that the
provided
meteorological
information
meet the
requirements
to perform
functions in a
form suitable
for users, as
specified by
the appropriate
authority.
1.
Documentation
of procedures
for regular
verification of
the availability
and suitability
and, when
necessary, for
corrective
actions.
2. Results of
performed
verifications.
1. Verify that
procedures
comply with
requirements
to perform
functions in a
form suitable
for users, as
specified by the
appropriate
authority.
2. Verify if
documentation
of performed
verification
exists.
3. The
procedure for
corrective
actions should
be covered in
the Quality
Management
System
(ANNEX I - 3.2
Quality
management
system).
4. The NSA
may decide to
investigate the
correctness of
the information
provided
further through
an On-Site
audit.
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5.
Desktop&On-
site audit
III 1 1 a ANSP
(a) operators
and flight
crew
members for
pre-flight and
in-flight
planning;
MET
Users:
operators and
flight crew
members for
pre-flight and
in-flight
planning
Document of
procedures
and results
verification for
the relevant
users.
see above and
apply for
relevant users
III 1 1 b ANSP
(b) providers
of air traffic
services and
flight
information
services;
MET
Users:
providers of air
traffic services
and flight
information
services
Document of
procedures
and results
verification for
the relevant
users.
see above and
apply for
relevant users
III 1 1 c ANSP
(c) search
and rescue
services units;
MET
Users: search
and rescue
services units
Document of
procedures
and results
see above and
apply for
relevant users
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verification for
the relevant
users.
III 1 1 d ANSP (d)
aerodromes. MET Users: airports
Document of
procedures
and results
verification for
the relevant
users.
see above and
apply for
relevant users
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III 1 2 ANSP
Providers of
meteorological
services shall
confirm the
level of
attainable
accuracy of
the
information
distributed for
operations,
including the
source of such
information,
whilst also
ensuring that
such
information is
distributed in
a sufficiently
timely
manner, and
updated as
required.
MET
level of
1. accuracy,
2. traceability
3. and
timeliness
meet the
operational
requirements
1. Procedures
that define
a. the
measures to
assure the
required
accuracy and
traceability of
information
b. when and
how fast
information
needs to be
provided
c. when
information
provided
needs to be
updated.
2. Evidence
that the
timeliness and
accuracy of
the
information
provided is
acceptable to
the users.
3. Results of
performed
monitoring.
1. Verify
whether
procedures that
define which
measures are
used to assure
the required
accuracy and
traceability of
information,
when and how
fast information
needs to be
provided and
when it needs
to be updated.
2. Verify
whether
evidence exists
that the
timeliness and
accuracy of the
information
provided is
acceptable to
the users.
3. Verify if
documentation
of performed
monitoring
exists.
Note:
Implementation
of a Quality
Management
System
compliant with
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EN ISO 9001
supports this
requirement.
4. The NSA
may decide to
investigate the
correctness of
the information
provided
further through
an On-Site
audit.
5.
Desktop&On-
site audit
III 2 ANSP
2. WORKING
METHODS
AND
OPERATING
PROCEDURES
MET
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III 2 ANSP
Providers of
meteorological
services shall
be able to
demonstrate
that their
working
methods and
operating
procedures
are compliant
with the
standards in
the following
annexes to
the
Convention on
International
Civil Aviation
as far as they
are relevant
for the
provision of
meteorological
services in the
airspace
concerned:
MET
Demonstrate
that its
working
methods and
operating
procedures are
compliant with
relevant ICAO
standards
(Annex 3,
Annex 11, and
Annex 14 -
Volume I)
1.
Documentation
of working
methods and
operating
procedures.
2. Filled in
checklist
provided by
METP (e.g.
ICAO
compliance
checklists)
1. Verify if
evidence exist
that ANSP has
checked the
compliance
with relevant
ICAO
Standards or
with a
difference from
the Standard
duly notified.
2. The NSA
may decide to
investigate the
correctness of
the information
provided
further through
an On-Site au
3.
Desktop&On-
site audit
III 2 a ANSP
(a) Without
prejudice to
Implementing
Regulation
(EU) No
923/2012,
Annex 3 on
meteorological
services for
international
MET
Without
prejudice to
Implementing
Regulation
(EU) No
923/2012,
Annex 3 on
meteorological
services for
international
Filled in
checklist
demonstrating
compliance
with relevant
ICAO Annex.
1. Random
checks of the
accuracy of the
checklist and
the correctness
of the
information
provided.
2. Random
checks that
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air navigation
in its 18th
edition of July
2013,
including all
amendments
up to and
including No
76;
air navigation
in its 18th
edition of July
2013, including
all
amendments
up to and
including No
76;
methods and
procedures are
compliant with
relevant ICAO
standards.
3.
Desktop&On-
site audit
III 2 b ANSP
(b) Annex 11
on air traffic
services in its
13th edition of
July 2001,
including all
amendments
up to and
including No
49 and
Implementing
Regulation
(EU) No
923/2012 as
applicable;
MET
Annex 11 on
air traffic
services in
including all
amendments,
(meteorological
service for
international
air navigation)
Filled in
checklist
demonstrating
compliance
with relevant
ICAO Annex.
1. Random
checks of the
accuracy of the
checklist and
the correctness
of the
information
provided.
2. Random
checks that
methods and
procedures are
compliant with
relevant ICAO
standards.
3.
Desktop&On-
site audit
III 2 c ANSP
(c) Without
prejudice to
Regulation
(EU) No
139/2014 ( 1
) Annex 14 on
aerodromes in
the following
versions:
MET Annex 14 on
aerodromes
Filled in
checklist
demonstrating
compliance
with relevant
ICAO Annex.
1. Random
checks of the
accuracy of the
checklist and
the correctness
of the
information
provided.
2. Random
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(i) Volume I
on aerodrome
design and
operations in
its 6 th edition
of July 2013,
including all
amendments
up to and
including No
11-A and as
of 13
November
2014, also
including
amendment
11-B;
(ii) Volume II
on heliports in
its 4 th edition
of July 2013,
including all
amendments
up to and
including No
5.:
checks that
methods and
procedures are
compliant with
relevant ICAO
standards.
3.
Desktop&On-
site audit
III 2 c i ANSP
(i) Volume I
on aerodrome
design and
operations in
its 5th edition
of July 2009,
including all
amendments
up to No 10-
B;
MET
Annex 14 on
aerodromes
Volume I on
aerodrome
design and
operations in
its fourth
edition of July
2004, including
all
amendments
Filled in
checklist
demonstrating
compliance
with relevant
ICAO Annex.
1. Random
checks of the
accuracy of the
checklist and
the correctness
of the
information
provided.
2. Random
checks that
methods and
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up to No 9, procedures are
compliant with
relevant ICAO
standards.
3.
Desktop&On-
site audit
III 2 c ii ANSP
(ii) Volume II
on heliports in
its 3rd edition
of July 2009,
including all
amendments
up to No 4.
MET
Annex 14 on
aerodromes
Volume II on
heliports in its
second edition
of July 1995,
including all
amendments
up to No 3.";
Filled in
checklist
demonstrating
compliance
with relevant
ICAO Annex.
1. Random
checks of the
accuracy of the
checklist and
the correctness
of the
information
provided.
2. Random
checks that
methods and
procedures are
compliant with
relevant ICAO
standards.
3.
Desktop&On-
site audit
Nr.of Point Para. Applica- Text of Domain Key Elements of Evidence How to Assess the Compliance Actions
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ANNEX Nr bility
Area
Common
Requirement
CR Evidence
Yes On
going No
needed &
planned
completion
date
IV 1 ANSP
1. TECHNICAL
AND
OPERATIONAL
COMPETENCE
AND
CAPABILITY
AIS
IV 1 1 ANSP
Providers of
aeronautical
information
services shall
ensure that
information
and data is
available for
operations in
a form
suitable for:
AIS
This is to prove
that the provided
aeronautical
information meet
the requirements
to perform
functions in a
form suitable for
users, as
specified by the
appropriate
authority
1. Procedures
defining how
aeronautical
information is to be
provided to the
respective users.
2. Provision of
aeronautical
information based on
ICAO standards
(Annexes 4 and 15),
as specified by the
appropriate
authority.
3. Results of the
performed
verification.
1. Verify whether
procedures are
defined that specify
how aeronautical
information is
provided to the
users.
2. Verify whether
the ANSP provides
aeronautical
information based
on ICAO standards
(Annexes 4 and 15),
as specified by the
appropriate
authority.
3. Verify that results
of performed
verification exist.
4. Desktop&On-site
audit
The NSA may decide
to investigate the
correctness of the
information provided
further through an
On-Site audit.
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IV 1 1 a ANSP
(a) flight
operating
personnel,
including
flight crew, as
well as flight
planning,
flight
management
systems and
flight
simulators;
AIS
Flight operating
personnel,
including flight
crew, as well as
flight planning,
flight
management
systems and flight
simulators,
1. Procedures
defining how
aeronautical
information is to be
provided to the
respective users.
2. Provision of
aeronautical
information based on
ICAO standards
(Annexes 4 and 15),
as specified by the
appropriate
authority.
3. Results of the
performed
verification.
1. See above and
apply for relevant
users
a. There is no
requirement to
provide the
aeronautical
information/data in a
form directly
suitable for
specific‘flight
management
systems’
b. The same should
be valid also for
flight simulators.
IV 1 1 b ANSP
(b) providers
of air traffic
services which
are
responsible
for flight
information
services,
aerodrome
flight
information
services and
the provision
of pre-flight
information.
AIS
Providers of air
traffic services
which are
responsible for
flight information
services,
aerodrome flight
information
services and the
provision of pre-
flight information.
1. Procedures
defining how
aeronautical
information is to be
provided to the
respective users.
2. Provision of
aeronautical
information based on
ICAO standards
(Annexes 4 and 15),
as specified by the
appropriate
authority.
3. Results of the
performed
verification.
1. See above and
apply for relevant
users
a. There is no
requirement to
provide the
aeronautical
information/data in a
form directly
suitable for
specific‘flight
management
systems’
b. The same should
be valid also for
flight simulators.
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IV 1 2 ANSP
Providers of
aeronautical
information
services shall
ensure the
integrity of
data and
confirm the
level of
accuracy of
the
information
distributed for
operations,
including the
source of such
information,
before such
information is
distributed.
AIS
IV 2 ANSP
2. WORKING
METHODS
AND
OPERATING
PROCEDURES
AIS
IV 2 ANSP
Providers of
aeronautical
information
services shall
be able to
demonstrate
that their
working
methods and
operating
procedures
are compliant
AIS
demonstrate that
its working
methods and
operating
procedures are
compliant with
relevant ICAO
standards (Annex
3, Annex 4, and
Annex 15)
1. Documentation of
working methods and
operating
procedures.
2. Filled in checklist
provided by AISP
(e.g. ICAO
compliance
checklists)
1. Verify if evidence
exist;
2. that ANSP has
checked the
compliance with
relevant ICAO
Standards;
3. or with a
difference from the
Standard duly
notified;
4. The NSA may
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with the
standards in:
decide to investigate
the correctness of
the information
provided further
through an On-Site
audit;
5. Desktop&On-site
audit.
IV 2 a ANSP
(a)
Commission
Regulation
(EU) No
73/2010;
AIS
IV 2 b ANSP
(b) the
following
Annexes to
the
Convention on
International
Civil Aviation
as far as they
are relevant
for the
provision of
aeronautical
information
services in the
airspace
concerned:
AIS
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IV 2 b i ANSP
(i) Annex 3
on
meteorological
services for
international
air navigation
in its 18 th
edition of July
2013,
including all
amendments
up to and
including No
76;
AIS
Filled in checklist
demonstrating
compliance with
relevant ICAO Annex
3 on meteorological
service for
international air
navigation in its 17th
edition of July 2010,
including all
amendments up to
No 76,
1. Random checks of
the accuracy of the
checklist and the
correctness of the
information
provided.
2. Random checks
that methods and
procedures are
compliant with
relevant ICAO
standards
3. . Desktop&On-site
audit
IV 2 b ii ANSP
(ii) Annex 4
on
aeronautical
charts in its
11 th edition
of July 2009,
including all
amendments
up to and
including No
57;
AIS
Filled in checklist
demonstrating
compliance with
relevant ICAO Annex
4 on aeronautical
charts in its 11th
edition of July 2009,
including all
amendments up to
No 57,
1. Random checks of
the accuracy of the
checklist and the
correctness of the
information
provided.
2. Random checks
that methods and
procedures are
compliant with
relevant ICAO
standards
3. . Desktop&On-site
audit
IV 2 b iii ANSP
(iii) without
prejudice to
Regulation
(EU) No
73/2010,
Annex 15 on
aeronautical
information
series in its 14
AIS
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th edition of
July 2013,
including all
amendments
up to and
including No
37..
Nr.of
ANNEX Point
Para.
Nr
Applica-
bility
Area
Text of Common
Requirement Domain
Key Elements
of CR Evidence
How to Assess the
Evidence
Compliance Actions
needed &
planned
completion
date
Yes On
going No
V 1 ANSP
1. TECHNICAL AND
OPERATIONAL
COMPETENCE AND
CAPABILITY
CNS
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V 1 ANSP
Providers of
communication,
navigation or
surveillance
services shall
ensure the
availability,
continuity,
accuracy and
integrity of their
services.
CNS
1. For the
relevant
communication,
navigation and
surveillance
services
ensure;
a. availability;
b. continuity;
c. accuracy;
d. integrity.
2. confirm the
quality level of
the services it
is providing;
3. demonstrate
that equipment
is regularly
maintained and
where required
calibrated.
1. Evidence to prove that
the requirements of the
relevant parts of ICAO
ANNEX 10 have been
defined, documented and
are met for:
a. availability;
b. continuity;
c. accuracy;
d. integrity.
2. Associate Bilateral
Service Level Agreements
with adjacent ATS units,
as well internally within
the same ATS Unit
3. System documentation
4. Statistics on
a. availability;
b. continuity;
c. accuracy;
d. integrity.
1. Verify if required
level of quality of
service with regard
to:
a. availability;
b. continuity;
c. accuracy;
d. integrity ;
has been defined and
documented;
2. Verify if the
measures defined to
meet the required
level of quality of
service are
implemented (back-
up system,
contingency
procedures etc.);
3. Verify if
procedures to verify if
the required level of
quality of service is
met are defined and
implemented;
4. The NSA may
decide to investigate
the correctness of the
information provided
further through an
On-Site audit
according to EAM
1/GUI
a. The QMS delivers
evidence that
processes cover the
quality of service,
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maintenance and
calibration issues;
b. Additionally for
each particular
system
documentation must
be available;
5. Desktop&On-site
audit.
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V 1 ANSP
Providers of
communication,
navigation or
surveillance
services shall
confirm the quality
level of the services
they are providing
and shall
demonstrate that
their equipment is
regularly
maintained and
where required
calibrated.
CNS
1. For the
relevant
communication,
navigation and
surveillance
services ensure
a. availability
b. continuity
c. accuracy
d. integrity
2. confirm the
quality level of
the services it
is providing
3. demonstrate
that equipment
is regularly
maintained and
where required
calibrated
1. Maintenance
Manuals/Plans/Procedures
(Manuals) covering
(parameters of the
equipment , Preventive
and Corrective
Maintenance Procedures
in place,
Configuration/Change
and Problem
Management, etc)
2. Maintenance records
(e.g. logbooks)
3. Calibration protocols
(where required)
4. Evidence of
investigation/anomaly
reports
1. Verify existence of:
a. Maintenance
Procedures
b. Maintenance
records (e.g.
logbooks)
c. Calibration
protocols (where
required)
d. Evidence of
investigation/anomaly
reports;
e. associated
Bilateral Service Level
Agreements with
adjacent ATS units,
as well internally
within the same ATS
Unit
2. The NSA may
decide to investigate
the correctness of the
information provided
further through an
On-Site audit
according to EAM
1/GUI
a. The QMS delivers
evidence that
processes cover the
quality of service,
maintenance and
calibration issues.
b. Additionally for
each particular
system
documentation must
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be available which
shows the specific
maintenance
provisions and where
required calibration
provisions.
3. Desktop&On-site
audit acc. to ESSAR 1
V 2 ANSP 2. SAFETY OF
SERVICES
SAF,
CNS
V 2 ANSP
Providers of
communication,
navigation or
surveillance
services shall
comply with the
requirements of
point 3 of Annex II
SAF,
CNS
see ANNEX II
part 3 see ANNEX II part 3
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on the safety of
services.
V 3 ANSP
3. WORKING
METHODS AND
OPERATING
PROCEDURES
CNS
V 3 ANSP
Providers of
communication,
navigation or
surveillance
services shall be
able to
demonstrate that
their working
methods and
operating
procedures are
compliant with the
standards of Annex
10 on aeronautical
telecommunications
to the Convention
on International
Civil Aviation in the
following versions
as far as they are
relevant for the
provision of
communication,
navigation or
surveillance
services in the
CNS
Demonstrate
that its working
methods and
operating
procedures are
compliant with
the relevant
ICAO Annex
10: Volume I-
V
Filled in checklist
provided by CNSP (e.g.
ICAO compliance
checklists)
1. Random checks of
the accuracy of the
checklist and the
correctness of the
information provided.
2. Random checks
that methods and
procedures are
compliant with
relevant ICAO
standards.
3. Desktop&On-site
audit
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airspace
concerned:
V 3 a ANSP
(a) Volume I on
radio navigation
aids in its 6 th
edition of July
2006, including all
amendments up to
and including No
88-A;
CNS
V 3 b ANSP
(b) Volume II on
communication
procedures
including those
with PANS status in
its 6 th edition of
October 2001,
including all
amendments up to
CNS
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and including No
88-A;
V 3 c ANSP
(c) Volume III on
communications
systems in its 2 nd
edition of July 2007
including all
amendments up to
and including No
88-A;
CNS
V 3 d ANSP
(d) Volume IV on
surveillance radar
and collision
avoidance systems
in its 4 th edition of
July 2007,
including all
amendments up to
and including No
88-A
CNS
V 3 e ANSP
(e) Volume V on
aeronautical radio
frequency spectrum
utilisation in its 3
rd edition of July
2013, including all
amendments up to
and including No
88-A.
CNS