HANSA - ANSP Certification V3

Document Title Document Context QM Book QM Section Document Identification Edition - Revision Date of Edition - Revision Authorship Document
Owner Class Status Available in
Air Navigation Service Providers Certification Process for the Air Navigation Service Providers Certification
Ed. 3.0 15 May 2012 HANSA HANSA Public Released Issue MS-WORD 97
Abstract
In the case of the certification scheme established by Regulation (EC) 550/2004 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 constitute the reference against which certification takes place. This document provides instructions to the Hellenic Air Navigation Supervisory Authority (HANSA) for certification of air navigation service providers against those Common Requirements.
HANSA Procedure Nr.: XX / ANSPs Certification File name: HANSA_ANSP Certification V3.0
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TABLE OF CONTENTS ABSTRACT ............................................................................................................................................. 1 1. INTRODUCTION................................................................................................................................. 3 1.1 1.2 1.3 PURPOSE .................................................................................................................................... 3 INTENDED AUDIENCE ................................................................................................................... 3 DOCUMENT STRUCTURE .............................................................................................................. 3
2. SCOPE................................................................................................................................................ 3 3. CONTEXT ........................................................................................................................................... 4 3.1 3.2 3.3 3.4 3.5 MISSION STATEMENT................................................................................................................... 4 OVERALL VIEW ............................................................................................................................ 5 RELATION TO OTHER PROCESSES ................................................................................................. 5 TERMINOLOGY ............................................................................................................................ 5 ROLES ........................................................................................................................................ 7
4. ANSP CERTIFICATION PROCEDURE STEPS ................................................................................ 8 4.1 TRIGGERS ................................................................................................................................... 8 4.2 ACTIVITIES-STEPS ....................................................................................................................... 8 4.2.1 Application for Certification ................................................................................................ 8 4.2.2 Application Management by HANSA ............................................................................... 10 4.2.3 Safety related aspects in the certification process .......................................................... 10 4.2.4 Certification Teams .......................................................................................................... 11 4.2.5 Use of Recognised Organisation ..................................................................................... 12 4.2.6 Panels of Experts............................................................................................................. 12 4.2.7 Investigations for Initial Oversight.................................................................................... 12 4.2.8 Review of Service Providers Documentation.................................................................. 12 4.2.9 Initial Oversight Audit Visits ............................................................................................. 13 4.2.10 Criteria to Assess Compliance with Applicable Common Requirements in the Certification Process ............................................................................................. 18 4.2.11 Non-conformities resolution and follow up....................................................................... 18 4.2.12 Issue of Certificate ........................................................................................................... 19 4.2.13 Validity of the Certificate .................................................................................................. 20 4.2.14 Changes within the Organisation..................................................................................... 20 4.2.15 On-going compliance....................................................................................................... 20 4.2.16 Possible Derogations ....................................................................................................... 21 4.2.17 Document Confidentiality................................................................................................. 22 REFERENCE DOCUMENTS ................................................................................................................ 23 GLOSSARY .......................................................................................................................................... 26 CHANGE RECORD .............................................................................................................................. 27 ANNEX 1: ANSP CERTIFICATION PROCEDURE LIFECYCLE......................................................... 28 ANNEX 2: CERTIFICATION MODEL FORMS..................................................................................... 29 ANNEX 3: TABLE DEFINING THE SCOPE OF THE SERVICES FOR WHICH CERTIFICATION CAN BE REQUESTED AND GRANTED.............................................................................................. 36 ANNEX 4: COMPLIANCE CHECKLIST: COMMON REQUIREMENTS ............................................. 39
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1 1.1
INTRODUCTION Purpose
This document provides instructions to the Hellenic Air Navigation Supervisory Authority (HANSA) for certification of air navigation service providers against the Common Requirements. Air Navigation Service Providers (ANSPs) should be aware that due to Single European Sky (SES) Legislation, they will be required to obtain a certificate and be designated in order to provide air navigation services.
1.2
Intended Audience
The audience of this document is potentially the HANSA and the HCAAs Hellenic Air Navigation Service Provider (HANSP) staff.
1.3
Document Structure
This document is structured as follows: 1. Introduction; 2. Scope; 3. Context; 4. ANSP Certification Procedure; 5. Reference documents 6. Glossary Annexes
SCOPE
In the case of the certification scheme established by Service Provision Regulation (EC) 550/2004 as amended by EC 1070/2009, a set of Common Requirements (CRs) constitute the reference against which certification takes place. According to Article 6 of the Service Provision Regulation, CRs shall be established with regard to: 1. Technical and operational competence and suitability; 2. Systems and processes for safety and quality management; 3. Reporting Systems (e.g. Business Plans, Annual Plan and Annual Reports); 4. Quality of Services; 5. Financial strength; 6. Liability and insurance cover; 7. Ownership and organisational structure, including the prevention of conflicts of interest; 8. Human resources, including adequate staffing plans; 9. Security. Verification of compliance with regard to these nine categories of the CRs by the HANSA is needed before issuing a certificate.
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3 3.1
CONTEXT Mission Statement

This process identifies the basic principles, actions, inputs and outputs of the HANSA 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 model process is actually defined in relation to that specific certification scheme applicable in EU Member States in accordance with: Regulation (EC) 550/2004 of the European Parliament and of the Council dated 10 March 2004 on the provision of air navigation services in the Single European Sky (the Service Provision Regulation). Implementing Regulation (EC) 1035/2011 Common Requirements (CRs) for the Provision of Air Navigation Service (amending Regulation (EC) 482/2008 and (EU) 691/2010. All relevant mostly recent amendments of the above mentioned regulations
3.2
Overall View
In accordance with the Single Sky Regulations, National Supervisory Authorities are nominated by the States and entrusted with various tasks aimed at ensuring a safe and efficient operation of air navigation service providers. They are tasked in particular with the verification of compliance of these service providers with the requirements set by the Service provision Regulation n 550/2004 and its implementing rule, the Regulation laying down common requirements for the provision of air navigation services (Implementing Regulation (EC) 1035/2011, hereafter the Common Requirements). To this end, the National Supervisory Authorities issue certificates of compliance with the Common Requirements and ensure compliance monitoring and continued supervision of service providers. The SES Regulations (in particular Article 7.3 of Regulation n 550/2004) require that National Supervisory Authorities issue certificates to each air navigation service provider applying for it and fulfilling the conditions set in the Common Requirements. In accordance with Article 7.4 of the 550/2004 EC Regulation, National Supervisory Authorities can attach additional conditions to the certificates, as specified in Annex II of Regulation n 550/2004. 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 particular, although the Common Requirements foresee that States adopt EUROCONTROL Safety Regulatory Requirements (ESARRs) 3, 4 and 5, these ESARRs are not fully covered by the Regulation. 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 must therefore also be taken into account in the establishment of national legal and institutional frameworks and in the allocation of respective responsibilities to regulators and service providers, 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.
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3.3
Relation to other processes
This process has some relations with ANSP Designation, Safety, Quality and Security Oversight processes.
3.4
ATM
Terminology
An evaluation based on engineering, operational judgement and/or analysis methods. 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. A service for the purpose of ATM. An organisation designated to provide ATM service(s). The part of the ANS system composed of a ground based ATM component and an airborne ATM component. The ATM system includes human, technical systems and procedures, and assumes the existence of a supporting CNS system. 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). 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. Tangible objects such as hardware and intangible such as software upon wich the interoperability of EATMN depends. Action to eliminate the cause of a detected non-conformity or other undesirable situation. Configuration Item Configuration Manager Configuration Management System The process by which States designate ANSPs to provide ATM services within specific airspace blocks in respect of the airspace under their responsibility. All movements of civil aircraft, as well as all movements of State aircraft (including military, customs and police aircraft) when those movements are carried out in conformity with the International Civil Aviation Organisation (ICAO). Hellenic Air Navigation Supervisory Authority, the body established by Greek State with NSA tasks. 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. A set of interrelated or interacting activities which transforms inputs into outputs. The adoption, enactment and implementation of rules for the achievement of stated objectives by those to whom the regulatory process applies. The combination of the overall probability or frequency of occurrence of a harmful effect induced by a hazard and the severity of that effect.
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Assessment
ATM service ATM service provider ATM system
ATS
Certificate
Constituents Corrective action CI CM CMS Designation General Air Traffic (GAT) HANSA NSA
Process Regulation Risk
System Technical system Verification
A combination of technical systems, procedures and human resources organised to perform a function. The aggregation of airborne and ground-based constituents, as well as space-based equipment that provides support for ATM services for all phases of flight. Confirmation through the provision of objective evidence that specified requirements have been fulfilled.
3.5
Role
Roles
Description Application Management Function (APMF) Certification Team Leader (CTL) Certification Team Member (CTM) Allocated Staff
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4 4.1
4.1.1.
ANSP CERTIFICATION PROCEDURE STEPS Triggers

Application by the ANSPs to HANSA for their services certification according to Art. 7(2) of Regulation (EC) No 550/2004.
4.2
4.2.1
4.2.1.1
Activities-Steps
Application for Certification
According to Art. 7(2) of Regulation (EC) No 550/2004: Applications for certification are submitted to the national supervisory authority (NSA) of the Member State where the applicant has its principal place of operation and, if any, its registered office. Applicants shall use the application form specifically defined in the NSAs documented procedures established for the certification of service providers. The application form is based on Model Form 1 included in Annex 2 of this procedure. It should always include the scope of services for which the certificate is requested. 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: 1. A statement signed by the Chief Executive Officer (or equivalent position) confirming that the organisation exposition and any associated referenced documentation define the organisations 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, 2. The title(s) and name(s) of the organisations senior managers, 3. The duties and responsibilities of the senior managers as regards the implementation of the Common Requirements, 4. An organisation chart showing the chain of responsibility in the areas covered by the CRs, 5. A general description of human resources, 6. A general description of the organisations facilities existing infrastructure referred to ANS provision; 7. 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. Note: Some of the means and arrangements specifically related to safety are elaborated further in EAM 1 / GUI 5, section 2. The organisation exposition shall be amended by the applicant as necessary 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 Service Provider shall accompany the Application for Initial Certification with fill-in compliance checklists as follows:
4.2.1.2
4.2.1.3
4.2.1.4
4.2.1.5
4.2.1.6
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1.
Providers of Air Traffic Services (ATS): a. b. c. Specific requirements for the provision of Air Traffic Services (Common Requirements, Annex II) Compliance Checklist, ICAO Annex 2, Rules of the Air (9th edition, July 1990 including all amendments up to no 37); Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications, Volume 2, Communication Procedures, (6th edition, October 2001 including all amendments up to no 79) Compliance Checklist, ICAO Annex 11, Air Traffic Services, (13th edition, July 2001 including all amendments up to no 42). Specific requirements for the provision of Meteorological Services (Common Requirements, Annex III) Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air Navigation, (15th edition, July 2004); Compliance Checklist, ICAO Annex 11, Air Traffic Services, (13th edition, July 2001 including all amendments up to no 42). Compliance Checklist, ICAO Annex 14, Aerodromes, Volume I & II, (Volume I: 4th edition, July 2004; Volume II, 2nd edition, July 1995 including all amendments up to no 3). Specific requirements for the provision of Aeronautical Information Services (Common Requirements, Annex IV) Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air Navigation, (15th edition, July 2004); Compliance Checklist, ICAO Annex 4, Aeronautical Charts, (10th edition, July 2001 including all amendments up to no 53); Compliance Checklist, ICAO Annex 15, Aeronautical Information Services, (12th edition, July 2004). Specific requirements for the provision of CNS (Common Requirements, Annex V) Specific requirements for the provision of Air Traffic Services (part 3 of Common Requirements, Annex II), Safety of Services Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications Volume I, (5th edition, July 1996) Volume II, (6th edition, October 2001) Volume III, (1st edition, July 1995) Volume IV, (3rd edition, July 2002)
d. 2.
Providers of Meteorological Services (MET): a. b. c. d.
3.
Providers of Aeronautical Information Services (AIS): a. b. c. d.
4.
Providers of Communication, Navigation and Surveillance (CNS): a. b. c.
Volume V, (2nd edition, July 2001; including all amendments up to no 79) as far as they are relevant for the provision of communication, navigation or surveillance 1 services in the airspace concerned . 4.2.1.7 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.
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4.2.1.8
In addition, the Service Provider 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. 2. A first assessment of the eligibility of the organisation according to the CRs, The technical investigations for initial and ongoing oversight intended to verify compliance with applicable requirements, including any applicable safety regulatory requirements.
4.2.1.9
4.2.1.10
4.2.1.11
The organisation exposition and any complementary questionnaire shall not be considered as sole and exclusive proof of compliance with applicable common 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.
4.2.2
4.2.2.1
Application Management by HANSA

Applications shall be sent to an Application Management Function (APMF) identified within the NSA to act as the focal point with responsibility for the management of applications. Note: The APMF should be set up in accordance with NSA structures and working methods, and may be combined with other responsibilities within the NSA. The APMF shall acknowledge receipt of applications within ten working days of its receipt by the NSA. The APMF checks all applications. Where incorrect or incomplete information is supplied, the APMF should notify the applicant in writing as soon as possible detailing the omissions and errors. For any technical issues raised by the application, the APMF consuls appropriate NSA experts or experts working for the NSA. The APMF, supported by appropriate NSA experts or experts working for the NSA, make a first assessment of the documentation received. The APMF determines how to proceed with the application. This is communicated to the applicant within two months following receipt of the correct application. When eligibility has been assessed, the APMF 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. 2. Whether the application is accepted to proceed further or not, and if accepted: The details of the certification team leader 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 APMF notifies the applicant of the projected time frames for when such resources are expected to be available.
4.2.2.2 4.2.2.3 4.2.2.4
4.2.2.5 4.2.2.6
4.2.2.7
4.2.2.8
In case of the refusal of an application, the NSA notifies this decision in writing to the applicant together with the reasons.
4.2.3
4.2.3.1
Safety related aspects in the certification process

In accordance with ESARR 1, safety oversight will be exercised by the NSAs in order to verify compliance with the applicable safety regulatory requirements.
4.2.3.2
In the context of the certification of service providers, ESARR 1 requires NSAs to establish a process to verify compliance with applicable safety regulatory requirements prior to the issue or renewal of a certificate recognising the capability of an organisation to provide ATM/ANS. An integrated certification process, covering safety-related and non-safety related requirements, is needed to address the certification of service provider organisations under SES rules. Accordingly, the certification process is intended to maximise the possibilities of integrating safety oversight with the activities intended to address nonsafety related requirements, in order to support an approach capable to address the whole set of SES Common Requirements. This document is consistent with the ESARR 1 related Certification and Designation of Service Providers (EAM 1 / GUI 5) document, not yet released, by the Safety Regulation Unit (SRU), where the Safety related aspects of the certification are comprehensively addressed. When necessary, reference is made in this guidance material to the relevant section of the EAM1/GUI5 document.
4.2.3.3
4.2.3.4
4.2.3.5
4.2.4
4.2.4.1 4.2.4.2
Certification Teams
A certification team shall be established by the NSA. 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 may perform the full investigation tasks. 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 service providers documentation. After reviewing the service providers documentation, a final determination of the certification teams resources needed in the certification team for the initial audits, measured in man-days, is normally made by the CTL. In order to determine the composition and size of the certification team, the following considerations are taken into account: 1. 2. 3. 4. The size of the applicants organisation; The number of sites covered by the certificate; The nature of the services to be provided by the organisation and their direct impact upon aviation safety; The various criteria as regards the review of service providers documentation and the implementation of initial oversight audit visits.
4.2.4.3
4.2.4.4
4.2.4.5
4.2.4.6
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. Both the CTL and CTMs should 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. For specific investigations the basic team can call upon the assistance of appropriate experts. More specifically:
4.2.4.7
4.2.4.8
4.2.4.9
with regard to applicable safety requirement specific qualification criteria to be met by CTL and all the CTMs involved in verifying compliance are defined in EAM1/ GUI5 (2.3.1) with applicable safety regulatory requirements.
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4.2.4.10
with regard to applicable quality requirements when the ANSP is not providing an ISO 9001 certificate the qualification criteria to be met by CTL and all the CTMs involved in verifying compliance should be based on the ISO standard 19011 chapter 7 relating to auditors for Quality Management Systems.
4.2.5
4.2.5.1
Use of Recognised Organisation

CTLs and/or CTMs may be NSA staff or personnel from a recognised organisation(s) commissioned to conduct investigation tasks fully or partly on behalf of the NSA or provide personnel to the NSA under specific arrangements. More specifically, with regard to the applicable safety requirements provisions to be applied by NSAs wherever recognised organisations or their personnel are involved are detailed in EAM1/GUI3 Section 6.4, EAM1/GUI5 section 2.3.2 and ESARR1 Section 8.
4.2.5.2
4.2.6
4.2.6.1
Panels of Experts
Panels of experts may be established by the NSA in order to provide the NSAs management and certification teams with advice on general organisation, compliance with requirements, and opinions on the technical interpretation of the Common Requirements and the conclusions and recommendations of final certification reports. Their opinions should not be binding on the NSA. Wherever established, these panels should: 1. 2. Be formed by experts with extensive technical knowledge of the technical disciplines necessary for the certification of a service provider. Base their opinions on the technical interpretation of the common requirements related to the EUROCONTROL Safety Regulatory Requirements (ESARRs), on the associated ESARR Advisory Material (EAM) wherever available.
4.2.6.2
4.2.6.3
The panel of experts could also base their interpretation and opinions on the EUROCONTROL Guidance material for ANSP compliance with the common requirements for Service Provision for the relevant type of ANSP.
4.2.7
4.2.7.1
Investigations for Initial Oversight

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). As a result of the initial oversight investigations, the NSA may terminate the certification process if it appears that it cannot be completed due to the lack of resources within the applicants structure or its lack of commitment to comply with the applicable requirements. Such a decision is notified to the applicant together with the reasons. The certification team maintains records of all documents generated and received during the initial oversight investigations.
4.2.7.2
4.2.7.3
4.2.7.4
4.2.8
4.2.8.1
Review of Service Providers Documentation

The certification team undertake a review of the documentation that the service provider 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.
4.2.8.2
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, e.t.c. depending upon the case.
3.
If the document review indicates possible areas of weakness or concern regarding the service providers arrangements to meet common requirements, this is subject to further investigation such as an on-site audit.
4.2.8.3 4.2.8.4
For certain areas a review of the documentation is sufficient. In the event that the documentation review reveals serious concerns about the applicants 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 visits. The matter is referred to the NSAs management for decision on further action to be taken.
4.2.9
4.2.9.1
Initial Oversight Audit Visits

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 even in the case of a small organisation applying to provide services. The certification can adopt the principles and practices set in ISO/IEC Guide 62. Note: Depending upon the case, on-site audit visits may focus on a specific aspect or address various applicable requirements. The team leader should realistically identify human resources required for the initial auditing process (number of auditors, experts in particular disciplines) and certainly how many days the audit is to be conducted. The team leader should also 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. But he 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 service providers organisation and specific processes to be audited in order to test the applicants compliance with a selected set of common requirements. In addition the implementation of the applicants arrangements in line with the identified intentions set out in the documentation reviewed should also be audited. 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. Take into account the results from audits, inspections or surveys conducted by the NSA in the 24-months period prior to the entry into force of Commission Regulation (EC) 2096/2005 of 20 December 2005, identifying areas where sufficient level of confidence exists as regards management practices already implemented by the organisation.
4.2.9.2
4.2.9.3 4.2.9.4
4.2.9.5
4.2.9.6
4.2.9.7
2.
4.2.9.8
As far as the safety oversight, and on going oversight processes are concerned, refer to EAM 1/GUI 3 sections 6 to 6.2.4 and 6.3 correspondingly, as well as to EAM1/GUI5 section 2.10.
4.2.9.9
Wherever on-site audits combine safety regulatory auditing and activities to verify the compliance with non-safety related common requirements, the CTL should establish appropriate working arrangements to ensure that investigations in each area are only conducted by the CTMs with sufficient expertise and qualification needed to address that area. In these situations, a separate audit report should be produced in relation to the safety regulatory auditing activity. This audit report should meet the requirements of ESARR 1. Its development and use should normally conform to the practices recommended in EAM 1 / GUI 3. 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. 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 service providers arrangements to meet common requirements. Review of Documentation & On site Audit according to ESARR 1: Approach to address the applicable safety regulatory requirements. This approach will meet the requirements of ESARR 1 and should normally follow the recommendations and methods defined in EAM 1 / GUI 3.
4.2.9.10
2.
3.
4.2.9.11
Preliminary guidance on the way to assess compliance of the different areas is provided in the table below.
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TABLE I WAYS TO ASSESS COMPLIANCE Title Review of Doc. Review of Doc. & On Site Audit Review of Doc. & On Site Audit acc. to ESARR 1/ICAO ANNEX 10 Comments
ANNEX I 1 2. 2 2 3 3 TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY ORGANISATIONAL STRUCTURE AND MANAGEMENT 1 Organisational structure 2 Organisational management SAFETY AND QUALITY MANAGEMENT 1 Safety management X X (b) X (a) a) applicable to ATSP, CNS and AISP under managerial control of ATSP b) otherwise X X This requirement is covered in the other requirements
2 Quality management system
X (if ISO9000 certificate exists)
X (if there is no ISO9000 certificate, Review of documents may be completed by on site-audit) X (for AISP and Meteo) X X (for ATCOs and Eng. and Techn. Personnel) X (for ATS and CNS)
3 4 5
3 Operations manuals SECURITY HUMAN RESOURCES
X X X
6 6 6 7 8
FINANCIAL STRENGTH 1 Economic and financial capacity 2 Financial audit LIABILITY AND INSURANCE COVER QUALITY OF SERVICES X X X
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TABLE I WAYS TO ASSESS COMPLIANCE Title Review of Doc. Review of Doc. & On Site Audit Review of Doc. & On Site Audit acc. to ESARR 1/ICAO ANNEX 10 X (ATS and CNS) Comments
8 8 9 1 2 3 3 3 3 4 1 2
1 Open and transparent provision of services 2 Contingency plans REPORTING REQUIREMENTS ANNEX II (ATSP) OWNERSHIP OPEN AND TRANSPARENT PROVISION OF SERVICES SAFETY OF SERVICES 1 Safety management system 2 Safety Requirements for Risk Assessment and Mitigation with regard to changes 3 Safety requirements for engineering and technical personnel undertaking operational safety related tasks WORKING METHODS AND OPERATING PROCEDURES ANNEX III (Meteo) TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY WORKING METHODS AND OPERATING PROCEDURES ANNEX IV (AIS)
X X X X X X X X X X X X X X X X X X (AIS and Meteo)
1 2 1 2 3
TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY WORKING METHODS AND OPERATING PROCEDURES ANNEX V (CNS) TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY SAFETY OF SERVICES WORKING METHODS AND OPERATING PROCEDURES
X X X X X
X X X X X
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4.2.10 Criteria to Assess Compliance with Applicable Common Requirements in the Certification Process
4.2.10.1 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.
4.2.10.2
These tables which are presented in Annex 4 , cover the issues incorporated within the Common Requirements. The NSA may consider using the panels of experts referred to seek advice on additional criteria to assess the compliance with common requirements. 4.2.10.3 To further elaborate their preparation of on-site audits, the Certification Team may also refer to the Guidance material for ANSP compliance with the common requirements for Service Provision (SESIS Documentation) for the relevant type of ANSP. More specifically, the information presented in the respective fields may be of assistance for certification teams and expert panels: Analysis of requirements may support the interpretation of requirements; Criteria and Evidence may support the assessment of compliance with common requirements.
4.2.11 Non-conformities resolution and follow up

4.2.11.1 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 including as a minimum the following information to the applicant organisation within 15 working days. 1. 2. 3. 4. General information about the audit 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. Response of the service provider to identified non-conformity during the audit. 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. Considerations for further investigations wherever applicable (relating to auditor(s) general observations). Intended audit follow-up actions. Conclusions of the assessment as regards the overall certification process.
4.2.11.2
5. 6. 7. 4.2.11.3 4.2.11.4
The applicant organisation is normally 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 and any subsequent follow-up audits are completed by the applicant organisation within a time period agreed by the CTL.
4.2.11.5
4.2.11.6 4.2.11.7
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 5(4) of the CRs wherever corrective actions have not been properly implemented, the NSA shall take appropriate enforcement measures in accordance with article 7(7) of Regulation (EC) No 550/2004 and article 9 of Regulation (EC) No 549/2004 while taking into account the need to ensure the continuity of services.
4.2.11.8
4.2.12 Issue of Certificate

4.2.12.1 4.2.12.2 For initial oversight investigations all non-conformities should be corrected prior to a certificate being issued. 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 The assessed scope of certification, including reference to the applicable requirements considered; Reference to the main service provider documents reviewed; Details on identified non-conformity, corrective actions determined by the applicant organisation and accepted by the CTL as sufficient and their implementation and closure; 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; Copy of the applicants updated organisation exposition following the initial oversight investigations.
4.2.12.3
2. 3. 4.
5.
6. 4.2.12.4 4.2.12.5 4.2.12.6 4.2.12.7
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 NSA may use a panel of experts to obtain an opinion on the conclusions and recommendations of the final certification report. Certificates are signed by the NSAs most senior manager (e.g. Head of the NSA). Negative decisions are also endorsed by the same authority. The Certificate is based on the application Model Form 1 included in Annex 2 of this document, which includes also derogation criteria as defined in EC Regulation 1035/2011, that could be met by an ANSPs. The certificate(s) should be issued in both Greek and English Languages. Note: The issue in English may not apply in the case of certificates with derogations.
4.2.12.8 4.2.12.9
1
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4.2.13 Validity of the Certificate

4.2.13.1 4.2.13.2 The Certificate should be valid for a limited period 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 already established ANSPs, a 4 to 6 years duration could be 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 provider to ensure on going compliance. Upon request by the certificate holder six months in advance to the expiracy of the validity of the certificate, the NSA normally issues a new certificate equivalent to the one held by the organisation if the ongoing compliance assessment activity does not reveal an unsafe situation, a major lack of compliance or a lack of commitment to comply with the applicable common requirements. 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.
4.2.13.3
4.2.13.4
4.2.13.5
4.2.14 Changes within the Organisation

4.2.14.1 The NSA and the applicant agree on a procedure to 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 5 (2)). of planned safety related changes to the provision of air traffic services (Article 5 (3)) 4.2.14.2 4.2.14.3 To this end section 9 Application for change of the application form conforming to Model Form 1 in Annex 2 of this document should be used by the applicant. If the certificate has been issued, the provisions of Sections above should apply and the first assessment referred to should conclude upon the acceptance of the proposed change(s) without further verification or upon additional investigation by a certification team. If the change is proposed before the certificate is issued, the APMF should refer to the application and any associated documentation to the CTL for appropriate action. In any case the CTL determines the extent of any subsequent review including if required a full investigation for initial oversight, according to the impact of the proposed changes to the organisation and/or its exposition. When the investigation for the initial oversight of the change has been satisfactorily completed, the NSA carries out a review of any applicable documents pertaining to the change including the Certificate. When a change to the certificate is required the provisions laid down above apply.
4.2.14.4 4.2.14.5
4.2.14.6
4.2.14.7
4.2.15 On-going compliance

4.2.15.1 4.2.15.2 4.2.15.3 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 and updates annually an indicative inspection programme covering all the providers it has certified. The programme indicates the envisaged interval of the inspections of the different sites and is based on an assessment of the risks associated with the different operations
constituting the services provided as well as the results of the initial certification and the ongoing supervision. 4.2.15.4 4.2.15.5 4.2.15.6 It consults the ANSPs concerned as well as any other national supervisory authority concerned, if appropriate, before establishing such a programme. That initial plan of audits is communicated to the ANSP by the NSA. 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 during the validity period of the certificate. Note: for specificities of On going Safety oversight (cycles of 2 years), refer to EAM1/GUI5 section 2.10. An example of a possible inspection programme over a validity period of 6 years is given below:
Initial year year 1 year 2 year 3 year 4 year 5 year 6 Initial certification Cycle 1: Inspection of Safety Cycle 1: Inspection of Safety Cycle 1: Inspection of Safety requirements requirements requirements Cycle 2:Technical and operational Cycle 2:Technical and operational competence and capability, Working competence and capability, Working methods and operating procedures methods and operating procedures requirements + Quality Management, requirements + Quality Management, Quality of Services and Security Quality of Services and Security requirements requirements Cycle 3: Organisational Structure and Management (Organisation, Business Plan, Annual Plan) requirements, Human Resources requirements, Reporting requirements (Annual Report), Financial strength requirements, Liability and Insurance Coverrequirements
4.2.15.7
Wherever the holder of a certificate is providing cross-border services, the NSA who issued the certificate should establish cooperative arrangements with the NSA(s) of the States concerned, in order to ensure an appropriate ongoing compliance assessment, notably as regards the verification of compliance with the applicable safety regulatory requirements related to the Certificate.
4.2.16 Possible Derogations

4.2.16.1 Prior to the implementation of the certification procedure, the NSA establishes a policy with respect to the granting of derogations in accordance with Article 4 of the CRs. That policy shall: 1. Identify the specific requirements for which derogations may be granted to applicants: 2. Falling under the categories of service providers described in Article 4(1) of the CRs. Providing or intending to provide AFIS by operating not more than one working position in aerodromes.
Ensure additional safety regulatory actions wherever that is necessary to implement international obligations in relation to the services for which derogations have been granted.
4.2.16.2
In order to deal with the applications requesting certification under the provisions of Article 4 of the CRs wherever the NSA policy allows that option, the certification procedure should be implemented with the following modifications:
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1.
The application form and the certificate contains the information relevant to this situation included in Model Form 1 provided in the Annex of this document (while the Model Form 2 is a specimen of the certification . The organisation exposition should document the relevant evidence that demonstrates the applicants qualification to be certified under the provisions of Article 4. The assessment conducted by the APMF determines whether the organisation qualifies to be certified under the provisions of Article 4. When informing the applicant about the acceptability of its application, the APMF 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 4. The fact that a certificate issued under Article 4 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.
2.
3. 4.
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. Wherever an organisation certified under the provisions of Article 4 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. The NSA establishes mechanisms to monitor whether service providers certified under the provisions of Article 4 continue to qualify for the derogations.
6.
7.
4.2.17 Document Confidentiality

4.2.17.1 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.
p. 22 of 89
Reference Documents
[1] [2] [3] [4] [5] [6] [7] [8] [9] [10] [11] [12] [13] [14] [15] [16] [17] [18] [19] [20] [21] [22] [23] [24] [25] Assessment and Inception report (AIR) for ANS and Master ANS Plan (MAP) of the Hellenic Civil Aviation Authority (HCAA) Report on the ESARR Implementation Monitoring and Support Programme, Greece (ESIMS) HCAA Air Navigation Department Electronics Division Quality Policy & Management, developed by EUROCONTROL and E4 of HCAA Local Convergence and Implementation Plan (LCIP), Years 2004-2008, Released Issue ESARR 1 Regulation on National ATM Safety Regulatory Framework, by EUROCONTROL EAM 3/GUI 1 ESARR 3 Guidance to ATM Safety Regulators Explanatory Material on ESARR 3 Requirements, issued by EUROCONTROL EAM 3/GUI 2 ESARR 3 Guidance to ATM Safety Regulators Safety Regulatory Aspects of the ESARR 3 Implementation in Small Organisations, issued by EUROCONTROL EAM 3/GUI 3 ESARR 3 Guidance to ATM Safety Regulators ESARR 3 and Related Safety Oversight, issued by EUROCONTROL SRC Policy Doc 3, EUROCONTROL ICAO Convention ICAO Convention, Annexes 1, 11 and 14 ESARR 3 Use of Safety Management Systems by ATM Services Providers, issued by EUROCONTROL ESARR 2 Safety Regulatory Requirements: Reporting and Assessment of Safety Occurrences in ATM, issued by EUROCONTROL ESARR 4 Risk Assessment and Mitigation in ATM, issued by EUROCONTROL ESARR 5 Safety Regulatory Requirements for ATM Services Providers, issued by EUROCONTROL ESARR 6 Safety Regulatory Requirements for Software ATM, issued by EUROCONTROL EAM 3/AMC Acceptable Means of Compliance with ESARR 3, issued by EUROCONTROL EAM 3/ICAO Consistency between ESARR 3 and ICAO SARPs, issued by EUROCONTROL Common Core Content issued by EUROCONTROL. REGULATION (EC) No 549/2004, The framework Regulation, 10 March 2004 REGULATION (EC) No 550/2004, The service provision Regulation, 10 March 2004 REGULATION (EC) No 551/2004, The airspace regulation, 10 March 2004 REGULATION (EC) No 552/2004, The interoperability Regulation, 10 March 2004 IMPLEMENTING REGULATION (EC) No 1035/2011, Common Requirements for the provision of air navigation services. Commission Regulation (EC) 2042/2003 of 20 November 2003 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in those tasks (notably the drafting has considered Annex II, Part-145) EASA Organisations Certification Procedure, adopted on 3 February 2004 by means of the EASA Management Board Decision 3-2004 concerning the general principles related to certification procedures to be applied by the EASA Agency for issuing certificates for organisations. EASA Internal Working Procedure for Maintenance Organisation Approval (MOAP), Issue 1, 20 December 2004
[26]
[27]
p. 23 of 89
[28] [29]
[30]
[31] [32] [33] [34] [35] [36] [37] [38] [39] [40] [41] [42] [43] [44] [45] [46] [47] [48] [49] [50] [51] [52] [53] [54] [55] [56] [57] [58] [59] [60] [61]
EASA Internal Working Procedure for Type Certification (TCP), issue 1, 20 December 2004 EASA Internal Working Procedure for Certification support for Validation of EASA Certificates in third countries (CSV) and test witnessing /conformity inspections, Issue 1, 23 August 2005. ISO/IEC Guide 62:1996, General requirements for bodies operating assessment and certification/registration of quality systems. First Edition, 1996 ISO/IEC Guide 66:1999, General requirements for bodies operating assessment and certification/registration of environmental management systems. First Edition, 1999 IAF Guidance on the Application of ISO/IEC Guide 66, Issue 2, December 2001 EUROCONTROL EAM 1/GUI 1, Edition 1.0 EUROCONTROL EAM 1/GUI 3, Edition 0.1 EUROCONTROL ESARR 2, Edition 2.0 EUROCONTROL EAM 2/GUI 1, Edition 1.0 EUROCONTROL EAM 2/GUI 4, Edition 1.0 EUROCONTROL EAM 2/GUI 5, Edition 1.0 EUROCONTROL EAM 2/COD 1, Edition 3.0 EUROCONTROL EAM2/COD 2, Edition 2.0 EUROCONTROL EAM 3/GUI 3, Edition 2.0 EUROCONTROL TOKAI User Manual, Edition 4 EUROCONTROL EAM 4/GUI 1, Edition 1.1 (Draft) EUROCONTROL EAM 4/GUI 2, Edition 2.0 EUROCONTROL EAM 4/GUI 4, Edition 1.0 EUROCONTROL EAM 5/GUI 1, Edition 1.0 EUROCONTROL EAM 5/GUI 3, Edition 1.0 EUROCONTROL EAM 5/GUI 4, Edition 1.0 EUROCONTROL EATMP Safety Policy, Edition 2.0 EUROCONTROL EATMP Safety Policy: Implementation Guidance Material, Edition 1.2 EUROCONTROL ESARR 6, Edition 1.0 EUROCONTROL SRC POLICY DOC 1, Edition 1.0 EUROCONTROL SRC POLICY DOC 3, Edition 1.0 EUROCONTROL SRC POLICY DOC 4, Edition 1.0 EUROCONTROL Report on the ESARR Implementation Monitoring and Support (ESIMS) Programme, Greece EU Council Directive 94/56/EC, 21 November 1994 EU Directive 2003/42/EC of the European Parliament and of the Council 13 June 2003 ICAO Convention, 8th Edition ICAO Convention, Annex 1, July 2003 ICAO Convention, Annex 11,13th Edition ICAO Convention, Annex 13, 9th Edition ICAO Convention, Annex 14, 4th Edition
p. 24 of 89
[62] [63]
ICAO Doc 9734, 2nd Edition ICAO Doc 9735, 1st Edition
p. 25 of 89
Glossary
AAND ACC AFIS ANS ANSP ATC ATCO ATM ATS ATSEP DG EAM EFQM FAA GDAN HANSA HCAA HQ NSA SES SLA SMM SMS Area Air Navigation Department Area Control Centre Airport Flight Information Service Air Navigation Services Air Navigation Service Provider Air Traffic Control Air Traffic Controller Air Traffic Management Air Traffic Services Air Traffic Safety Engineering Personnel Director General ESARR Advisory Material European Foundation for Quality Management Federal Aviation Administration General Director of Air Navigation Hellenic Air Navigation Supervisory Authority Hellenic Civil Aviation Authority Headquarter National Supervisory Authority Single European Sky Service Level Agreement Safety Management Manual Safety Management System
p. 26 of 89
Change Record
EditionRevision Revision Date Pages / Sections Affected Remarks
1.0 2.0 3.0
15/01/2007 01/02/2010 15/05/2012
All All All
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ANNEX 1
Application for certification Acknowledge receipt Assess eligibility Refusal
Eligible ?
NO
Information on other procedure
Assessment of compliance
Review of the Service Providers Documentation Ways to assess compliance
No on-site audit
On-site audit
on-site audit according to ESARR 1 EAM 1/GUI 5
Application forAssessment Issue Ass Asses Assess certification report
Assessment completed?
NO
Yes
Nonconformities
Yes
Determine other actions
NO
Continue
NO
Template
Issue certificate
Resolutions of No-conformities
ANSP Certification Procedure Lifecycle
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Annex 1
ANNEX 2 : CERTIFICATION MODEL FORMS

Model Application Form for the Certification of an ANSP (Model Form 1)
p. 29 of 89
APPLICATION FOR THE CERTIFICATION OF AN AIR NAVIGATION SERVICE PROVIDER ORGANISATION
Model Form 1 - Page 1/3
Application for Initial Certification
Name and Address of the Competent National Supervisory Authority
Application for Change

(tick as appropriate)
1.
Registered Name of Applicant
2.
Trading Name (if different)
3.
Address
4.
Contact Details
Name Tel Fax e-mail
5.
Scope of Services for which Certification is Requested in Accordance with the Provisions of Regulation (EC) 550/2004
ATS CNS AIS MET
(for a detailed description, please refer to Page 3 of this application form)
6.
Name of Chief Executive Officer

(or equivalent position within the organisation)
7.
Signature of the Chief Executive Officer

(or equivalent position within the organisation)
8.
Place and Date

(place) (Date)
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9.
Organisation Exposition (tick as appropriate)

Application for Initial Certification
Three copies of the organisation exposition are forwarded together with this application form.
Application for Changes

Three copies of the pages modified in the previous organisation exposition are forwarded together with this application form.
10. Questionnaires (tick if appropriate)

Questionnaires defined in the NSA certification procedures are forwarded together with this application form.
(only applicable wherever required by the NSA in the case of initial certification)
11. Derogations (if applicable)

To be completed only if the organisation applies for specific derogations in accordance with Article 4 of Commission Regulation (EC) xxx/2005, dated xx October 2005 and such derogations have been determined as appropriate by the NSA.
(tick as appropriate)
the applicant is aware that under Article 4 the certificate will not allow for the provision of cross-border services and that they will not benefit from the right to mutual recognition within the Single European Sky. the applicant intends to provide ATS services only with respect to one or more of the following categories:
general aviation aerial work commercial air transport limited to aircraft with less than 10 tonnes of maximum take off mass or less than 20 seats commercial air transport with less than 10.000 movements per year (counted as the sum of take-offs and landings), regardless of the maximum take off mass and the number of aircraft seats used, the number of movements being calculated as the average over the previous three years
the applicant is an air navigation service provider other than a provider of air traffic services and has a gross annual turnover of 1.000.000 EUR or less in relation to the services it provides or intends to provide. the applicant provides, or intends to provide, AFIS services by operating regularly not more than one working position at any aerodrome where this service is provided. the applicant has documented the relevant evidences of all the above in its organisation exposition.
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12. Detailed Description of the Scope of Services for which Certification/Changes is/are Requested
a) Use as many attached pages as necessary to complete the table. b) Use the types of services, their parts and sub-parts as they appear in the table provided by the NSA to describe the scope of services for which certification can be requested/granted. c) Complete only the boxes relevant to the application. d) The 'conditions proposed by the applicant ' should include all those conditions and limitations identified by the organisation in relation to the services for which certification is requested. The conditions proposed should be clearly formulated and fall under the categories of possible conditions to be attached to certificates in accordance with Annex II of Regulation (EC) 550/2004. e) Wherever necessary, the conditions can be described by means of references to documents attached to this application form or other relevant documentation.
Services
Type of service to be provided
Part of the service to be provided
Sub-part of the service to be provided
Conditions Proposed by the Applicant
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Model Certificate for the Provision of ANS (Model Form 2)

[Name of the National Supervisory Authority] NATIONAL SUPERVISORY AUTHORITY OF [NAME OF THE MEMBER STATE], EUROPEAN UNION
CERTIFICATE
Reference : [Number of the Certificate Assigned by the NSA]
Pursuant to Regulation (EC) 550/2004 of the European Parliament and of the Council and Commission Regulation (EC) xxx/2005 for the time being in force and subject to the conditions specified in this certificate, the [name of the NSA] hereby certifies:
[Applicant Organisation Name]
as an air navigation service provider organisation compliant with the Common Requirements applicable to the services listed in the attached schedule and, therefore, capable of providing them.
General Conditions
1. This certificate requires compliance with the procedures and other arrangements specified in the organisation exposition, 2. This certificate is valid whilst the organisation remains compliant with the applicable Common Requirements; and the specific conditions identified for the services included in the certificate schedule. 3. Subject to continuous compliance with the foregoing conditions, which may be verified by the NSA at any time, this Certificate shall remain valid for a two year period and be renewed if requested by the organisation six months before the end of that period.
Place & Date of Issue:
______________ , _____ ________________ , 20___
Signed:
___________________________________________________
[signature of the Director General, Executive Director or equivalent position]
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CERTIFICATE SCHEDULE
Organisation Name: Reference: [Applicant Organisation Name] [Number of the Certificate Assigned by the NSA]
Services
Type of service to be provided
Part of the service to be provided
Sub-part of the service to be provided
Conditions Identified
ATS
CNS
AIS
MET
Date of Issue:
_____ ________________ , 20___
Signed:
___________________________________________________
For the National Supervisory Authority
Note - when completing the certificate schedule, the NSA should: a) Use the table defining the scope of services included in Appendix 3 of this document. b) Use as many attached pages as necessary to complete all the boxes related to the services for which the applicant organisation obtains its certificate, c) d) Complete only the boxes relevant to the certificate, Include as 'conditions identified' all those conditions and limitations identified in the investigations of the certification process in relation to the services for which certification is granted. The conditions should be clearly formulated and fall under the categories of possible conditions to be attached to the certificate in accordance with Annex II of Regulation (EC) 550/2004, Wherever necessary, describe the conditions by means of reference to documents attached to the Certificate or other relevant documentation.
e)
p. 34 of 89
USE OF MODEL FORM 2 (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. This certificate requires compliance with the procedures and other arrangements specified in the organisation exposition. This certificate is valid whilst the organisation remains compliant with:
2. 3.
a) b) c)
The Common Requirements applicable to the organisation within the scope defined by the derogations identified in certification schedule, The qualifying criteria as have been identified under the provisions of Implementing Regulation (EC) 1035/2011 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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ANNEX 3
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 service provider organisation, should be attached to: The application form (Model Form 1) submitted by an applicant organisation,
The certificate (Model Form 2) issued by the NSA. When used in conjunction with the application form (Model Form 1), 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 (Model Form 2), 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 (Model Form 2) should be confined to the following categories of 2 possible conditions :
a) b) c) d) e) f) g)
Non-discriminatory access to services for airspace users and the required level of performance of such service, including safety and interoperability levels; The operational specifications for the particular service; The time by which the services should be provided The various operating equipment to be used within the particular services; Ring-fencing or restriction of operation of services other than those related to the provision of air navigation services Contracts, agreements and other arrangements between the service providers and a third party and which concern the service(s); 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; Any other legal conditions which are not specific to air navigation services, such as conditions relating to the suspension or revocation of the certificate. It should be noted that safety-related conditions may be identified in relation to any of those eight categories of potential conditions. The implementation of safety-related conditions should always be subject to the safety oversight arrangements established in accordance with ESARR 1.
3
h) i)
2 3
These eight categories have been taken from Annex II of the Service Provision Regulation, ESARR 1 defines a safety-related condition as a specific objective or measure, identified consistently with safety regulatory requirements, whose implementation is found necessary to ensure safety.
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
Air Traffic Control (ATC)
PART OF THE SERVICE TO BE PROVIDED

Area Control Service
SUB-PART OF THE SERVICE TO BE PROVIDED

N/A
CONDITIONS IDENTIFIED
Air Traffic Services (ATS)
As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. 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
Aerodrome Control Service
N/A
Flight Information Service (FIS)
HF Operational Flight Information Service (OFIS) Broadcasts VHF Operational Flight Information Service (OFIS) Broadcasts VoiceAutomatic Terminal Information Service (VoiceATIS) Broadcasts Data Link Automatic Terminal Information Service (DATIS) VOLMET Broadcasts and/or DVOLMET 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.
N/A
N/A
N/A
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. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.
Advisory Service
(NOTE: not referred to in ICAO Annex 11)
N/A
N/A
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Aerodrome Flight Information Service (AFIS)

(Combination of FIS and AL in an aerodrome with no ATC services)
N/A
N/A
CNS
Communications (C)
Aeronautical Mobile Service (air-ground communication s)
For flight information service
As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.
For area control service
For approach control service
For aerodrome control service
Aeronautical Fixed Service (ground-ground communication s) Aeronautical Mobile Satellite Service (AMSS) 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)
N/A
N/A
Provision of NDB signal-inspace Provision of VOR signal-inspace Provision of DME signal-inspace Provision of ILS signal-inspace
N/A
As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.
N/A
N/A
CAT I
CAT II
CAT III a
CAT III b
CAT III c
Provision of MLS signal-inspace
CAT I
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CAT II
As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.
CAT III a
CAT III b
CAT III c
CNS
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 signalin-space
GNNS Core System (GALILEO)
Satellite Based Augmentation System (SBAS) Ground Based Augmentation System (GBAS)
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 in ATM operations)
Provision of data from Primary Surveillance Radar (PSR) Provision of data from Secondary Surveillance Radar (SSR)
N/A
Mode A/C
As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation. As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.
Mode S
Provision of data from Automatic Dependent Surveillance (ADS)
ADS-C
ADS-B
Provision of data from Surface Movement Radar (SMR)
N/A
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Aeronautic al Information Services (AIS)
AIS
Provision of the whole AIS service as described in ICAO Annex 15. Provision of the whole MET service as described in ICAO Annex 3.
N/A
Meteorolog ical Services (MET)
MET
N/A
Note: When the METP provides part of the MET service (e.g. aerodrome observing and reporting) the limitations have to be indicated.
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ANNEX 4
COMPLIANCE CHECKLIST
IMPLEMENTING REGULATION (EC) 1035 /2011 COMMON REQUIREMENTS
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Introduction
The attached tables include the Common Requirements associated with the provision of ATS, MET, AIS and CNS. The tables are related to the European Commission Implementing Regulation (EC) 1035/2011 laying down Common requirements for the Provision of Air Navigation Services, covering: 1. Air Traffic Services Provider and Communication; 2. Navigation and Surveillance Services Provider 3. Aeronautical Information Services Provider 4. Meteorological Services Provider The guidance to assess compliance with the CRs is provided through a table listing for each CR: The key elements driving the proposed assessment A list of possible evidence that could be provided by the applicant A proposed way to assess the compliance
The purpose of the tables is twofold: To determine whether the existing Legal and Regulatory Framework already cover a given requirement (CR).
To determine whether the ANSP already complies with the requirements. The tables has been organised according to the different Annexes of the Common Requirements, covering: Annex I: General requirements for the Provision of ANS Annex II. Specific requirements for the Provision of ATS Annex III: Specific requirements for the Provision of MET Annex IV: Specific requirements for the Provision of AIS Annex V: Specific requirements for the Provision of CNS Which tables will have to be filled in depends on the legal relationship between the providers involved in Air Navigation Services (ANS/P, AIS, MET and CNS). In general it is requested that the different organisations involved (National Meteorological Services) fill in both Annex I and Annex III and Annex V respectively. In may be so that eventually, e.g. The National Meteorological Services will not be required to fulfil all Annex I requirements, but for the time being it important to check whether compliance would give any problems. The follow tables provide: in column B the full text of the common requirement in column C the Key Elements driving the proposed assessment in column D a list of Evidence that could be provided by the applicant in column E a proposed way to assess the compliance in column F three columns in which it should be stated if the requirement currently is complied with, on going or not complied with at all. in column G comments for actions needed should be included as applicable and the relevant document references should be included (e.g. where is the specific aspect covered by the CR covered by the existing documentation?). For the NSA this could be a reference to a specific article in the Legal Framework, an Air Navigation Order, an Air Information Circular, etc. For the ANSP this could be a reference to a manual, procedure, instruction, agreement, etc.
In this compliance checklist, the possibility for the NSA to grant exceptions (derogations) from different requirements should not be considered. Once the checklist is filled-in the answers will be discussed with the relevant parties in order for the team performing the analysis to scope the work required to fulfil the Common Requirements.
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 1 B Text of Common requirement TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY An air navigation service provider shall be able to provide services in a safe, efficient, continuous and sustainable manner consistent with any reasonable level of overall demand for a given airspace. To this end, it shall maintain adequate technical and operational capacity and expertise. ORGANISATIONAL STRUCTURE AND MANAGEMENT Organisational structure An air navigation service provider shall set up and manage its organisation according to a structure that supports the safe, efficient and continuous provision of services. The organisational structure shall define: C Key Elements of CR TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY Provide a - safe, - efficient, - continuous and - sustainable service - services consistent with any reasonable level of overall demand for a given airspace - maintain adequate technical and operational capacity and expertise ORGANISATIONAL STRUCTURE AND MANAGEMENT Organisational structure Set up structure that supports the: - safe - efficient and - continuous provision of services Manage organisation according to the structure defined Organisational chart Documentation of organisational structure Consider the size of the organisation. This requirement is incorporated in the other CRs. Therefore it is not necessary to assess this requirement separately. D Evidence E How to Assess the Evidence Yes On going No F Compliance G Actions needed
2.1 2.1
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 2.1 B Text of Common requirement (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; C Key Elements of CR Designate positions for management personnel in charge of: safety quality security finance and human resources Define authority duties and responsibilities D Evidence Job descriptions for management personnel in charge of - safety, - quality, - security, - finance and - human resources Document of delegation of power and signature (e.g. copy of company registration if applicable) E How to Assess the Evidence Yes Verify that responsible person for the management positions for - Safety - Quality - Security - Finance - Human Resources are identified (named). 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 structure. Verify that the different parts of the organisation and the relevant reporting lines are identified and described. Verify that relationship between the process "interfaces" defined (Service Level Agreements) Verify that the - relevant processes - process owner - reporting lines - interfaces to the outside world are described. . On going No F Compliance G Actions needed
2.1
(b) the relationship and reporting lines between different parts and processes of the organisation.
Define the different parts and processes of the organisation. Define Relationship and Reporting lines
Organisational chart/documentation of organisational structure Service Level Agreements Definition and implementation of a description of the departments as well as of the processes (e.g. process model) Documentation on outsourced/external activities including their legal framework.
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 2.2 2.2 B Text of Common requirement Organisational management An air navigation service provider shall produce a business plan covering a minimum period of five years. The business plan shall: (a) set out the overall aims and goals of the provider and its strategy towards achieving them in consistency with any overall longer term plan of the provider and with relevant Community requirements relevant for the development of infrastructure or other technology; C Key Elements of CR Organisational management 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. Existence of a business plan Verify if a business plan that covers at least a period of five years exists. . D Evidence E How to Assess the Evidence Yes On going No F Compliance G Actions needed
2.2
Overall aims and goals Strategy towards achieving them in consistency with any overall longer term plan of the provider and with relevant Community requirements
Verify if the business plan covers: - the ANSPs Vision, Mission and Values; - a description of the Business Context that provides information on the governing and managerial framework the ANSP operates in; - the Business strategies; - the long-term goals (5 years) and the short term goals (1-2 years); - the activities for the short term goals It will be the basis of the Annual Plan-; - the human and financial resources and investments; - the organisational issues/structure; - the development plans of infrastructure and technology (in accordance with relevant Community and EUROCONTROL requirements (e.g. LSSIP). Verify if the business plan describes performance objectives in terms of: - quality and level of service, - safety and - cost-effectiveness.
2.2
(b) contain appropriate performance objectives in terms of quality and level of service, safety and costeffectiveness.
Appropriate performance objectives in terms of quality and level of service, safety and cost-effectiveness.
The business plan contains performance indicators
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 2.2 B Text of Common requirement An air navigation service provider 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. The annual plan shall cover the following provisions on the level and quality of service such as the expected level of capacity, safety and delays to flights incurred as well as on financial arrangements: (a) information on the implementation of new infrastructure or other developments and a statement how they will contribute to improving the level and quality of services; C Key Elements of CR Annual plan that Covers the forthcoming year Specifies further the business plan Describes any changes to the business plan. Annual plan that covers Provisions on the level of quality of service (expected capacity, safety and delays to flights incurred) Financial arrangements. D Evidence Annual plan E How to Assess the Evidence Yes Verify if the annual plan - covers the forthcoming year - provides more detailed information that is in line with the business plan for the forthcoming year - specifies any changes to the business plan. See below On going No F Compliance G Actions needed
2.2
Annual plan
2.2
Provide information on the new infrastructure or other developments Provide a statement saying how they contribute to the 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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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 2.2 B Text of Common requirement (b) indicators of performance against which the level and quality of service may be reasonably assessed; C Key Elements of CR - provide performance indicators to assess quality of service reasonably D Evidence Annual plan E How to Assess the Evidence Yes Verify that that Annual Plan covers - performance target settings and capacity plan - predicted performance in terms of safety - 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. 2.2 (c) the service providers expected short-term financial position as well as any changes to or impacts on the business plan. - the short- term expected financial position - any changes to or impacts on the business plan The annual plan provides information on the expected short-term financial position of the ANSP. Verify if the annual plan provides information on the - short-term expected financial position - 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. 3 3.1 SAFETY AND QUALITY MANAGEMENT Safety management SAFETY AND QUALITY MANAGEMENT Safety management On going No F Compliance G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.1 B Text of Common requirement An air navigation service provider shall manage the safety of all its services. In doing so, it shall establish formal interfaces with all stakeholders, which may influence directly the safety of its services. C Key Elements of CR 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. Quality management system D Evidence 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. E How to Assess the Evidence Yes 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. On going No F Compliance G Actions needed .
3.2
Quality management system
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.2 B Text of Common requirement An air navigation service provider shall have in place at the latest [2 years after entry into force of this regulation] a quality management system which covers all air navigation services it provides according to the following principles. It shall: C Key Elements of CR The ANSP shall have a quality management system in place - 2 years after the CRs have entered into force (Other CRs are 1 year) at the latest; - that shall cover all air navigation services provided. D Evidence Scenario 1: Valid EN ISO 9001 certificate issued by an appropriately accredited organisation that covers the air navigation services provided by ANSP. Scenario 2: No any EN ISO 9001 certificate, - Evidence for quality policy - Quality assurance programme procedures - Quality management system documents and records - Management representative confirmation - Records from management reviews. - Define the quality policy Quality policy E How to Assess the Evidence Yes Scenario 1: - Check the availability, the scope and validity of the EN ISO 9001 Certificate Scenario 2: NSA could check evidence by - conducting a desk audit (on/off site) - conducting an on-site audit - issuing its own NSA questionnaire - contracting a third-party for auditing - checking internal quality audits by ANSP & provision of audit reports etc. On going No F Compliance G Actions needed
3.2
(a) define the quality policy in the perspective to meet the needs by the different users as closely as possible; (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;
Verify whether the quality policy has been defined and covers the needs of the different users (clients, employees, suppliers...). Verify whether the quality procedures are used to verify that all operations are being conducted in accordance with applicable requirements, standards and procedures.
3.2
- Set up a quality assurance programme
Quality assurance programme procedures in place
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.2 B Text of Common requirement (c) provide evidence of the functioning of the quality system by means of manuals and monitoring documents; C Key Elements of CR - Provide evidence of the functioning of the quality system D Evidence Quality management system documents e.g. quality management manual; process procedures, work procedures & instructions, monitoring documents, internal quality audit documents (schedules, audit reports, corrective action reports) and quality records; Organisational documentation; job description E How to Assess the Evidence Yes Verify whether the quality management documents have been implemented and verify examples of quality records based on the procedure outputs. On going No F Compliance G Actions needed
3.2
(d) appoint management representatives to monitor compliance with, and adequacy of, procedures to ensure safe and efficient operational practices;
- Appoint management representatives
Verify whether the organisational documentation or quality manual includes - a role of Management Representative for the quality system who, - irrespective of other responsibilities - has the responsibility and authority to ensure that the QMS is established, implemented and maintained and - to report on the performance of the QMS to top management; - make sure that the person for this role has an adequate job description 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;
3.2
(e) perform reviews of the quality system in place and take remedial actions, as appropriate.
- Perform reviews of the quality system - take remedial actions, as appropriate
Records from management reviews on the QMS by top management; records of implementing action items
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.2 B Text of Common requirement 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. C Key Elements of CR 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. D Evidence Valid EN ISO 9001:2000 Certificate; Records of certification body E How to Assess the Evidence Yes - Check whether the Certification (registration) body has 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. - Check whether the accredited organisation that issued the certificate has the required specific businesssector experience (SIC 9621 and 4581) - Check whether the scope of the certificate covers all air navigation services provided by the ANSP On going No F Compliance G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.2 B Text of Common requirement The air navigation service provider shall accept the disclosure of the documentation related to the certification to the national supervisory authority upon the latters request. C Key Elements of CR - Accept the disclosure of the documentation D Evidence For scenario 1: Valid EN ISO 9001 Certificate, together with documentation on the scope of the certificate (e.g. quality manual). For scenario 2: Documentation has to be disclosed to provide evidence for compliance with the five clauses described in E.C. Reg 2096, ANNEX I - 3.2, para 1& 2 and ANNEX I - 3.3, para 1 & 2 E How to Assess the Evidence Yes Scenario 1: Verify the validity and scope of the ISO certificate; If the NSA has doubts about the validity or the completeness of the ISO certificate, the NSA could check the documentation regarding the registration process, e.g. the audit schedule from the certification (registration) body; Audit reports from the external quality audit (ongoing); Corrective Action Report(s) by the ANSPs as a result of the external quality audit (ongoing); This is an exceptional procedure, providing additional evidence to NSA when needed. If the NSA requests access to quality documents in relation to its certification, the ANSP shall accept the disclosure of documentation. Scenario 2: Verify documentation disclosed by the ANSP if it provides evidence for compliance with the five clauses described in Requirement ANNEX I - 3.2, and ANNEX I - 3.3 of EC Reg. 2096/05 3.3 Operations manuals Operations manuals On going No F Compliance G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.3 B Text of Common requirement An air navigation service provider shall provide and keep up-to-date operations manuals relating to the provision of its services for the use and guidance of operations personnel. It shall ensure that: C Key Elements of CR - Provide operations manuals - keep operations manuals up-todate - provide guidance D Evidence Scenario 1: Valid EN ISO 9001 certificate issued by an appropriately accredited organisation; covers the air navigation services provided by the ANSP Scenario 2: The ANSP should ensure that it has an effectively functioning document control system. E How to Assess the Evidence Yes Scenario 1: Check the availability and scope of a valid EN ISO 9001 Certificate Scenario 2: - Check ANSPs 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; - Verify records demonstrating an effectively functioning document control system; e.g. management reviews, quality audit reports and corrective action plans 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. Verify whether the operations personnel can access the relevant and current parts of the operations manuals. On going No F Compliance G Actions needed
3.3
(a) operations manuals contain instructions and information required by the operations personnel to perform their duties; (b) relevant parts of the operations manuals are accessible to the personnel concerned;
- Operations manuals contain the appropriate instructions and - information required by operations personnel to perform their duty - Operations manuals accessible to the personnel concerned.
Documents listed are appropriate for the scope of ANSP's services provided and include the relevant operations manuals; Copies of the relevant operations manuals
3.3
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 3.3 B Text of Common requirement (c) the operations personnel are expeditiously informed of the amendments to the operations manual applying to their duties as well as of their entry into force. C Key Elements of CR - Expeditious communication of amendments to the operations manual and their entry into force to the operations personnel D Evidence Documentation management system covering the change management and records demonstrating an effectively functioning document control system. E How to Assess the Evidence Yes - 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). - Verify whether the date when the changes enter into force is specified. - Verify if the described evidence is available. 4 4 SECURITY An air navigation service provider shall establish a security management system to ensure: SECURITY - Establish a security management system - Documentation of procedures with regard to the security management system - Evidence that the procedures have been implemented 4 (a) the security of its facilities and personnel so as to prevent unlawful interference with the provision of services; Ensure security of: - facilities - personnel prevent unlawful interference with the provision of services - Documentation of procedures with regard to the security management system - Evidence that the procedures are implemented Verify if a security concept for facilities (infrastructure and IT systems) and personnel exists. Verify if there is evidence available that this concept has been implemented. Desktop review of the security management system documentation. On-site audit of the implementation of the procedures. On going No F Compliance G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 4 B Text of Common requirement (b) the security of operational data it receives or produces or otherwise employs, so that access to it is restricted only to those authorised. C Key Elements of CR - Ensure security of operational data (send, receive, employ) - restricted access to operational data to authorised personnel D Evidence - Documentation of procedures with regard to the security management system - Evidence that the procedures are implemented 4 The security management system shall define: 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. Procedures relating to - security risk assessment and mitigation, - security monitoring and improvement, - security reviews and lesson dissemination; Documentation describing the procedure related to - security risk assessment and mitigation - security monitoring and improvement - security reviews - dissemination of lessons learned Verify if the procedures related to - security risk assessment and mitigation - security monitoring and improvement - security reviews - dissemination of lessons learned are documented and implemented. E How to Assess the Evidence Yes Verify if a security concept for operational data exists. Verify if procedures to restrict access to operational data exists. Verify if there is evidence available that this concept has been implemented. On going No F Compliance G Actions needed
(a) the procedures relating to security risk assessment and mitigation, security monitoring and improvement, security reviews and lesson dissemination;
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 4 B Text of Common requirement (b) the means designed to detect security breaches and to alert personnel with appropriate security warnings; C Key Elements of CR Means designed to detect security breaches and to alert personnel with appropriate security warnings D Evidence Documentation describing the - means to detect security breaches - means to alert personnel with appropriate security warnings Documentation describing the - means containing the effects of security breaches - means identifying recovery and mitigation procedures - means preventing reoccurrence Documentation describing - whether security clearance of the personnel is implemented or not - how security clearance is implemented if appropriate Evidence of coordination with relevant civil and military authorities to ensure security of facilities, personnel and data HUMAN RESOURCES E How to Assess the Evidence Yes Verify if the procedures related to the - means to detect security breaches - means to alert personnel with appropriate security warnings are documented and implemented. On going No F Compliance G Actions needed
(c) the means of containing the effects of security breaches and to identify recovery action and mitigation procedures to prevent reoccurrence.
Means of containing the effects of security breaches and to identify recovery action and mitigation procedures to prevent reoccurrence.
Verify if the procedures related to the - means containing the effects of security breaches - means identifying recovery and mitigation procedures - means preventing re-occurrence are documented and implemented.
An air navigation service provider shall ensure the security clearance of its personnel, if appropriate, and coordinate with the relevant civil and military authorities to ensure the security of its facilities, personnel and data.
- security clearance of its personnel, if appropriate. - coordination with relevant civil and military authorities to ensure the security of its facilities, personnel and data
Verify if security clearance of the personnel is implemented. If there is no security clearance implemented verify the rationale. Check the evidence for the coordination with relevant civil and military authorities to ensure security of facilities, personnel and data are defined.
HUMAN RESOURCES
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 5 B Text of Common requirement An air navigation service provider shall employ appropriately skilled personnel to ensure the provision of its services in a safe, efficient, continuous and sustainable manner. In this context, it shall establish policies for the recruitment and training of personnel. FINANCIAL STRENGTH Economic and financial capacity An air navigation service provider shall be able to meet its financial obligations, such as fixed and variable costs of operation or capital investment costs. It shall use an appropriate cost accounting system. It shall demonstrate its ability through the annual plan as referred to in part 2.2. of this annex as well as through balance sheets and accounts as practicable under its legal statute. C Key Elements of CR - Employ appropriately skilled personnel - Establish policies for the recruitment and training of personnel D Evidence Human Resource policy describing recruitment and training of personnel Training documentation and records E How to Assess the Evidence Yes Verification if a human resources policy exists covering - recruitment and - training. Ensure that the same policy exists for appointing internal staff for certain positions. Verify if evidence exists that human resource policy is implemented. FINANCIAL STRENGTH Economic and financial capacity - Ability to meet financial obligations - Appropriate cost accounting system - Demonstration by means of annual plan, balance sheets and accounts as practicable under its legal status Balance sheets and accounts Annual plan Financial audit report (as required by ANNEX I, 6.2 Financial audit) Verify whether the compliance of the balance sheets and accounts with IFRS has been confirmed by an independent auditor. If compliance is not achieved owing to the legal status of ANSP verify whether is explanation where is noncompliance and why. Verify that the process of financial audit itself demonstrates that, in the view of the auditor, the company is a going concern. If this were not the case, the auditor would be compelled to include a statement highlighting any financial difficulties. Financial audit On going No F Compliance G Actions needed
6 6.1 6.1
6.2
Financial audit
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 6.2 B Text of Common requirement In accordance with article 12(2) of regulation (EC) No 550/2004, an air navigation service provider shall demonstrate that it is undergoing an independent audit on a regular basis. C Key Elements of CR - independent audit - on a regular basis D Evidence Audit report(s) E How to Assess the Evidence Yes 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. LIABILITY AND INSURANCE COVER 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. 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. The ANSP should at least comply with the requirements of its national law(s). Documentation of the arrangements to cover each ANSPs activities - Insurance contract - Guarantee letters/decisions by the State - Bank guarantee - Fund, etc. Verify if documentation exists that provides evidence for arrangements to cover the liabilities of an ANSP. Each document should specify the activities concerned, the type of damages covered, and the amount of the coverage. Verify if the arrangements to cover the liabilities are in accordance with the applicable law. 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. On going No F Compliance G Actions needed
7 7
LIABILITY AND INSURANCE COVER An air navigation service provider shall have in place arrangements to cover its liabilities arising from applicable law.
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 7 B Text of Common requirement 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 service provider and the level of commercial insurance cover available. C Key Elements of CR The level of insurance coverage will depend on: - 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; - 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; - the premiums the ANSPs can afford; the premiums are calculated on a number of criteria such as the type of activity (airport, ACC, en route), the loss record and the 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. - the requirements set by the NSA to protect the States financial interests according to Chicago Convention with regard to additional liabilities going beyond the insurance coverage. D Evidence Any documentation supporting the definition of the level of insurance coverage set in the insurance contract or guarantee letters/decisions by the state E How to Assess the Evidence Yes Verify if any calculation/estimation with regard to the possible loss and damage exists (e.g. risk assessment). Assess if method employed is appropriate to cover potential loss and damage, in accordance with applicable law and requirements set by the NSA, Take into account the legal status of the ANSP and the level of commercial insurance cover available. On going No F Compliance G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 7 B Text of Common requirement An air navigation service provider which avails itself of services of another air navigation service provider shall ensure that the agreements cover the allocation of liability between them. C Key Elements of CR 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. D Evidence Formal agreement concerning allocation of liability between the two ANSPs Notification to the National Supervisory Authority / ies concerned for all services - Approval of the State(s) concerned in case of ATS or MET E How to Assess the Evidence Yes The NSA will have to verify that: - the agreement exists and has been concluded by competent representatives of the ANSPs - the agreement describes in sufficient detail the services provided and the allocation of liability between the parties - the NSA has been notified and that the State (in case of ATS or MET) has approved - the ATSP or METSP to which the service is delegated has been designated , 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). Where the service is provided crossborder, the States concerned may wish to conclude agreements in order to address issues such as liability, accident investigations, relations with military, etc. On going No F Compliance G Actions needed
8 8.1
QUALITY OF SERVICES Open and transparent provision of services
QUALITY OF SERVICES Open and transparent provision of services
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 8.1 B Text of Common requirement An air navigation service provider shall provide its services in an open and transparent manner. It shall publish the conditions of access to its services and establish a formal consultation process with the users of its services on a regular basis, either individually or collectively, and at least once a year. C Key Elements of CR 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 - formal consultation process with users of its services is documented - 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; D Evidence Conditions of access to its services are published (e. g. in relevant part of AIP) Procedure defining the consultation process with users Results of the consultation process with users (for ongoing oversight) Official company policy to provide services in an impartial and nondiscriminatory way (where applicable) A formal commitment in the official company policy to provide services in an impartial and nondiscriminatory way and as such not distort or prevent competition where applicable. E How to Assess the Evidence Yes Verify if the conditions of the access to the services are published. On going No F Compliance G Actions needed
Verify if a description of the formal consultation process incl. components such as complaints handling, customer surveys, consultation meetings is available. Verify if the consultation with the users takes place at least once a year.
Verify the formal statement in company policy (where applicable). Verify if the formal statements are made in official company policy documents in reference to applicable community law.
8.1
An air navigation service provider shall not discriminate on grounds of nationality or identity of the user or the class of users in accordance with applicable Community law. Contingency plans
No discrimination on grounds of - nationality or - identity of the user or the class of users in accordance with applicable Community law.
8.2
Contingency plans
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 8.2 B Text of Common requirement At the latest one year after certification, an air navigation service provider shall have in place contingency plans for all the services it is providing in the case of events, which result in significant degradation or interruption of its services. C Key Elements of CR - one year after certification at the latest - have contingency plans in place - for all the services - covering events which result in significant degradation or interruption D Evidence For initial certification audit: - Programme to create and implement contingency plans within one year OR - Contingency plans exist and are implemented For on-going oversight - Existence of contingency plans - Evidence that provisions of the contingency plans are implemented E How to Assess the Evidence Yes For initial certification audit In case that no contingency plans exist: - Verify if a program exists that define the creation in implementation of contingency plans within one year after certification. In case that contingency plans exist: - Verify if the contingency plan addresses all services the ANSP is seeking certification for - Verify if the contingency plan covers events which result in significant degradation or interruption. - Verify that staff is aware of contingency plans and trained. For on-going oversight: - Verify if the procedures defined in the contingency plan have been implemented (ask for evidence). - Verify that staff is aware of contingency plans and trained. 9 REPORTING REQUIREMENTS REPORTING REQUIREMENTS On going No F Compliance G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 9 B Text of Common requirement An air navigation service provider shall be able to provide an annual report of its activities to the relevant national supervisory authority. This report shall cover its financial results without prejudice to article 12 of the service provision regulation, as well as its operational performance and any other significant activities and developments in particular in the area of safety. The annual report shall include as a minimum: an assessment of the level and quality of service generated and of the level of safety provided; the performance of the service provider compared to the performance objectives established in the business plan, reconciling actual performance against the annual plan by using the indicators of performance established in the annual plan; C Key Elements of CR - be able to provide an annual report of activities - cover financial results without prejudice to article 12 of the service provision regulation - cover operational performance and - cover any other significant activities and developments in particular in the area of safety D Evidence Procedure that defines the creation of the annual report E How to Assess the Evidence Yes Verify that a process has been implemented that - defines the creation of the annual report and - that ensures that the required information is available. On going No F Compliance G Actions needed
9 9
Include as a minimum: assessment of - the level and quality of service generated and - the level of safety provided; - the performance of the service provider compared to the performance objectives established in the business plan - reconciling actual performance against the annual plan - using the indicators of performance established in the annual plan annual report Verify if the annual report covers the assessment of - the level and quality of service generated and - the level of safety provided Verify if the annual report - covers the performance of the service provider compared to the performance objectives established in the business plan - reconciles actual performance against the annual plan - uses the indicators of performance established in the annual plan
annual report
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Compliance Checklist No 2096/2005: Common Requirements ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES A No. 9 B Text of Common requirement developments in operations and infrastructure; the financial results, as long as they are not separately published in accordance with article 12(1) of the service provision regulation; information about the formal consultation process with the users of its services; C Key Elements of CR - developments in operations and infrastructure; - the financial results, as long as they are not separately published in accordance with article 12(1) of the service provision regulation; - information about the formal consultation process with the users of its services; D Evidence annual report E How to Assess the Evidence Yes Verify if the annual report covers the developments in operations and infrastructure. 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). 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) Verify if the annual report covers the human resources policy (see ANNEX I, 5 HUMAN RESOURCES) Verify if the ANSP publishes the content of the annual report in accordance with the national law. On going No F Compliance G Actions needed
annual report
annual report
information about the human resources policy. The air navigation service provider shall make the content of the annual report available to the public under conditions set by the national supervisory authority in accordance with national law.
- information about the human resources policy - make the content of the annual report available to the public - under conditions set by the national supervisory authority - in accordance with national law
annual report
Publishes annual report (in accordance with national law)
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. 1 1 B Text of Common requirement OWNERSHIP A provider of air traffic services shall make explicit to the national supervisory authority referred to in Art. 7(2) of Regulation (EC) No 550/2004: C Key Elements of CR OWNERSHIP 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. - legal status - ownership structure - any arrangements having a significant impact on the control over its assets - copy of company registration (for privatised or corporatised ANSPs) or decree having created the public or semi-public ANSP Verify if valid documentation on legal status and ownership structure is available. Verify if there are any arrangements that have a significant impact on the control over the ANSPs assets. Verify if a list of shareholders representing 10 % or more of the total shareholding of the ANSP exists. 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. Verify if information on subsidiary companies and joint undertaking is available. In case that the assessment is not an initial oversight, verify whether any D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
its legal status, its ownership structure and any arrangements having a significant impact on the control over its assets.
any links with organisations not involved in the provision of air navigation services, including commercial activities in which it is engaged either directly or through related undertakings, which account for more than 1 % of its expected revenue. Furthermore, it shall notify any change of any single shareholding which represents 10 % or more of its total shareholding.
- any links with organisations not involved in the provision of air navigation services - a list of commercial contracts for the provision or buy-in of services which account for more than 1% of its expected revenue; - of information on subsidiary companies and joint undertakings
List of shareholders representing 10 % or more of the total shareholding of the ANSP. Any change of any single shareholding, which represents 10 % or more of its total shareholding (including notification of the change to the NSA). 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
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement C Key Elements of CR D Evidence than 1% of its expected revenue. Information on subsidiary companies and joint undertakings. E How to Assess the Evidence change of any single shareholding which represents 10 % or more of its total shareholding has taken place and whether the NSA has been notified. Yes F Compliance On going No G Actions needed
A provider 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 its services. OPEN AND TRANSPARENT PROVISION OF SERVICES In addition to the provision of Annex I, part 8.1 and where a Member State decides to organise the provision of specific ATS services in a competitive environment, a Member State may take all appropriate measures to ensure that 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
Prevention of any situation of conflict of interests
self-explanatory
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.
2 2
- related to Annex I, part 8.1 - only applicable when a Member State decides to organise the provision of specific ATS services in a competitive environment ANSP shall not: - engage in conduct that would have as its object or effect the prevention, restriction or distortion of competition - engage in conduct that amounts to an abuse of a dominant position in accordance with applicable national and Community law
Results of consultation process with users Handling of complaints from users (for on-going oversight)
Verify if there complaints have been raised indicating possible conflicts of interest.
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement shall they engage in conduct that amounts to an abuse of a dominant position in accordance with applicable national and Community law. 3 3.1 3.1.1 3.1.1 SAFETY OF SERVICES Safety management system General safety requirements A provider of air traffic services shall, as an EUROCONTROLl part of the management of its services, have in place a safety management system (SMS) which: ensures a formalised, explicit and pro-active approach to systematic safety management in meeting its safety responsibilities within the provision of its services; operates in respect of all its services and the supporting arrangements under its managerial control; and includes, as its foundation, a statement of safety policy defining the organisations fundamental approach to managing safety (safety management); 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 See below See below See below SAFETY OF SERVICES C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.1.1
Equivalent to the requirements of ESARR 3 Section 5.1.1 (safety management)
EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence
3.1.1
Equivalent to the requirements of ESARR 3 Section 5.1.2 (safety responsibility)
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement 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); 3.1.1 ensures that the achievement of satisfactory safety in air traffic services shall be afforded the highest priority (safety priority); 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). Requirements for safety achievement Within the operation of the SMS, a provider of air traffic services shall: 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); See below See below See below Equivalent to the requirements of ESARR 3 Section 5.1.3 (safety priority) Equivalent to the requirements of ESARR 3 Section 5.1.4 (safety objective) EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.1.1
3.1.2 3.1.2
3.1.2
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
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement C Key Elements of CR particular ATCOs, is properly licensed if so required. Further, the expression if so required needs to be associated with the implementation of the EC Directive on ATCO Licensing (currently under development) or the applicable national rules established in regard with ATM services personnel, consistently with ESARR 5. To summarise, the contents of the national rules implementing the EC Directive, as well as any other national rule applicable, must be checked in the certification process. 3.1.2 ensure that a safety management function is identified with organisational responsibility for development and maintenance of the safety management system; 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 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 of the service provider organisation is actively involved in ensuring 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. 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. EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement safety management (safety management responsibility); 3.1.2 ensure that, wherever practicable, quantitative safety levels are derived and are maintained for all functional systems (quantitative safety levels); 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 5.2.2 b. 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. 3.1.2 ensure that the SMS is systematically documented in a manner, which provides a clear linkage to the organisations safety policy (SMS documentation); 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); 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). Equivalent to the requirements of ESARR 3 Section 5.2.5 (SMS documentation) EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.1.2
Equivalent to the requirements of ESARR 3 Section 5.2.6 (external services)
3.1.2
Equivalent to the requirements of ESARR 3 Sections 5.2.4 (risk assessment and mitigation) and 5.2.4 bullet a) (risk assessment and mitigation)
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement As far as changes to the ATM functional system are concerned, the provisions of part 3.2 of this Annex shall apply. 3.1.2 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). It shall also demonstrate that it has implemented the requirements on the reporting and assessment of safety occurrences in accordance with applicable national and Community law. Equivalent to the requirements of ESARR 3 Section 5.2.7 (safety occurrences) It should also be noted that, according to Recital 12 of the Common Requirements, this requirement implies that NSAs must check whether ANSP meets the arrangements required to cover the reporting and assessment of safety occurrences. More specifically, Directives 94/56/EC and 2003/42/EC should be implemented, together with ESARR 2, at national level by means of national rules that will need to be checked as part of the certification process. 3.1.3 3.1.3 Requirements for safety assurance Within the operation of the SMS, a provider of air traffic services shall ensure that: - 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 See below See below See below EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.1.3
Equivalent to the requirements of ESARR 3 Section 5.3.1 (safety surveys)
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement relevant parts of the SMS (safety surveys); 3.1.3 - 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); 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. Equivalent to the requirements of ESARR 3 Section 5.3.3 (safety records) EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.1.3
- 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 national supervisory authority (safety records). Requirements for safety promotion Within the operation of the SMS, a provider of air traffic services shall ensure that: - all personnel are aware of the potential safety hazards connected with their duties (safety awareness);
3.1.4 3.1.4
See below
See below
See below
3.1.4
Not explicitly addressed in ESARR 3. This requirement goes beyond ESARR 3. However the notion is somehow embedded within various ESARR 3 requirements, such as ESARR 3 Section 5.2.1 (competency)
Evidence of: - safety training (safety training records); - awareness campaigns.
Check that safety training records and evidence of awareness campaigns exist and that regular actions are undertaken.
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. 3.1.4 B Text of Common requirement - the lessons arising from safety occurrence investigations and other safety activities are disseminated within the organisation at management and operational levels (lesson dissemination); - all personnel are actively encouraged to propose solutions to identified hazards, and changes are made to improve safety where they appear needed (safety improvement). Safety Requirements for Risk Assessment and Mitigation with regard to changes Section 1 Within the operation of the SMS, a provider 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 his managerial control, in a manner which addresses: Almost equivalent to the requirements of ESARR4 Section 5.1 The word functional is added compared to the ESARR4 text. According to the CR definition of functional system it comprises of systems, procedures and human resources. Functional system definition in CR is the same with the ESARR 3 definition for system 3.2.1 (a) the complete life-cycle of the constituent part of the ATM functional system under consideration, from initial see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1.1a) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1) are fulfilled. C Key Elements of CR Equivalent to the requirements of ESARR 3 Section 5.4.1 (lesson dissemination) D Evidence E How to Assess the Evidence EAM 3 / GUI 3, Appendix B, Guidance on the criteria for the assessment of compliance with ESARR3/associated evidence Yes F Compliance On going No G Actions needed
3.1.4
Equivalent to the requirements of ESARR 3 Section 5.4.2 (safety improvement)
3.2
3.2.1 3.2.1
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement planning and definition to postimplementation operations, maintenance and decommissioning; 3.2.1 (b) the airborne, ground and, if appropriate, spatial components of the ATM functional system, through co-operation with responsible parties; and (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. Section 2 The hazard identification, risk assessment and mitigation processes shall include: (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; (b) A determination of the safety objectives to be placed on the Equivalent to the requirements of ESARR 4 Section 5.2. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2a) are fulfilled. see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1.1b) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1.1c) are fulfilled. C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.2.1
see above
3.2.2 3.2.2
3.2.2
see above
3.2.2
see above
EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement constituent part, incorporating: 3.2.2 (i) An identification of ATMrelated credible hazards and failure conditions, together with their combined effects, (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 provided in Section 4; (iii) A determination of their tolerability, in terms of the hazards maximum probability of occurrence, derived from the severity and the maximum probability of the hazards effects, in a manner consistent with Section 4; (c) The derivation, as appropriate, of a risk mitigation strategy which: (i) Specifies the defences to be implemented to protect against the risk-bearing hazards, (ii) Includes, as necessary, the development of safety requirements potentially bearing on the constituent part under consideration, or other parts of see above C Key Elements of CR D Evidence E How to Assess the Evidence (Table, questions related to the requirement 5.2b) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2bi) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2bii) are fulfilled. Yes F Compliance On going No G Actions needed
3.2.2
see above
3.2.2
see above
EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2biii) are fulfilled.
3.2.2
see above
EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2c) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2ci) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2cii) are fulfilled.
3.2.2
see above
3.2.2
see above
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement the ATM functional system, or environment of operations, and 3.2.2 (iii) Presents an assurance of its feasibility and effectiveness; see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2ciii) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2d) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2di) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2dii) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2diii) are fulfilled. EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2div) are fulfilled. C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.2.2
(d) Verification that all identified safety objectives and safety requirements have been met (i) Prior to its implementation of the change,
see above
3.2.2
see above
3.2.2
(ii) During any transition phase into operational service,
see above
3.2.2
(iii) During its operational life, and
see above
3.2.2
(iv) During any transition phase till decommissioning.
see above
3.2.3 3.2.3
Section 3 The results, associated rationales and evidence of the risk assessment and mitigation processes, including hazard identification, shall be collated and documented in a manner Equivalent to the requirements of ESARR 4 Section 5.3. EAM 4 / GUI , Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.3) are fulfilled.
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Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement which ensures that: 3.2.3 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, specifications of any predictive, monitoring or survey techniques being used; all safety requirements related to the implementation of a change are traceable to the intended operations/functions. Section 4 Hazard identification and severity assessment 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 shown 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. [intentionally left blank - "chart severity class"] Equivalent to the requirements of ESARR 4 , Appendix A-1 EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions under A1) are fulfilled. see above EAM 4 / GUI , Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.3a) are fulfilled. C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.2.3
see above
EAM 4 / GUI , Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.3b) are fulfilled.
3.2.4 3.2.4.1 3.2.4.1
3.2.4
see above
EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas
p. 77 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement C Key Elements of CR D Evidence E How to Assess the Evidence (Table, questions under A1) are fulfilled. 3.2.4 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. Risk classification scheme Safety objectives based on risk shall be established in terms of the hazards maximum probability of occurrence, derived both from the severity of its effect, and from the maximum probability of the hazards effect. '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. 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). Recital 16 of the CR recognised that ESARR 4 defines a maximum tolerable probability for ATM directly contributing to accidents in the ECAC region, maximum tolerable probability for the remaining severity classes 2 to 5 have not been established. The Member States and the EC working together with EUROCONTROL should complete and update these probabilities and develop EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions under A2) are fulfilled. see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions under A1) are fulfilled. Yes F Compliance On going No G Actions needed
3.2.4.2 3.2.4
p. 78 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement C Key Elements of CR mechanisms to apply them in different environments. 3.3 Safety requirements for engineering and technical personnel undertaking operational safety related tasks A provider 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 its operational use have and maintain sufficient knowledge and understanding of the services they 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. With regard to the personnel involved in safety related tasks including personnel of subcontracted operating organisations, the provider 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 Requirements are equivalent to ESARR 5 Section 5.3 applicable to ATS providers (to note that the requirements of ESARR 5 Section 5.3.2 apply to Operating Organisation which has a different scope). ESARR5 checklist e.g. - records of initial training - records of OJT training - records of special training to obtain qualification - course plan - training reports - internal audit reports - documented competence scheme - competence records - medical records Basic criteria are defined in: - EAM 5 / GUI 3, Section 2.2; - EAM 5 / GUI 4, Appendix B, Safety Regulatory Audit Check List (Table) are fulfilled. D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3.3
3.3
Requirements are equivalent to ESARR 5 Section 5.3 applicable to ATS providers (to note that the requirements of ESARR 5 Section 5.3.2 apply to Operating Organisation which has a different scope). The last sentence of the requirement is covered by ESARR5 Chapter 5.3.3 See ANSPCRA1.5-1 Rostering not covered by EC Directive
Basic criteria are defined in: - EAM 5 / GUI 3, Section 2.2; - EAM 5 / GUI 4, Appendix B, Safety Regulatory Audit Check List (Table) are fulfilled.
p. 79 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. B Text of Common requirement supervision of non-qualified personnel. It shall have procedures in place for cases where the physical or mental condition of the personnel is in doubt. C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
However, an ATSP would take on board national rules on working time that would need to be respected. Also have specific rules on shift work stated in the ATSP working conditions When determining the staffing requirements needs to take into account staff needed for ops duties and non ops duties (training, projects, refresher training etc) Requirements are equivalent to ESARR 5 Section 5.3 applicable to ATS providers (to note that the requirements of ESARR 5 Section 5.3.2 apply to Operating Organisation which has a different scope). see above Basic criteria are defined in: - EAM 5 / GUI 3, Section 2.2; - EAM 5 / GUI 4, Appendix B, Safety Regulatory Audit Check List (Table) are fulfilled.
3.3
A provider of air traffic services shall maintain a register of information on the numbers, status and deployment of the personnel involved in safety related tasks. The register shall:
3.3
(a) identify the accountable managers for safety related functions; (b) record the relevant qualifications of technical and operational personnel, against required skills and competence requirements; (c) specify the locations and duties to which technical and operational personnel are assigned, including any rostering methodology. WORKING METHODS AND OPERATING PROCEDURES
see above
3.3
see above
see above
3.3
see above
see above
WORKING METHODS AND OPERATING PROCEDURES
p. 80 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES A No. 4 B Text of Common requirement A provider of air traffic services shall be able to demonstrate that its 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: Annex 2 on rules of the air (9th edition, July 1990 including all amendments up to no 37); C Key Elements of CR - demonstrate that its working methods and operating procedures are compliant with relevant ICAO standards (Annex 2, Annex 10 Volume 2, and Annex 11) Note: For certification after 2006, the most recent ICAO amendments should be as a reference. D Evidence Filled in checklist provided by ATSP (e.g. ICAO compliance checklists used in USOAP) E How to Assess the Evidence Verify if evidence exist that ANSP has checked the compliance with relevant ICAO Standards or with a difference from the Standard duly notified . Yes F Compliance On going No G Actions needed
see above
Filled in checklist demonstrating compliance with relevant ICAO Annex.
Random checks of the accuracy of the checklist and the correctness of the information provided. Random checks that methods and procedures are compliant with relevant ICAO standards.
Annex 10 on aeronautical telecommunications, Volume 2 on communication procedures (6th edition, October 2001 including all amendments up to no 79) ; Annex 11 on air traffic services (13th edition, July 2001 including all amendments up to no 42).
see above
see above
see above
see above
see above
see above
p. 81 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX III: SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES A No. 1 1 B Text of Common requirement TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY A provider of meteorological services shall ensure that meteorological information, necessary for the performance of their respective functions and in a form suitable for users, is made available to: C Key Elements of CR TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY This is to prove that the provided meteorological information meets the requirements to perform functions in a form suitable for users, as specified by the appropriate authority. Documentation of procedures for regular verification of the availability and suitability and, when necessary, for corrective actions. Results of performed verifications. Verify that procedures comply with requirements to perform functions in a form suitable for users, as specified by the appropriate authority. Verify if documentation of performed verification exists. The procedure for corrective actions should be covered in the Quality Management System (ANNEX I - 3.2 Quality management system). see above and apply for relevant users see above and apply for relevant users see above and apply for relevant users see above and apply for relevant users 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. Verify whether evidence exists that the D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
operators and flight crew members for pre-flight and in-flight planning; providers of air traffic services and flight information services; search and rescue services units, and airports.
Users: operators and flight crew members for pre-flight and in-flight planning Users: providers of air traffic services and flight information services Users: search and rescue services units Users: airports
Document of procedures and results verification for the relevant users. Document of procedures and results verification for the relevant users. Document of procedures and results verification for the relevant users. Document of procedures and results verification for the relevant users. Procedures that define - the measures to assure the required accuracy and traceability of information - when and how fast information needs to be provided - when information
A provider 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
level of accuracy, traceability and timeliness meet the operational requirements
p. 82 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX III: SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES A No. B Text of Common requirement manner, and updated as required. C Key Elements of CR D Evidence provided needs to be updated. Evidence that the timeliness and accuracy of the information provided is acceptable to the users. Results of performed monitoring. 2 2 WORKING METHODS AND OPERATING PROCEDURES A provider of meteorological services shall be able to demonstrate that its 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: Annex 3 on meteorological service for international air navigation (15th edition, July 2004); WORKING METHODS AND OPERATING PROCEDURES - demonstrate that its working methods and operating procedures are compliant with relevant ICAO standards (Annex 3, Annex 11, and Annex 14 - Volume I) Note: For certification after 2006, the most recent ICAO amendments should be as a reference. Documentation of working methods and operating procedures. Filled in checklist provided by METP (e.g. ICAO compliance checklists) Verify if evidence exist that ANSP has checked the compliance with relevant ICAO Standards or with a difference from the Standard duly notified. E How to Assess the Evidence timeliness and accuracy of the information provided is acceptable to the users. Verify if documentation of performed monitoring exists. Note: Implementation of a Quality Management System compliant with EN ISO 9001 supports this requirement. Yes F Compliance On going No G Actions needed
Annex 3 on meteorological service for international air navigation (15th edition, July 2004 Note: For certification after 2006, the most recent ICAO amendments should be as a reference.); Annex 11 on air traffic services (13th edition, July 2001, including all amendments up to no 42); Note: For certification after 2006, the most recent ICAO amendments
Annex 11 on air traffic services (13th edition, July 2001, including all amendments up to no 42);
see above
see above
p. 83 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX III: SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES A No. B Text of Common requirement C Key Elements of CR should be as a reference. 2 Annex 14 on Aerodromes (Volume I: 4th edition, July 2004; Volume II, 2nd edition, July 1995 including all amendments up to no 3). Annex 14 on Aerodromes (Volume I: 4th edition, July 2004; Volume II, 2nd edition, July 1995 including all amendments up to no 3). Note: For certification after 2006, the most recent ICAO amendments should be as a reference. see above see above D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
p. 84 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX IV: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AERONAUTICAL INFORMATION SERVICES A No. 1 B Text of Common requirement TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY A provider of aeronautical information service shall ensure that information and data is available for operations in a form suitable for: C Key Elements of CR TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY 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 Procedures defining how aeronautical information is to be provided to the respective users. Provision of aeronautical information based on ICAO standards (Annexes 4 and 15), as specified by the appropriate authority. Results of the performed verification. 1 flight operating personnel, including flight crew, as well as flight planning, flight management systems and flight simulators, and providers of air traffic services which are responsible for flight information services, aerodrome flight information services and the provision of pre-flight information. A provider 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. Flight operating personnel, including flight crew, as well as flight planning, flight management systems and flight simulators, and Providers of air traffic services which are responsible for flight information services, aerodrome flight information services and the provision of pre-flight information. - ensure integrity of data - confirm the level of accuracy and traceability of the information distributed for operations before such information is distributed see above Verify whether procedures are defined that specify how aeronautical information is provided to the users. Verify whether the ANSP provides aeronautical information based on ICAO standards (Annexes 4 and 15), as specified by the appropriate authority. Verify that results of performed verification exist. see above and apply for relevant users D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
see above
see above and apply for relevant users
Evidence that a QMS (e.g. ISO 9001:2000 compliant) is implemented. Checklist documenting compliance of QMS with ANNEX 15. External audit reports & corrective action reports (recurrent). Formalised Agreements
Verify if a QMS is in place that complies with the requirements defined in paragraph 3.2.1 and 3.2.2 of ANNEX 15. Verify whether audit reports and documentation on corrective actions exist. Verify whether formalised Agreements between Aeronautical Data Originators and AISP exist.
p. 85 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX IV: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AERONAUTICAL INFORMATION SERVICES A No. B Text of Common requirement C Key Elements of CR D Evidence between Aeronautical Data Originators and AISP 2 2 WORKING METHODS AND OPERATING PROCEDURES A provider of aeronautical information services shall be able to demonstrate that its 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 aeronautical information services in the airspace concerned: Annex 3 on meteorological service for international air navigation (15th edition, July 2004); Annex 4 on aeronautical charts (10th edition, July 2001 including all amendments up to no 53); WORKING METHODS AND OPERATING PROCEDURES - demonstrate that its working methods and operating procedures are compliant with relevant ICAO standards (Annex 3, Annex 4, and Annex 15) Note: For certification after 2006, the most recent ICAO amendments should be as a reference. Documentation of working methods and operating procedures. Filled in checklist provided by AISP (e.g. ICAO compliance checklists) Verify if evidence exist that ANSP has checked the compliance with relevant ICAO Standards or with a difference from the Standard duly notified. E How to Assess the Evidence Yes F Compliance On going No G Actions needed
There are no requirements in ANNEX 3 relevant for AIS. Note: For certification after 2006, the most recent ICAO amendments should be as a reference. see above Note: For certification after 2006, the most recent ICAO amendments should be as a reference.
not applicable
not applicable
Annex 15 on aeronautical information services (12th edition, July 2004).
see above Note: For certification after 2006, the most recent ICAO amendments should be as a reference.
see above
see above
p. 86 of 89
Compliance Checklist No 2096/2005: Common Requirements ANNEX V: SPECIFIC REQUIREMENTS FOR THE PROVISION OF CNS A No. 1 1 B Text of Common requirement TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY A provider of communication, navigation or surveillance services shall ensure the availability, continuity, accuracy and integrity of its services. A provider of communication, navigation or surveillance services shall confirm the quality level of the services it is providing and shall demonstrate that its equipment is regularly maintained and where required calibrated. C Key Elements of CR TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY For the relevant communication, navigation and surveillance services ensure - availability - continuity - accuracy - integrity - confirm the quality level of the services it is providing - demonstrate that equipment is regularly maintained and where required calibrated Evidence to prove that the requirements of the relevant parts of ICAO ANNEX 10 have been defined, documented and are met for: - availability - continuity - accuracy - integrity Associate Bilateral Service Level Agreements with adjacent ATS units, as well internally within the same ATS Unit System documentation Statistics on - availability - continuity - accuracy - integrity Maintenance Manuals/Plans/Procedures (Manuals) covering (parameters of the equipment, Preventive and Corrective Maintenance Procedures in place, Configuration/Change and Problem Management, etc) Maintenance records (e.g. HANSA Procedure Nr.: XX / ANSPs Certification File name: HANSA_ANSP Certification V3.0 p. 1 of 89 Ed. 3.0: Date:15/05/12 Released Issue Verify if required level of quality of service with regard to: - availability - continuity - accuracy - integrity has been defined and documented. Verify if the measures defined to meet the required level of quality of service are implemented (back-up system, contingency procedures etc.). Verify if procedures to verify if the required level of quality of service is met are defined and implemented. Verify existence of: - Maintenance Procedures - Maintenance records (e.g. logbooks) - Calibration protocols (where required) - Evidence of investigation/anomaly reports; - associated Bilateral Service Level Agreements with adjacent ATS units, as well internally within the same ATS Unit D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
Compliance Checklist No 2096/2005: Common Requirements ANNEX V: SPECIFIC REQUIREMENTS FOR THE PROVISION OF CNS A No. B Text of Common requirement C Key Elements of CR D Evidence logbooks) Calibration protocols (where required) Evidence of investigation/anomaly reports 2 2 SAFETY OF SERVICES A provider of communication, navigation or surveillance services shall comply with the requirements of Annex II, part 3 on the safety of services. SAFETY OF SERVICES A provider of communication, navigation or surveillance services shall comply with the requirements of Annex II, part 3 on the safety of services. see ANNEX II part 3 see ANNEX II part 3 Important Note: The assessment should be made using the same compliance list applicable for ATS in a common process (ATS and CNS together). In case the NSA prefers to perform the assessment of CNS separately from ATS, a new similar compliance list should be developed using the same articles of part 3 of Annex II. E How to Assess the Evidence Yes F Compliance On going No G Actions needed
3 3
WORKING METHODS AND OPERATING PROCEDURES A provider of communication, navigation or surveillance services shall be able to demonstrate that its working methods and operating procedures are compliant with the standards of Annex 10 on aeronautical telecommunications to the Convention on International Civil Aviation (Volume I: 5th edition, July 1996; Volume II: 6th edition, October 2001; Volume III: 1st edition, July 1995; Volume IV: 3rd edition, July 2002; Volume V: 2nd edition, July 2001; including all
WORKING METHODS AND OPERATING PROCEDURES - demonstrate that its working methods and operating procedures are compliant with the relevant ICAO standard: Annex 10: (Volume I - V) Note: For certification after 2006, the most recent ICAO amendments should be as a reference. Filled in checklist provided by CNSP (e.g. ICAO compliance checklists) Verify if evidence exist that ANSP has checked the compliance with the relevant Volume of ICAO Annex 10 or with a difference from the Standard duly notified. Random checks to verify that methods and procedures are compliant with the relevant Volume of ICAO Annex 10. Random checks of the accuracy of the checklist and the correctness of the information provided. p. 2 of 89 Ed. 3.0: Date:15/05/12 Released Issue
Compliance Checklist No 2096/2005: Common Requirements ANNEX V: SPECIFIC REQUIREMENTS FOR THE PROVISION OF CNS A No. B Text of Common requirement amendments up to no 79) as far as they are relevant for the provision of communication, navigation or surveillance services in the airspace concerned. C Key Elements of CR D Evidence E How to Assess the Evidence Yes F Compliance On going No G Actions needed
p. 3 of 89

HANSA - ANSP Certification V3

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Document Title Document Context QM Book QM Section Document Identification Edition - Revision Date of Edition - Revision Authorship Document

Owner Class Status Available in

Ed. 3.0: Date:15/05/12 Released Issue

Ed. 3.0: Date:15/05/12 Released Issue

Ed. 3.0: Date:15/05/12 Released Issue

Ed. 3.0: Date:15/05/12 Released Issue

CONTEXT Mission Statement

Ed. 3.0: Date:15/05/12 Released Issue

Relation to other processes

ATM service ATM service provider ATM system

Process Regulation Risk

System Technical system Verification

Ed. 3.0: Date:15/05/12 Released Issue

ANSP CERTIFICATION PROCEDURE STEPS Triggers

Ed. 3.0: Date:15/05/12 Released Issue

Providers of Meteorological Services (MET): a. b. c. d.

Providers of Aeronautical Information Services (AIS): a. b. c. d.

Providers of Communication, Navigation and Surveillance (CNS): a. b. c.

Application Management by HANSA

4.2.2.2 4.2.2.3 4.2.2.4

Safety related aspects in the certification process

Ed. 3.0: Date:15/05/12 Released Issue

Use of Recognised Organisation

Investigations for Initial Oversight

Review of Service Providers Documentation

Initial Oversight Audit Visits

Ed. 3.0: Date:15/05/12 Released Issue

2 Quality management system

X (if ISO9000 certificate exists)

3 Operations manuals SECURITY HUMAN RESOURCES

Ed. 3.0: Date:15/05/12 Released Issue

X X X X X X X X X X X X X X X X X X (AIS and Meteo)

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4.2.11 Non-conformities resolution and follow up

4.2.12 Issue of Certificate

6. 4.2.12.4 4.2.12.5 4.2.12.6 4.2.12.7

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4.2.13 Validity of the Certificate

4.2.14 Changes within the Organisation

4.2.15 On-going compliance

4.2.16 Possible Derogations

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4.2.17 Document Confidentiality

Ed. 3.0: Date:15/05/12 Released Issue

Ed. 3.0: Date:15/05/12 Released Issue

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Ed. 3.0: Date:15/05/12 Released Issue

Ed. 3.0: Date:15/05/12 Released Issue

1.0 2.0 3.0

15/01/2007 01/02/2010 15/05/2012

All All All

Ed. 3.0: Date:15/05/12 Released Issue

Information on other procedure

Review of the Service Providers Documentation Ways to assess compliance

on-site audit according to ESARR 1 EAM 1/GUI 5

Application forAssessment Issue Ass Asses Assess certification report

Determine other actions

ANSP Certification Procedure Lifecycle

Ed. 3.0: Date:15/05/12 Released Issue

ANNEX 2 : CERTIFICATION MODEL FORMS

Ed. 3.0: Date:15/05/12 Released Issue

____________ , _ ____________ , 20_

_ __________ , 20_