hansa_ansp certification v3

HANSA Procedure Nr.: XX / ANSPs Certification p. 1 of 89 Ed. 3.0: Date:15/05/12

File name: HANSA_ANSP Certification V3.0

Released Issue

Document Title Air Navigation Service Providers Certification

Document Context Process for the Air Navigation Service Providers Certification

QM Book

QM Section

Document Identification

Edition - Revision Ed. 3.0

Date of Edition - Revision 15 May 2012

Authorship HANSA

Document Owner HANSA

Class Public

Status Released Issue

Available in 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.



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TABLE OF CONTENTS

ABSTRACT............................................................................................................................................. 1

1. INTRODUCTION................................................................................................................................. 3

1.1 PURPOSE.................................................................................................................................... 3 1.2 INTENDED AUDIENCE ................................................................................................................... 3 1.3 DOCUMENT STRUCTURE .............................................................................................................. 3

2. SCOPE................................................................................................................................................ 3

3. CONTEXT ........................................................................................................................................... 4

3.1 MISSION STATEMENT................................................................................................................... 4 3.2 OVERALL VIEW............................................................................................................................ 5 3.3 RELATION TO OTHER PROCESSES................................................................................................. 5 3.4 TERMINOLOGY ............................................................................................................................ 5 3.5 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 Provider’s 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 INTRODUCTION

1.1 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 HCAA’s 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

2 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 CONTEXT

3.1 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 Terminology

Assessment An evaluation based on engineering, operational judgement and/or analysis methods.

ATM Air Traffic Management. The aggregation of ground-based (comprising variously ATS,

ASM, ATFM) and airborne functions to ensure the safe and efficient movement of

aircraft during all appropriate phases of flight.

ATM service A service for the purpose of ATM.

ATM service provider

An organisation designated to provide ATM service(s).

ATM system 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.

ATS Air Traffic Services. A generic term meaning variously, flight information service, air traffic advisory service, air traffic control service (area control service, approach control service or aerodrome control service).

Certificate A document issued by a Member State in any form complying with national law, which confirms that an ATM service provider meets the requirements for providing a specific service.

Constituents Tangible objects such as hardware and intangible such as software upon wich the interoperability of EATMN depends.

Corrective action

Action to eliminate the cause of a detected non-conformity or other undesirable situation.

CI Configuration Item

CM Configuration Manager

CMS Configuration Management System

Designation The process by which States designate ANSPs to provide ATM services within specific airspace blocks in respect of the airspace under their responsibility.

General Air Traffic (GAT)

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).

HANSA Hellenic Air Navigation Supervisory Authority, the body established by Greek State with NSA tasks.

NSA A body nominated or established by States which is independent of service providers at least at functional level and according to the existing regulatory framework, supervises the implementation of requirements applicable to the provision of ATM services to General Air Traffic.

Process A set of interrelated or interacting activities which transforms inputs into outputs.

Regulation The adoption, enactment and implementation of rules for the achievement of stated objectives by those to whom the regulatory process applies.

Risk The combination of the overall probability or frequency of occurrence of a harmful effect induced by a hazard and the severity of that effect.



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System A combination of technical systems, procedures and human resources organised to perform a function.

Technical system

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.

Verification Confirmation through the provision of objective evidence that specified requirements have been fulfilled.

3.5 Roles

Role Description Allocated Staff

Application Management Function (APMF)

Certification Team Leader (CTL)

Certification Team Member (CTM)



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4 ANSP CERTIFICATION PROCEDURE STEPS

4.1 Triggers

4.1.1. Application by the ANSPs to HANSA for their services certification according to Art. 7(2) of Regulation (EC) No 550/2004.

4.2 Activities-Steps

4.2.1 Application for Certification

4.2.1.1 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.

4.2.1.2 Applicants shall use the application form specifically defined in the NSA’s 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.

4.2.1.3 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.

4.2.1.4 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 organisation’s compliance with the common requirements and that they will be complied with at all times; and agreeing to supply any information needed for its evaluation,

2. The title(s) and name(s) of the organisation’s 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 organisation’s 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.

4.2.1.5 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.

4.2.1.6 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:



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1. Providers of Air Traffic Services (ATS):

a. Specific requirements for the provision of Air Traffic Services (Common Requirements, Annex II)

b. Compliance Checklist, ICAO Annex 2, Rules of the Air (9th edition, July 1990 including all amendments up to no 37);

c. Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications, Volume 2, Communication Procedures, (6th edition, October 2001 including all amendments up to no 79)

d. Compliance Checklist, ICAO Annex 11, Air Traffic Services, (13th edition, July 2001 including all amendments up to no 42).

2. Providers of Meteorological Services (MET):

a. Specific requirements for the provision of Meteorological Services (Common Requirements, Annex III)

b. Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air Navigation, (15th edition, July 2004);

c. Compliance Checklist, ICAO Annex 11, Air Traffic Services, (13th edition, July 2001 including all amendments up to no 42).

d. 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).

3. Providers of Aeronautical Information Services (AIS):

a. Specific requirements for the provision of Aeronautical Information Services (Common Requirements, Annex IV)

b. Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air Navigation, (15th edition, July 2004);

c. Compliance Checklist, ICAO Annex 4, Aeronautical Charts, (10th edition, July 2001 including all amendments up to no 53);

d. Compliance Checklist, ICAO Annex 15, Aeronautical Information Services, (12th edition, July 2004).

4. Providers of Communication, Navigation and Surveillance (CNS):

a. Specific requirements for the provision of CNS (Common Requirements, Annex V)

b. Specific requirements for the provision of Air Traffic Services (part 3 of Common Requirements, Annex II), Safety of Services

c. Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications

• Volume I, (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 amendments up to no 79)

as far as they are relevant for the provision of communication, navigation or surveillance services in the airspace concerned

1.

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.

1 Which parts are relevant for the provision of CNS shall be clearly specified in the conditions associated with the Certificate.



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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.

4.2.1.9 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.

4.2.1.10 The organisation exposition and any complementary questionnaire forwarded by the applicant are primarily intended to support:

1. A first assessment of the eligibility of the organisation according to the CRs,

2. The technical investigations for initial and ongoing oversight intended to verify compliance with applicable requirements, including any applicable safety regulatory requirements.

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 Application Management by HANSA

4.2.2.1 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.

4.2.2.2 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.

4.2.2.3 The APMF shall acknowledge receipt of applications within ten working days of its receipt by the NSA.

4.2.2.4 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.

4.2.2.5 For any technical issues raised by the application, the APMF consuls appropriate NSA experts or experts working for the NSA.

4.2.2.6 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.

4.2.2.7 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. Whether the application is accepted to proceed further or not, and if accepted:

2. 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.

4.2.2.8 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 Safety related aspects in the certification process

4.2.3.1 In accordance with ESARR 1, safety oversight will be exercised by the NSAs in order to verify compliance with the “applicable safety regulatory requirements”.



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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.

4.2.3.3 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 non-safety related requirements, in order to support an approach capable to address the whole set of SES Common Requirements.

4.2.3.4 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.

4.2.3.5 When necessary, reference is made in this guidance material to the relevant section of the EAM1/GUI5 document.

4.2.4 Certification Teams

4.2.4.1 A certification team shall be established by the NSA.

4.2.4.2 The certification team consists of a certification team leader (CTL) and certification team members (CTMs). Where the extent of the investigation does not justify the need for the full team, one team member may perform the full investigation tasks.

4.2.4.3 Prior to the implementation of the initial oversight audits, the certification team will be formed by the CTL and, if appropriate, a number of CTMs appointed to support the review of the service provider’s documentation.

4.2.4.4 After reviewing the service provider’s documentation, a final determination of the certification team’s resources needed in the certification team for the initial audits, measured in man-days, is normally made by the CTL.

4.2.4.5 In order to determine the composition and size of the certification team, the following considerations are taken into account:

1. The size of the applicant’s organisation;

2. The number of sites covered by the certificate;

3. The nature of the services to be provided by the organisation and their direct impact upon aviation safety;

4. The various criteria as regards the review of service provider’s documentation and the implementation of initial oversight audit visits.

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.

4.2.4.7 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.

4.2.4.8 For specific investigations the basic team can call upon the assistance of appropriate experts.

More specifically:

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 Use of Recognised Organisation

4.2.5.1 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.

4.2.5.2 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.

4.2.6 Panels of Experts

4.2.6.1 Panels of experts may be established by the NSA in order to provide the NSA’s 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.

4.2.6.2 Wherever established, these panels should:

1. Be formed by experts with extensive technical knowledge of the technical disciplines necessary for the certification of a service provider.

2. 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.

4.2.6.3 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 Investigations for Initial Oversight

4.2.7.1 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.

4.2.7.2 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).

4.2.7.3 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 applicant’s structure or its lack of commitment to comply with the applicable requirements. Such a decision is notified to the applicant together with the reasons.

4.2.7.4 The certification team maintains records of all documents generated and received during the initial oversight investigations.

4.2.8 Review of Service Provider’s Documentation

4.2.8.1 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.

4.2.8.2 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.



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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 provider’s arrangements to meet common requirements, this is subject to further investigation such as an on-site audit.

4.2.8.3 For certain areas a review of the documentation is sufficient.

4.2.8.4 In the event that the documentation review reveals serious concerns about the applicant’s level of understanding of the applicable CRs or the processes that may have been put in place to meet them, the CTL will not proceed with the initial oversight audit visits. The matter is referred to the NSA’s management for decision on further action to be taken.

4.2.9 Initial Oversight Audit Visits

4.2.9.1 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.

4.2.9.2 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.

4.2.9.3 Note: Depending upon the case, on-site audit visits may focus on a specific aspect or address various applicable requirements.

4.2.9.4 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.

4.2.9.5 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.

4.2.9.6 Based upon the information obtained at the documentation review, the CTL should identify areas of the service provider’s organisation and specific processes to be audited in order to test the applicant’s compliance with a selected set of common requirements. In addition the implementation of the applicant’s arrangements in line with the identified intentions set out in the documentation reviewed should also be audited.

4.2.9.7 The sampling of requirements in each area of the organisation should

1. Depend upon the processes being verified and the level of confidence obtained by the certification team from the documentation review. It should not exclusively cover the areas highlighted by the documentation review.

2. Take into account the results from audits, inspections or surveys conducted by the NSA in the 24-months 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.

4.2.9.8 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.



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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.

4.2.9.10 Depending on the area of the CRs, its criticality in terms of safety, the type of evidence that the applicant can provide and the result of the review of the documentation, different ways to assess compliance can be considered:

1. Review of Documentation: Minimum approach to address areas where reviews of the documentation provide sufficiently evidence of compliance with the common requirements.

2. Review of Documentation & On Site Audit: Approach to address areas where a review of documentation does not provide sufficient evidence of compliance with the common requirements or where the review of documentation indicates possible areas of weakness or concern regarding the service provider’s arrangements to meet common requirements.

3. 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.

4.2.9.11 Preliminary guidance on the way to assess compliance of the different areas is provided in the table below.


File name: HANSA_ANSP Certification V3.0 Released Issue

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 TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY This requirement is covered in the other requirements

2. ORGANISATIONAL STRUCTURE AND MANAGEMENT

2 1 Organisational structure X

2 2 Organisational management X

3 SAFETY AND QUALITY MANAGEMENT

3 1 Safety management X X (b) X (a) a) applicable to ATSP, CNS and AISP under managerial control of ATSP

b) otherwise

3 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)

3 3 Operations manuals X X (for AISP and Meteo)

X (for ATS and CNS)

4 SECURITY X X

5 HUMAN RESOURCES X X (for ATCOs and Eng. and Techn.

Personnel)

6 FINANCIAL STRENGTH

6 1 Economic and financial capacity X

6 2 Financial audit X

7 LIABILITY AND INSURANCE COVER X

8 QUALITY OF SERVICES



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

8 1 Open and transparent provision of services X

8 2 Contingency plans X X (AIS and Meteo) X (ATS and CNS)

9 REPORTING REQUIREMENTS X

ANNEX II (ATSP)

1 OWNERSHIP X

2 OPEN AND TRANSPARENT PROVISION OF SERVICES X

3 SAFETY OF SERVICES

3 1 Safety management system X X

3 2 Safety Requirements for Risk Assessment and Mitigation with regard to changes

X X

3 3 Safety requirements for engineering and technical personnel undertaking operational safety related tasks

X X

4 WORKING METHODS AND OPERATING PROCEDURES X X

ANNEX III (Meteo)

1 TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY

X X


ANNEX IV (AIS)


X X


ANNEX V (CNS)


X X

2 SAFETY OF SERVICES 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.

4.2.10.2 For each set of requirements, a non-prescriptive approach of assessment of compliance is presented in a number of tables covering:

• Key elements of the CR driving its assessment;

• Evidence (description which evidence is expected from ANSP);

• A proposal how to evaluate evidence.

These tables which are presented in Annex 4 , cover the issues incorporated within the Common Requirements. 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.

4.2.11.2 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. General information about the audit including date, auditor(s), observer/specialists accompanying the auditors, objectives and scope of the audit and audit schedule.

2. Details of non-conformity identified, including its perceived significance.

3. Response of the service provider to identified non-conformity during the audit.

4. 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.

5. Considerations for further investigations wherever applicable (relating to auditor(s) general observations).

6. Intended audit follow-up actions.

7. Conclusions of the assessment as regards the overall certification process.

4.2.11.3 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.

4.2.11.4 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.

4.2.11.5 Corrective actions and any subsequent follow-up audits are completed by the applicant organisation within a time period agreed by the CTL.



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4.2.11.6 The CTL records details of all non-conformities, agreed corrective actions, the closure of non-conformities and recommendations.

4.2.11.7 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.

4.2.11.8 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.

4.2.12 Issue of Certificate

4.2.12.1 For initial oversight investigations all non-conformities should be corrected prior to a certificate being issued.

4.2.12.2 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.

4.2.12.3 The certification report includes as a minimum the following information:

1. General information about the investigations for initial oversight conducted, including:

• The date(s) of the initial oversight audit(s)

• The name(s) of the team members of team and the initial oversight audits in which they participated

• The names and addresses of all sites audited

2. The assessed scope of certification, including reference to the applicable requirements considered;

3. Reference to the main service provider documents reviewed;

4. Details on identified non-conformity, corrective actions determined by the applicant organisation and accepted by the CTL as sufficient and their implementation and closure;

5. Conclusions and recommendations based on the findings of the initial oversight process, including if applicable proposals for any condition to be attached to the certificate, and the initial plan of audits for on-going compliance;

6. Copy of the applicant’s updated organisation exposition following the initial oversight investigations.

4.2.12.4 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.

4.2.12.5 The NSA may use a panel of experts to obtain an opinion on the conclusions and recommendations of the final certification report.

4.2.12.6 Certificates are signed by the NSA’s most senior manager (e.g. Head of the NSA). Negative decisions are also endorsed by the same authority.

4.2.12.7 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.

4.2.12.8 The certificate(s) should be issued in both Greek and English Languages.

4.2.12.9 Note: The issue in English may not apply in the case of certificates with derogations.

1



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4.2.13 Validity of the Certificate

4.2.13.1 The Certificate should be valid for a limited period after its issue in association with the yearly ongoing compliance assessment.

4.2.13.2 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.

4.2.13.3 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.

4.2.13.4 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.

4.2.13.5 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.

4.2.14 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 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.

4.2.14.3 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.

4.2.14.4 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.

4.2.14.5 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.

4.2.14.6 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.

4.2.14.7 When a change to the certificate is required the provisions laid down above apply.

4.2.15 On-going compliance

4.2.15.1 The NSA monitors annually the on-going compliance of the ANSPs which it has certified on the basis of the evidence at its disposal.

4.2.15.2 To this end, the NSA establishes and updates annually an indicative inspection programme covering all the providers it has certified.

4.2.15.3 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



Released Issue

constituting the services provided as well as the results of the initial certification and the ongoing supervision.

4.2.15.4 It consults the ANSPs concerned as well as any other national supervisory authority concerned, if appropriate, before establishing such a programme.

4.2.15.5 That initial plan of audits is communicated to the ANSP by the NSA.

4.2.15.6 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 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

Cycle 1: Inspection of Safety

requirements


requirements


requirementsCycle 2:Technical and operational

competence and capability, Working

methods and operating procedures

requirements + Quality Management,

Quality of Services and Security

requirements

Cycle 2:Technical and operational

competence and capability, Working

methods and operating procedures

requirements + Quality Management,

Quality of Services and Security

requirements

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:

• 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.

2. Ensure additional safety regulatory actions wherever that is necessary to implement international obligations in relation to the services for which derogations have been granted.

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 .

2. The organisation exposition should document the relevant evidence that demonstrates the applicant’s qualification to be certified under the provisions of Article 4.

3. The assessment conducted by the APMF determines whether the organisation qualifies to be certified under the provisions of Article 4.

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.

5. The request for a new certificate six months before the end of the validity of the certificate will include relevant information to document that the organisation continues qualifying for the derogations.

6. Wherever an organisation certified under the provisions of Article 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.

7. The NSA establishes mechanisms to monitor whether service providers certified under the provisions of Article 4 continue to qualify for the derogations.

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.



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Reference Documents

[1] Assessment and Inception report (AIR) for ANS and Master ANS Plan (MAP) of the Hellenic Civil Aviation Authority (HCAA)

[2] Report on the ESARR Implementation Monitoring and Support Programme, Greece (ESIMS)

[3] HCAA Air Navigation Department Electronics Division Quality Policy & Management, developed by EUROCONTROL and E4 of HCAA

[4] Local Convergence and Implementation Plan (LCIP), Years 2004-2008, Released Issue

[5] ESARR 1 ”Regulation on National ATM Safety Regulatory Framework”, by EUROCONTROL

[6] EAM 3/GUI 1 ESARR 3 Guidance to ATM Safety Regulators – “Explanatory Material on ESARR 3 Requirements”, issued by EUROCONTROL

[7] 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

[8] EAM 3/GUI 3 ESARR 3 Guidance to ATM Safety Regulators – “ESARR 3 and Related Safety Oversight”, issued by EUROCONTROL

[9] SRC Policy Doc 3, EUROCONTROL

[10] ICAO Convention

[11] ICAO Convention, Annexes 1, 11 and 14

[12] ESARR 3 Use of Safety Management Systems by ATM Services Providers, issued by EUROCONTROL

[13] ESARR 2 Safety Regulatory Requirements: Reporting and Assessment of Safety Occurrences in ATM, issued by EUROCONTROL

[14] ESARR 4 Risk Assessment and Mitigation in ATM, issued by EUROCONTROL

[15] ESARR 5 Safety Regulatory Requirements for ATM Services Providers, issued by EUROCONTROL

[16] ESARR 6 Safety Regulatory Requirements for Software ATM, issued by EUROCONTROL

[17] EAM 3/AMC Acceptable Means of Compliance with ESARR 3, issued by EUROCONTROL

[18] EAM 3/ICAO Consistency between ESARR 3 and ICAO SARPs, issued by EUROCONTROL

[19] Common Core Content issued by EUROCONTROL.

[20] REGULATION (EC) No 549/2004, “The framework Regulation”, 10 March 2004

[21] REGULATION (EC) No 550/2004, “The service provision Regulation”, 10 March 2004

[22] REGULATION (EC) No 551/2004, “The airspace regulation”, 10 March 2004

[23] REGULATION (EC) No 552/2004, “The interoperability Regulation”, 10 March 2004

[24] IMPLEMENTING REGULATION (EC) No 1035/2011, “Common Requirements for the provision of air navigation services.

[25] 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”)

[26] 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.

[27] EASA Internal Working Procedure for Maintenance Organisation Approval (MOAP), Issue 1, 20 December 2004



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[28] EASA Internal Working Procedure for Type Certification (TCP), issue 1, 20 December 2004

[29] 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.

[30] 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

[31] IAF Guidance on the Application of ISO/IEC Guide 66, Issue 2, December 2001

[32] EUROCONTROL EAM 1/GUI 1, Edition 1.0


[34] EUROCONTROL ESARR 2, Edition 2.0




[38] EUROCONTROL EAM 2/COD 1, Edition 3.0

[39] EUROCONTROL EAM2/COD 2, Edition 2.0


[41] EUROCONTROL TOKAI User Manual, Edition 4

[42] EUROCONTROL EAM 4/GUI 1, Edition 1.1 (Draft)






[48] EUROCONTROL EATMP Safety Policy, Edition 2.0

[49] EUROCONTROL EATMP Safety Policy: Implementation Guidance Material, Edition 1.2

[50] EUROCONTROL ESARR 6, Edition 1.0

[51] EUROCONTROL SRC POLICY DOC 1, Edition 1.0



[54] EUROCONTROL Report on the ESARR Implementation Monitoring and Support (ESIMS) Programme, Greece

[55] EU Council Directive 94/56/EC, 21 November 1994

[56] EU Directive 2003/42/EC of the European Parliament and of the Council 13 June 2003

[57] ICAO Convention, 8th Edition

[58] ICAO Convention, Annex 1, July 2003

[59] ICAO Convention, Annex 11,13th Edition

[60] ICAO Convention, Annex 13, 9th Edition

[61] ICAO Convention, Annex 14, 4th Edition



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[62] ICAO Doc 9734, 2nd Edition

[63] ICAO Doc 9735, 1st Edition



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Glossary

AAND Area Air Navigation Department

ACC Area Control Centre

AFIS Airport Flight Information Service

ANS Air Navigation Services

ANSP Air Navigation Service Provider

ATC Air Traffic Control

ATCO Air Traffic Controller

ATM Air Traffic Management

ATS Air Traffic Services

ATSEP Air Traffic Safety Engineering Personnel

DG Director General

EAM ESARR Advisory Material

EFQM European Foundation for Quality Management

FAA Federal Aviation Administration

GDAN General Director of Air Navigation

HANSA Hellenic Air Navigation Supervisory Authority

HCAA Hellenic Civil Aviation Authority

HQ Headquarter

NSA National Supervisory Authority

SES Single European Sky

SLA Service Level Agreement

SMM Safety Management Manual

SMS Safety Management System



Released Issue

Change Record

Revision Date

Pages / Sections Affected

Edition-Revision

Remarks

1.0 15/01/2007 All

2.0 01/02/2010 All

3.0 15/05/2012 All



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ANNEX 1

Application for certification

Eligible ?

Acknowledgereceipt

Assess eligibility

Information on other

procedure

Review of the Service Provider’s

Documentation

Ways

to assesscompliance

on-site audit

according to ESARR 1

EAM 1/GUI 5On-site auditNo on-site audit

AssApplication for

certificationAsses Assess

Continue

Non-conformities

Issue Assessment

report

Issue certificate

Determine other actions

Assessment

completed?

Resolutions of No-conformities

Refusal

Template

NO

NO

NO

NO

Yes

Yes

Assessment of compliance

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)



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APPLICATION FOR THE CERTIFICATION Model Form 1 - Page 1/3

OF AN AIR NAVIGATION SERVICE PROVIDER ORGANISATION

Application for Initial Certification

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.

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

Name and Address of the Competent National

Supervisory Authority

Scope of Services for which Certification is Requested in Accordance

with the Provisions of Regulation (EC) 550/2004

(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)

(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.

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.



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12.

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.

Detailed Description of the Scope of Services for which

Certification/Changes is/are Requested

Conditions Proposed by the ApplicantType of service

to be providedServices

Part of the

service to be

provided

Sub-part of

the service to

be provided



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Model Certificate for the Provision of ANS (Model Form 2)

Model Form 2 - Page 1/2

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]

Reference : [Number of the Certificate Assigned by the NSA]

CERTIFICATE

NATIONAL SUPERVISORY

AUTHORITY OF [NAME OF THE

MEMBER STATE], EUROPEAN UNION

[Name of the National Supervisory Authority]

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.

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]



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Model Form 2 - Page 2/2

Organisation Name: [Applicant Organisation Name]

Reference: [Number of the Certificate Assigned by the NSA]

Date of Issue: _____ ________________ , 20___

Signed: ___________________________________________________

For the National Supervisory Authority

Note - when completing the certificate schedule, the NSA should:

a)

b)

c)

d)

e)

CERTIFICATE SCHEDULE

CNS

Conditions IdentifiedServices

ATS

Sub-part of

the service to

be provided

Part of the

service to be

provided

Type of service

to be provided

AIS

MET

Use as many attached pages as necessary to complete all the boxes related to the services for

which the applicant organisation obtains its certificate,

Wherever necessary, describe the conditions by means of reference to documents attached to the

Certificate or other relevant documentation.

Use the table defining the scope of services included in Appendix 3 of this document.

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,



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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.

2. This certificate requires compliance with the procedures and other arrangements specified in the organisation exposition.

3. This certificate is valid whilst the organisation remains compliant with:

a) The Common Requirements applicable to the organisation within the scope defined by the derogations identified in certification schedule,

b) The qualifying criteria as have been identified under the provisions of Implementing Regulation (EC) 1035/2011

c) The specific conditions identified in the certificate schedule.

Subject to continuous compliance with the foregoing conditions, which may be verified by the NSA at any time, this Certificate shall remain valid for two (2) year period and be renewed if requested by the holder six months before the end of that period and the request includes relevant information to show that the organisation continues to qualify for the derogations.

On Page 2, the “Conditions Identified” should also refer the Common Requirements for which derogations have been granted.



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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 possible conditions

2:

a) Non-discriminatory access to services for airspace users and the required level of performance of such service, including safety and interoperability levels;

b) The operational specifications for the particular service;

c) The time by which the services should be provided

d) The various operating equipment to be used within the particular services;

e) Ring-fencing or restriction of operation of services other than those related to the provision of air navigation services

f) Contracts, agreements and other arrangements between the service providers and a third party and which concern the service(s);

g) Provision of information reasonably required for the verification of compliance of the services with the common requirements, including plans, financial and operational data, and major changes in the type and/or scope of the air navigation services provided;

h) Any other legal conditions which are not specific to air navigation services, such as conditions relating to the suspension or revocation of the certificate.

i) It should be noted that safety-related conditions3 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.

2 These eight categories have been taken from Annex II of the Service Provision Regulation,

3 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.



Released Issue

TABLE DEFINING THE SCOPE OF SERVICES

The table is based on the description of services and terminology used in ICAO Annexes 10, 11 and 15 unless a different reference is indicated.

TABLE DEFINING THE SCOPE OF SERVICES

SERVICES TYPE OF SERVICE TO BE PROVIDED

PART OF THE SERVICE TO

BE PROVIDED

SUB-PART OF THE SERVICE TO

BE PROVIDED CONDITIONS IDENTIFIED

Area Control Service

N/A As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

Approach Control Service


Air Traffic Control

(ATC)

Aerodrome Control Service


HF Operational Flight Information Service (OFIS) Broadcasts


VHF Operational Flight Information Service (OFIS) Broadcasts


Voice-Automatic Terminal Information Service (Voice-ATIS) Broadcasts


Data Link Automatic Terminal Information Service (D-ATIS)


Flight Information Service

(FIS)

VOLMET Broadcasts and/or D-VOLMET Service


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.

Air Traffic Services (ATS)

Advisory Service

(NOTE: not referred to in ICAO Annex 11)




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Aerodrome Flight Information Service (AFIS)

(Combination of FIS and AL in an aerodrome with no ATC services)


For flight information service

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


Aeronautical Mobile Service (air-ground communications)

For aerodrome control service


Aeronautical Fixed Service (ground-ground communications)


Communications (C)

Aeronautical Mobile Satellite Service (AMSS)


Provision of NDB signal-in- space


Provision of VOR signal-in-space


Provision of DME signal-in-space


CAT I As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CAT II As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CAT III a As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CAT III b As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

Provision of ILS signal-in-space

CAT III c As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

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-in-space, and its subsequent distribution and processing up to the delivery for its use by aircraft)

Provision of MLS signal-in-space

CAT I As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.



Released Issue

CAT II As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CAT III a As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CAT III b As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CAT III c As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

GNNS Core System (GALILEO)


Satellite Based Augmentation System (SBAS)


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-in-space, and its subsequent distribution and processing up to the delivery for its use by aircraft)

Provision of GNSS signal-in-space

Ground Based Augmentation System (GBAS)


Provision of data from Primary Surveillance Radar (PSR)


Mode A/C As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

Provision of data from Secondary Surveillance Radar (SSR) Mode S As appropriate. Wherever necessary this box

may refer to appendices to be attached to the table or other relevant documentation.

ADS-C As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

Provision of data from Automatic Dependent Surveillance (ADS)

ADS-B As appropriate. Wherever necessary this box may refer to appendices to be attached to the table or other relevant documentation.

CNS

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 Surface Movement Radar (SMR)




Released Issue

Aeronautical Information Services (AIS)

AIS Provision of the whole AIS service as described in ICAO Annex 15.


Meteorological Services (MET)

MET Provision of the whole MET service as described in ICAO Annex 3.

Note: When the METP provides part of the MET service (e.g. aerodrome observing and reporting) the limitations have to be indicated.




Released Issue

ANNEX 4

COMPLIANCE CHECKLIST

IMPLEMENTING REGULATION (EC) 1035 /2011

COMMON REQUIREMENTS



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.



Compliance Checklist – No 2096/2005: Common Requirements

ANNEX I: GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES

F

Compliance

A

No.

B

Text of Common requirement

C

Key Elements of CR

D

Evidence

E

How to Assess the Evidence Yes On going No

G

Actions needed


TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY

1 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.

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

This requirement is incorporated in the other CRs. Therefore it is not necessary to assess this requirement separately.

2 ORGANISATIONAL STRUCTURE AND MANAGEMENT

ORGANISATIONAL STRUCTURE AND MANAGEMENT

2.1 Organisational structure Organisational structure

2.1 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:

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.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

2.1 (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;

Designate positions for management personnel in charge of:

• safety

• quality

• security

• finance and

• human resources

Define

• authority

• duties and

• responsibilities

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)

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.

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.

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.

.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

2.2 Organisational management

Organisational management

2.2 An air navigation service provider shall produce a business plan covering a minimum period of five years. The business plan shall:

Business plan which cover at least a period of five years

Business plan (or any other document covering the required content) that covers at least a period of five years.

Verify if a business plan that covers at least a period of five years exists.

.

2.2 (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;

• Overall aims and goals

• Strategy towards achieving them in consistency with any overall longer term plan of the provider and with relevant Community requirements

Existence of a business plan

Verify if the business plan covers: - the ANSP’s 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).

.

2.2 (b) contain appropriate performance objectives in terms of quality and level of service, safety and cost-effectiveness.

Appropriate performance objectives in terms of

• quality and level of service,

• safety and

• cost-effectiveness.

The business plan contains performance indicators

Verify if the business plan describes performance objectives in terms of: - quality and level of service, - safety and - cost-effectiveness.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

2.2 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.

Annual plan that

• Covers the forthcoming year

• Specifies further the business plan

• Describes any changes to the business plan.

Annual plan 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.

2.2 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:

Annual plan that covers

• Provisions on the level of quality of service (expected capacity, safety and delays to flights incurred)

• Financial arrangements.

Annual plan See below

2.2 (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;

• 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.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

2.2 (b) indicators of performance against which the level and quality of service may be reasonably assessed;

- provide performance indicators to assess quality of service reasonably

Annual plan 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 provider’s 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 SAFETY AND QUALITY MANAGEMENT

SAFETY AND QUALITY MANAGEMENT

3.1 Safety management Safety management





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.1 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.

The proposed approach is in consultation with NSA to identify list of Stakeholders subject to this requirement. ANSP shall formalise interfaces and binding procedures (e.g. Service Level Agreements) related to the concerned Stakeholders, for providing and receiving the information necessary for the provision of a certain part of the service provided by an ANSP.

For the identified stakeholders, Service Level Agreements established in a way that ensure that decisions taken, that may impact safety, are clearly documented as well as the rationale for these decisions.

Verify whether the Service Level Agreement covers all interfaces with stakeholders that may influence the safety of its services. Verify whether the Service Level Agreements formalise the interfaces for providing and receiving all material and non-material supplies and services.

.

3.2 Quality management system

Quality management system





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.2 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:

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.

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.

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.

3.2 (a) define the quality policy in the perspective to meet the needs by the different users as closely as possible;

- Define the quality policy Quality policy Verify whether the quality policy has been defined and covers the needs of the different users (clients, employees, suppliers...).

3.2 (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;

- Set up a quality assurance programme

Quality assurance programme procedures in place

Verify whether the quality procedures are used to verify that all operations are being conducted in accordance with applicable requirements, standards and procedures.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.2 (c) provide evidence of the functioning of the quality system by means of manuals and monitoring documents;

- Provide evidence of the functioning of the quality system

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;

Verify whether the quality management documents have been implemented and verify examples of quality records based on the procedure outputs.

3.2 (d) appoint management representatives to monitor compliance with, and adequacy of, procedures to ensure safe and efficient operational practices;

- Appoint management representatives

Organisational documentation; job description

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

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

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;





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.2 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.

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.

Valid EN ISO 9001:2000 Certificate; Records of certification body

- 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 business-sector experience (SIC 9621 and 4581) - Check whether the scope of the certificate covers all air navigation services provided by the ANSP





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.2 The air navigation service provider shall accept the disclosure of the documentation related to the certification to the national supervisory authority upon the latter’s request.

- Accept the disclosure of the documentation

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

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





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.3 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:

- Provide operations manuals - keep operations manuals up-to-date - provide guidance

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.

Scenario 1: Check the availability and scope of a valid EN ISO 9001 Certificate Scenario 2: - Check ANSP’s document control procedure, together with a list of controlled documents; - Verify whether the documents listed are appropriate for the scope of the ANSP services provided and include the relevant operations manuals; - Verify records demonstrating an effectively functioning document control system; e.g. management reviews, quality audit reports and corrective action plans

3.3 (a) operations manuals contain instructions and information required by the operations personnel to perform their duties;

- Operations manuals contain the appropriate instructions and - information required by operations personnel to perform their duty

Documents listed are appropriate for the scope of ANSP's services provided and include the relevant operations manuals;

Verify whether the operations manuals cover all areas of operations the ANSP provides (AIS(P), ATS(P), MET(P), CNS(P)) and contain the required information needed by the operations personnel.

3.3 (b) relevant parts of the operations manuals are accessible to the personnel concerned;

- Operations manuals accessible to the personnel concerned.

Copies of the relevant operations manuals

Verify whether the operations personnel can access the relevant and current parts of the operations manuals.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.3 (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.

- Expeditious communication of amendments to the operations manual and their entry into force to the operations personnel

Documentation management system covering the change management and records demonstrating an effectively functioning document control system.

- 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 SECURITY SECURITY

4 An air navigation service provider shall establish a security management system to ensure:

- Establish a security management system

- Documentation of procedures with regard to the security management system - Evidence that the procedures have been implemented

Desktop review of the security management system documentation. On-site audit of the implementation of the procedures.

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.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

4 (b) the security of operational data it receives or produces or otherwise employs, so that access to it is restricted only to those authorised.

- Ensure security of operational data (send, receive, employ) - restricted access to operational data to authorised personnel

- Documentation of procedures with regard to the security management system - Evidence that the procedures are implemented

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.

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.

4 (a) the procedures relating to security risk assessment and mitigation, security monitoring and improvement, security reviews and lesson dissemination;

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.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

4 (b) the means designed to detect security breaches and to alert personnel with appropriate security warnings;

Means designed to detect security breaches and to alert personnel with appropriate security warnings

Documentation describing the - means to detect security breaches - means to alert personnel with appropriate security warnings

Verify if the procedures related to the - means to detect security breaches - means to alert personnel with appropriate security warnings are documented and implemented.

4 (c) the means of containing the effects of security breaches and to identify recovery action and mitigation procedures to prevent re-occurrence.

Means of containing the effects of security breaches and to identify recovery action and mitigation procedures to prevent re-occurrence.

Documentation describing the - means containing the effects of security breaches - means identifying recovery and mitigation procedures - means preventing re-occurrence

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.

4 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

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

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.

5 HUMAN RESOURCES HUMAN RESOURCES





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

5 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.

- Employ appropriately skilled personnel - Establish policies for the recruitment and training of personnel

Human Resource policy describing recruitment and training of personnel Training documentation and records

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.

6 FINANCIAL STRENGTH FINANCIAL STRENGTH

6.1 Economic and financial capacity

Economic and financial capacity

6.1 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.

- 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 non-compliance 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.

6.2 Financial audit Financial audit





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

6.2 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.

- independent audit - on a regular basis

Audit report(s) Verify whether an audit report from the independent auditor in accordance with article 12(2) of Regulation (EC) No 550/2004 exists. In case that the assessment is not an initial oversight, verify whether audit reports exist documenting that the audit has taken place on a regular basis.

7 LIABILITY AND INSURANCE COVER

LIABILITY AND INSURANCE COVER

7 An air navigation service provider shall have in place arrangements to cover its liabilities arising from applicable law.

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.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

7 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.

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 State’s financial interests according to Chicago Convention with regard to additional liabilities going beyond the insurance coverage.

Any documentation supporting the definition of the level of insurance coverage set in the insurance contract or guarantee letters/decisions by the state

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.





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

7 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.

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.

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

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 cross-border, the States concerned may wish to conclude agreements in order to address issues such as liability, accident investigations, relations with military, etc.

8 QUALITY OF SERVICES QUALITY OF SERVICES

8.1 Open and transparent provision of services

Open and transparent provision of services





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

8.1 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.

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;

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 on-going oversight) Official company policy to provide services in an impartial and non-discriminatory way (where applicable)

Verify if the conditions of the access to the services are published.

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).

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.

No discrimination on grounds of - nationality or - identity of the user or the class of users in accordance with applicable Community law.

A formal commitment in the official company policy to provide services in an impartial and non-discriminatory way and as such not distort or prevent competition where applicable.

Verify if the formal statements are made in official company policy documents in reference to applicable community law.

8.2 Contingency plans Contingency plans





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

8.2 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.

- 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

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

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





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

9 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.

- 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

Procedure that defines the creation of the annual report

Verify that a process has been implemented that - defines the creation of the annual report and - that ensures that the required information is available.

9 The annual report shall include as a minimum:

Include as a minimum:

9 – an assessment of the level and quality of service generated and of the level of safety provided;

assessment of - the level and quality of service generated and - the level of safety provided;

annual report Verify if the annual report covers the assessment of - the level and quality of service generated and - the level of safety provided

9 – 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;

- 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 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





F

Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

9 – developments in operations and infrastructure;

- developments in operations and infrastructure;

annual report Verify if the annual report covers the developments in operations and infrastructure.

9 – the financial results, as long as they are not separately published in accordance with article 12(1) of the service provision regulation;

- the financial results, as long as they are not separately published in accordance with article 12(1) of the service provision regulation;

annual report Verify if the annual report covers the financial results, as long as they are not separately published (see ANNEX I, 6.1 Economic and financial capacity).

9 – information about the formal consultation process with the users of its services;

- information about the formal consultation process with the users of its services;

annual report Verify if the annual report covers the formal consultation process with the users of its services (see ANNEX I, 8.1 Open and transparent provision of services)

9 – information about the human resources policy.

- information about the human resources policy

annual report Verify if the annual report covers the human resources policy (see ANNEX I, 5 HUMAN RESOURCES)

9 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.

- make the content of the annual report available to the public - under conditions set by the national supervisory authority - in accordance with national law

Publishes annual report (in accordance with national law)

Verify if the ANSP publishes the content of the annual report in accordance with the national law.



Compliance Checklist – No 2096/2005: Common Requirements ANNEX II: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES

F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

1 OWNERSHIP OWNERSHIP

1 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:

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.

1 – its legal status, its ownership structure and any arrangements having a significant impact on the control over its assets.

- 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.

1 – 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

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




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

than 1% of its expected revenue. Information on subsidiary companies and joint undertakings.

change of any single shareholding which represents 10 % or more of its total shareholding has taken place and whether the NSA has been notified.

1 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.

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 OPEN AND TRANSPARENT PROVISION OF SERVICES

2 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

- 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.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

shall they engage in conduct that amounts to an abuse of a dominant position in accordance with applicable national and Community law.

3 SAFETY OF SERVICES SAFETY OF SERVICES

3.1 Safety management system

3.1.1 General safety requirements

3.1.1 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:

See below See below See below

3.1.1 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 organisation’s fundamental approach to managing safety (safety management);

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 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

Equivalent to the requirements of ESARR 3 Section 5.1.2 (safety responsibility)





F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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);

Equivalent to the requirements of ESARR 3 Section 5.1.3 (safety priority)


3.1.1 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).

Equivalent to the requirements of ESARR 3 Section 5.1.4 (safety objective)


3.1.2 Requirements for safety achievement

3.1.2 Within the operation of the SMS, a provider of air traffic services shall:


3.1.2 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);

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





F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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.





F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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 organisation’s safety policy (SMS documentation);

Equivalent to the requirements of ESARR 3 Section 5.2.5 (SMS documentation)


3.1.2 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);

Equivalent to the requirements of ESARR 3 Section 5.2.6 (external services)


3.1.2 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 Sections 5.2.4 (risk assessment and mitigation) and 5.2.4 bullet a) (risk assessment and mitigation)





F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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 Requirements for safety assurance

3.1.3 Within the operation of the SMS, a provider of air traffic services shall ensure that:


3.1.3 - 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

Equivalent to the requirements of ESARR 3 Section 5.3.1 (safety surveys)





F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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.


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).

Equivalent to the requirements of ESARR 3 Section 5.3.3 (safety records)


3.1.4 Requirements for safety promotion

3.1.4 Within the operation of the SMS, a provider of air traffic services shall ensure that:


3.1.4 - all personnel are aware of the potential safety hazards connected with their duties (safety awareness);

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.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

3.1.4 - the lessons arising from safety occurrence investigations and other safety activities are disseminated within the organisation at management and operational levels (lesson dissemination);

Equivalent to the requirements of ESARR 3 Section 5.4.1 (lesson dissemination)


3.1.4 - all personnel are actively encouraged to propose solutions to identified hazards, and changes are made to improve safety where they appear needed (safety improvement).

Equivalent to the requirements of ESARR 3 Section 5.4.2 (safety improvement)


3.2 Safety Requirements for Risk Assessment and Mitigation with regard to changes

3.2.1 Section 1

3.2.1 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

EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1) are fulfilled.

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.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

planning and definition to post-implementation operations, maintenance and de-commissioning;

3.2.1 (b) the airborne, ground and, if appropriate, spatial components of the ATM functional system, through co-operation with responsible parties; and

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1.1b) are fulfilled.

3.2.1 (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.

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.1.1c) are fulfilled.

3.2.2 Section 2

3.2.2 The hazard identification, risk assessment and mitigation processes shall include:

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.

3.2.2 (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;

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2a) are fulfilled.

3.2.2 (b) A determination of the safety objectives to be placed on the

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

constituent part, incorporating: (Table, questions related to the requirement 5.2b) are fulfilled.

3.2.2 (i) – An identification of ATM-related credible hazards and failure conditions, together with their combined effects,

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2bi) are fulfilled.

3.2.2 (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;

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2bii) are fulfilled.

3.2.2 (iii) – A determination of their tolerability, in terms of the hazard’s maximum probability of occurrence, derived from the severity and the maximum probability of the hazard’s effects, in a manner consistent with Section 4;

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 (c) The derivation, as appropriate, of a risk mitigation strategy which:

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2c) are fulfilled.

3.2.2 (i) – Specifies the defences to be implemented to protect against the risk-bearing hazards,

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2ci) are fulfilled.

3.2.2 (ii) – Includes, as necessary, the development of safety requirements potentially bearing on the constituent part under consideration, or other parts of

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2cii) are fulfilled.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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.

3.2.2 (d) Verification that all identified safety objectives and safety requirements have been met

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2d) are fulfilled.

3.2.2 (i) – Prior to its implementation of the change,

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2di) are fulfilled.

3.2.2 (ii) – During any transition phase into operational service,

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2dii) are fulfilled.

3.2.2 (iii) – During its operational life, and

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2diii) are fulfilled.

3.2.2 (iv) – During any transition phase till decommissioning.

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.2div) are fulfilled.

3.2.3 Section 3

3.2.3 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.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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;

see above EAM 4 / GUI , Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.3a) are fulfilled.

3.2.3 – all safety requirements related to the implementation of a change are traceable to the intended operations/functions.

see above EAM 4 / GUI , Appendix B, ESARR 4 Consideration Areas (Table, questions related to the requirement 5.3b) are fulfilled.

3.2.4 Section 4

3.2.4.1 Hazard identification and severity assessment

3.2.4.1 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.

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.

3.2.4 [intentionally left blank - "chart severity class"]

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

(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.

see above EAM 4 / GUI 2, Appendix B, ESARR 4 Consideration Areas (Table, questions under A1) are fulfilled.

3.2.4.2 Risk classification scheme

3.2.4 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 hazard’s 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.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

mechanisms to apply them in different environments.

3.3 Safety requirements for engineering and technical personnel undertaking operational safety related tasks

3.3 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.

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.

3.3 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). The last sentence of the requirement is covered by ESARR5 Chapter 5.3.3 See ANSPCRA1.5-1 Rostering not covered by EC Directive





F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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.

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)

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:

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).


3.3 (a) identify the accountable managers for safety related functions;

see above see above

3.3 (b) record the relevant qualifications of technical and operational personnel, against required skills and competence requirements;

see above see above

3.3 (c) specify the locations and duties to which technical and operational personnel are assigned, including any rostering methodology.

see above see above

4 WORKING METHODS AND OPERATING PROCEDURES

WORKING METHODS AND OPERATING PROCEDURES




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

4 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:

- 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.

Filled in checklist provided by ATSP (e.g. ICAO compliance checklists used in USOAP)

Verify if evidence exist that ANSP has checked the compliance with relevant ICAO Standards or with a difference from the Standard duly notified .

4 – Annex 2 on rules of the air (9th edition, July 1990 including all amendments up to no 37);

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.

4 – Annex 10 on aeronautical telecommunications, Volume 2 on communication procedures (6th edition, October 2001 including all amendments up to no 79) ;

see above see above see above

4 – Annex 11 on air traffic services (13th edition, July 2001 including all amendments up to no 42).

see above see above see above



Compliance Checklist – No 2096/2005: Common Requirements ANNEX III: SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES

F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed



1 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:

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).

1 – operators and flight crew members for pre-flight and in-flight planning;

Users: operators and flight crew members for pre-flight and in-flight planning

Document of procedures and results verification for the relevant users.

see above and apply for relevant users

1 – providers of air traffic services and flight information services;

Users: providers of air traffic services and flight information services



1 – search and rescue services units, and

Users: search and rescue services units



1 – airports. Users: airports Document of procedures and results verification for the relevant users.


1 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

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

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




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

manner, and updated as required. provided needs to be updated. Evidence that the timeliness and accuracy of the information provided is acceptable to the users. Results of performed monitoring.

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.



2 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:

- demonstrate that its working methods and operating procedures are compliant with relevant ICAO standards (Annex 3, Annex 11, and Annex 14 - Volume I)


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.

2 – Annex 3 on meteorological service for international air navigation (15th edition, July 2004);

– 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.);

Filled in checklist demonstrating compliance with relevant ICAO Annex.


2 – Annex 11 on air traffic services (13th edition, July 2001, including all amendments up to no 42);

– 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

see above see above




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

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).


see above see above



Compliance Checklist – No 2096/2005: Common Requirements ANNEX IV: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AERONAUTICAL INFORMATION SERVICES

F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed



1 A provider of aeronautical information service shall ensure that information and data is available for operations in a form suitable for:

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.

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.

1 – flight operating personnel, including flight crew, as well as flight planning, flight management systems and flight simulators, and

Flight operating personnel, including flight crew, as well as flight planning, flight management systems and flight simulators, and

see above see above and apply for relevant users

1 – providers of air traffic services which are responsible for flight information services, aerodrome flight information services and the provision of pre-flight information.

Providers of air traffic services which are responsible for flight information services, aerodrome flight information services and the provision of pre-flight information.

see above see above and apply for relevant users

1 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.

- ensure integrity of data - confirm the level of accuracy and traceability of the information distributed for operations before such information is distributed

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.



Compliance Checklist – No 2096/2005: Common Requirements ANNEX IV: SPECIFIC REQUIREMENTS FOR THE PROVISION OF AERONAUTICAL INFORMATION SERVICES

F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

between Aeronautical Data Originators and AISP



2 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:

- demonstrate that its working methods and operating procedures are compliant with relevant ICAO standards (Annex 3, Annex 4, and Annex 15)


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.

2 – Annex 3 on meteorological service for international air navigation (15th edition, July 2004);

There are no requirements in ANNEX 3 relevant for AIS.


not applicable not applicable

2 – Annex 4 on aeronautical charts (10th edition, July 2001 including all amendments up to no 53);

see above


Filled in checklist demonstrating compliance with relevant ICAO Annex.


2 – Annex 15 on aeronautical information services (12th edition, July 2004).

see above


see above see above



1

Compliance Checklist – No 2096/2005: Common Requirements ANNEX V: SPECIFIC REQUIREMENTS FOR THE PROVISION OF CNS

F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed



1 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.

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.

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




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

logbooks) Calibration protocols (where required) Evidence of investigation/anomaly reports

2 SAFETY OF SERVICES SAFETY OF SERVICES

2 A provider of communication, navigation or surveillance services shall comply with the requirements of Annex II, part 3 on the 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.



3 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

- demonstrate that its working methods and operating procedures are compliant with the relevant ICAO standard: Annex 10: (Volume I - V)


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.




F Compliance

A

No.

B


C

Key Elements of CR

D

Evidence

E


G

Actions needed

amendments up to no 79) as far as they are relevant for the provision of communication, navigation or surveillance services in the airspace concerned.

hansa_ansp certification v3

Documents

chief executive officer

15 05 12 released issue

hansa procedure nr

hansa ansp certification v3

international air navigation

single european sky

standard duly notified

international civil aviation