National Supervisory Authority ANSP Certification Process · NSA - ANSP Certification Process ANS.PRC-3 Version 2 / Valid from 19. 09. 2017 Page 8 of 189 b) Compliance Checklist,

National Supervisory Authority ANSP

Certification Process

NSA - ANSP Certification Process

ANS.PRC-3 Version 2 / Valid from 19. 09. 2017 Page 2 of 189

TABLE OF CONTENTS

1. INTRODUCTION ......................................................................................................................... 4

1.1 Purpose ................................................................................................................................. 4

1.2 Intended Audience ........................................................................................................... 4

1.3 Document Structure ........................................................................................................ 4

2. SCOPE ........................................................................................................................................... 4

3. CONTEXT ...................................................................................................................................... 5

3.1 Mission Statement ............................................................................................................ 5

3.2 Relation to other processes .......................................................................................... 5

3.3 Terminology ........................................................................................................................ 5

4. ANSP CERTIFICATION PROCEDURE STEPS .................................................................... 6

4.1 Triggers ................................................................................................................................. 6

4.2 Activities-Steps .................................................................................................................. 6

4.3 Application for Certification........................................................................................... 7

4.4 Application Management by NSA ................................................................................ 9

4.5 Certification Teams .......................................................................................................... 9

4.6 Assessment of capability ............................................................................................. 10

4.7 Review of Service Provider’s Documentation ...................................................... 10

4.8 On-site audits ................................................................................................................... 11

4.9 Criteria to Assess Compliance with Applicable Common Requirements in

the Certification Process .......................................................................................................... 13

4.10 Non-conformities resolution and follow up ....................................................... 13

5. CERTIFICATION ....................................................................................................................... 14

5.1 Issuance of a certificate ............................................................................................... 14

5.2 Validity of the Certificate ............................................................................................. 15

5.3 Changes within the Organisation .............................................................................. 15

5.4 On-going compliance ..................................................................................................... 15

5.5 Possible Derogations ..................................................................................................... 15

5.6 Document Confidentiality ............................................................................................ 16

6. Reference Documents ........................................................................................................... 16

7. ANNEXES .................................................................................................................................... 17

7.1 Annex 1 - ANSP Certification Procedure Lifecycle .................................................. 17

7.2 Annex 2 - Application Form for the Certification of an ANSP ............................ 18

7.3 Annex 3 – Model Certificate for the Provision of ANS .......................................... 22



7.4 Annex 4 - Table defining the scope of the services for which certification

can be requested and granted............................................................................................... 26

7.5 Annex 5 - Implementing Regulation (EC) 1035/2011 Common

Requirements compliance checklist ..................................................................................... 35



1. INTRODUCTION

1.1 Purpose

This document provides instructions to the Slovenian Civil Aviation Agency in certification

process of air navigation service providers (ANSPs) against the Common Requirements in

the Republic of Slovenia.

ANSPs due to Single European Sky (SES) Legislation are required to obtain a certificate

and be designated in order to provide air navigation services in the Republic of Slovenia.

1.2 Intended Audience

This document is intended for NSA staff and from this perspective, the process identifies

the steps to be followed by the NSA staff in accordance with the specific regulatory

requirements in order to certify the ANSPs.

This procedure is a managed and controlled document based on the NSA’s Compliance

Monitoring and Safety Management System Manual (CMSMSM). The document comes

into force 10 days after its publication in DNA.

1.3 Document Structure

This document is structured as follows:

1. Introduction;

2. Scope;

3. Context;

4. ANSP Certification Procedure;

5. Certification

6. Reference documents;

7. Annexes.

2. SCOPE

In order to obtain the certificate necessary to provide air navigation services, and without

prejudice to Article 7(5) of Regulation (EC) No 550/2004, the ANSP shall comply with:

(a) The general requirements for the provision of air navigation services set out in Annex

I of CR;

(b) The additional specific requirements set out in Annexes II to V of CR, according to the

type of service they provide.

This process has to be applied by the NSA to certify a ANSP (ATS, AIS, MET, CNS)

according to the service provision Regulation, Basic Regulation and Commission

Implementing Regulation (EU) No 1035/2011 (CR). Aviation act, Article 179i requires the

CAA as NSA to conduct this process.

The NSA decides which arrangements, elements, services, products, physical locations

and activities of an ANSP will be made subject to certification.



3. CONTEXT

3.1 Mission Statement

This process identifies the basic principles, actions, inputs and outputs of the NSA

process intended to harmonise and standardise the actions required in the context of a

certification scheme such as the one established in Regulation (EC) 550/2004.

Due to its significance, the present process is actually defined in relation to that specific

certification scheme applicable in EU Member States in accordance with:

Regulation (EC) 550/2004 (the Service Provision Regulation) and

Implementing Regulation (EC) 1035/2011 Common Requirements (CRs) for the

Provision of Air Navigation Service (amending Regulation (EC) 482/2008 and (EU)

691/2010 and all relevant mostly recent amendments of the above-mentioned

regulations.

It has however to be noted that the Common Requirements, contain in many respects,

minimal requirements. Other international norms, binding on the States, address similar

areas sometimes with greater detail or constraints, and States are under the obligation to

equally ensure their full implementation.

In application of Article 28 of the ICAO Convention on international civil aviation, States

are responsible for the provision of air navigation facilities and services. They are under

the obligation to exercise due diligence in particular with regard to safety aspects.

Other international norms are therefore also taken into account in the establishment of

national legal and institutional frameworks and in the allocation of respective

responsibilities to regulators and ANSPs, in order to meet the objective of achieving safe

and efficient provision of air navigation services.

The extent to which these other norms, common to most of the European States, should

be applied by the National Supervisory Authorities in the exercise of their oversight

functions within the context of the SES, is currently under consideration, but it should be

noted that these norms form an essential condition for the safe provision of air

navigation services.

3.2 Relation to other processes

The certification process is linked to the ANSP’s oversight process and Compliance

Monitoring and Safety Management System Manual (CMSMSM).

3.3 Terminology

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

analysis methods.

ATM Air Traffic Management. The aggregation of ground-based

(comprising variously ATS, ASM, ATFM) and airborne functions to

ensure the safe and efficient movement of aircraft during all

appropriate phases of flight.

ATS Air Traffic Services. A generic term meaning variously, flight

information service, air traffic advisory service, air traffic control

service (area control service, approach control service or aerodrome

control service).



Certificate A document issued by a Member State in any form complying with

national law, which confirms that an ATM service provider meets the

requirements for providing a specific service.

CMSMSM Compliance Monitoring and Safety Management System Manual

Corrective action Action to eliminate the cause of a detected non-conformity or other

undesirable situation.

CTL Certification Team Leader

CTM Certification Team Member

Designation The process by which States designate ANSPs to provide ATM

services within specific airspace blocks in respect of the airspace

under their responsibility.

CAA Slovenia Slovenian Air Navigation Supervisory Authority, the body

established by Slovenian State with NSA tasks.

NSA A body nominated or established by States, which is independent of

service providers at least at functional level and according to the

existing regulatory framework, supervises the implementation of

requirements applicable to the provision of ATM services to General

Air Traffic.

Process A set of interrelated or interacting activities, which transforms

inputs into outputs.

Regulation The adoption, enactment and implementation of rules for the

achievement of stated objectives by those to whom the regulatory

process applies.

Risk The combination of the overall probability or frequency of

occurrence of a harmful effect induced by a hazard and the severity

of that effect.

System A combination of technical systems, procedures and human

resources organised to perform a function.

Verification Confirmation through the provision of objective evidence that

specified requirements have been fulfilled.

4. ANSP CERTIFICATION PROCEDURE STEPS

4.1 Triggers

The main triggers or inputs, which start the whole process, are:

1. The initial application for an ANSP’s certification;

2. The application for the renewal of the ANSP’s certification. In the case of

renewal, the same process as the initial certification can be applied but not

all the steps are mandatory.

4.2 Activities-Steps

Three main parts constitute the whole process:

1. Application and preparation;

2. Assessment of compliance;

3. Certification.

Further breakdown into steps provides details at the level of actions. The flow chart gives

details of the process in a pictorial way and specific tasks are then more fully explained in

the table, which follows.



4.3 Application for Certification

Under this step, the ANSP will send the formal Application for Certification to the NSA.

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

procedures established for the certification of ANSPs. The application form is included in

Annex 2 of this procedure. The application form is published on the CAA webpage in

Slovenian language. However, if it is necessary could be also provided in English

language. The application should include the scope of services for which the certificate is

requested. The application for the initial certification shall be sent 6 months in advance,

the application for the recertification in due time.

The application form shall be forwarded together with an organisation exposition

demonstrating how the applicant intends to comply with the CRs applicable to the

services for which certification is asked for.

The organisation exposition shall contain the following information. Existing data may be

used to the maximum extent possible:

A statement signed by the Chief Executive Officer confirming that the organisation

exposition and any associated referenced documentation define the organisation’s

compliance with the common requirements and that they will be complied with at

all times; and agreeing to supply any information needed for its evaluation;

The duties and responsibilities of the senior managers as regards the

implementation of the Common Requirements,

An organisation chart showing the chain of responsibility in the areas covered by

the CRs,;

A general description of human resources;

A general description of the organisation’s facilities existing infrastructure referred

to ANS provision;

A complete description of the means and arrangements established by the

organisation to meet the Common Requirements, including detailed references to

the main documents and manuals, which document them and appropriate cross

references to the common requirements.

The applicant as necessary shall amend the organisation exposition in order that it

remains an up-to-date description of the organisation. To that end, the NSA and the

applicant should agree on an update procedure.

In addition to the organisation exposition, an NSA may decide that a complementary

questionnaire needs to be forwarded by the applicant together with the application form

and its organisation exposition. Therefore, depending on the service to be provided, the

ANSP shall accompany the Application for Initial Certification with fill-in compliance

checklists as follows:

1. Providers of Air Traffic Services (ATS)

a) Specific requirements for the provision of Air Traffic Services (Common

Requirements, Annex II)

b) Compliance Checklist, ICAO Annex 2, Rules of the Air (latest edition, including all

amendments);

c) Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications, Volume

2, Communication Procedures (latest edition, including all amendments)

d) Compliance Checklist, ICAO Annex 11, Air Traffic Services, (latest edition,

including all amendments).

2. Providers of Meteorological Services (MET)

a) Specific requirements for the provision of Meteorological Services (Common

Requirements, Annex III)



b) Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air

Navigation, (latest edition, including all amendments).

c) Compliance Checklist, ICAO Annex 11, Air Traffic Services, (latest edition,


d) Compliance Checklist, ICAO Annex 14, Aerodromes, Volume I & II, (Volume I:

latest edition, including all amendments; Volume II, latest edition, including all

amendments).

3. Providers of Aeronautical Information Services (AIS)

a) Specific requirements for the provision of Aeronautical Information Services

(Common Requirements, Annex IV)

b) Compliance Checklist, ICAO Annex 3, Meteorological Services for International Air

Navigation, (latest edition, including all amendments).

c) Compliance Checklist, ICAO Annex 4, Aeronautical Charts, (latest edition,


d) Compliance Checklist, ICAO Annex 15, Aeronautical Information Services, (latest

edition, including all amendments).

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

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

b) Specific requirements for the provision of Air Traffic Services (part 3 of Common

Requirements, Annex II), Safety of Services

c) Compliance Checklist, ICAO Annex 10, Aeronautical Telecommunications

Volume I (latest edition, including all amendments);

Volume II (latest edition, including all amendments);

Volume III (latest edition, including all amendments);

Volume IV (latest edition, including all amendments);

Volume V (latest edition, including all amendments);

as far as they are relevant for the provision of communication, navigation or surveillance

services in the airspace concerned1.

When requested, the compliance checklists shall be filled-in as specified in the pre-amble

to the checklist. There shall be a statement of compliance and there shall be a reference

to the applicable documentation where evidence of compliance can be found.

In addition, the ANSP shall accompany the Application for Initial Certification (or

Changes) with compliance checklists covering Specific Conditions for Certification (to be

developed by the Applicant as applicable for the service to be certified.

For those special conditions, such as technical equipment to be used for the provision of

services, the information included in the application will be used for the certificate. The

NSA shall verify the correctness of the information.

The organisation exposition and any complementary questionnaire forwarded by the

applicant are primarily intended to support:

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

CRs;

2. The technical investigations for initial and ongoing oversight intended to

verify compliance with applicable requirements, including any applicable

safety regulatory requirements.

The organisation exposition and any complementary questionnaire shall not be

considered as sole and exclusive proof of compliance with applicable common

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



requirements. Any statement made by an applicant in their exposition or the completed

questionnaires will potentially be subject to further investigation by means of auditing in

order to confirm the accuracy of the statement and its effective implementation.

4.4 Application Management by NSA

1. Applications shall be sent by mail or e-mail to [email protected] from where it will be

forwarded to Head of Air Navigation Services Division, to act as the focal point

(FP) 2 with responsibility for the management of applications. The main office

assigns the case number in accordance with classification plan (klasifikacijski

načrt).

2. FP shall acknowledge receipt of applications within ten working days of its

receipt by the NSA.

3. FP checks all applications. Where incorrect or incomplete information is supplied,

he/she should notify the applicant in writing as soon as possible detailing the

omissions and errors.

4. For any technical issues raised by the application, the FP consults appropriate NSA

experts or experts working for the NSA.

5. FP, supported by appropriate NSA experts or experts working for the NSA, make a

first assessment of the documentation received. The FP determines how to

proceed with the application. This is communicated to the applicant following

receipt of the correct application.

6. When eligibility has been assessed, the FP informs the applicant (copied to the

appropriate NSA departments and, where applicable/identified the certification

team to be involved in the technical investigations), of the following:

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

accepted:

2. The details of the certification team leader (if appropriate) who will

perform the technical investigation for initial oversight to verify

compliance with applicable requirements, including the applicable

safety regulatory requirements. If no selection has been made yet,

the FP notifies the applicant of the projected time frames for when

such resources are expected to be available.

7. In case of the refusal of an application, the NSA notifies this decision in writing to

the applicant together with the reasons and the right to appeal

4.5 Certification Teams

1. The NSA shall establish a certification team.

2. The certification team consists of a certification team leader (CTL) and certification

team members (CTMs). Where the extent of the investigation does not justify the

need for the full team, one team member or team leader himself may perform the

full investigation tasks.

3. Prior to the implementation of the initial oversight audits, the certification team

will be formed by the CTL and, if appropriate, a number of CTMs appointed to

support the review of the ANSP’s documentation.

4. If so decided, to determine the composition and size of the certification team, the

following considerations are taken into account:

2 Head of Air Navigation Services Division can delegate tasks of Focal Point

mailto:[email protected]



1. The size of the applicant’s organisation;

2. The number of sites covered by the certificate;

3. The nature of the services to be provided by the organisation and

their direct impact upon aviation safety;

4. The various criteria as regards the review of ANSP’s documentation

and the implementation of initial oversight audit visits.

5. Within the team, specific responsibilities are allocated as regards the activities

intended to verify compliance with all the common requirements applicable to the

services for which the certification is requested.

6. Both the CTL and CTMs shall be trained in auditing techniques and have suitable

knowledge of the applicable requirements and procedures. There must be no

conflict of interest with the application to be investigated.

7. For specific investigations the basic team can call upon the assistance of

appropriate experts.

4.6 Assessment of capability

Initial oversight investigations are conducted by the Certification Team to gain objective

information to enable an NSA decision on the recognition of the applicant organisation as

capable to provide specific services.

For that purpose, the certification team, under the co-ordination of the CTL, makes direct

arrangements with the applicant for the assessment of documentation, meetings and

investigations at the relevant location(s).

The certification team maintains records of all documents generated and received during

the initial oversight investigations in accordance with Decree on administrative operations

and internal procedures.

4.7 Review of Service Provider’s Documentation

The certification team undertake a review of the documentation that the ANSP has put in

place to describe, communicate and operate its arrangements for providing the services

for which it has applied in accordance with the applicable requirements.

As regards the review of documentation:

1. The certification team looks for evidence that the applicable common

requirements have been understood and there are clear indications that

processes and disciplines have been developed to meet them.

2. The review should not necessarily be confined to the documents referenced

by the applicant in its organisational exposition. It could also cover:

Operational documentation (e.g. OPS, technical manuals, etc.);

Technical systems documentation (e.g. arrangements related to the

installation and maintenance of equipment, etc.);

Various documentation in the areas of quality, human resources, staffing

plans and security quality of services, etc. depending upon the case.

3. If the document review indicates possible areas of weakness or concern

regarding the ANSP’s arrangements to meet common requirements, this is

subject to further investigation such as an on-site audit.

For certain areas a review of the documentation is sufficient.

In the event that the documentation review reveals serious concerns about the

applicant’s level of understanding of the applicable CRs or the processes that may have

been put in place to meet them, the CTL will not proceed with the initial oversight audit



visits. The matter is referred to the NSA’s management for decision on further action to

be taken.

4.8 On-site audits

Once the documentation review has been performed, the certification team verifies that

the arrangements described in the documentation are indeed being used and are

effectively implemented within the organisation.

This verification should involve a series of on-site audit visits to the relevant site(s) of the

organisation. At least one on-site audit visit should be conducted at each location of the

organisation. (Locations: ATCC Brnik, Airport Brnik, Airport Maribor, Airport Portorož,

Airport Cerklje ob Krki, including MET offices). Concerning the renewal of the certificate

the on-site audit visit focuses only on areas where ANSPs do not give sufficient

explanations on compliance.

The team leader shall develop an oversight visit schedule and determine where in the

organisation the various requirements are to be verified, recognising that is feasible to

verify only a sample of the total requirements in each area of the organisation. However,

CTL should ensure that all requirements are ultimately verified somewhere within the

organisation.

Based upon the information obtained at the documentation review, the CTL should

identify areas of the ANSP organisation and specific processes to be audited in order to

test the applicant’s compliance with a selected set of common requirements.

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

1. Depend upon the processes being verified and the level of confidence

obtained by the certification team from the documentation review. It

should not exclusively cover the areas highlighted by the documentation

review.

2. Take into account the results from audits, inspections or surveys conducted

by the NSA in the 24-months, identifying areas where sufficient level of

confidence exists as regards management practices already implemented

by the organisation.

Depending on the area of the CRs, its criticality in terms of safety, the type of evidence

that the applicant can provide and the result of the review of the documentation,

different ways to assess compliance can be considered:

1. Review of Documentation: Minimum approach to address areas where

reviews of the documentation provide sufficiently evidence of compliance

with the common requirements.

2. Review of Documentation & On Site Audit: Approach to address areas

where a review of documentation does not provide sufficient evidence of

compliance with the common requirements or where the review of

documentation indicates possible areas of weakness or concern regarding

the ANSP’s arrangements to meet common requirements (relevant for

Initial Certification).

Preliminary guidance on the way to assess compliance of the different areas is provided

in the table below.



Preliminary guidance on the way to assess compliance

Title Review of

documents

Review of

documents &

On-Site Audit

ANNEX I

1 TECHNICAL AND OPERATIONAL

COMPETENCE AND CAPABILITY

X X

2 ORGANISATIONAL STRUCTURE AND

MANAGEMENT

2 1 Organisational structure X

2 2 Organisational management X

3 SAFETY AND QUALITY MANAGEMENT

3 1 Safety management X X

3 2 Quality management system X

3 3 Operations manuals X X

4 SECURITY X X

5 HUMAN RESOURCES X

6 FINANCIAL STRENGTH

6 1 Economic and financial capacity X

6 2 Financial audit X

7 LIABILITY AND INSURANCE COVER X

8 QUALITY OF SERVICES

8 1 Open and transparent provision of services X

8 2 Contingency plans X X

9 REPORTING REQUIREMENTS X

ANNEX II (ATSP)

1 OWNERSHIP X

2 OPEN AND TRANSPARENT PROVISION OF

SERVICES

X

3 SAFETY OF SERVICES

3 1 Safety management system X X

3 2 Safety Requirements for Risk Assessment

and Mitigation with regard to changes

X X

3 3 Safety requirements for engineering and

technical personnel

undertaking operational safety related tasks

X X

4 WORKING METHODS AND OPERATING

PROCEDURES

X X

ANNEX III (METEO)


COMPETENCE AND

CAPABILITY

X X


PROCEDURES

X X

ANNEX IV (AIS)


COMPETENCE AND

CAPABILITY

X X


PROCEDURES

X X

ANNEX V (CNS)


COMPETENCE AND

CAPABILITY

X X

2 SAFETY OF SERVICES X X




PROCEDURES

X X

4.9 Criteria to Assess Compliance with Applicable Common Requirements in the

Certification Process

Compliance will be assessed against the Common Requirements established with regard

to the services for which the applicant requested certification.

For each set of requirements, a non-prescriptive approach of assessment of compliance is

presented in a number of tables covering:

Key elements of the CR driving its assessment;

Evidence (description which evidence is expected from ANSP);

A proposal how to evaluate evidence.

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

Common Requirements.

4.10 Non-conformities resolution and follow up

Non-conformities can only be raised in relation to the Common Requirements applicable

to the services for which certification was requested. The related Common

Requirement(s) should always be made explicit wherever a non-conformity is

determined.

Once the assessment is completed, the CTL forwards a report (minutes) including as a

minimum the following information to the applicant organisation within 15 working days.

General information about the audits including date, auditor(s),

observer/specialists accompanying the auditors, objectives and scope of the audit

and audit schedule.

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

A request for the determination of corrective actions, and their subsequent

implementation, including a timeframe identified on the basis of the significance

and impact on safety of the audit findings.

Conclusions of the assessment as regards the overall certification process.

The applicant organisation is responsible for determining and initiating the actions

needed to correct the non-conformity or to correct the cause(s) of non-conformity.

The certification team assesses the proposed corrective actions and accepts them if this

assessment demonstrates that they are sufficient to address the non-conformity

identified by the audit.

Corrective actions are completed by the applicant organisation within a time period

agreed by the CTL. The CTL records details of all non-conformities, agreed corrective

actions, the closure of non-conformities and recommendations.

The applicant organisation should modify the relevant documentation including the

organisation exposition to incorporate the resolution of non-conformities found in the

initial oversight investigations.

As established in article 6(3) of the CRs wherever corrective actions have not been

properly implemented, the NSA shall take appropriate enforcement measures in as

provided for in Article 7(7) of Regulation (EC) No 550/2004 and Article 10, Article 22a(d),



and Articles 25 and 68 of Regulation (EC) No 216/2008, in relation to ZLet and ZIN while

taking into account the need to ensure the continuity of air navigation services.

5. CERTIFICATION

5.1 Issuance of a certificate

All non-conformities should be corrected prior to a certificate being issued or corrective

plan shall be approved by NSA prior to issue of certificate.

In case of identified non-conformities, certificate to ANSP can be issued only if

classification of findings is level C in accordance with CAA Compliance Monitoring and

Safety Management System Manual.

Any finding found during the oversight is entered into the Audit Register. From

1.10.2016, the Audit Register will be kept in the CAA application DNA.

The process of updating the Audit Register, findings monitoring, updating databases and

closing of findings are defined in CMSMSM, Section 5.2 Oversight process.

In the event of failure to comply with deadlines for the implementation of the CAP, action

owner informs the ANSP of the deadline and initiates proceedings in accordance with the

Inspection act and General Administrative Procedure Act, in the part that relates to

administrative enforcement. The imposed measures shall be entered in the register of

the imposed measures (decision reference number, date of issue, finality of the decision).

When the full investigation for the initial oversight of the compliance of the applicant with

the Common Requirements has been satisfactorily determined, the CTL produces a

certification report and forwards it to the appropriate points of responsibility within the

NSA.

The certification report includes as a minimum the following information:

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

including:

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

The name(s) of the team members of team and the initial oversight audits

in which they participated

The names and addresses of all sites audited

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

requirements considered

3. Reference to the main ANSP documents reviewed

4. Details on identified non-conformity, corrective actions determined by the

applicant organisation and accepted by the CTL as sufficient and their

implementation and closure

5. Conclusions and recommendations based on the findings of the initial

oversight process, including if applicable proposals for any condition to be

attached to the certificate, and the initial plan of audits for on-going

compliance

The NSA ensures that the final decisions on certification and the conditions attached to it

are made by a person or persons different from those who formed the certification team.

The Certificate is based on the application included in Annex 2 of this document, which

includes also derogation criteria as defined in EC Regulation 1035/2011, which could be

met by ANSPs.

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



5.2 Validity of the Certificate

The Certificate should be valid for a limited period of time after its issue in association

with the yearly ongoing compliance assessment.

In case of a newly established ANSP the NSA may decide to grant a certificate with

specific conditions establishing a transitional period to allow the complete implementation

of the ANSP arrangements and its verification by the NSA. That transitional period should

be no longer than one year.

In case of recertification, a validity extension of 4 years is being considered as

reasonable in usual cases; this duration could be reduced in cases where there is, for

objective reasons established by the oversight process, a lower confidence in the ability

of the ANSP to ensure on going compliance.

As a general principle, the introduction of changes to the organisation does not modify

the validity period whenever a Certificate has been issued unless the change requires a

full initial oversight investigation leading to issuing a new certificate.

5.3 Changes within the Organisation

Applicant shall notify the NSA:

of planned changes to its provision of services, which may affect its compliance

with the applicable common requirements or with the conditions attached to the

certificate (Article 9 (2)).

of planned safety related changes to the provision of air traffic services (Article 9

(3)) in accordance with the procedure prescribed by NSA.

5.4 On-going compliance

The NSA monitors annually the on-going compliance of the ANSPs, which it has certified

on the basis of the evidence at its disposal.

To this end, the NSA establishes inspection programme for period of 24 months and

updates it annually as prescribed in Compliance Monitoring and Safety Management

System Manual. The NSA communicates that initial plan of audits to the ANSP.

Previous provisions do not mean that all CRs should be checked annually. Different areas

of CRs may have different oversight cycles. All CRs should be checked at least once in 2-

year time.

5.5 Possible Derogations

Prior to the implementation of the certification procedure, the NSA establishes a policy

with respect to the granting of derogations in accordance with Article 5 of the CRs. That

policy shall:

1. Identify the specific requirements for which derogations may be granted to

applicants:

Falling under the categories of ANSP described in Article 5(1) of the CRs.

Providing or intending to provide AFIS by operating not more than one

working position in aerodromes.

2. Ensure additional safety regulatory actions wherever that is necessary to

implement international obligations in relation to the services for which

derogations have been granted.



In order to deal with the applications requesting certification under the provisions of

Article 5 of the CRs wherever the NSA policy allows that option, the certification

procedure should be implemented with the following modifications:

1. The application form and the certificate contains the information relevant to

this situation.

2. The organisation exposition should document the relevant evidence that

demonstrates the applicant’s qualification to be certified under the

provisions of Article 5.

3. The assessment conducted by the FP determines whether the organisation

qualifies to be certified under the provisions of Article 5.

4. When informing the applicant about the acceptability of its application, the

FP also informs the applicant of:

The set of CRs applicable to its services in accordance with the NSA policy

established as regards possible derogations in the framework of Article 5.

The fact that a certificate issued under Article 5 does not allow the

organisation to provide cross-border services and that it does not obtain

any benefit from the right of mutual recognition of certificates within the

Single European Sky.

5. The request for a new certificate six months before the end of the validity

of the certificate will include relevant information to document that the

organisation continues qualifying for the derogations.

6. Wherever an organisation certified under the provisions of Article 5 applies

to introduce changes to provide services for which no derogations are

possible, the NSA assesses whether a complete initial oversight process will

have to be performed to certify the organisation under the general

procedures established by the NSA.

7. The NSA establishes mechanisms to monitor whether ANSP certified under

the provisions of Article 5 continue to qualify for the derogations.

5.6 Document Confidentiality

All documents and information received by the NSA relating to the certification process is

subject to protection from disclosure according to applicable national legislation and

Article 18 of the Regulation (EC) 550/2004.

6. Reference Documents

All updated reference documents can be found on bellow mentioned web sites:

https://www.easa.europa.eu/document-library

https://trainingzone.eurocontrol.int/doc/seslex.htm

http://www.pisrs.si/Pis.web/

https://www.easa.europa.eu/document-library

https://trainingzone.eurocontrol.int/doc/seslex.htm

http://www.pisrs.si/Pis.web/



7. ANNEXES

7.1 Annex 1 - ANSP Certification Procedure Lifecycle



7.2 Annex 2 - Application Form for the Certification of an ANSP









7.3 Annex 3 – Model Certificate for the Provision of ANS







USE OF MODEL FORM (CERTIFICATE) WHEREVER DEROGATIONS ARE GRANTED

Wherever the NSA chooses to grant derogations in accordance with the Common

Requirements, the NSA should specify the nature and scope of the derogation in the

conditions attached to the certificate indicating its legal basis. Accordingly, the Model

Form should be modified as follows:

On Page 1, the “General Conditions” should state the following:

1. This certificate has been issued under the provisions of Commission

Implementing Regulation (EC) 1035/2011 of 17 October 2011 and,

therefore, does not entitle the holder to provide cross-border services or

benefit from the right to mutual recognition within the Single European

Sky.

2. This certificate requires compliance with the procedures and other

arrangements specified in the organisation exposition.

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

a) The Common Requirements applicable to the organisation within the

scope defined by the derogations identified in certification schedule,

b) The qualifying criteria as have been identified under the provisions of

Implementing Regulation (EC) 1035/2011

c) The specific conditions identified in the certificate schedule.

Subject to continuous compliance with the foregoing conditions, which may be verified by

the NSA at any time, this Certificate shall remain valid for two (2) year period and be

renewed if requested by the holder six months before the end of that period and the

request includes relevant information to show that the organisation continues to qualify

for the derogations.

On Page 2, the “Conditions Identified” should also refer the Common Requirements for

which derogations have been granted.



7.4 Annex 4 - Table defining the scope of the services for which certification can be

requested and granted

According with Regulation (EC) 550/2004 (the Service Provision Regulation), an

organisation may apply for a certificate as regards any service included in the scope of

the Regulation. That scope includes ATS, CNS, AIS and MET as defined in Regulation (EC)

549/2004 (the Framework Regulation).

The table included in this annex defines the possible services for which certification may

be requested and granted within the scope of the Service Provision Regulation.

The table is intended to harmonise the classification of services, which needs to be used

in the certification process. This harmonisation is indeed essential to ensure that the

main input (application form) and output (certificate) of the certification process are

standardised across Europe.

USE OF THE TABLE

The table, including only the services relevant to the ANSP, should be attached to:

The application form submitted by an applicant organisation,

The certificate issued by the NSA.

When used in conjunction with the application form, the conditions included should

be those identified and proposed by the applicant in relation to the services for which

certification is requested.

When used by the NSA in conjunction with the Certificate, the conditions included

should be those eventually determined by the NSA as a result of the investigations

conducted in the certification process. These conditions should not be necessarily

confined to those proposed by the applicant.

In order to meet the provisions of Article 6 and Annex II of the Service Provision

Regulation the conditions included in the Certificate should be confined to the following

categories of possible conditions3:

a) Non-discriminatory access to services for airspace users and the required level of

performance of such service, including safety and interoperability levels;

b) The operational specifications for the particular service;

c) The time by which the services should be provided;

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

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

provision of air navigation services;

f) Contracts, agreements and other arrangements between the service providers

and a third party and which concern the service(s);

g) Provision of information reasonably required for the verification of compliance of

the services with the common requirements, including plans, financial and

operational data, and major changes in the type and/or scope of the air

navigation services provided;

h) Any other legal conditions, which are not specific to air navigation services, such

as conditions relating to the suspension or revocation of the certificate.

i) It should be noted that safety-related conditions might be identified in relation to

any of those eight categories of potential conditions.

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



TABLE DEFINING THE SCOPE OF SERVICES

The table is based on the description of services and terminology used in ICAO Annexes

10, 11 and 15 unless a different reference is indicated.

TABLE DEFINING THE SCOPE OF SERVICES

SERVICES TYPE OF SERVICE

TO BE PROVIDED

PART OF THE

SERVICE TO

BE PROVIDED

SUB-PART

OF

THE

SERVICE

TO BE

PROVIDED

CONDITIONS

IDENTIFIED

Air Traffic

Services

(ATS)

Air Traffic Control

(ATC)

Area Control

Service

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Approach Control

Service

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Aerodrome

Control Service

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Flight Information

Service

(FIS)

HF Operational

Flight

Information

Service (OFIS)

Broadcasts

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

VHF Operational

Flight

Information

Service (OFIS)

Broadcasts

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.



Voice- Automatic

Terminal

Information

Service (Voice-

ATIS)

Broadcasts

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Data Link

Automatic

Terminal

Information

Service (DATIS)

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

VOLMET

Broadcasts

and/or DVOLMET

Service

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Alerting Services

(AL)

N/A N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Advisory Service N/A N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Aerodrome Flight

Information Service

(AFIS)

(Combination of FIS

and AL in an

aerodrome with

no ATC services)

N/A N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CNS Communications(C) Aeronautical

Mobile Service

(air-ground

For flight

information

service

As appropriate.

Wherever

necessary this



communications) box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

For area

control

service

As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

For approach

control

service

As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

For

aerodrome

control

service

As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Aeronautical

Fixed Service

(ground-ground

communications)

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Aeronautical

Mobile Satellite

Service (AMSS)

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Navigation (N)

(SES definition:

Navigation services

means those facilities

and services that

Provision of

NDB signal-

inspace

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to



provide aircraft with

positioning and

timing information)

(NOTE: the service

should include the

generation of

aeronautical radio

navigation signal-

inspace, and its

subsequent

distribution

and processing up to

the delivery for its

use by aircraft)

the table or

other relevant

documentation.

Provision of VOR

signal-inspace

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Provision of DME

signal-inspace

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Provision of ILS

signal-inspace

CAT I As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT II As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT III a As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT III b As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or



other relevant

documentation.

CAT III c As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Provision of MLS

signal-inspace

CAT I As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT II As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT III a As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT III b As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

CAT III c As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant



documentation.

Navigation (N)

(SES definition:

Navigation services


and services that

provide aircraft with

positioning and

timing

information)

(NOTE: the service

should include the

generation of

aeronautical radio

navigation signal-

inspace,

and its

subsequent

distribution

and processing up to

the delivery for its

use by aircraft)

Provision of

GNSS signal in

space

GNNS Core

System

(GALILEO)

As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Satellite

Based

Augmentation

System

(SBAS)

As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Ground

Based

Augmentation

System

(GBAS)

As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Surveillance (S)

(SES definition:

Surveillance services


and services used to

determine the

respective positions

of

aircraft to allow safe

separation)

(NOTE: the service

should include the

generation of

surveillance data by

means of sensors and

its subsequent

distribution and

processing up to the

delivery for use

Provision of data

from

Primary

Surveillance

Radar (PSR)

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Provision of data

from

Secondary

Surveillance

Radar (SSR)

Mode A/C As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Mode S As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or



other relevant

documentation.

Provision of

data from

Automatic

Dependent

Surveillance

(ADS)

ADS-C As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

ADS-B As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Provision of

data from

Surface

Movement

Radar (SMR)

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Aeronautical

Information

Services

(AIS)

AIS Provision of the

whole AIS

service as

described in

ICAO Annex 15.

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.

Meteorological

Services

(MET)

MET Provision of the

whole MET

service as

described in

ICAO Annex 3.

Note: When the

METP provides

part of the MET

service (e.g.

aerodrome

observing and

reporting) the

limitations have

to be indicated.

N/A As appropriate.

Wherever

necessary this

box may refer to

appendices to

be attached to

the table or

other relevant

documentation.





7.5 Annex 5 - Implementing Regulation (EC) 1035/2011 Common Requirements compliance checklist

Arti-

cle nr Para. Nr

Applicability

Area Text Domain

Key

Elements Evidence

Compliance Actions

needed &

planned

completion

date

Yes On

going No

INTRO 1 1 NSA, ANSP,

STATE

Having regard to the Treaty on the

Functioning of the European Union, ALL


STATE

Having regard to Regulation (EC) No

550/2004 of the European

Parliament and of the Council of 10

March 2004 on the provision of air

navigation services in the single

European sky (the service provision

Regulation) (1), and in particular

Articles 4, 6 and 7 thereof,

ALL


STATE

Having regard to Regulation (EC) No



February 2008 on common rules in

the field of civil aviation and

establishing a European Aviation

Safety Agency, and repealing Council

Directive 91/670/EEC, Regulation

(EC) No 1592/2002 and Directive

2004/36/EC ( 2 ), and in particular

Article 8b(6) thereof,

ALL


STATE Whereas: ALL




STATE

(1) Pursuant to Regulation (EC) No

216/2008, the Commission, assisted

by the European Aviation Safety

Agency (the Agency), is required to

adopt implementing rules for the

provision of air traffic management

and air navigation services

(ATM/ANS) throughout the Union.

Article 8b(6) of that Regulation

requires those implementing rules to

be based on the regulations adopted

under Article 5(3) of Regulation (EC)

No 549/2004 of the European


March 2004 laying down the

framework for the creation of the

single European sky (the framework

Regulation).

ALL


STATE

(2) The provision of air navigation

services within the Union should be

subject to certification by Member

States or the Agency. Air navigation

service providers which comply with

the common requirements should be

granted a certificate in accordance

with Article 7 of Regulation (EC) No

550/2004 and Article 8b(2) of

Regulation (EC) No 216/2008.

ALL


STATE

(3) The application of the common

requirements laid down pursuant to

Article 6 of Regulation (EC) No

550/2004 and Article 8b of

Regulation (EC) No 216/2008 should

be without prejudice to Member

States’ sovereignty over their

airspace and to the requirements of

the Member States relating to public

ALL



order, public security and defence

matters, as set out in Article 13 of

Regulation (EC) No 549/2004. The

common requirements should not

cover military operations and

training, as provided for in Article

1(2) of Regulation (EC) No 549/2004

and Article 1(2) of Regulation (EC)

No 216/2008.


STATE

(4) The definition of common

requirements for the provision of air

navigation services should take due

account of the legal status of air

navigation service providers in the

Member States. Furthermore, when

an organisation pursues activities

other than the provision of air

navigation services, the common

requirements should not apply to

such other activities or to resources

allocated to activities outside the

provision of air navigation services,

unless provision is made to the

contrary.

ALL

INTRO 7 1 STATE, NSA

(5) The application of the common

requirements to air navigation

service providers should be

proportionate to the risks linked with

the specific features of each activity

such as the number and/or the

nature and characteristics of

processed movements. Should

certain air navigation service

providers elect not to avail

themselves of the opportunity to

provide cross-border services within

the single European sky, a

ALL



competent authority should be

entitled to allow those providers to

comply commensurately with,

respectively, certain general

requirements for the provision of air

navigation services and certain

specific requirements for the

provision of air traffic services.

Consequently, the conditions

attached to the certificate should

reflect the nature and the scope of

the derogation.


(6) In order to ensure the proper

functioning of the certification

scheme, Member States should

provide the Commission and the

Agency with all relevant information

on the derogations granted by their

competent authority in the context

of their annual reports.

ALL


(7) The different types of air

navigation service activities are not

necessarily subject to the same

requirements. It is therefore

necessary to adjust common

requirements to the special features

of each type of activity.

ALL

INTRO 10 1 NSA

(8) The onus of proving compliance

with the applicable common

requirements should lie with the air

navigation service provider, for the

period of validity of the certificate

and for all the services covered by it.

ALL



INTRO 11 1 NSA

(9) In order to ensure the effective

application of the common

requirements, a system of regular

supervision and inspection of

compliance with those common

requirements and with the conditions

specified in the certificate should be

established. The competent authority

should examine the suitability of a

provider prior to issuing a certificate

and should assess the ongoing

compliance of the air navigation

service providers it has certified on a

yearly basis. Consequently, it should

establish and update annually an

indicative inspection programme

covering all the providers it has

certified, on the basis of an

assessment of the risks. That

programme should allow the

inspection of all relevant parts of the

air navigation service providers

within a reasonable time frame.

When assessing the compliance of

designated providers of air traffic

services and meteorological services,

the competent authority should be

entitled to check relevant

requirements stemming from the

international obligations on the

Member State in question.

ALL



INTRO 12 1 NSA

(10) Peer reviews of national

supervisory authorities could further

a common approach to the

supervision of air navigation service

providers throughout the Union. The

Commission, in cooperation with the

Member States and the Agency, may

arrange these peer reviews, which

should be coordinated with the

activities undertaken within the

framework of Articles 24 and 54 of

Regulation (EC) No 216/2008 and

any other international monitoring

and oversight programmes. This

would avoid duplication of work. In

order to allow the exchange of

experience and best practice during

a peer review, the experts should

preferably be from a competent

authority.

ALL

INTRO 13 1 NSA

(11) Eurocontrol has developed

Safety Regulatory Requirements

(ESARRs) which have been of the

highest importance for the safe

provision of air traffic services. In

accordance with Regulation (EC) No

550/2004, the Commission should

identify and adopt the relevant

provisions of ESARRs in Union

regulations. The ESARRs

incorporated in Commission

Regulation (EC) No 2096/2005 of 20

December 2005 laying down

common requirements for the

provision of air navigation services (

1 ) form the basis of these

implementing rules.

ALL



INTRO 14 1 NSA

(12) When adopting Regulation (EC)

No 2096/2005, the Commission

concluded that it was not appropriate

to repeat the ESARR 2 provisions on

reporting and assessment of safety

occurrences in ATM, which are

covered by Regulation (EU) No


Parliament and the Council of 20

October 2010 on the investigation

and prevention of accidents and

incidents in civil aviation and

repealing Directive 94/56/EC ( 2 )

and by Directive 2003/42/EC of the

European Parliament and of the

Council of 13 June 2003 on

occurrence reporting in civil aviation

( 3 ). However, new provisions on

safety occurrences should be

introduced in order to require a

competent authority, as defined by

this Regulation, to check whether

providers of air traffic services, and

also providers of communication,

navigation or surveillance services,

meet the arrangements required to

cover the reporting and assessment

of such occurrences.

ALL

INTRO 15 1 EC

(13) It should be recognised in

particular that, firstly, safety

management is that function of air

navigation services which ensures

that all safety risks have been

identified, assessed and satisfactorily

mitigated, and that, secondly, a

formal and systematic approach to

safety management and

ALL



management systems, towards a

total system approach, will maximise

safety benefits in a visible and

traceable way. The Agency should

further evaluate the safety

requirements of this Regulation and

integrate them into a common

regulatory structure for civil aviation

safety.

INTRO 16 1 EC, STATE

(14) Until the Agency has drawn up

the implementing measures

transposing the relevant standards

of the International Civil Aviation

Organisation (ICAO) into Union

implementing measures, acceptable

means of compliance, certification

specifications and guidance material,

air navigation service providers

should operate in compliance with

the relevant ICAO standards. With a

view to facilitating the cross-border

provision of air navigation services,

and until the finalisation of the work

of the Agency to draw up the

relevant measures transposing the

ICAO standards, the Member States,

the Commission and the Agency,

acting in close cooperation with

Eurocontrol where relevant, should

work towards minimising the

differences notified by Member

States in the application of ICAO

standards in the field of air

navigation services in order to reach

a common set of standards between

Member States within the single

European sky.

ALL




(15) Different national

arrangements as to liability should

not prevent air navigation service

providers from entering into

agreements on the cross-border

provision of services, once the air

navigation service providers have set

up arrangements to cover losses for

damages arising from liabilities

under the applicable law. The

method employed should comply

with the requirements of national

law. Member States which allow the

provision of air navigation services in

all or part of the airspace under their

responsibility without certification in


550/2004 should cover the liabilities

of those air navigation service

providers.

ALL

INTRO 18 1 EC, STATE

(16) The Agency should further

evaluate the provisions of this

Regulation, in particular those

related to the safety assessment of

changes to the provision of air

navigation services by the certified

organisation and engineering and

technical personnel, and issue an

opinion to adapt them towards a

total system approach, taking into

account the integration of these

provisions into a future common

regulatory structure for civil aviation

safety and the experience gained by

stakeholders and competent

authorities in the field of safety

oversight.

ALL



INTRO 19 1 EC

(17) Regulation (EC) No 551/2004

of the European Parliament and of

the Council of 10 March 2004 on the

organisation and use of the airspace

in the single European sky (the

airspace Regulation) ( 1 ) requires

that specific functions called network

functions are to be set up to allow

optimum use of airspace and scarce

resources, while allowing users

maximum access to airspace as well

as the ability to operate preferred

trajectories. As provided for in

Regulation (EC) No 551/2004,

Commission Regulation (EU) No

677/2011 of 7 July 2011 laying down

detailed rules for the implementation

of air traffic management (ATM)

network functions and amending

Regulation (EU) No 691/2010 ( 2 )

lays down the rights, obligations and

responsibilities of the entity involved

in the provision of those functions.

ALL


STATE

(18) For the safe execution of

certain network functions, the entity

involved is subject to certain

requirements. These requirements

aim to ensure that the entity or

organisation operates in a safe

manner and they are laid down in

Annex VI Regulation (EU) No

677/2011. These are organisation

safety requirements which are very

similar to the general requirements

for the provision of air navigation

services laid down in Annex I to this

Regulation but adapted to the safety

ALL



responsibilities of the network

functions.


STATE

(19) Regulation (EC) No 2096/2005

should therefore be repealed. ALL


STATE

(20) Commission Regulation (EC)

No 482/2008 of 30 May 2008

establishing a software safety

assurance system to be implemented

by air navigation service providers

and amending Annex II to

Regulation (EC) No 2096/2005 ( 3 )

and Commission Regulation (EU) No

691/2010 of 29 July 2010 laying

down a performance scheme for air

navigation services and network

functions and amending Regulation

(EC) No 2096/2005 laying down


provision of air navigation services (

4 ) should be amended in order to

be adapted to this Regulation.

ALL


STATE

(21) The measures provided for in

this Regulation are in accordance

with the opinion of the Single Sky

Committee established by Article 5

of Regulation (EC) No 549/2004,

ALL

ANSP HAS ADOPTED THIS REGULATION: ALL

1 ANSP Article 1

Subject-matter and scope ALL

1 1 1 ANSP This Regulation lays down the ALL




provision of air navigation services.

1 1 ANSP

However, unless Annex I or II makes

provision to the contrary, those

common requirements shall not

apply to:

ALL

1 1 a ANSP

(a) activities other than the

provision of air navigation services

by a provider of such services;

ALL

1 1 b ANSP

(b) resources allocated to activities

outside the provision of air

navigation services.

ALL

2 NSA, ANSP Article 2

Definitions ALL

2 1 1 NSA, ANSP

For the purposes of this Regulation,

the definitions in Article 2 of



216/2008 apply. However, the

definition of ‘certificate’ in Article

2(15) of Regulation (EC) No

549/2004 does not apply.

ALL

2 2 1 NSA, ANSP The following definitions also apply: ALL

2 2 1 NSA, ANSP

(1) ‘aerial work’ means an aircraft

operation in which an aircraft is used

for specialised services such as

agriculture, construction,

photography, surveying, observation

and patrol, earch and rescue or

aerial advertisement;

ALL

2 2 2 NSA, ANSP

(2) ‘commercial air transport’ means

any aircraft operation involving the

transport of passengers, cargo or

mail for remuneration or hire;

ALL

2 2 3 NSA, ANSP (3) ‘functional system’ means a

combination of systems, procedures ALL



and human resources organised to

perform a function within the context

of ATM;

2 2 4 NSA, ANSP

(4) ‘general aviation’ means any

civil aircraft operation other than

aerial work or commercial air

transport;

ALL

2 2 5 NSA, ANSP

(5) ‘national supervisory authority’

means the body or bodies nominated

or established by Member States as

their national supervisory authority

pursuant to Article 4(1) of

Regulation (EC) No 549/2004;

ALL

2 2 6 NSA, ANSP

(6) ‘hazard’ means any condition,

event, or circumstance which could

induce an accident;

ALL

2 2 7 NSA, ANSP (7) ‘organisation’ means an entity

providing air navigation services; ALL

2 2 8 NSA, ANSP

(8) ‘operating organisation’ means

an organisation responsible for the

provision of engineering and

technical services supporting air

traffic, communication, navigation or

surveillance services;

ALL

2 2 9 NSA, ANSP

(9) ‘risk’ means the combination of

the overall probability, or frequency

of occurrence of a harmful effect

induced by a hazard and the severity

of that effect;

ALL

2 2 10 NSA, ANSP

(10) ‘safety assurance’ means all

planned and systematic actions

necessary to provide adequate

confidence that a product, a service,

an organisation or a functional

system achieves acceptable or

tolerable safety;

ALL



2 2 11 NSA, ANSP

(11) ‘safety objective’ means a

qualitative or quantitative statement

that defines the maximum frequency

or probability at which a hazard can

be expected to occur;

ALL

2 2 12 NSA, ANSP

(12) ‘safety requirement’ means a

risk-mitigation means, defined from

the risk-mitigation strategy that

achieves a particular safety

objective, including organisational,

operational, procedural, functional,

performance, and interoperability

requirements or environment

characteristics;

ALL

2 2 13 NSA, ANSP

(13) ‘services’ means either an air

navigation service or a bundle of

such services;

ALL

2 2 14 NSA, ANSP

(14) ‘pan-European air navigation

service’ means an air navigation

service which is designed and

established for users within most or

all Member States and which may

also extend beyond the airspace of

the territory to which the Treaty

applies.

ALL

2 2 15 NSA, ANSP

(15) ‘air navigation service provider’

means any public or private entity

providing ANS for general air traffic,

including an organisation having

applied for a certificate to provide

such services.

ALL

NSA, ANSP

Article 3

Competent authority for

certification

ALL

3 1 NSA, ANSP

1. For the purpose of this

Regulation, the competent authority

for the certification of air navigation

ALL



service providers shall be:

3 1 a NSA, ANSP

(a) for organisations having their

principal place of operation and, if

any, their registered office located in

a Member State, the national

supervisory authority nominated or

established by that Member State;

ALL

3 1 b NSA, ANSP

(b) for organisations providing air

navigation services in the airspace of

the territory to which the Treaty

applies and having their principal

place of operation and, if any, their

registered office located outside the

territory subject to the provisions of

the Treaty, the Agency;

ALL

3 1 c NSA, ANSP

(c) for organisations providing pan-

European air navigation services in

the airspace of the territory to which

the Treaty applies, the Agency.

ALL

3 2 NSA, ANSP

2. The competent authority for

safety oversight shall be the

authority determined in accordance

with Article 3 of Commission

Implementing Regulation (EU) No

1034/2011.

ALL

4 ANSP Article 4

Granting of certificates ALL

4 1 ANSP

1. In order to obtain the certificate

necessary to provide air navigation

services, and without prejudice to

Article 7(5) of Regulation (EC) No

550/2004, organisations shall

comply with:

ALL

4 1 a ANSP

(a) the general requirements for the

provision of air navigation services

set out in Annex I;

ALL



4 1 b ANSP

(b) the additional specific

requirements set out in Annexes II

to V according to the type of service

they provide.

ALL

4 2 ANSP

2. A competent authority shall verify

an organisation’s compliance with

the common requirements before

issuing a certificate to it.

ALL

4 3 ANSP

3. An organisation shall comply with

the common requirements no later

than at the time at which the

certificate is issued pursuant to:

ALL

4 3 a ANSP (a) Article 7 of Regulation (EC) No

550/2004; ALL

4 3 b ANSP

(b) Article 8b(2) and Article 22a(b)

and (c) of Regulation (EC) No

216/2008.

ALL

5 ANSP Article 5

Derogations ALL

5 1 1 ANSP

1. By way of derogation from Article

4(1), certain air navigation service

providers may elect not to avail

themselves of the opportunity to

provide cross-border services and

may waive the right to mutual

recognition within the single

European sky.

ALL

5 1 2 ANSP

They may, in those circumstances,

apply for a certificate which is limited

to the airspace under the

responsibility of the Member State

referred to in Article 7(2) of

Regulation (EC) No 550/2004.

ALL

5 2 ANSP

2. In order to make an application as

referred to in paragraph 1, a

provider of air traffic services shall

ALL



provide services or plan to provide

them only with respect to one or

more of the following categories:

5 2 a ANSP (a) aerial work; ALL

5 2 b NSA, ANSP (b) general aviation; ALL

5 2 c ANSP

(c) commercial air transport limited

to aircraft with less than 10 tonnes

of maximum take-off mass or less

than 20 passenger seats;

ALL

5 2 d 1 NSA

(d) commercial air transport with

less than 10 000 movements per

year, regardless of the maximum

take-off mass and the number of

passenger seats; ‘movements’ being

counted as the sum of take-offs and

landings and calculated as an

average over the previous three

years.

ALL

5 2 d 2 NSA, ANSP

In order to make such an

application, an air navigation service

provider other than a provider of air

traffic services shall have a gross

annual turnover of EUR 1 000 000 or

less in relation to the services it

provides or plans to provide.

ALL

5 2 d 3 NSA, ANSP

Where, owing to objective practical

reasons, an air navigation service

provider is unable to provide

evidence that it meets those

qualifying criteria, the competent

authority may accept analogous

figures or forecasts in relation to the

ceilings defined in the first and the

second subparagraphs.

ALL



5 2 d 4 NSA, ANSP

When submitting such an

application, the air navigation

service provider shall submit to the

competent authority, at the same

time the relevant evidence regarding

the qualifying criteria.

ALL

5 3 1 NSA

3. The competent authority may

grant specific derogations to

applicants who fulfil the qualifying

criteria of paragraph 1,

commensurately with their

contribution to ATM in the airspace

under the responsibility of the

Member State concerned.

ALL

5 3 2 NSA, ANSP Those derogations may relate only to

the requirements set out in Annex I. ALL

5 3 3 NSA, ANSP

However, no derogation shall be

granted for the following

requirements:

ALL

5 3 3 a NSA, ANSP (a) technical and operational

competence and capability (point 1); ALL

5 3 3 b NSA, ANSP (b) safety management (point 3.1); ALL

5 3 3 c NSA, ANSP (c) human resources (point 5); ALL

5 3 3 d NSA, ANSP (d) open and transparent provision

of air navigation services (point 8.1). ALL

5 4 1 NSA, ANSP

4. In addition to the derogations

provided for in paragraph 3, the

competent authority may grant

derogations to applicants who

provide aerodrome flight information

services by operating regularly not

more than one working position at

any aerodrome. It shall do so

commensurately with the applicants’

contribution to ATM in the airspace

under the responsibility of the

ALL



Member State concerned.

5 4 2 NSA, ANSP

Those derogations may relate only to

the following requirements of point 3

of Annex II:

ALL

5 4 2 a NSA, ANSP

(a) safety management

responsibility and external services

and supplies (point 3.1.2(b) and

(e));

ALL

5 4 2 b NSA, ANSP (b) safety surveys (point 3.1.3(a)); ALL

5 4 2 c NSA, ANSP

(c) safety requirements for risk

assessment and mitigation with

regard to changes (point 3.2).

ALL

5 5 NSA, ANSP

5. No derogations shall be granted

from the requirements in Annexes

III, IV or V.

ALL

5 6 NSA, ANSP

6. In accordance with Annex II of

Regulation (EC) No 550/2004, the

competent authority shall:

ALL

5 6 a NSA, ANSP

(a) specify the nature and the scope

of the derogation in the conditions

attached to the certificate by

indicating its legal basis;

ALL

5 6 b NSA, ANSP

(b) limit the validity of the

certificate in time, where considered

necessary for oversight purposes;

ALL

5 6 c NSA, ANSP

(c) monitor whether the air

navigation service providers continue

to qualify for the derogation.

ALL

6 ANSP Article 6

Demonstration of compliance ALL



6 1 ANSP

1. Organisations shall provide all the

relevant evidence to demonstrate

compliance with the applicable

common requirements at the request

of the competent authority.

Organisations may make full use of

existing data.

ALL

6 2 ANSP

2. A certified organisation shall

notify the competent authority of

planned changes to its provision of

air navigation services which may

affect its compliance with the

applicable common requirements or

with the conditions attached to the

certificate, where applicable.

ALL

6 3 1 ANSP

3. Where a certified organisation no

longer complies with the applicable

common requirements or, where

applicable, with the conditions

attached to the certificate, the

competent authority shall, within one

month of the date of discovering the

non-compliance, require the

organisation to take corrective

action.

ALL

6 3 2 NSA That decision shall immediately be

notified to the relevant organisation. ALL

6 3 3 NSA

The competent authority shall check

that the corrective action has been

implemented before notifying its

approval to the relevant

organisation.

ALL



6 3 4 NSA

Where the competent authority

considers that corrective action has

not been properly implemented

within the timetable agreed with the

organisation, it shall take

appropriate enforcement measures

as provided for in Article 7(7) of


Article 10, Article 22a(d), and

Articles 25 and 68 of Regulation (EC)

No 216/2008, while taking into

account the need to ensure the

continuity of air navigation services.

ALL

7 NSA

Article 7

Facilitation of compliance

monitoring

ALL

7 1 NSA, ANSP

Organisations shall facilitate

inspections and surveys by the

competent authority or by a qualified

entity acting on the latter’s behalf,

including site visits and visits without

prior notice.

ALL

7 2 2 NSA

The authorised persons shall be

empowered to perform the following

acts:

ALL

7 2 2 a NSA

(a) to examine the relevant records,

data, procedures and any other

material relevant to the provision of

air navigation services;

ALL

7 2 2 b NSA

(b) to take copies of or extracts

from such records, data, procedures

and other material;

ALL

7 2 2 c NSA (c) to ask for an oral explanation on

site; ALL

7 2 2 d NSA (d) to enter relevant premises, lands

or means of transport. ALL



7 3 NSA

Such inspections and surveys, when

conducted by a competent authority

or by a qualified entity acting on

their behalf, shall be carried out in

compliance with the legal provisions

of the Member State in which they

are to be undertaken.

ALL

8 NSA Article 8

Ongoing compliance ALL

8 1 NSA

The competent authority shall, on

the basis of the evidence at its

disposal, monitor annually the

ongoing compliance of the

organisations which it has certified.

ALL

8 2 NSA

To that end, the competent authority

shall establish and update annually

an indicative inspection programme

which covers all the providers it has

certified and which is based on an

assessment of the risks associated

with the different operations

constituting the air navigation

services provided. It shall consult the

organisation concerned as well as

any other competent authority

concerned, if appropriate, before

establishing such a programme.

ALL

8 3 NSA

The programme shall indicate the

envisaged interval of the inspections

of the different sites.

ALL

9 NSA

Article 9

Safety regulation of engineering

and technical personnel

ALL

9 1 NSA

With regard to the provision of air

traffic, communication, navigation or

surveillance services, the competent

authority or any other authority

ALL



designated by a Member State to

fulfil this task shall:

9 1 a NSA

(a) issue appropriate safety rules for

engineering and technical personnel

who undertake operational safety-

related tasks;

ALL

9 1 b NSA

(b) ensure adequate and

appropriate safety oversight of the

engineering and technical personnel

assigned by any operating

organisation to undertake

operational safety- related tasks;

ALL

9 1 c NSA

(c) on reasonable grounds and after

due enquiry, take appropriate action

in respect of the operating

organisation and/or its technical and

engineering personnel who do not

comply with the requirements of

point 3.3 of Annex II;

ALL

9 1 d NSA

(d) verify that appropriate methods

are in place to ensure that third

parties assigned to operational

safety-related tasks comply with the

requirements of point 3.3 of Annex

II.

ALL

10 NSA Article 10

Peer review procedure ALL

10 1 NSA

1. The Commission, acting in

cooperation with the Member States

and the Agency may arrange peer

reviews of national supervisory

authorities in accordance with

paragraphs 2 to 6.

ALL

10 2 1 NSA

2. A peer review shall be carried out

by a team of national experts and,

where appropriate, observers from

ALL



the Agency.

10 2 2 EC

A team shall be comprised of experts

coming from at least three different

Member States and the Agency.

ALL

10 2 3 STATE, NSA

Experts shall not participate in peer

reviews in the Member State where

they are employed.

ALL

10 2 4 EC, NSA

The Commission shall establish and

maintain a pool of national experts,

designated by Member States, which

shall cover all aspects of the

common requirements as listed in


550/2004.

ALL

10 3 1 EC

3. Not less than three months before

a peer review, the Commission shall

inform the Member State and the

national supervisory authority

concerned of the peer review, the

date on which it is scheduled to take

place and the identity of the experts

taking part in it.

ALL

10 3 2 EC

The Member State whose national

supervisory authority is subject to

review shall approve the team of

experts before it may carry out the

review.

ALL

10 4 1 EC

4. Within a period of three months

from the date of the review, the

review team shall draw up, by

consensus, a report which may

contain recommendations.

ALL

10 4 2 STATE, NSA

The Commission shall convene a

meeting with the Agency, the

experts and the national supervisory

authority to discuss that report.EN L

ALL



271/28 Official Journal of the

European Union 18.10.2011

10 5 1

5. The Commission shall forward the

report to the Member State

concerned.

ALL

10 5 2 STATE, NSA

The Member State may, within three

months from the date of receipt of

the report, present its observations.

ALL

10 5 3 STATE, NSA

Those observations shall include,

where relevant, the measures which

the Member State has taken or

intends to take to respond to the

review within a given timescale.

ALL

10 4 4 STATE, NSA

Unless otherwise agreed with the

Member State concerned, the report

and the follow-up shall not be

published.

ALL

10 6 STATE, NSA

6. The Commission shall inform the

Member States through the Single

Sky Committee of the main findings

of these reviews on an annual basis.

ALL

11 NSA, ANSP,

STATE

Article 11

Transitional provisions ALL

11 1 NSA, ANSP,

STATE

1. Air navigation service providers

holding a certificate issued in


2096/2005 on the date of entry into

force of this Regulation shall be

deemed to hold a certificate issued

in accordance with this Regulation.

ALL

11 2 NSA, ANSP,

STATE

2. Applicants for an air navigation

service providers’ certificate which

submitted their application before

the date of entry into force of this

Regulation and were not already

issued with a certificate on that date

ALL



shall show compliance with the

provisions of this Regulation before

the certificate is issued.

11 3 NSA, ANSP,

STATE

3. Where organisations, for which

the competent authority will be the

Agency in accordance with Article 3,

have applied to a national

supervisory authority of a Member

State for the issue of a certificate

before the date entry into force of

this Regulation, the national

supervisory authority shall finalise

the certification process in

coordination with the Agency and

transfer the file to the Agency upon

the issue of the certificate.

ALL

12 NSA, ANSP,

STATE

Article 12

Repeal ALL

12 NSA, ANSP,

STATE

Regulation (EC) No 2096/2005 is

repealed. ALL

13 NSA, ANSP,

STATE

Article 13

Amendment to Regulation (EC)

No 482/2008

ALL

13 NSA, ANSP,

STATE

Regulation (EC) No 482/2008 is

amended as follows: ALL

13 1 NSA, ANSP,

STATE

(1) in Article 4(5), the reference to

‘Regulation (EC) No 2096/2005’ is

replaced by a reference to

‘Commission Implementing

Regulation (EU) No 1035/2011.

ALL

13 2 NSA, ANSP,

STATE (2) Article 6 is deleted; ALL

13 3 NSA, ANSP,

STATE

(3) in Annex I, in points 1 and 2,

the reference to ‘Regulation (EC) No

2096/2005’ is replaced by a

ALL



reference to ‘Implementing

Regulation (EU) No 1035/2011’.

14 NSA, ANSP,

STATE

Article 14

Amendment to Regulation (EC)

No 691/2010

ALL

14 NSA, ANSP,

STATE

In Regulation (EU) No 691/2010,

Article 25 is deleted. ALL

15 NSA, ANSP,

STATE

Article 15

Entry into force ALL

15 NSA, ANSP,

STATE

This Regulation shall enter into force

on the 20th day following its

publication in the Official Journal of

the European Union.

ALL



Nr.of

Annex Point

Para.

Nr

Appli-

cability

Area

Text of Common

Requirement Domain Key Elements Evidence

How to Assess the

Evidence

Compliance Actions

needed &

planned

completion

date

Yes On

going No

I 1 ANSP

1. TECHNICAL

AND

OPERATIONAL

COMPETENCE

AND CAPABILITY

SAF,

CNS

I 1 ANSP

Air navigation

service providers

shall be able to

provide their

services in a safe,

efficient,

continuous and

sustainable

manner

consistent with

any reasonable

level of overall

demand for a

given airspace. To

this end, they

shall maintain

adequate

technical and

operational

capacity and

expertise.

SAF,

CNS

ANSP to provide safe,

efficient, continuous

and consistent in

respect of given

airspace.

This

requirement is

incorporated in

the other CRs.

Therefore it is

not necessary

to assess this

requirement

separately.

Consider the size of

the organisation.

check if the ANSP’s

organisational

structure supports:

1. safe service

2. efficient service

3. continuous

provision of services.

check if the

organisational

structure defines the

above mentioned

criteria for the ANSP

I 2 ANSP

2.

ORGANISATIONAL

STRUCTURE AND

MANAGEMENT

ALL



I 2 1 ANSP

2.1.

Organisational

structure

ALL

I 2 1 1 ANSP

Air navigation

service providers

shall set up and

manage their

organisation

according to a

structure that

supports the safe,

efficient and

continuous

provision of air

navigation

services.

ALL

the organisational

structure of the ANSP

shall support the safe,

efficient and

continuous provision

of services.

Set up structure

that supports

the:

1. safe

2. efficient

3. continuous

provision of

services

Evidence should

be collected

that indicate

the ANSP has

an effective

SMS (safe) and

QMS (efficient).

Consider the size of

the organisation.

check if the ANSP’s

organisational

structure supports:

1. safe service

2. efficient service

3. continuous

provision of services.

check if the

organisational


above mentioned

criteria for the ANSP

This is a high level

requirement that

cannot be checked

without checking

other requirements

(especially regarding

SMS and QMS). This

should be the result

of the analysis of

evidence from those

requirements.

I 2 1 2 ANSP

The organisational

structure shall

define:

ALL



I 2 1 3 a ANSP

(a) the authority,

duties and

responsibilities of

the nominated

post holders, in

particular of the

management

personnel in

charge of safety,

quality, security,

finance and

human resources

related functions;

ALL

the organisational


shall define the

different functions

and responsibilities of

its and the

nominated post

holders for this

divisions

Manage organisation

according to the

structure defined

Designate positions

for management

personnel in charge

of:

1. safety

2. quality

3. security

4. finance and

5. human resources

Job descriptions

for

management

personnel in

charge of

1. safety

2. quality

3. security

4. finance and

5. human

resources

Document of

delegation of

power and

signature (e.g.

copy of

company

registration if

applicable

check if the

organisational


following

organizational parts

and if nominates the

post holders for it:

1. safety

management

2. quality

management

3. security

management

4. financial

management

5. human resources

management

if yes check if it is

defined their

1. authority

2. duties

3. responsibilities

Verify that signed job

descriptions exist for

this personnel.

Verify that the

delegation of power

and signature (e.g.

copy of company

registration if

applicable) is

consistent with the

organisational

chart/documentation

of organisational



structure.



I 2 1 3 b ANSP

(b) the

relationship and

reporting lines

between different

parts and

processes of the

organisation.

ALL

the organisational


shall define the

relationship and

reporting lines

between different

parts and processes

of the organisation.

Define

1. authority

2. duties and

3.

responsibilities

Define the

different parts

and processes

of the

organisation.

Define

1. Relationship

and

2. Reporting

lines

Check if the ANSP’s

organisational

structure defines in

an adequate manner

the:

1. relationship

between different

parts of the

organisation

2. reporting lines

between different

parts of the

organisation

3. processes between

different parts of the

organisation

Verify the relevant

reporting lines are

identified and

described.

Verify that the

1. relevant processes

2. process owner

3. reporting lines

4. nterfaces to the

outside world

are described.

Organisational

chart/documentation

of organisational

structure

Service Level

Agreements

Definition and

implementation of a

description of the

departments as well



as of the processes

(e.g. process model)

Documentation on

outsourced/external

activities including

their legal framework

I 2 2 ANSP

2.2.

Organisational

management

ALL



I 2 2 1 ANSP 2.2.1. Business

plan ALL

I 2 2 1 ANSP

Air navigation

service providers

shall produce a

business plan

covering a

minimum period

of five years. The

business plan

shall:

ALL

Business plan which

cover at least a period

of five years

Business plan

(or any other

document

covering the

required

content) that

covers at least

a period of five

years.

Verify if a business

plan that covers at

least a period of five

years exists.



I 2 2 1 a ANSP

(a) set out the

overall aims and

goals of the air

navigation service

provider and its

strategy towards

achieving them in

consistency with

any overall longer

term plan of the

air navigation

service provider

and with relevant

Union

requirements for

the development

of infrastructure

or other

technology;

ALL

1. Overall aims and

goals

2. Strategy towards

achieving them in

consistency with any

overall longer term

plan of the provider

and with relevant

Community European

Union requirements.

Re to SESAR

progressive

implementation.

Existence of a

business plan

Verify if the business

plan covers:

1. the ANSP’s Vision,

Mission and Values;

2. a description of

the Business Context

that provides

information on the

governing and

managerial

framework the ANSP

operates in;

3. the Business

strategies;

4. the long-term

goals (5 years) and

the short term goals

(1-2 years);

5. the activities for

the short term goals

– It will be the basis

of the

Annual Plan;

1. the human and

financial resources

and investments;

2. the organisational

issues/structure;

3. the development

plans of

infrastructure and

technology (in

accordance with

relevant Community

and EUROCONTROL

requirements (e.g.

European



Convergence and

Implementation

Plan).



I 2 2 1 b ANSP

(b) contain

appropriate

performance

targets in terms

of safety,

capacity,

environment and

cost-efficiency, as

may be

applicable.

ALL

The business plan

contains performance

indicators;Consistency

with the national or

FAB performance plan

as per Art. 11 of the

Framework

Regulation.

Safety data consistent

with the State safety

programme.

Safety and business

justification (i.e.

business cases) for

major investments

(e.g. above 10% of

its annual budget).

Impact on

performance

indicators shall be

assessed and

demonstrated.

Moreover, inv. Plans

should be in line with

the legal obligations

stemming from

SESAR.

The business

plan contains

performance

indicators

Verify if the business

plan describes

performance

objectives in terms

of:

- quality and level of

service,

1. safety,

2. capacity

3. environment and

4. cost-efficiency

as may be

applicable.



I 2 2 1 b ANSP

The information

listed in points (a)

and (b) shall be

consistent with

the national or

functional

airspace block

performance plan

referred to in

Article 11 of

Regulation (EC)

No 549/2004 and,

as far as safety

data is concerned,

consistent with

the State Safety

Programme

referred to in

Standard 2.27.1

of Annex 11 to

the Convention on

International Civil

Aviation,

Amendment 47B

from 20 July 2009

as applicable.

ALL

I 2 2 1 b ANSP

Air navigation

service providers

shall produce

safety and

business

justifications for

major investment

projects including,

where relevant,

the estimated

impact on the

ALL



appropriate

performance

targets referred

to in point (b) and

identifying

investments

stemming from

the legal

requirements

associated with

the

implementation of

the Single

European Sky

ATM Research

Programme

(SESAR).

I 2 2 2 ANSP 2.2.2. Annual

plan ALL

I 2 2 2 ANSP

Air navigation

service providers

shall produce an

annual plan

covering the

forthcoming year

which shall

specify further the

features of the

business plan and

describe any

changes to it.

ALL

Annual plan that

a. Covers the

forthcoming year

b. Specifies further

the business plan

c. Describes any

changes to the

business plan.

Annual plan

a. Verify if the annual

plan covers the

forthcoming year

b. provides more

detailed information

that is in line with the

business plan for the

forthcoming year

c. specifies any

changes to the

business plan.



I 2 2 2 ANSP

The annual plan

shall cover the

following

provisions on the

level and quality

of service, such

as the expected

level of capacity,

safety,

environment and

cost-efficiency, as

may be

applicable:

ALL

Annual plan that

covers

a. Provisions on the

level of quality of

service (expected

capacity, safety and

delays to flights

incurred)

b. Financial

arrangements

Annual plan See below

I 2 2 2 a ANSP

(a) information

on the

implementation of

new infrastructure

or other

developments and

a statement how

they will

contribute to

improving the

performance of

the air navigation

service provider,

including level

and quality of

services;

ALL

1. Provide information

on the new

infrastructure or other

development

2. Provide a

statement saying how

they contribute to the

quality of services.

improving the

performance of the air

navigation service

provider, including

level and quality of

services.

Annual plan

Verify if the

information provided

in the annual plan

with regard to the

new infrastructure or

other developments

is consistent with the


in the business plan.

Verify whether the

contribution of the


other developments

on the quality of

service is described.



I 2 2 2 b ANSP

(b) performance

indicators

consistent with

the national or

functional

airspace block

performance plan

referred to in

Article 11 of

Regulation (EC)

No 549/2004

against which the

performance level

and quality of

service may be

reasonably

assessed;

ALL

1. provide

performance

indicators consistent

with the national or

functional airspace

block

2. performance plan

referred to in Article

11 of the framework

Regulation against

which the

performance level and

quality of service may

be reasonably

assessed;

Measures plan to

mitigate safety risks

idenrtified in the

safety plan of the air

navigation service

provider.

This should include

safety indicators to

monitor safety risk

and where

appropriate the

estimated cost of

mitigation measures;

Annual plan

Verify that that

Annual Plan covers:

a. performance

target settings

b. capacity plan

c. predicted

performance in terms

of safety

d. predicted

performance in terms

and delays.

Verify if the

performance

indicators of the

annual plan are

consistent with the

performance

objectives described

in the business plan.

I 2 2 2 c ANSP

(c) information

on the measures

foreseen to

mitigate the

safety risks

identified in the

safety plan of the

air navigation

service provider,

ALL



including safety

indicators to

monitor safety

risk and, where

appropriate, the

estimated cost of

mitigation

measures;

I 2 2 2 d ANSP

(d) the air

navigation service

provider’s

expected short-

term financial

position as well as

any changes to or

impacts on the

business plan.

ALL

a. the short- term

expected financial

position

b. any changes to or

impacts on the

business plan The

content of the

performance part of

the business plan and

of the annual plan to

be available to the

European Commission

on request under

conditions set by the

national supervisory

authority in

accordance with

national law.'

The annual plan

provides

information on

the expected

short-term

financial

position of the

ANSP.

Verify if the annual

plan provides

information on the

1. short-term

expected financial

position

2. links of

implementation of


other developments

with human and

financial resources

and investments.

Verify if the


in the annual plan is

consistent with


in the 5-year

business plan.

Verify if any changes

to or impacts on the

business plan are

described in the

annual plan.

I 2 2 3 ANSP

2.2.3.

Performance part

of the plans

ALL



I 2 2 3 ANSP

The air navigation

service provider

shall make the

content of the

performance part

of the business

plan and of the

annual plan

available to the

Commission on

request under the

conditions set by

the competent

authority in

accordance with

national law.

ALL

I 3 ANSP

3. SAFETY AND

QUALITY

MANAGEMENT

SAF,

QTY

I 3 1 ANSP 3.1. Safety

management SAF



I 3 1 1 ANSP

Air navigation

service providers

shall manage the

safety of all their

services. In doing

so, they shall

establish formal

interfaces with all

stakeholders

which may

influence directly

the safety of their

services.

SAF

The proposed

approach is in

consultation with NSA

to identify list of

Stakeholders subject

to this requirement.

ANSP shall formalise

interfaces and binding

procedures (e.g.

Service Level

Agreements) related

to the concerned

Stakeholders, for

providing and

receiving the

information necessary

for the provision of a

certain part of the

service provided by

an ANSP.

For the

identified

stakeholders,

Service Level

Agreements

established in a

way that ensure

that decisions

taken, that may

impact safety,

are clearly

documented as

well as the

rationale for

these decisions.

Verify whether the

Service Level

Agreement covers all

interfaces with

stakeholders that

may influence the

safety of its services.

Verify whether the

Service Level

Agreements formalise

the interfaces for

providing and

receiving all material

and non-material

supplies and services.

I 3 1 2 ANSP

Air navigation

service providers

shall develop

procedures for

managing safety

when introducing

new functional

systems or

changing the

existing functional

systems.

SAF

I 3 2 ANSP

3.2. Quality

management

system

QTY



I 3 2 1 ANSP

Air navigation

service providers

shall have in

place a quality

management

system which

covers all air

navigation

services that they

provide, according

to the following

principles.

QTY

1. The ANSP shall

have a quality

management system

(QMS) in place that

shall cover all air

navigation services

provided.

The following at

least should be

in place:

1. A quality

policy text well

communicated

in the

organisation;

2. Quality

assurance

programme and

associated

procedures;

3. Quality

management

system

documents and

records;

4. Management

representative

confirmation;

5. Records from

management

reviews;

6. Internal

quality audits

and provision of

relevant

reports.

Scenario 1: Check

the availability, the

scope and validity of

the EN ISO 9001

Certificate

Scenario 2:

NSA could check

evidence by

1. conducting a desk

audit (on/off site)

2. conducting an on-

site audit

3. issuing its own

NSA questionnaire

4. contracting a

third-party for

auditing

5. checking internal

quality audits by

ANSP & provision of

audit reports

I 3 2 2 ANSP

The quality

management

system shall:

QTY



I 3 2 2 a ANSP

(a) define the

quality policy in

such a way as to

meet the needs of

different users as

closely as

possible;

QTY

1. A quality policy

text well

communicated in the

organisation should

be agreed;

2. This quality policy

should be agreed via

an internal ANSP

consultation process

with the wide

participation of key

management and

individuals of the

organisation;

3. The quality policy

defined shall cover

the needs of the

different stakeholders

(customers,

employees, suppliers,

regulatory

authorities).

1. The text of

the quality

policy should be

included in the

ANSP QMS

manual or

handbooks;

2. Notes,

minutes or

other records of

various

consultation

sessions should

be filled and

archived as a

piece of

evidence.

Verify whether the

quality policy has

been defined and

covers the needs of

the different users

(clients, employees,

suppliers...).



I 3 2 2 b ANSP

(b) set up a

quality assurance

programme that

contains

procedures

designed to verify

that all operations

are being

conducted in

accordance with

applicable

requirements,

standards and

procedures;

QTY

1. The ANSP should

set up a quality

assurance programme

with relevant

procedures in place’

2. The quality

procedures are used

to verify that all

operations are being

conducted in

accordance with

applicable

requirements,

standards and

procedures.

Quality

assurance

programme and

associated

procedures in

place

Verify whether the

quality procedures

are used to verify

that all operations

are being conducted

in accordance with

applicable

requirements,

standards and

procedures.



I 3 2 2 c ANSP

(c) provide

evidence of the

functioning of the

quality

management

system by means

of manuals and

monitoring

documents;

QTY

Manuals, handbooks

and documented

monitoring

procedures should be

in place

A clear

evidence that

the of the

quality system

is functioning as

appropriate

should consist

of the following:

1. quality

management

system

documents e.g.

quality

management

manual;

2. process

procedures,

work

procedures &

instructions,

3. monitoring

documents;

4. internal

quality audit

documents

(schedules,

audit reports,

corrective

action reports);

and

5. quality

records;

6. verification

whether the

quality

management

documents

Verify whether the

quality management

documents have

been implemented

and verify examples

of quality records

based on the

procedure outputs.



have been

implemented

and verify

examples of

quality records

based on the

procedure

outputs.



I 3 2 2 d ANSP

(d) appoint

management

representatives to

monitor

compliance with,

and adequacy of,

procedures to

ensure safe and

efficient

operational

practices;

QTY

1. The ANSP should

have formally

appointed

management

representatives

responsive to monitor

the competence of

processes and

procedures of the

work flow;

2. Organisational

structure of the

quality management

should be also defined

with associated terms

of reference, working

arrangements, job

and task descriptions.

The

organisational

documentation

or quality

manual should

clearly state;

1. the role of

management

representative

(e.g. QMS

manager) for

the quality

system who,

irrespective of

other

responsibilities:

2. the

responsibility

and authority of

the

management to

ensure that the

QMS is

established,

implemented

and maintained

and reports on

the

performance of

the QMS to top

management;

3. an adequate

job description

to make sure

that the person

for this role

has;

Verify whether the

organisational

documentation or

quality manual

includes:

1. a role of

Management

Representative for

the quality system

who,

2. irrespective of

other responsibilities

3. has the

responsibility and

4. authority

5. to ensure that the

QMS is

a. established

b. implemented

c. maintained

d. to report on the

performance of the

QMS

to top management;

make sure that the

person for this role

has an adequate job

description



4. relevant

working

arrangements.

I 3 2 2 e ANSP

(e) perform

reviews of the

quality

management

system in place

and take remedial

actions, as

appropriate.

QTY

1. ANSP perform

surveys, reviews and

audits of the quality

system;

2. take remedial

actions, as

appropriate

The following

records should

be in place:

1. records from

management

reviews on the

QMS by top

management;

2. records of

implementing

Verify whether

records from

management reviews

are available and if

they include action

items if appropriate;

if action items have

been defined, check

whether these action

items are traced;



action items

and if are

properly traced

I 3 2 3 ANSP

An EN ISO 9001

certificate, issued

by an

appropriately

accredited

organisation,

covering the air

navigation

services of the

provider shall be

considered as a

sufficient means

of compliance.

The air navigation

service provider

shall accept the

disclosure of the

documentation

related to the

certification to the

competent

authority upon

the latter’s

request.

QTY

1. An EN ISO 9001

certificate, issued by

an appropriately

accredited

organisation and

covering all air

navigations services

the ANSP provides is

a sufficient means of

compliance.

2. Much attention

should be paid to the

scope of the

certifications for they

were issued.

1. The

Certification

(registration)

body should

have been

approved by an

Accreditation

Body, e.g. refer

to the ISO

Directory of ISO

9000

Accreditation

and

Certification

Bodies – focus

on the

certification

(registration)

bodies

operating

nationally or

multi-

nationally.

2. The

accredited

organisation

that issued the

1. Accredited

organisation should

have previous

experience in air

traffic business at

least (if not ATM).

2. & 3. Audit report

will reveal the scope

and depth of the

audit.

ISO certificates

shoud never be taken

"as is".



certificate has

the required

specific

business-sector

experience (SIC

9621 and 4581)

3. the scope of

the certificate

must cover all

air navigation

services

provided by the

ANSP.

I 3 2 4 ANSP

Air navigation

service providers

may integrate

safety, security

and quality

management

systems into their

management

system.

QTY

Independantly how

the combination is

made particular

oversight on ANSP

quality should take

place.

I 3 3 ANSP 3.3. Operations

manuals

SAF,

QTY



I 3 3 1 ANSP

Air navigation

service providers

shall provide and

keep up-to-date

operations

manuals relating

to the provision of

their services for

the use and

guidance of

operations

personnel.

SAF,

QTY

1. Operations

manuals for ATS,

CNS, AIS and MET

providers shall be in

place

2. All formal

operations manuals

must be regularly or

ad hoc updated in line

with a procedure in

place;

3. up-to-date

documented

processes on work

flow should provide

users with adequate

guidance;

4. The ANSP should

ensure that it has an

effectively functioning

document control

system.

The following

evidence should

be at least

acquired:

1. ANSP’s

document

control

procedure,

together with a

list of examples

of controlled

documents;

2. the

documents

listed are

appropriate for

the scope of the

ANSP services

provided and

include the

relevant

operations

manuals;

3. records

demonstrating

an effectively

functioning

document

control system;

e.g.

management

reviews, quality

audit reports

and corrective

action plans

4. all operations

manuals are

Scenario 1:

Check the availability

and scope of a valid

EN ISO 9001

Certificate

Scenario 2:

1. Check ANSP’s

document control

procedure, together

with a list of

controlled

documents;

Verify whether the

documents listed are

appropriate for the

scope of the ANSP

services provided and

include the relevant

operations manuals;

2. Verify records

demonstrating an

effectively

functioning document

control system; e.g.

management

reviews, quality audit

reports and

corrective action

plans



available and

updated;

5. The following

should be

checked: the

date of last

review,

alignment with

ICAO

requirements

regarding

operations

manuals in

particular

regarding Air

Traffic Services,

the updating

and validity of

local operations

manuals (e.g.

TWRs),

I 3 3 2 ANSP They shall ensure

that:

SAF,

QTY



I 3 3 2 a ANSP

(a) operations

manuals contain

the instructions

and information

required by the

operations

personnel to

perform their

duties;

SAF,

QTY

1. Operations

manuals contain the

appropriate

instructions and

2. information

required by

operations personnel

to perform their duty

Documents

listed are

appropriate for

the scope of

ANSP's services

provided and

include the

relevant

operations

manuals;

Verify whether the

operations manuals

cover all areas of

operations the ANSP

provides (AIS(P),

ATS(P), MET(P),

CNS(P)) and contain

the required

information needed

by the operations

personnel.The ANSP

should be able to

provide evidence of a

process that ensures

that the

documentation is in

line with the

appropriate ICAO

Standards mentioned

in the specific ANNEX

for each ANSP.

I 3 3 2 b ANSP

(b) relevant parts

of the operations

manuals are

accessible to the

personnel

concerned;

SAF,

QTY

1. All key operational

manuals should be

accessible to the

personnel concerned;

2. adequate number

of hard copies for all

manuals must

available

1. The

operations

personnel can

access the

relevant and

current parts of

the operations

manuals;

2. In each

operational

position should

be a set of

applicable up

today

operations

manuals

Verify whether the


can access the

relevant and current

parts of the

operations manuals.

Should be covered by

the QMS but due to

the importance of the

operations manuals

the NSA may decide

to assess this

requirement in any

case.



accessible to

operational

staff.

I 3 3 2 c ANSP

(c) the operations

personnel are

expeditiously

informed of

amendments to

the operations

manual applying

to their duties as

well as of their

entry into force.

SAF,

QTY

1. Expeditious

communication of

amendments to the

operations manual

2. and their entry into

force to the


Documentation

management

system should

cover:

1. the change

management;

2. records

demonstrating

an effectively

functioning

document

control system.

1. Ask the ANSP to

explain the process

that assures that the

operation personnel

is informed about

changes to

operations manuals

based on an example

(e.g. latest change);

2. Verify whether the

date when the

changes enter into

force is specified;

3. Verify if the

described evidence is

available.



I 4 ANSP 4. SECURITY SEC Establish a security

management system

1.

Documentation

of procedures

with regard to

the security

management

system

2. Evidence that

the procedures

have been

implemented

1. Desktop review of

the security

management system

documentation.

2. On-site audit of

the implementation

of the procedures.

Recital 14 states

"(14) Air navigation

service providers

should operate in

compliance with the

relevant ICAO

standards". The

ICAO requirements

for aviation security

are summarised in

ICAO Doc. 8973,

Security Manual for

Safeguarding Civil

Aviation Against Acts

of Unlawful

Interference.

I 4 1 ANSP

Air navigation

service providers

shall establish a

security

management

system to ensure:

SEC

Ensure security of:

a. facilities

b. personnel

prevent unlawful

interference with the

provision of services

1.

Documentation

of procedures

with regard to

the security

management

system

2. Evidence that

the procedures

are

implemented

1. Verify if a security

concept for facilities

(infrastructure and IT

systems) and

personnel exists.

2. Verify if there is

evidence available

that this concept has

been implemented.



I 4 1 a ANSP

(a) the security

of their facilities

and personnel so

as to prevent

unlawful

interference with

the provision of

air navigation

services;

SEC

1. Ensure security of

operational data

(send, receive,

employ)

2. restricted access to

operational data to

authorised personnel

1.

Documentation

of procedures

with regard to

the security

management

system

2. Evidence that

the procedures

are

implemented

1. Verify if a security

concept for

operational data

exists.

2. Verify if

procedures to restrict

access to operational

data exists.

3. Verify if there is

evidence available

that this concept has

been implemented.

I 4 1 b ANSP

(b) the security

of operational

data they receive

or produce or

otherwise employ,

so that access to

it is restricted

only to those

authorised.

SEC

Note: It is

recommended that

the NSA should agree

with the ANSP the

threat assessment

that is appropriate for

each facility and the

type of response that

is needed. The threat

assessment should

be made in

conjunction with

appropriate national

government and/or

military agencies.

I 4 2 ANSP

The security

management

system shall

define:

SEC



I 4 2 a ANSP

(a) the

procedures

relating to

security risk

assessment and

mitigation,

security

monitoring and

improvement,

security reviews

and lesson

dissemination;

SEC

Procedures relating to

1. security risk

assessment and

mitigation,

2. security monitoring

and improvemen

3. security reviews

and lesson

dissemination;

Documentation

describing the

procedure

related to

1. security risk

assessment and

mitigation

2. security

monitoring and

improvement

3. security

reviews

4.

dissemination

of lessons

learned

Verify if the

procedures related to

1. security risk

assessment and

mitigation

2. security

monitoring and

improvement

3. ecurity reviews

4. dissemination of

lessons learned

are documented and

implemented.

I 4 2 b ANSP

(b) the means

designed to

detect security

breaches and to

alert personnel

with appropriate

security warnings;

SEC

Means designed to:

1. detect security

breaches

2. to alert personnel

with appropriate

security warnings

Documentation

describing the

1. means to

detect security

breach

2. means to

alert personnel

with

appropriate

security

warnings

Verify if the


the

1. means to detect

security breaches

2. means to alert

personnel with

appropriate security

warnings

are documented and

implemented.



I 4 2 c ANSP

(c) the means of

containing the

effects of security

breaches and to

identify recovery

action and

mitigation

procedures to

prevent

reoccurrence.

SEC

Means of containing

the effects of security

breaches and to

identify recovery

action and mitigation

procedures to prevent

re-occurrence.

Documentation

describing the

1. means

containing the

effects of

security

breaches

2. means

identifying

recovery and

mitigation

procedures

3. means

preventing re-

occurrence

Verify if the


the

1. means containing

the effects of security

breaches

2. means identifying

recovery and

mitigation procedures

3. means preventing

re-occurrence

are documented and

implemented.

I 4 3 ANSP

Air navigation

service providers

shall ensure the

security clearance

of their personnel,

if appropriate,

and coordinate

with the relevant

civil and military

authorities to

ensure the

security of their

facilities,

personnel and

data.

SEC

1. security clearance

of its personnel, if

appropriate.

2. coordination with

relevant civil and

military authorities to

ensure the security of

its facilities, personnel

and data

Documentation

describing

1. whether

security

clearance of the

personnel is

implemented or

not

2. how security

clearance is

implemented if

appropriate

3. Evidence of

coordination

with relevant

civil and

military

authorities to

ensure security

of facilities,

personnel and

data

1. Verify if security

clearance of the

personnel is

implemented.

a. If there is no

security clearance

implemented verify

the rationale.

2. Check the

evidence for the

coordination with

relevant civil and

military authorities to

ensure

a. security of

facilities,

b. personnel

c. data

are defined.



I 4 4 ANSP

The safety,

quality and

security

management

systems may be

designed and

operated as an

integrated

management

system.

SEC

I 5 ANSP 5. HUMAN

RESOURCES HUM

I 5 ANSP

Air navigation

service providers

shall employ

appropriately

skilled personnel

to ensure the

provision of air

navigation

services in a safe,

efficient,

continuous and

sustainable

manner. In this

context, they

shall establish

policies for the

recruitment and

training of

personnel.

HUM

1. Employ

appropriately skilled

personnel

2. Establish policies

for the recruitment

and training of

personnel

1. Human

Resource policy

describing

recruitment and

training of

personnel

2. Training

documentation

and records

1. Verification if a

human resources

policy exists covering

a. recruitment and

b. training.

2. Ensure that the

same policy exists for

appointing internal

staff for certain

positions.

3. Verify if evidence

exists that human

resource policy is

implemented.

I 6 ANSP 6. FINANCIAL

STRENGTH FIN

I 6 1 ANSP

6.1. Economic

and financial

capacity

FIN



I 6 ANSP

Air navigation

service providers

shall be able to

meet their

financial

obligations, such

as fixed and

variable costs of

operation or

capital investment

costs. They shall

use an

appropriate cost

accounting

system. They

shall demonstrate

their abilities

through the

annual plan as

referred to in

point 2.2.2 as

well as through

balance sheets

and accounts as

practicable under

their legal statute.

FIN

1. Ability to meet

financial obligations

2. Appropriate cost

accounting system

3. Demonstration by

means of

a. annual plan,

b. balance sheets

c. accounts as

practicable under its

legal status

1. Balance

sheets and

accounts

2. Annual plan

3. Financial

audit report (as

required by

ANNEX I, 6.2

Financial audit)

1. Verify whether the

compliance of the

balance sheets and

accounts with IFRS

has been confirmed

by an independent

auditor.

a. If compliance is

not achieved owing

to the legal status of

ANSP verify whether

is explanation where

is non-compliance

and why.

2. Verify that the

process of financial

audit itself

demonstrates that, in

the view of the

auditor, the company

is ‘a going concern’.

a. If this were not the

case, the auditor

would be compelled

to include a

statement

highlighting any

financial difficulties.

I 6 2 ANSP 6.2. Financial

audit FIN



I 6 2 ANSP

In accordance

with Article 12(2)

of Regulation (EC)

No 550/2004, air

navigation service

providers shall

demonstrate that

they are

undergoing an

independent audit

on a regular

basis.

FIN independent audit on

a regular basis Audit report(s)

Verify whether an

audit report from the

independent auditor

in accordance with

article 12(2) of

Regulation (Ec. No

550/2004 exists.

In case that the

assessment is not an

initial oversight,

verify whether audit

reports exist

documenting that the

audit has taken place

on a regular basis.

I 7 ANSP

7. LIABILITY AND

INSURANCE

COVER

FIN



I 7 1 ANSP

Air navigation

service providers

shall have in

place

arrangements to

cover their

liabilities arising

from applicable

law.

FIN

1. The liabilities of the

ANSP are difficult to

define in advance:

they depend on the

applicable legal

regime, which may

change according to

the situation and

status of the ANSP as

well as of the

potential damage.

2. The international

character of the

damages resulting

from the provision of

air navigation services

may involve the

competence of foreign

courts and

applicability of foreign

laws.

3. The ANSP should at

least comply with the

requirements of its

national law(s).

Documentation

of the

arrangements

to cover each

ANSPs activities

1. Insurance

contract

2. Guarantee

letters/decisions

by the State -

Bank guarantee

3. Fund, etc.

1. Verify if

documentation exists

that provides

evidence for

arrangements to

cover the liabilities of

an ANSP.

a. Each document

should specify the

activities concerned,

the type of damages

covered, and the

amount of the

coverage.

2. Verify if the

arrangements to

cover the liabilities

are in accordance

with the applicable

law.

3. Define, where

appropriate, a

minimum level of

insurance coverage

taking into account

the State's interests

(since the State

remains ultimately

liable for the

provision of air

navigation services

over its territory.



I 7 2 ANSP

The method

employed to

provide the cover

shall be

appropriate to the

potential loss and

damage in

question, taking

into account the

legal status of the

organisation and

the level of

commercial

insurance cover

available.

FIN

The level of insurance

coverage will depend

on:

1. the risks the

insurance companies

will accept to cover: it

seems that war and

terrorism risks can be

included in insurance

policies but for a high

premium and a

limited coverage

(usually 50 million

dollars); however the

insurance market is

currently questioning

this possibility;

2. the maximum

liability the insurance

companies accept to

cover: the maximum

amounts currently

insured are between

1.5 and 1.75 billion

dollars, the average

being around 1

billion;

3. The premiums the

ANSPs can afford;

i. the premiums are

calculated on a

number of criteria

such as the type of

activity (airport, ACC,

en route), the loss

record and the

Any

documentation

supporting the

definition of the

level of

insurance

coverage set in

the insurance

contract or

guarantee

letters/decisions

by the state

1. Verify if any

calculation/estimation

with regard to the

possible loss and

damage exists (e.g.

risk assessment).

2. Assess if method

employed is

appropriate to cover

potential loss and

damage, in

accordance with

applicable law and

requirements set by

the NSA,

3. Take into account

the legal status of the

ANSP and the level of

commercial insurance

cover available.



aircraft movements;

considering the

relatively low number

of insurers involved in

the coverage of air

navigation services

(15 to 20), their joint

commitment is often

necessary. This may

result in the

impossibility to reach

the required level of

coverage and/or to

negotiate the

premium offered.

4. the requirements

set by the NSA to

protect the State’s

financial interests

according to Chicago

Convention with

regard to additional

liabilities going

beyond the insurance

coverage.



I 7 3 ANSP

An air navigation

service provider

which avails itself

of the services of

another air

navigation service

provider shall

ensure that the

agreements cover

the allocation of

liability between

them.

FIN

Agreements must be

concluded between

ANSPs whether the

cooperation takes

place within the same

State, or across two

states, and whether

they concern services

subject to designation

or not.

1. Formal

agreement

concerning

allocation of

liability between

the two ANSPs

2. Notification

to the National

Supervisory

Authority / ies

concerned for

all services

3. Approval of

the State(s)

concerned in

case of ATS or

MET

The NSA will have to

verify that:

1. the agreement

exists and has been

concluded by

competent

representatives of

the ANSPs

2. the agreement

describes in sufficient

detail the services

provided and the

allocation of liability

between the parties

3. the NSA has been

notified and that the

State (in case of ATS

or MET) has

approved

4. the ATSP or METSP

to which the service

is delegated has been

designated ,

5. Where the service

is provided cross-

border, the

respective NSAs shall

conclude cooperation

arrangements to

ensure adequate

supervision of the

ANSPs (cf art. 2,4

SPR).

6. Where the service

is provided cross-

border, the States

concerned may wish



to conclude

agreements in order

to address issues

such as liability,

accident

investigations,

relations with

military, etc.

I 8 ANSP 8. QUALITY OF

SERVICES

SAF,

QTY

I 8 1 ANSP

8.1. Open and

transparent

provision of air

SAF,

QTY



navigation

services

I 8 1 1 ANSP

Air navigation

service providers

shall provide air

navigation

services in an

open and

transparent

manner. They

shall publish the

conditions of

access to their

services and

establish a formal

consultation

process with the

users of air

navigation

services on a

regular basis,

either individually

or collectively,

and at least once

a year.

SAF,

QTY

1. Open and

transparent provision

of services if

the conditions of

access to ANSPs

services are published

e. g. in relevant part

of AIP, normally GEN

2. formal consultation

process with users of

its services is

documented

3. consultation is

performed at least

once a year on the

most relevant topics

from service provision

with operational and

technical issues

including military

issues and financial

aspects for the

service provision;

1. Conditions of

access to its

services are

published (e. g.

in relevant part

of AIP)

2. Procedure

defining the

consultation

process with

users

3. Results of

the consultation

process with

users (for on-

going

oversight)

4. Official

company policy

to provide

services in an

impartial and

non-

discriminatory

way (where

applicable)

1. Verify if the

conditions of the

access to the services

are published.

2. Verify if a

description of the

formal consultation

process incl.

components such as

complaints handling,

customer surveys,

consultation meetings

is available.

3. Verify if the

consultation with the

users takes place at

least once a year.

4. Verify the formal

statement in

company policy

(where applicable).



I 8 1 2 ANSP

Air navigation

service providers

shall not

discriminate on

the grounds of

the nationality or

identity of the

user or the class

of users in

accordance with

applicable Union

law.

SAF,

QTY

No discrimination on

grounds of

1. nationality or

2. identity of the user

or the class of users

in accordance with

applicable Community

law.

A formal

commitment in

the official

company policy

to provide

services in an

impartial and

non-

discriminatory

way and as

such not distort

or prevent

competition

where

applicable.

Verify if the formal

statements are made

in official company

policy documents in

reference to

applicable community

law.

I 8 2 ANSP 8.2. Contingency

plans

SAF,

QTY



I 8 2 ANSP

Air navigation

service providers

shall have in

place contingency

plans for all the

air navigation

services they

provide in the

case of events

which result in

significant

degradation or

interruption of

their operations.

SAF,

QTY

1. one year after

certification at the

latest

2. have contingency

plans in place

3. for all the services

4. covering events

which result in

significant

degradation or

interruption

For initial

certification

audit:

1. Programme

to create and

implement

contingency

plans within one

year

OR

2. Contingency

plans exist and

are

implemented

For on-going

oversight

3. Existence of

contingency

plans

4. Evidence that

provisions of

the contingency

plans are

implemented

For initial certification

audit

I. In case that no

contingency plans

exist:

a. Verify if a program

exists that defines

the creation in

implementation of

contingency plans

within one year after

certification

II. In case that

contingency plans

exist:

a. Verify if the

contingency plan

addresses all services

the ANSP is seeking

certification for

b. Verify if the

contingency plan

covers events which

result in significant

degradation or

interruption.

c. Verify that staff is

aware of contingency

plans and trained.

For on-going

oversight:

1. Verify if the

procedures defined in

the contingency plan

have been

implemented (ask for



evidence).

2. Verify that staff is

aware of contingency

plans and trained.

I 9 ANSP 9. REPORTING

REQUIREMENTS

QTY,

FIN



I 9 1 ANSP

Air navigation

service providers

shall be able to

provide an annual

report of their

activities to the

relevant

competent

authority.

ALL

1. be able to provide

an annual report of

activities

2. cover financial

results without

prejudice to article 12

of the service

provision regulation

3. cover operational

performance and

4. cover any other

significant activities

and developments in

particular in the area

of safety

Procedure that

defines the

creation of the

annual report

Verify that a process

has been

implemented that

1. defines the

creation of the

annual report and

2. that ensures that

the required

information is

available.

I 9 2 ANSP

That annual

report shall cover

their financial

results without

prejudice to

Article 12 of

Regulation (EC)

No 550/2004, as

well as their

operational

performance and

any other

significant

activities and

developments in

particular in the

area of safety.

FIN

I 9 3 ANSP

The annual report

shall include as a

minimum:

ALL



I 9 3 a ANSP

(a) an

assessment of the

level of

performance of

air navigation

services

generated;

ALL

assessment of the

level of performance

of service generated.

Annual report


report covers the

assessment of

performance of

service generated.

I 9 3 b ANSP

(b) the

performance of

the air navigation

service provider

compared to the

performance

targets

established in the

business plan

referred to in

point 2.2.1,

reconciling actual

performance

against the

annual plan by

using the

indicators of

performance

established in the

annual plan;

ALL

the performance of

the service provider

compared to the

performance targets

established in the

business plan;

1. reconciling actual

performance against

the annual plan;

2. using the

indicators of

performance

established in the

annual plan;

3. identify differences

and provide

explanations;

4. describe measures

for closing gaps

during the Reference

Period.

Annual report


report

1. covers the

performance of the

service provider

compared to the

performance targets

established in the

business plan

2. reconciles actual

performance against

the annual plan

3. uses the indicators

of performance

established in the

annual plan

I 9 3 c ANSP

(c) provide an

explanation for

differences with

the targets, and

identify measures

for closing any

gaps during the

ALL

developments in

operations and

infrastructure,

Annual report


report covers the

developments in

operations and

infrastructure



reference period

referred to in

Article 11 of

Regulation (EC)

No 549/2004;

I 9 3 d ANSP

(d) developments

in operations and

infrastructure;

ALL

the financial results,

as long as they are

not separately

published in

accordance with

article 12(1) of the

service provision

regulation;

Annual report


report covers the

financial results, as

long as they are not

separately published

(see ANNEX I, 6.1

Economic and

financial capacity).

I 9 3 e ANSP

(e) the financial

results, as long as

they are not

published

separately in

accordance with

Article 12(1) of

Regulation (EC)

No 550/2004;

ALL

information about the

formal consultation

process with the users

of its services;

Annual report


report covers the

formal consultation

process with the

users of its services

(see ANNEX I, 8.1

Open and transparent

provision of services)

I 9 3 f ANSP

(f) information

about the formal

consultation

process with the

users of its

services;

ALL

information about the

human resources

policy.

Annual report


report covers the

human resources

policy (see ANNEX I,

5 HUMAN

RESOURCES)



I 9 3 g ANSP

(g) information

about the human

resources policy.

ALL

1. make the content

of the annual report

available to the public

2. under conditions

set by the national

supervisory authority

3. in accordance with

national law

Publishes

annual report

(in accordance

with national

law)

Verify if the ANSP

publishes the content

of the annual report

in accordance with

the national law.

I 9 4 ANSP

Air navigation

service providers

shall make the

content of the

annual report

available to the

Commission and

the Agency on

request and to

the public under

the conditions set

by the competent

authority in

accordance with

national law.

ALL

Nr.of

Anne

x

Poin

t

Para.

Nr

Appli-

cabilit

y Area

Text of Common

Requirement

Domai

n

Key

Elements Evidence

How to Assess

the Evidence

Compliance Actions

needed &

planned Ye

s

On

goin

N

o



g completio

n date

II 1 ANSP 1. OWNERSHIP ALL

II 1 ANSP

Providers of air

traffic services

shall notify to the

competent

authorities

referred to in

Article 7(2) of

Regulation (EC)

No 550/2004:

ALL

Art. 7(2) of

Regulation

(EC) No

550/2004

states:

Applications

for

certification

shall be

submitted to

the national

supervisory

authority of

the Member

State where

the applicant

has its

principal place

of operation

and, if any, its

registered

office.

II 1 1 a ANSP

(a) their legal

status, their

ownership

structure and any

arrangements

having a

significant impact

on control over

their assets;

ALL

1. legal

status

2. ownership

structure

3. any

arrangements

having a

significant

impact on the

control over

its assets

1. copy of

company

registration

(for

privatised or

corporatised

ANSPs)

2. or decree

having

created the

public or

semi-public

1. Verify if valid

documentation

on legal status

and ownership

structure is

available.

2. Verify if there

are any

arrangements

that have a

significant

impact on the



ANSP control over the

ANSPs assets.



II 1 1 b ANSP

(b) any links with

organisations not

involved in the

provision of air

navigation

services, including

commercial

activities in which

they are engaged

either directly or

through related

undertakings,

which account for

more than 1 % of

their expected

revenue;

furthermore, they

shall notify any

change of any

single

shareholding

which represents

10 % or more of

their total

shareholding.

ALL

1. any links

with

organisations

not involved

in the

provision of

air navigation

services

2. a list of

commercial

contracts for

the provision

or “buy-in” of

services which

account for

more than 1%

of its

expected

revenue;

3. of

information

on subsidiary

companies

and joint

undertakings

1. List of

shareholders

representing

10 % or more

of the total

shareholding

of the ANSP.

2. Any

change of any

single

shareholding

which

represents 10

% or more of

its total

shareholding

(including

notification of

the change to

the NSA).

3. List of

commercial

contracts for

the provision

or “buy-in” of

services not

related to the

provision of

air navigation

services

which

account for

more than

1% of its

expected

revenue.

4.

1. Verify if a list

of shareholders

representing 10

% or more of the

total

shareholding of

the ANSP exists.

2. Verify if a list

of commercial

contracts for the

provision or

“buy-in” of

services not

related to the

provision of air

navigation

services which

account for more

than 1% of its

expected

revenue exists.

3. Verify if

information on

subsidiary

companies and

joint undertaking

is available.

4. In case that

the assessment

is not an initial

oversight, verify

whether any

change of any

single

shareholding

which represents

10 % or more of



Information

on subsidiary

companies

and joint

undertakings.

Compliance

with this

requirement

will also be

supported by

the

information

provided

under other

paragraphs of

the

Regulation,

such as

Annex 1

paragraph

2.1

(Organisation

al structure),

paragraphs

6.1 and 6.2

(Economic

and financial

capacity,

Financial

audit),

paragraph

8.1 (Open

and

transparent

provision of

services),

paragraph 9

its total

shareholding has

taken place and

whether the NSA

has been

notified.



(reporting

requirements

and annual

report).



II 1 2 ANSP

Providers of air

traffic services

shall take all

necessary

measures to

prevent any

situation of conflict

of interests that

could compromise

the impartial and

objective provision

of their services.

ALL

Prevention of

any situation

of conflict of

interests

self-

explanatory;

The

requirement

is also related

to Annex 1

paragraph

2.1

(Organisation

al structure),

paragraphs

6.1 and 6.2

(Economic

and financial

capacity,

Financial

audit),

paragraph

8.1 (Open

and

transparent

provision of

services) and

to Annex 2

paragraph 1.

Verify if the

material

provided by the

ANSPs indicates

a potential

conflict of

interests that

could

compromise the

impartial and

objective

provision of the

ANSPs' services.

II 2 ANSP

2. OPEN AND

TRANSPARENT

PROVISION OF

SERVICES

ALL



II 2 ANSP

In addition to

point 8.1 of Annex

I and where a

Member State

decides to

organise the

provision of

specific air traffic

services in a

competitive

environment, that

Member State

may take all

appropriate

measures to

ensure that the

providers of these

specific air traffic

services shall

neither engage in

conduct that

would have as its

object or effect

the prevention,

restriction or

distortion of

competition, nor

shall they engage

in conduct that

amounts to an

abuse of a

dominant position

in accordance with

applicable national

and Union law.

ALL

II 3 ANSP 3. SAFETY OF

SERVICES SAF



II 3 1 ANSP

3.1. Safety

management

system (SMS)

SAF

II 3 1 1 ANSP

3.1.1. General

safety

requirements

SAF

II 3 1 1 ANSP

Providers of air

traffic services

shall, as an

integral part of the

management of

their services,

have in place a

safety

management

system (SMS)

which:

SAF

As a general

principle,

compliance

with ESARR 3

and 4 and

their

acceptable

means of

compliance

formally

assessed and

recognised by

the SRC or

the NSA,

should be

considered

sufficient to

meet the

safety-related

common

requirements

specifically

intended to

transpose

ESARRs into

Community

law;



II 3 1 1 a ANSP

(a) ensures a

formalised, explicit

and proactive

approach to

systematic safety

management in

meeting their

safety

responsibilities

within the

provision of their

services; operates

in respect of all

their services and

the supporting

arrangements

under its

managerial

control; and

includes, as its

foundation, a

statement of

safety policy

defining the

organisation’s

fundamental

approach to

managing safety

(safety

management);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.1.1

(safety

management)

Evidence, as

proposed

below, should

be collected

that indicate

the ANSP has

an effective

SMS.

Based on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

This is a high

level

requirement

that cannot

be checked

without

checking

other SMS

requirements.

This should

be the result

of the

analysis of

evidence

from those

requirements

as proposed

below.

EAM 3 / GUI 3,

Edition 2.0,

Appendix B,

ESARR3

references 5.1.1

a., b. and c. ;



II 3 1 1 b ANSP

(b) ensures that

everyone involved

in the safety

aspects of the

provision of air

traffic services has

an individual

safety

responsibility for

their own actions;

that managers are

responsible for the

safety

performance of

their respective

departments or

divisions and that

the top

management of

the provider

carries an overall

safety

responsibility

(safety

responsibility);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.1.2

(safety

responsibility)

Based on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3,

Edition 2.0,

Appendix B,

ESARR3

reference 5.1.2

;Consideration

Areas (Table).

II 3 1 1 c ANSP

(c) ensures that

the achievement

of satisfactory

safety in air traffic

services shall be

afforded the

highest priority

(safety priority);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.1.3

(safety

priority)

Based on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR3

reference 5.1.3

;Consideration

Areas (Table)



show

compliance

with ESARR 3

and possible

ways to

assess them.

The policy

must be

known and

applied by

staff.

II 3 1 1 d ANSP

(d) ensures that

while providing air

traffic services,

the principal

safety objective is

to minimise its

contribution to the

risk of an aircraft

accident as far as

reasonably

practicable (safety

objective).

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.1.4

(safety

objective)

Based on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

The policy

must be

known and

applied by

staff. To note

that the fact

that an ANSP

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR3

reference 5.1.4.;

Consideration

Areas (Table)



writes in its

policy these

statements

does not

imply that

these

requirements

are fulfilled.

Procedures

and

processes

must be in

place and the

ANSP must

be in a

position to

demonstrate

that they

provide the

expected

results.

II 3 1 2 ANSP

3.1.2.

Requirements for

safety

achievement

SAF

II 3 1 2 ANSP

Within the

operation of the

SMS, providers of

air traffic services

shall:

SAF



II 3 1 2 a ANSP

(a) ensure that

personnel are

adequately trained

and competent for

the job they are

required to do, in

addition to being

properly licensed if

so required and

satisfying

applicable medical

fitness

requirements

(competency);

SAF

This

requirement

covers the

provisions of

ESARR 3

Section 5.2.1

(competency).

In addition, it

should be

noted that:

1. According

with Recital

11 of the

Common

Requirements,

the

expression

“properly

licensed if so

required”

should be

interpreted in

terms of the

NSA checking

that whether

personnel of

ANSP, in

particular

ATCOs, is

properly

licensed if so

required.

2. Further,

the

expression “if

so required”

needs to be

Documentatio

n and records

regarding the

system of

training and

competency

assessment

as well as

system for

monitoring of

medical

fitness, if

applicable.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR 3

reference 5.2.1.



associated:

- with

Regulation

(EU)

805/2011;

- or the

applicable

national rules

established in

regard with

licensing of

ANSP's

personnel.

This

requirement

should be

checked for

personnel who

are not

otherwise

regulated

(such as

safety related

personnel

other than

ATCOs or

ATSEP).

For those

personnel a

separate

audit,

regarding

respective

requirements,

should be

performed.



II 3 1 2 b ANSP

(b) ensure that a

safety

management

function is

identified with

organisational

responsibility for

development and

maintenance of

the SMS; ensure

that this point of

responsibility is

independent of

line management,

and accountable

directly to the

highest

organisational

level. However, in

the case of small

organisations

where a

combination of

responsibilities

may prevent

sufficient

independence in

this regard, the

arrangements for

safety assurance

shall be

supplemented by

additional

independent

means; and

ensure that the

top management

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.2.2

(safety

management

responsibility)

.

It should be

noted that the

derogations

established in

Article 4 as

regards AFIS

operators

define a

minimum

below the

safety

standards

required in

ESARR 3 and

ICAO Annex

11, 2.26.

It should be

noted that

this CR is

more "sharp

expressed"

than the

corresponding

text in

ESARR3 5.2.2

b.

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3,

Edition 2.0,

Appendix B,

ESARR 3

reference 5.2.2

a., b., c. and d.



of the service

provider

organisation is

actively involved

in ensuring safety

management

(safety

management

responsibility);

The text

“wherever

possible” has

been removed

which,

according to

“additional

information”

below, put the

pressure on

the provider

to create clear

channels to

the highest

management

level.



II 3 1 2 c ANSP

(c) ensure that,

wherever

practicable,

quantitative safety

levels are derived

and are

maintained for all

functional systems

(quantitative

safety levels);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.2.3

(quantitative

safety levels)

It should be

noted that

this CR is

more sharp

expressed

than the

corresponding

text in

ESARR3

5.2.3.

The word

“functional” is

added

compared to

the ESARR3

text.

According to

the CR

definition of

“functional

system” it

comprises of

systems,

procedures

and human

resources.

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3,

Edition 2.0,

Appendix B,

ESARR 3

reference 5.2.3.

NSAs shouldn't

insist on

quantitative

safety levels

when it is clear

that they cannot

be derived and

qualitative levels

are in place.

However, for

qualitative safety

levels some

guidance should

be documented

by the ANSP.



II 3 1 2 d ANSP

(d) ensure that

the SMS is

systematically

documented in a

manner which

provides a clear

linkage to the

organisation’s

safety policy (SMS

documentation);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.2.5

(SMS

documentatio

n)

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR 3

reference

5.2.5Considerati

on Areas (Table).

II 3 1 2 e ANSP

(e) ensure

adequate

justification of the

safety of the

externally

provided services

and supplies,

having regard to

their safety

significance within

the provision of its

services (external

services and

supplies);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.2.6

(external

services)

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR3

reference 5.2.6

Consideration

Areas (Table).



assess them.

Also, SLAs

should be in

place for

external

services to

ensure

quality and

safety of

those

services.

II 3 1 2 f ANSP

(f) ensure that

risk assessment

and mitigation is

conducted to an

appropriate level

to ensure that due

consideration is

given to all

aspects of the

provision of ATM

(risk assessment

and mitigation).

As far as changes

to the ATM

functional system

are concerned,

point 3.2 shall

apply;

SAF

Equivalent to

the

requirements

of ESARR 3

Sections 5.2.4

bullet a) (risk

assessment

and

mitigation)

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR 3

reference 5.2.4

a. Consideration

Areas (Table)



II 3 1 2 g ANSP

(g) ensure that

ATM operational or

technical

occurrences which

are considered to

have significant

safety implications

are investigated

immediately, and

any necessary

corrective action is

taken (safety

occurrences).

They shall also

demonstrate that

they have

implemented the

requirements on

the reporting and

assessment of

safety occurrences

in accordance with

applicable national

and Union law.

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.2.7

(safety

occurrences)

Requirements

from

Regulation

(EU) No

996/2010 and

Directive

2003/42/EC

applicable to

ANSPs should

be checked.

Allocation of

State tasks

for occurrence

reporting

should be

done on a

national level

and checked

accordingly.

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix B

and EAM

2/GUI 7. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and ESARR 2

and possible

ways to

assess them.

Use parts of

EAM2/GUI 7,

which comply

with safety

occurrence

reporting

tasks

allocated to

the ANSP by

the State.

Also, the

Regulation

(EU)

996/2010

should be

taken into

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR 3

reference 5.2.7

and

EAM 2 / GUI 7,

Edition 1.0

Consideration

Areas (Table)



account,.

II 3 1 3 ANSP

3.1.3.

Requirements for

safety assurance

SAF

II 3 1 3 ANSP

Within the

operation of the

SMS, providers of


shall ensure that:

SAF



II 3 1 3 a ANSP

(a) safety surveys

are carried out as

a matter of

routine, to

recommend

improvements

where needed, to

provide assurance

to managers of

the safety of

activities within

their areas and to

confirm

compliance with

the relevant parts

of the SMS (safety

surveys);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.3.1

(safety

surveys)

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

In particular,

existence of

Safety Survey

procedures

and records

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR 3

reference

5.3.1Considerati

on Areas (Table).

In addition, NSAs

should check if

the corrective

actions resulting

from safety

surveys (if any)

are properly

implemented by

the ANSP.



II 3 1 3 b ANSP

(b) methods are

in place to detect

changes in

functional systems

or operations

which may

suggest any

element is

approaching a

point at which

acceptable

standards of

safety can no

longer be met,

and that corrective

action is taken

(safety

monitoring);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.3.2

(safety

monitoring).

The word

“functional” is

added

compared to

the ESARR3

text.

According to

the CR

definition of

“functional

system” it

comprises of

systems,

procedures

and human

resources and

is equivalent

with the

system

definition of

ESARR 3.

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR3

reference 5.3.2.,

Consideration

Areas (Table)



II 3 1 3 c ANSP

(c) safety records

are maintained

throughout the

SMS operation as

a basis for

providing safety

assurance to all

associated with,

responsible for or

dependent upon

the services

provided, and to

the competent

authority (safety

records).

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.3.3

(safety

records)

To be based

on the

referred

sections of

EAM 3/ GUI

3, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR3

reference 5.3.3.,

Consideration

Areas (Table)

Additionally, this

process should

be checked

against ANSP's

documentation

management

procedures

(quality).

II 3 1 4 ANSP

3.1.4.

Requirements for

safety promotion

SAF

II 3 1 4 ANSP

Within the

operation of the

SMS, providers of


shall ensure that:

SAF

II 3 1 4 a ANSP

(a) all personnel

are aware of the

potential safety

hazards connected

with their duties

(safety

awareness);

SAF

Not explicitly

addressed in

ESARR 3. This

requirement

goes beyond

ESARR 3.

However the

notion is

somehow

Evidence of :

1. safety

training

(safety

training

records);

2. awareness

campaigns.

Check that

safety training

records and

evidence of

awareness

campaigns exist

and that regular

actions are

undertaken.

Also, check



embedded

within various

ESARR 3

requirements,

such as

ESARR 3

Section 5.2.1

(competency)

lesson

dissemination

requirement in

this context.

II 3 1 4 b ANSP

(b) the lessons

arising from safety

occurrence

investigations and

other safety

activities are

disseminated

within the

organisation at

management and

operational levels

(lesson

dissemination);

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.4.1

(lesson

dissemination

)

1. To be

based on the

referred

sections of

EAM 3/ GUI

3, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR 3

reference 5.4.1

Consideration

Areas (Table)



II 3 1 4 c ANSP

(c) all personnel

are actively

encouraged to

propose solutions

to identified

hazards, and

changes are made

to improve safety

where they appear

needed (safety

improvement).

SAF

Equivalent to

the

requirements

of ESARR 3

Section 5.4.2

(safety

improvement)

1. To be

based on the

referred

sections of

EAM 3/ GUI

3, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 3

and possible

ways to

assess them.

EAM 3 / GUI 3

Edition 2.0,

Appendix B,

ESARR3

reference 5.4.2

a. and b.

Consideration

Areas (Table).

II 3 2 ANSP

3.2. Safety

requirements for

risk assessment

and mitigation

with regard to

changes

SAF

II 3 2 1 ANSP 3.2.1. Section 1 SAF



II 3 2 1 ANSP

Within the

operation of the

SMS, providers of


shall ensure that

hazard

identification as

well as risk

assessment and

mitigation are

systematically

conducted for any

changes to those

parts of the ATM

functional system

and supporting

arrangements

within their

managerial

control, in a

manner which

addresses:

SAF

1. Almost

equivalent to

the

requirements

of ESARR4

Section 5.1

2. The word

“functional” is

added

compared to

the ESARR4

text.

3. According

to the CR

definition of

“functional

system” it

comprises of

systems,

procedures

and human

resources.

4. Functional

system

definition in

CR is the

same with the

ESARR 3

definition for

system

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B,

ESARR 4

reference 5.1,

Consideration

Areas. (Table)



II 3 2 1 a ANSP

(a) the complete

life cycle of the

constituent part of

the ATM functional

system under

consideration,

from initial

planning and

definition to post-

implementation

operations,

maintenance and

decommissioning;

SAF

1. Almost

equivalent to

the

requirements

of ESARR4

Section 5.1

2. The word

“functional” is

added

compared to

the ESARR4

text.

3. According

to the CR

definition of

“functional

system” it

comprises of

systems,

procedures

and human

resources.

4. Functional

system

definition in

CR is the

same with the

ESARR 3

definition for

system

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B,

ESARR 4

reference

5.1.1a),

Consideration

Areas (Table)



II 3 2 1 b ANSP

(b) the airborne,

ground and, if

appropriate,

spatial

components of the

ATM functional

system, through

cooperation with

responsible

parties;

SAF

1. Almost

equivalent to

the

requirements

of ESARR4

Section 5.1

2. The word

“functional” is

added

compared to

the ESARR4

text.

3. According

to the CR

definition of

“functional

system” it

comprises of

systems,

procedures

and human

resources.

4. Functional

system

definition in

CR is the

same with the

ESARR 3

definition for

system

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

EAM 4 / GUI 2

Edition 4.0,

Appendix B,

ESARR 4

reference

5.1.1b)



II 3 2 1 c ANSP

(c) the

equipment,

procedures and

human resources

of the ATM

functional system,

the interactions

between these

elements and the

interactions

between the

constituent part

under

consideration and

the remainder of

the ATM functional

system.

SAF

1. Almost

equivalent to

the

requirements

of ESARR4

Section 5.1

2. The word

“functional” is

added

compared to

the ESARR4

text.

3. According

to the CR

definition of

“functional

system” it

comprises of

systems,

procedures

and human

resources.

4. Functional

system

definition in

CR is the

same with the

ESARR 3

definition for

system

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B,

ESARR 4

reference 5.1.1c)




II 3 2 2 ANSP

The hazard

identification, risk

assessment and

mitigation

processes shall

include:

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference

a. 5.2.a (and all

sub-bullets);

b. 5.2.b (and all

sub-bullets);

c. 5.2.c (and all

sub-bullets) and

d. 5.2.d (and all

sub-bullets).

are fulfilled.

See below.

II 3 2 2 a ANSP

(a) a

determination of

the scope,

boundaries and

interfaces of the

constituent part

being considered,

as well as the

identification of

the functions that

the constituent

part is to perform

and the

environment of

operations in

which it is

intended to

operate;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 a.



assess them.

II 3 2 2 b ANSP

(b) a

determination of

the safety

objectives to be

placed on the

constituent part,

incorporating:

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 b).



II 3 2 2 b ANSP

(i) an

identification of

ATM-related

credible hazards

and failure

conditions,

together with their

combined effects;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 b i

).

II 3 2 2 b ANSP

(ii) an assessment

of the effects they

may have on the

safety of aircraft,

as well as an

assessment of the

severity of those

effects, using the

severity

classification

scheme set out in

Section 4;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 b ii

).



assess them.

II 3 2 2 b ANSP

(iii) a

determination of

their tolerability,

in terms of the

hazard’s maximum

probability of

occurrence,

derived from the

severity and the

maximum

probability of the

hazard’s effects, in

a manner

consistent with

Section 4;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 b

iii ).



II 3 2 2 c ANSP

(c) the derivation,

as appropriate, of

a risk mitigation

strategy which:

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 c ).

II 3 2 2 c ANSP

(i) specifies the

defences to be

implemented to

protect against the

risk-bearing

hazards;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 c i

).



assess them.

II 3 2 2 c ANSP

(ii) includes, as

necessary, the

development of

safety

requirements

potentially bearing

on the constituent

part under

consideration, or

other parts of the

ATM functional

system, or

environment of

operations;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B,

2. ESARR 4

reference 5.2 c

ii).



II 3 2 2 c ANSP

(iii) presents an

assurance of its

feasibility and

effectiveness;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 c iii

).

II 3 2 2 d ANSP

(d) verification

that all identified

safety objectives

and safety

requirements have

been met:

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

"1. EAM 4 / GUI

2 Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 d

).



assess them.

II 3 2 2 d ANSP

(i) prior to its

implementation of

the change;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

"1. EAM 4 / GUI

2 Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 d

i).



II 3 2 2 d ANSP

(ii) during any

transition phase

into operational

service;

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 c

ii) .

II 3 2 2 d ANSP (iii) during its

operational life; SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 d

iii).



assess them.

II 3 2 2 d ANSP

(iv) during any

transition phase

until

decommissioning.

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.2.

To be based

on the

referred

sections of

EAM 4/ GUI

2, Appendix

B. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.2 d

iv).




II 3 2 3 ANSP

The results,

associated

rationales and

evidence of the

risk assessment

and mitigation

processes,

including hazard

identification, shall

be collated and

documented in a

manner which

ensures that:

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.3.

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B,

2. ESARR 4

reference 5.3).

II 3 2 3 a ANSP

(a) complete

arguments are

established to

demonstrate that

the constituent

part under

consideration, as

well as the overall

ATM functional

system are, and

will remain

tolerably safe by

meeting allocated

safety objectives

and requirements.

This shall include,

as appropriate,

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.3.

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.3 a).



specifications of

any predictive,

monitoring or

survey techniques

being used;

and possible

ways to

assess them.

II 3 2 3 b ANSP

(b) all safety

requirements

related to the

implementation of

a change are

traceable to the

intended

operations/

functions.

SAF

Equivalent to

the

requirements

of ESARR 4

Section 5.3.

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference 5.3 b).


II 3 2 4 ANSP Hazard

identification and SAF



severity

assessment

II 3 2 4 ANSP

A systematic

identification of

the hazards shall

be conducted. The

severity of the

effects of hazards

in a given

environment of

operations shall be

determined using

the classification

scheme set out in

the following

table, while the

severity

classification shall

rely on a specific

argument

demonstrating the

most probable

effect of hazards,

under the worst-

case scenario.

SAF

Equivalent to

the

requirements

of ESARR 4 ,

Appendix A-1

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B,

2. ESARR 4

reference A1

Paragraph 1,

Paragraph 2; and

3. Figure A-1,

Paragraph 3 and

Paragraph 4.



II 3 2 4 ANSP

In order to deduce

the effect of a

hazard on

operations and to

determine its

severity, the

systematic

approach/ process

shall include the

effects of hazards

on the various

elements of the

ATM functional

system, such as

the air crew, the

air traffic

controllers, the

aircraft functional

capabilities, the

functional

capabilities of the

ground part of the

ATM functional

system, and the

ability to provide

safe air traffic

services.

SAF

Equivalent to

the

requirements

of ESARR 4 ,

Appendix A-1

"1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them."

1. EAM 4 / GUI 2

Edition 4.0,

Appendix B;

2. ESARR 4

reference A1

Paragraph 1,

Paragraph 2; and

3. Figure A-1,

Paragraph 3 and

Paragraph 4.

II 3 2 4 ANSP Risk classification

scheme SAF



II 3 2 4 ANSP

Safety objectives

based on risk shall

be established in

terms of the

hazard’s maximum

probability of

occurrence,

derived both from

the severity of its

effect, and from

the maximum

probability of the

hazard’s effect.

SAF

1. ESARR 4 is

more

demanding

than the

current

version of the

Common

Requirements.

ESARR 4

requires that

safety

objectives are

derived in

accordance to

maximum

tolerable

probabilities

consistent

with the one

identified in

ESARR 4 for

severity class

1 (1,55.10-8

per

flight/hour).

2. Recital 16

of the CR

recognised

that ESARR 4

defines a

maximum

tolerable

probability for

ATM directly

contributing

to accidents in

the ECAC

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 GUI 2 v

4.0, Appendix B;

2. ESARR 4

reference A2

Paragraph 1; and

3. Figure A-2,

and Paragraph 2.



region,

maximum

tolerable

probability for

the remaining

severity

classes 2 to 5

have not been

established.

3. The

Member

States and

the EC

working

together with

EUROCONTRO

L should

complete and

update these

probabilities

and develop

mechanisms

to apply them

in different

environments.



II 3 ANSP

As a necessary

complement to the

demonstration

that established

quantitative

objectives are

met, additional

safety

management

considerations

shall be applied so

that more safety is

added to the ATM

system, whenever

reasonable.

SAF

1. ESARR 4 is

more

demanding

than the

current

version of the

Common

Requirements.

ESARR 4

requires that

safety

objectives are

derived in

accordance to

maximum

tolerable

probabilities

consistent

with the one

identified in

ESARR 4 for

severity class

1 (1,55.10-8

per

flight/hour).

2. Recital 16

of the CR

recognised

that ESARR 4

defines a

maximum

tolerable

probability for

ATM directly

contributing

to accidents in

the ECAC

1. To be

based on the

referred

sections of

EAM 4/ GUI

2, Appendix

B.

2. This

material

includes

comprehensiv

e guidance on

possible

evidences to

show

compliance

with ESARR 4

and possible

ways to

assess them.

1. EAM 4 GUI 2 v

4.0, Appendix B;

2. ESARR 4

reference A2

Paragraph 1; and

3. Figure A-2,

and Paragraph 2.



region,

maximum

tolerable

probability for

the remaining

severity

classes 2 to 5

have not been

established.

3. The

Member

States and

the EC

working

together with

EUROCONTRO

L should

complete and

update these

probabilities

and develop

mechanisms

to apply them

in different

environments.


II 3 2 5 ANSP Software safety

assurance system SAF

II 3 2 5 ANSP

Within the

operation of the

SMS, a provider of


shall implement a

software safety

assurance system

in accordance with

SAF



Regulation (EC)

No 482/2008.

II 3 3 ANSP

3.3. Safety

requirements for

engineering and

technical

personnel

undertaking

operational safety

related tasks

SAF

II 3 3 1 ANSP

Providers of air

traffic services

shall ensure that

technical and

engineering

personnel

including

personnel of

subcontracted

operating

organisations who

operate and

maintain ATM

equipment

approved for their

operational use

have and maintain

sufficient

knowledge and

understanding of

the services they

SAF

Technical and

engineering

personnel

competency

and safety

awareness.

This

requirement

should be

checked in

the context of

SMS

competency

requirement.

Also, Article 9

of CRs states

that States

need to issue

appropriate

safety rules

for

engineering

and technical

personnel

who

undertake

operational

Evidence should

be checked in

the same

manner as for

SMS

competency.

Additional

national

guidelines for

assessing

evidence of

compliance with

national rules

should be

developed.



are supporting, of

the actual and

potential effects of

their work on the

safety of those

services, and of

the appropriate

working limits to

be applied.

safety-related

tasks.

Evidence of

compliance

with those

national rules

should be

checked.



II 3 3 2 ANSP

With regard to the

personnel involved

in safety-related

tasks including

personnel of

subcontracted

operating

organisations,

providers of air

traffic services

shall document

the adequacy of

the competence of

the personnel; the

rostering

arrangements in

place to ensure

sufficient capacity

and continuity of

service; the

personnel

qualification

schemes and

policy, the

personnel training

policy, training

plans and records

as well as

arrangements for

the supervision of

non-qualified

personnel. They

shall have

procedures in

place for cases

where the physical

or mental

SAF

This

requirement is

aimed at

ATSPs and

requires

documentatio

n of:

- adequacy of

competence;

- rostering

arrangements

;

- personnel

qualification

schemes and

policy;

- training

policy, plans

and records;

- supervision

of non-

qualified

personnel;

- procedures

for cases

where the

physical or

mental

condition of

the personnel

is in doubt.

Evidence

documenting

all these

requirements

should be

checked such

as technical

or

engineering

operation

manuals,

training

manuals,

duty rosters,

procedures

for

competency

in doubt, etc.

Documentation

should be

updated and

consisstent for

all safety-related

personnel and in

line with

documentation

management

process

(quality).

Sampling should

be used to check

if what is

documented is in

fact

implemented.



condition of the

personnel is in

doubt.

II 3 3 3 ANSP

Providers of air

traffic services

shall maintain a

register of

information on the

numbers, status

and deployment of

the personnel

involved in safety

related tasks.

SAF

ATSP needs to

maintain a

register of

safety-related

personnel.

Register of

safety-related

personnel.

The register

should be

updated and in

line with

documentation

management

process

(quality). Check

if all safety-

related personnel

are a part of the

register.

II 3 3 4 ANSP That register shall: SAF



II 3 3 4 a ANSP

(a) identify the

accountable

managers for

safety-related

functions;

SAF

II 3 3 4 b ANSP

(b) record the

relevant

qualifications of

technical and

operational

personnel, against

required skills and

competence

requirements;

SAF

II 3 3 4 c ANSP

(c) specify the

locations and

duties to which

technical and

operational

personnel are

assigned,

including any

rostering

methodology.

SAF

II 4 ANSP

4. WORKING

METHODS AND

OPERATING

PROCEDURES

ATS



II 4 ANSP

Providers of air

traffic services

shall be able to

demonstrate that

their working

methods and

operating

procedures are

compliant with the

standards in the

following annexes

to the Convention

on International

Civil Aviation as

far as they are

relevant for the

provision of air

traffic services in

the airspace

concerned:

ATS

II 4 a ANSP

(a)►M1

Implementing

Regulation (EU) No 923/2012 ◄,

including all

amendments up to

No 42;

ATS

II 4 b ANSP

(b) Annex 10 on

aeronautical

telecommunication

s, Volume II on

communication

procedures

including those

with PANS Status

in its sixth edition

of October 2001,

ATS



including all

amendments up to

No 85;

II 4 c ANSP

(c) Annex 11 on


in its 13th edition

of July 2001,

including all

amendments up to

and including No

49 and

Implementing

Regulation (EU)

No 923/2012 as

applicable.

ATS



Nr.of

Annex Point

Para.

Nr

Applica-

bility

Area

Text of

Common

Requirement

Domain Key Elements

of CR Evidence

How to

Assess the

Evidence

Compliance Actions

needed &

planned

completion

date

Yes On

going No

III 1 ANSP

1. TECHNICAL

AND

OPERATIONAL

COMPETENCE

AND

CAPABILITY

MET



III 1 1 ANSP

Providers of

meteorological

services shall

ensure that

the

meteorological

information,

necessary for

the

performance

of their

respective

functions and

in a form

suitable for

users, is made

available to:

MET

This is to prove

that the

provided

meteorological

information

meet the

requirements

to perform

functions in a

form suitable

for users, as

specified by

the appropriate

authority.

1.

Documentation

of procedures

for regular

verification of

the availability

and suitability

and, when

necessary, for

corrective

actions.

2. Results of

performed

verifications.

1. Verify that

procedures

comply with

requirements

to perform

functions in a

form suitable

for users, as

specified by the

appropriate

authority.

2. Verify if

documentation

of performed

verification

exists.

3. The

procedure for

corrective

actions should

be covered in

the Quality

Management

System

(ANNEX I - 3.2

Quality

management

system).

4. The NSA

may decide to

investigate the

correctness of

the information

provided

further through

an On-Site

audit.



5.

Desktop&On-

site audit

III 1 1 a ANSP

(a) operators

and flight

crew

members for

pre-flight and

in-flight

planning;

MET

Users:

operators and

flight crew

members for

pre-flight and

in-flight

planning

Document of

procedures

and results

verification for

the relevant

users.

see above and

apply for

relevant users

III 1 1 b ANSP

(b) providers

of air traffic

services and

flight

information

services;

MET

Users:

providers of air

traffic services

and flight

information

services

Document of

procedures

and results

verification for

the relevant

users.

see above and

apply for

relevant users

III 1 1 c ANSP

(c) search

and rescue

services units;

MET

Users: search

and rescue

services units

Document of

procedures

and results

see above and

apply for

relevant users



verification for

the relevant

users.

III 1 1 d ANSP (d)

aerodromes. MET Users: airports

Document of

procedures

and results

verification for

the relevant

users.

see above and

apply for

relevant users



III 1 2 ANSP

Providers of

meteorological

services shall

confirm the

level of

attainable

accuracy of

the

information

distributed for

operations,

including the

source of such

information,

whilst also

ensuring that

such

information is

distributed in

a sufficiently

timely

manner, and

updated as

required.

MET

level of

1. accuracy,

2. traceability

3. and

timeliness

meet the

operational

requirements

1. Procedures

that define

a. the

measures to

assure the

required

accuracy and

traceability of

information

b. when and

how fast

information

needs to be

provided

c. when

information

provided

needs to be

updated.

2. Evidence

that the

timeliness and

accuracy of

the

information

provided is

acceptable to

the users.

3. Results of

performed

monitoring.

1. Verify

whether

procedures that

define which

measures are

used to assure

the required

accuracy and

traceability of

information,

when and how

fast information

needs to be

provided and

when it needs

to be updated.

2. Verify

whether

evidence exists

that the

timeliness and

accuracy of the

information

provided is

acceptable to

the users.

3. Verify if

documentation

of performed

monitoring

exists.

Note:

Implementation

of a Quality

Management

System

compliant with



EN ISO 9001

supports this

requirement.

4. The NSA

may decide to

investigate the

correctness of

the information

provided

further through

an On-Site

audit.

5.

Desktop&On-

site audit

III 2 ANSP

2. WORKING

METHODS

AND

OPERATING

PROCEDURES

MET



III 2 ANSP

Providers of

meteorological

services shall

be able to

demonstrate

that their

working

methods and

operating

procedures

are compliant

with the

standards in

the following

annexes to

the

Convention on

International

Civil Aviation

as far as they

are relevant

for the

provision of

meteorological

services in the

airspace

concerned:

MET

Demonstrate

that its

working

methods and

operating

procedures are

compliant with

relevant ICAO

standards

(Annex 3,

Annex 11, and

Annex 14 -

Volume I)

1.

Documentation

of working

methods and

operating

procedures.

2. Filled in

checklist

provided by

METP (e.g.

ICAO

compliance

checklists)

1. Verify if

evidence exist

that ANSP has

checked the

compliance

with relevant

ICAO

Standards or

with a

difference from

the Standard

duly notified.

2. The NSA

may decide to

investigate the

correctness of

the information

provided

further through

an On-Site au

3.

Desktop&On-

site audit

III 2 a ANSP

(a) Without

prejudice to

Implementing

Regulation

(EU) No

923/2012,

Annex 3 on

meteorological

services for

international

MET

Without

prejudice to

Implementing

Regulation

(EU) No

923/2012,

Annex 3 on

meteorological

services for

international

Filled in

checklist

demonstrating

compliance

with relevant

ICAO Annex.

1. Random

checks of the

accuracy of the

checklist and

the correctness

of the

information

provided.

2. Random

checks that



air navigation

in its 18th

edition of July

2013,

including all

amendments

up to and

including No

76;

air navigation

in its 18th

edition of July

2013, including

all

amendments

up to and

including No

76;

methods and

procedures are

compliant with

relevant ICAO

standards.

3.

Desktop&On-

site audit

III 2 b ANSP

(b) Annex 11

on air traffic

services in its

13th edition of

July 2001,

including all

amendments

up to and

including No

49 and

Implementing

Regulation

(EU) No

923/2012 as

applicable;

MET

Annex 11 on

air traffic

services in

including all

amendments,

(meteorological

service for

international

air navigation)

Filled in

checklist

demonstrating

compliance

with relevant

ICAO Annex.

1. Random

checks of the

accuracy of the

checklist and

the correctness

of the

information

provided.

2. Random

checks that

methods and

procedures are

compliant with

relevant ICAO

standards.

3.

Desktop&On-

site audit

III 2 c ANSP

(c) Without

prejudice to

Regulation

(EU) No

139/2014 ( 1

) Annex 14 on

aerodromes in

the following

versions:

MET Annex 14 on

aerodromes

Filled in

checklist

demonstrating

compliance

with relevant

ICAO Annex.

1. Random

checks of the

accuracy of the

checklist and

the correctness

of the

information

provided.

2. Random



(i) Volume I

on aerodrome

design and

operations in

its 6 th edition

of July 2013,

including all

amendments

up to and

including No

11-A and as

of 13

November

2014, also

including

amendment

11-B;

(ii) Volume II

on heliports in

its 4 th edition

of July 2013,

including all

amendments

up to and

including No

5.:

checks that

methods and

procedures are

compliant with

relevant ICAO

standards.

3.

Desktop&On-

site audit

III 2 c i ANSP

(i) Volume I

on aerodrome

design and

operations in

its 5th edition

of July 2009,

including all

amendments

up to No 10-

B;

MET

Annex 14 on

aerodromes

Volume I on

aerodrome

design and

operations in

its fourth

edition of July

2004, including

all

amendments

Filled in

checklist

demonstrating

compliance

with relevant

ICAO Annex.

1. Random

checks of the

accuracy of the

checklist and

the correctness

of the

information

provided.

2. Random

checks that

methods and



up to No 9, procedures are

compliant with

relevant ICAO

standards.

3.

Desktop&On-

site audit

III 2 c ii ANSP

(ii) Volume II

on heliports in

its 3rd edition

of July 2009,

including all

amendments

up to No 4.

MET

Annex 14 on

aerodromes

Volume II on

heliports in its

second edition

of July 1995,

including all

amendments

up to No 3.";

Filled in

checklist

demonstrating

compliance

with relevant

ICAO Annex.

1. Random

checks of the

accuracy of the

checklist and

the correctness

of the

information

provided.

2. Random

checks that

methods and

procedures are

compliant with

relevant ICAO

standards.

3.

Desktop&On-

site audit

Nr.of Point Para. Applica- Text of Domain Key Elements of Evidence How to Assess the Compliance Actions



ANNEX Nr bility

Area

Common

Requirement

CR Evidence

Yes On

going No

needed &

planned

completion

date

IV 1 ANSP

1. TECHNICAL

AND

OPERATIONAL

COMPETENCE

AND

CAPABILITY

AIS

IV 1 1 ANSP

Providers of

aeronautical

information

services shall

ensure that

information

and data is

available for

operations in

a form

suitable for:

AIS

This is to prove

that the provided

aeronautical

information meet

the requirements

to perform

functions in a

form suitable for

users, as

specified by the

appropriate

authority

1. Procedures

defining how

aeronautical

information is to be

provided to the

respective users.

2. Provision of

aeronautical

information based on

ICAO standards

(Annexes 4 and 15),

as specified by the

appropriate

authority.

3. Results of the

performed

verification.

1. Verify whether

procedures are

defined that specify

how aeronautical

information is

provided to the

users.

2. Verify whether

the ANSP provides

aeronautical

information based

on ICAO standards

(Annexes 4 and 15),

as specified by the

appropriate

authority.

3. Verify that results

of performed

verification exist.

4. Desktop&On-site

audit

The NSA may decide

to investigate the

correctness of the


further through an

On-Site audit.



IV 1 1 a ANSP

(a) flight

operating

personnel,

including

flight crew, as

well as flight

planning,

flight

management

systems and

flight

simulators;

AIS

Flight operating

personnel,

including flight

crew, as well as

flight planning,

flight

management

systems and flight

simulators,

1. Procedures

defining how

aeronautical


provided to the

respective users.

2. Provision of

aeronautical


ICAO standards

(Annexes 4 and 15),

as specified by the

appropriate

authority.

3. Results of the

performed

verification.

1. See above and

apply for relevant

users

a. There is no

requirement to

provide the

aeronautical

information/data in a

form directly

suitable for

specific‘flight

management

systems’

b. The same should

be valid also for

flight simulators.

IV 1 1 b ANSP

(b) providers

of air traffic

services which

are

responsible

for flight

information

services,

aerodrome

flight

information

services and

the provision

of pre-flight

information.

AIS

Providers of air

traffic services

which are

responsible for

flight information

services,

aerodrome flight

information

services and the

provision of pre-

flight information.

1. Procedures

defining how

aeronautical


provided to the

respective users.

2. Provision of

aeronautical


ICAO standards

(Annexes 4 and 15),

as specified by the

appropriate

authority.

3. Results of the

performed

verification.

1. See above and

apply for relevant

users

a. There is no

requirement to

provide the

aeronautical

information/data in a

form directly

suitable for

specific‘flight

management

systems’

b. The same should

be valid also for

flight simulators.



IV 1 2 ANSP

Providers of

aeronautical

information

services shall

ensure the

integrity of

data and

confirm the

level of

accuracy of

the

information

distributed for

operations,

including the

source of such

information,

before such

information is

distributed.

AIS

IV 2 ANSP

2. WORKING

METHODS

AND

OPERATING

PROCEDURES

AIS

IV 2 ANSP

Providers of

aeronautical

information

services shall

be able to

demonstrate

that their

working

methods and

operating

procedures

are compliant

AIS

demonstrate that

its working

methods and

operating

procedures are

compliant with

relevant ICAO

standards (Annex

3, Annex 4, and

Annex 15)

1. Documentation of

working methods and

operating

procedures.

2. Filled in checklist

provided by AISP

(e.g. ICAO

compliance

checklists)

1. Verify if evidence

exist;

2. that ANSP has

checked the

compliance with

relevant ICAO

Standards;

3. or with a

difference from the

Standard duly

notified;

4. The NSA may



with the

standards in:

decide to investigate

the correctness of

the information

provided further

through an On-Site

audit;

5. Desktop&On-site

audit.

IV 2 a ANSP

(a)

Commission

Regulation

(EU) No

73/2010;

AIS

IV 2 b ANSP

(b) the

following

Annexes to

the

Convention on

International

Civil Aviation

as far as they

are relevant

for the

provision of

aeronautical

information

services in the

airspace

concerned:

AIS



IV 2 b i ANSP

(i) Annex 3

on

meteorological

services for

international

air navigation

in its 18 th

edition of July

2013,

including all

amendments

up to and

including No

76;

AIS

Filled in checklist

demonstrating

compliance with

relevant ICAO Annex

3 on meteorological

service for

international air

navigation in its 17th

edition of July 2010,

including all

amendments up to

No 76,

1. Random checks of

the accuracy of the

checklist and the

correctness of the

information

provided.

2. Random checks

that methods and

procedures are

compliant with

relevant ICAO

standards

3. . Desktop&On-site

audit

IV 2 b ii ANSP

(ii) Annex 4

on

aeronautical

charts in its

11 th edition

of July 2009,

including all

amendments

up to and

including No

57;

AIS

Filled in checklist

demonstrating

compliance with

relevant ICAO Annex

4 on aeronautical

charts in its 11th

edition of July 2009,

including all

amendments up to

No 57,

1. Random checks of

the accuracy of the

checklist and the

correctness of the

information

provided.

2. Random checks

that methods and

procedures are

compliant with

relevant ICAO

standards

3. . Desktop&On-site

audit

IV 2 b iii ANSP

(iii) without

prejudice to

Regulation

(EU) No

73/2010,

Annex 15 on

aeronautical

information

series in its 14

AIS



th edition of

July 2013,

including all

amendments

up to and

including No

37..

Nr.of

ANNEX Point

Para.

Nr

Applica-

bility

Area

Text of Common

Requirement Domain

Key Elements

of CR Evidence

How to Assess the

Evidence

Compliance Actions

needed &

planned

completion

date

Yes On

going No

V 1 ANSP

1. TECHNICAL AND

OPERATIONAL

COMPETENCE AND

CAPABILITY

CNS



V 1 ANSP

Providers of

communication,

navigation or

surveillance

services shall

ensure the

availability,

continuity,

accuracy and

integrity of their

services.

CNS

1. For the

relevant

communication,

navigation and

surveillance

services

ensure;

a. availability;

b. continuity;

c. accuracy;

d. integrity.

2. confirm the

quality level of

the services it

is providing;

3. demonstrate

that equipment

is regularly

maintained and

where required

calibrated.

1. Evidence to prove that

the requirements of the

relevant parts of ICAO

ANNEX 10 have been

defined, documented and

are met for:

a. availability;

b. continuity;

c. accuracy;

d. integrity.

2. Associate Bilateral

Service Level Agreements

with adjacent ATS units,

as well internally within

the same ATS Unit

3. System documentation

4. Statistics on

a. availability;

b. continuity;

c. accuracy;

d. integrity.

1. Verify if required

level of quality of

service with regard

to:

a. availability;

b. continuity;

c. accuracy;

d. integrity ;

has been defined and

documented;

2. Verify if the

measures defined to

meet the required

level of quality of

service are

implemented (back-

up system,

contingency

procedures etc.);

3. Verify if

procedures to verify if

the required level of

quality of service is

met are defined and

implemented;

4. The NSA may


the correctness of the


further through an

On-Site audit

according to EAM

1/GUI

a. The QMS delivers

evidence that

processes cover the

quality of service,



maintenance and

calibration issues;

b. Additionally for

each particular

system

documentation must

be available;

5. Desktop&On-site

audit.



V 1 ANSP

Providers of

communication,

navigation or

surveillance

services shall

confirm the quality

level of the services

they are providing

and shall

demonstrate that

their equipment is

regularly

maintained and

where required

calibrated.

CNS

1. For the

relevant

communication,

navigation and

surveillance

services ensure

a. availability

b. continuity

c. accuracy

d. integrity

2. confirm the

quality level of

the services it

is providing

3. demonstrate

that equipment

is regularly

maintained and

where required

calibrated

1. Maintenance

Manuals/Plans/Procedures

(Manuals) covering

(parameters of the

equipment , Preventive

and Corrective

Maintenance Procedures

in place,

Configuration/Change

and Problem

Management, etc)

2. Maintenance records

(e.g. logbooks)

3. Calibration protocols

(where required)

4. Evidence of

investigation/anomaly

reports

1. Verify existence of:

a. Maintenance

Procedures

b. Maintenance

records (e.g.

logbooks)

c. Calibration

protocols (where

required)

d. Evidence of

investigation/anomaly

reports;

e. associated

Bilateral Service Level

Agreements with

adjacent ATS units,

as well internally

within the same ATS

Unit

2. The NSA may


the correctness of the


further through an

On-Site audit

according to EAM

1/GUI

a. The QMS delivers

evidence that

processes cover the

quality of service,

maintenance and

calibration issues.

b. Additionally for

each particular

system

documentation must



be available which

shows the specific

maintenance

provisions and where

required calibration

provisions.

3. Desktop&On-site

audit acc. to ESSAR 1

V 2 ANSP 2. SAFETY OF

SERVICES

SAF,

CNS

V 2 ANSP

Providers of

communication,

navigation or

surveillance

services shall

comply with the

requirements of

point 3 of Annex II

SAF,

CNS

see ANNEX II

part 3 see ANNEX II part 3



on the safety of

services.

V 3 ANSP

3. WORKING

METHODS AND

OPERATING

PROCEDURES

CNS

V 3 ANSP

Providers of

communication,

navigation or

surveillance

services shall be

able to

demonstrate that

their working

methods and

operating

procedures are

compliant with the

standards of Annex

10 on aeronautical

telecommunications

to the Convention

on International

Civil Aviation in the

following versions

as far as they are

relevant for the

provision of

communication,

navigation or

surveillance

services in the

CNS

Demonstrate

that its working

methods and

operating

procedures are

compliant with

the relevant

ICAO Annex

10: Volume I-

V

Filled in checklist

provided by CNSP (e.g.

ICAO compliance

checklists)

1. Random checks of

the accuracy of the

checklist and the

correctness of the

information provided.

2. Random checks

that methods and

procedures are

compliant with

relevant ICAO

standards.

3. Desktop&On-site

audit



airspace

concerned:

V 3 a ANSP

(a) Volume I on

radio navigation

aids in its 6 th

edition of July

2006, including all

amendments up to

and including No

88-A;

CNS

V 3 b ANSP

(b) Volume II on

communication

procedures

including those

with PANS status in

its 6 th edition of

October 2001,

including all

amendments up to

CNS



and including No

88-A;

V 3 c ANSP

(c) Volume III on

communications

systems in its 2 nd

edition of July 2007

including all

amendments up to

and including No

88-A;

CNS

V 3 d ANSP

(d) Volume IV on

surveillance radar

and collision

avoidance systems

in its 4 th edition of

July 2007,

including all

amendments up to

and including No

88-A

CNS

V 3 e ANSP

(e) Volume V on

aeronautical radio

frequency spectrum

utilisation in its 3

rd edition of July

2013, including all

amendments up to

and including No

88-A.

CNS