02017R0373 — EN — 05.11.2020 — 001.001

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►B COMMISSION IMPLEMENTING REGULATION (EU) 2017/373 of 1 March 2017 laying down common requirements for providers of air traffic management/air navigation services and other air traffic management network functions and their oversight, repealing Regulation (EC) No 482/2008, Implementing Regulations (EU) No 1034/2011, (EU) No 1035/2011 and (EU) 2016/1377 and amending Regulation (EU) No 677/2011 (Text with EEA relevance) (OJ L 062 8.3.2017, p. 1)

Amended by:









▼B

COMMISSION IMPLEMENTING REGULATION (EU) 2017/373

of 1 March 2017

laying down common requirements for providers of air traffic management/air navigation services and other air traffic management network functions and their oversight, repealing Regulation (EC) No 482/2008, Implementing Regulations (EU) No 1034/2011, (EU) No 1035/2011 and (EU) 2016/1377 and amending Regulation (EU) No 677/2011

(Text with EEA relevance)







Article 1

Subject matter

This Regulation lays down common requirements for:

(1) the provision of air traffic management and air navigation services (‘ATM/ANS’) and other air traffic management network functions (‘ATM network functions’) for general air traffic, in particular for the legal or natural persons providing those services and functions;

(2) the competent authorities, and the qualified entities acting on their behalf, which exercise certification, oversight and enforcement tasks in respect of the providers of the services and functions referred to in point (1).

Article 2

Definitions

For the purposes of this Regulation, the definitions in Annex I and the following definitions shall apply:

(1) the definitions in Article 2 of Regulation (EC) No 549/2004 and Article 3 of Regulation (EC) No 216/2008, except for the definition of ‘certificate’ in Article 2(15) of Regulation (EC) No 549/2004;

(2) ‘service provider’ means any legal or natural person providing functions or services of ATM/ANS as defined in point (q) of Article 3 of Regulation (EC) No 216/2008 or other ATM network functions, either individually or bundled for general air traffic;

(3) ‘Network Manager’ means the body established in accordance with Article 6 of Regulation (EC) No 551/2004 to perform the duties provided for in that Article and in Articles 3 and 4 of Regulation (EU) No 677/2011;

(4) ‘pan-European service’ means an activity 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;

(5) ‘data services provider (DAT provider)’ means an organisation, which is: (a) type 1 DAT provider that processes aeronautical data for use on aircraft and provides an aeronautical database meeting the DQRs, under controlled conditions, for which no corresponding airborne application/equipment compatibility has been determined; (b) type 2 DAT provider that processes aeronautical data and provides an aeronautical database for use on certified aircraft application/equipment meeting the DQRs for which compatibility with that application/equipment has been determined.

Article 3

Provision of ATM/ANS and ATM network functions

1. Member States shall ensure that the appropriate ATM/ANS and ATM network functions are provided in accordance with this Regulation in a manner that facilitates general air traffic, while taking into account safety considerations and traffic requirements.

2. When Member States adopt additional provisions to complement this Regulation on any matters left to the Member States under this Regulation, those provisions shall follow the standards and recommended practices set by the Chicago Convention. Where use is made of the provisions of Article 38 of the Chicago Convention, in addition to notifying the International Civil Aviation Organisation, the Member States shall notify the European Aviation Safety Agency (‘Agency’), with due justification, at the latest two months after the additional provisions have been adopted.

3. Member States shall publish, in accordance with the Chicago Convention, those additional provisions through their aeronautical information publications.

4. Where a Member State decides to organise the provision of certain specific air traffic services in a competitive environment, that Member State shall take all appropriate measures to ensure that the providers of those 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 Union and national law.

Article 4

Competent authority for certification, oversight and enforcement

1. The competent authority responsible for the issuing of certificates to service providers, for the acknowledgment of receipts of declarations made by providers of flight information services referred to in Article 7 where relevant, and for the oversight and enforcement in respect of service providers shall be the national supervisory authority referred to in Article 4 of Regulation (EC) No 549/2004 of the Member State where the legal or natural person applying for the certificate or making the declaration has its principal place of operation or, if any, its registered office, unless the Agency is the competent authority pursuant to Article 22a of Regulation (EC) No 216/2008.

For the purposes of this Regulation, data services providers and the Network Manager shall be considered to be pan-European service providers in respect of which, in accordance with point (c) of Article 22a of Regulation (EC) No 216/2008, the Agency is the competent authority.

2. The competent authorities referred to in paragraph 1 shall comply with the requirements laid down in Annex II.

3. Where one of the service providers concerned is an organisation in respect of which the Agency is the competent authority, the competent authorities of the Member States concerned shall coordinate with the Agency in order to ensure that the requirements set out in points (1), (2) and (3) of point ATM/ANS.AR.A.005(b) of Annex II are complied with where, alternatively: (a) service providers provide services in respect of functional airspace blocks that extend across the airspace falling under the responsibility of more than one Member State, as referred to in Article 2(3) of Regulation (EC) No 550/2004; (b) service providers provide cross-border air navigation services as referred to in Article 2(5) of Regulation (EC) No 550/2004.

4. Where a Member State has nominated or established more than one competent authority in accordance with Article 4 of Regulation (EC) No 549/2004 or as referred to in Article 2(3) to (6) of Regulation (EC) No 550/2004 to exercise the certification, oversight and enforcement tasks under this Regulation, it shall ensure that the areas of competence of each of those authorities are clearly defined, in particular in terms of responsibilities and geographic and airspace limitation. In such a case, those authorities shall establish coordination between them, based on written arrangements, so as to ensure effective oversight and enforcement in respect of all service providers to which they issued certificates or, where relevant, which made declarations to them.

5. When exercising their certification, oversight and enforcement tasks under this Regulation, the competent authorities shall be independent of any service provider. That independence shall be ensured by adequate separation, at least at the functional level, between the competent authorities and the service providers. In this context, Member States shall ensure that the competent authorities exercise their powers impartially and transparently.

6. Member States and, where the Agency is the competent authority, the Commission shall ensure that their competent authorities do not allow their personnel to be involved in the exercise of the certification, oversight and enforcement tasks of that authority under this Regulation where there are indications that such involvement could result, directly or indirectly, in a conflict of interest, in particular relating to family or financial interests.

7. The Agency shall maintain a database of contact details of the competent authorities referred to in paragraph 1. For this purpose, Member States shall notify the Agency of the names and addresses of their competent authorities, and of any subsequent changes thereto.

8. Member States and, where the Agency is the competent authority, the Commission shall determine the necessary resources and capabilities required by the competent authorities for the exercise of their tasks, in accordance with Article 4(4) of Regulation (EC) No 549/2004 and Article 22a of Regulation (EC) No 216/2008, taking into account all relevant factors, including an assessment carried out by the respective competent authorities to determine the resources needed for the exercise of their tasks under this Regulation.

Article 5

Powers of the competent authority referred to in Article 4

1. The competent authorities shall, where required for the exercise of their certification, oversight and enforcement tasks under this Regulation, be empowered to: (a) require the service providers subject to their oversight to provide all necessary information; (b) require any representative, manager or other member of the personnel of those service providers to provide oral explanations on any fact, document, object, procedure or other subject matter relevant to the oversight of the service provider; (c) enter any premises and land, including operating sites, and means of transport of those service providers; (d) examine, copy or make extracts from any document, record or data held by or accessible to those service providers, irrespective of the medium on which the information in question is stored; (e) carry out audits, assessments, investigations and inspections of those service providers.

2. The competent authorities shall, where required for the exercise of their certification, oversight and enforcement tasks under this Regulation, also be empowered to exercise the powers set out in paragraph 1 in relation to the contracted organisations subject to the service providers' oversight, as referred to in point ATM/ANS.OR.B.015 of Annex III.

3. The powers provided for in paragraphs 1 and 2 shall be exercised in compliance with the national law of the Member State where the activities in question take place, with due regard for the need to ensure the effective exercise of those powers and for the rights and legitimate interests of the service provider and any third persons concerned, and in compliance with the principle of proportionality. Where, in accordance with the applicable national law, prior authorisation from the judicial authority of the Member State concerned is needed to enter premises, land and means of transport as referred to in point (c) of paragraph 1, the related powers shall be exercised only after having obtained such prior authorisation.

When exercising the powers provided for in paragraphs 1 and 2, the competent authority shall ensure that the members of its staff and, where relevant, any other expert participating in the activities in question are duly authorised.

4. The competent authorities shall take or initiate any appropriate enforcement measure necessary to ensure that the service providers to which they issued a certificate or, where relevant, which made a declaration to them, comply and continue to comply with the requirements of this Regulation.

Article 6

Service providers

Service providers shall be granted a certificate and be entitled to exercise the privileges granted within the scope of that certificate, where, in addition to the requirements referred to in Article 8b(1) of Regulation (EC) No 216/2008, they comply and continue to comply with the following requirements:

(a) for all service providers, the requirements laid down in Annex III (Part-ATM/ANS.OR), Subparts A and B, and in Annex XIII (Part-PERS);

(b) for service providers other than providers of air traffic services, in addition to the requirements of point (a), the requirements laid down in Annex III (Part-ATM/ANS.OR), Subpart C;

(c) for providers of air navigation services, providers of air traffic flow management and the Network Manager, in addition to the requirements of point (a), the requirements laid down in Annex III (Part-ATM/ANS.OR), Subpart D;

(d) for providers of air traffic services, in addition to the requirements of points (a) and (c), the requirements laid down in Annex IV (Part-ATS);

(e) for providers of meteorological services, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex V (Part-MET);

(f) for providers of aeronautical information services, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex VI (Part-AIS);

(g) for data services providers, in addition to the requirements of points (a) and (b), the requirements laid down in Annex VII (Part-DAT);

(h) for providers of communication, navigation or surveillance services, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex VIII (Part-CNS);

(i) for providers of air traffic flow management, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex IX (Part-ATFM);

(j) for providers of airspace management, in addition to the requirements of points (a) and (b), the requirements laid down in Annex X (Part-ASM);

(k) for providers of procedure design, in addition to the requirements of points (a) and (b), the requirements laid down in Annex XI (Part-ASD), when those requirements will be adopted by the Commission;

(l) for the Network Manager, in addition to the requirements of points (a), (b) and (c), the requirements laid down in Annex XII (Part-NM).

Article 7

Declaration by providers of flight information services

Where Member States allow providers of flight information services to declare their capability and means of discharging the responsibilities associated with the services provided in accordance with Article 8b(3) of Regulation (EC) No 216/2008, those providers shall fulfil, in addition to the requirements referred to in Article 8b(1) of Regulation (EC) No 216/2008, the requirements laid down in point ATM/ANS.OR.A.015 in Annex III to this Regulation.

Article 8

Existing certificates

1. Certificates that have been issued in accordance with Implementing Regulation (EU) No 1035/2011 shall be deemed to have been issued in accordance with this Regulation.

2. Member States shall replace the certificates referred to in paragraph 1 with certificates complying with the format laid down in Appendix 1 to Annex II by 1 January 2021 at the latest.

Article 9

Repeal and amendment

1. Regulation (EC) No 482/2008 and Implementing Regulations (EU) No 1034/2011 and (EU) No 1035/2011 are repealed.

2. Implementing Regulation (EU) 2016/1377 is repealed.

3. Articles 12 and 21 of Regulation (EU) No 677/2011 and Annex VI to that Regulation are deleted.

Article 10

Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

It shall apply from 2 January 2020.

However:

(1) Article 9(2) shall apply from the date of entry into force of this Regulation;

(2) in respect of the Agency, Article 4(1), (2), (5), (6) and (8) and Article 5 shall apply from the date of entry into force of this Regulation;

(3) in respect of data services providers, Article 6 shall apply in any case from 1 January 2019 and, where such a provider applies for and is granted a certificate in accordance with Article 6, from the date of entry into force of this Regulation.

This Regulation shall be binding in its entirety and directly applicable in all Member States.









ANNEX I

DEFINITIONS OF TERMS USED IN ANNEXES II TO XIII

(Part-DEFINITIONS)

For the purposes of Annexes II to XIII, the following definitions shall apply:

(1) ‘acceptable means of compliance (AMC)’ means non-binding standards adopted by the Agency to illustrate means to establish compliance with Regulation (EC) No 216/2008 and its implementing rules;

(2) ‘aerial work’ means an aircraft operation in which an aircraft is used for specialised services such as agriculture, construction, photography, surveying, observation and patrol, search and rescue or aerial advertisement;

(3) ‘aerodrome climatological summary’ means a concise summary of specified meteorological elements at an aerodrome, based on statistical data;

(4) ‘aerodrome climatological table’ means a table providing statistical data on the observed occurrence of one or more meteorological elements at an aerodrome;

(5) ‘aerodrome elevation’ means the elevation of the highest point of the landing area;

(6) ‘aerodrome flight information service (AFIS)’ means flight information service and alerting service for aerodrome traffic at an aerodrome;

(7) ‘aerodrome meteorological office’ means an office responsible for providing meteorological service for an aerodrome;

(8) ‘aerodrome warning’ means information issued by an aerodrome meteorological office concerning the occurrence or expected occurrence of meteorological conditions which could adversely affect aircraft on the ground, including parked aircraft and the aerodrome facilities and services;

(9) ‘aeronautical data’ means a representation of aeronautical facts, concepts or instructions in a formalised manner suitable for communication, interpretation or processing;

(10) ‘aeronautical database’ means a collection of aeronautical data organised and arranged as a structured data set, stored electronically on systems, which is valid for a dedicated period and may be updated;

(11) ‘aeronautical fixed service (AFS)’ means a telecommunication service between specified fixed points provided primarily for the safety of air navigation and for the regular, efficient and economical operation of air services;

(12) ‘aeronautical fixed telecommunication network (AFTN)’ means a worldwide system of aeronautical fixed circuits provided, as part of the AFS, for the exchange of messages and/or digital data between aeronautical fixed stations having the same or compatible communications characteristics;

(13) ‘aeronautical information’ means information resulting from the assembly, analysis and formatting of aeronautical data;

(14) ‘aerodrome mapping data’ means data collected for the purpose of compiling aerodrome mapping information;

(15) ‘aerodrome mapping database (AMDB)’ means a collection of aerodrome mapping data organised and arranged as a structured data set;

(16) ‘aeronautical meteorological station’ means a station making observations and meteorological reports for use in air navigation;

(17) ‘air-report’ means a report from an aircraft in flight prepared in conformity with the requirements for position and operational and/or meteorological reporting;

(18) ‘aircraft’ means any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth's surface;

(19) ‘AIRMET message’ means information issued by a meteorological watch office concerning the occurrence or expected occurrence of specified en-route weather phenomena which may affect the safety of low-level aircraft operations and of the development of those phenomena in time and space, and which was not already included in the forecast issued for low-level flights in the flight information region concerned or sub-area thereof;

(20) ‘air traffic safety electronics personnel (ATSEP)’ means any authorised personnel who are competent to operate, maintain, release from, and return into operations equipment of the functional system;

(21) ‘air traffic services unit’ is a generic term meaning variously air traffic control unit, flight information centre, aerodrome flight information service unit or air traffic services reporting office;

(22) ‘alternate aerodrome’ means an aerodrome to which an aircraft may proceed when it becomes either impossible or inadvisable to proceed to or to land at the aerodrome of intended landing where the necessary services and facilities are available, where aircraft performance requirements can be met and which is operational at the expected time of use;

(23) ‘alternative means of compliance (AltMOC)’ means those means of compliance that propose an alternative to an existing AMC or those that propose new means to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules for which no associated AMC have been adopted by the Agency;

(24) ‘altitude’ means the vertical distance of a level, a point, or an object considered as a point, measured from mean sea level;

(25) ‘area control centre (ACC)’ means a unit established to provide air traffic control service to controlled flights in control areas under its jurisdiction;

(26) ‘area forecast for low-level flights’ means a forecast of weather phenomena for a flight information region or sub-area thereof, issued to cover the layer below flight level 100 (or below flight level 150 in mountainous areas, or higher, where necessary);

(27) ‘area navigation (RNAV)’ means a method of navigation which permits aircraft operation on any desired flight path within the coverage of ground- or space-based navigation aids or within the limits of the capability of self-contained aids, or a combination of them;

(28) ‘argument’ means a claim that is supported via inferences by a body of evidence;

(29) ‘ASHTAM’ means a special series of NOTAM notifying by means of a specific format of a change in the activity of a volcano, a volcanic eruption and/or volcanic ash cloud that is of significance to aircraft operations;

(30) ‘ATM network functions’ means the functions performed by the Network Manager in accordance with Regulation (EU) No 677/2011;

(31) ‘audit’ means a systematic, independent and documented process for obtaining evidence and evaluating it objectively to determine the extent to which requirements are complied with;

(32) ‘authoritative source’ means: (a) a State authority: or (b) an organisation formally recognised by the State authority to originate and/or publish data which meets the data quality requirements (DQRs) as specified by that State;

(33) ‘automatic observing system’ means an observing system that measures, derives and reports all required elements without human interaction;

(34) ‘aviation undertaking’ means an entity, person or organisation, other than the service providers regulated by this Regulation, that is affected by or affects a service delivered by a service provider;

(35) ‘break’ means a period of time within the duty period when an air traffic controller is not required to perform duties, for recuperation purposes;

(36) ‘certified aircraft application’ means a software application approved by the Agency as part of aircraft subject to Article 4 of Regulation (EC) No 216/2008;

(37) ‘cloud of operational significance’ means a cloud with the height of cloud base below 1 500 m (5 000 ft) or below the highest minimum sector altitude, whichever is greater, or a cumulonimbus cloud or a towering cumulus cloud at any height;

(38) ‘commercial air transport’ means any aircraft operation involving the transport of passengers, cargo or mail for remuneration or other valuable consideration;

(39) ‘control area’ means a controlled airspace extending upwards from a specified limit above the earth;

(40) ‘critical incident stress’ means the manifestation of unusual and/or extreme emotional, physical and/or behavioural reactions of an individual following an event or incident;

(41) ‘data quality’ means a degree or level of confidence that the provided data meets the user's data requirements in terms of accuracy, resolution, integrity (or equivalent assurance level), traceability, timeliness, completeness, and format;

(42) ‘data quality requirements (DQRs)’ means a specification of the characteristics of data (i.e. accuracy, resolution, integrity (or equivalent assurance level), traceability, timeliness, completeness and format) to ensure that the data is compatible with its intended use;

(43) ‘destination alternate’ means an alternate aerodrome at which an aircraft would be able to land should it become either impossible or inadvisable to land at the aerodrome of intended landing;

(44) ‘duty’ means any task that an air traffic controller is required to perform by the air traffic control service provider;

(45) ‘duty period’ means a period which starts when an air traffic controller is required by the air traffic control service provider to report for or be available for or to commence duty and ends when the air traffic controller is free from duty;

(46) ‘elevation’ means the vertical distance of a point or a level, on or affixed to the surface of the earth, measured from mean sea level;

(47) ‘en-route alternate’ means an alternate aerodrome at which an aircraft would be able to land in the event that a diversion becomes necessary while en-route;

(48) ‘fatigue’ means a physiological state of reduced mental or physical performance capability resulting from sleep loss or extended wakefulness, circadian phase or workload (mental or physical activity, or both) that can impair an individual's alertness and ability to safely perform his/her tasks;

(49) ‘flight documentation’ means documents, including charts or forms, containing meteorological information for a flight;

(50) ‘flight information centre (FIC)’ means a unit established to provide flight information service and alerting service;

(51) ‘flight information region (FIR)’ means an airspace of defined dimensions within which flight information service and alerting service are provided;

(52) ‘flight level (FL)’ means a surface of constant atmospheric pressure which is related to a specific pressure datum, 1 013,2 hectopascals (hPa), and is separated from other such surfaces by specific pressure intervals;

(53) ‘flight test’ means a flight for the development phase of a new design (aircraft, propulsion systems, parts and appliances), a flight to demonstrate compliance to certification basis or to type design for aircraft coming from the production line, a flight intended to experiment new design concepts, requiring unconventional manoeuvres or profiles for which it could be possible to exit the already approved envelope of the aircraft or a training flight to perform either of those flights;

(54) ‘forecast’ means a statement of expected meteorological conditions for a specified time or period, and for a specified area or portion of airspace;

(55) ‘forecast for take-off’ means a forecast for a specified period of time, prepared by an aerodrome meteorological office, which contains information on expected conditions over the runways complex in regard to surface wind direction and speed and any variations thereof, temperature, pressure (QNH) and any other element as agreed locally;

(56) ‘functional system’ means a combination of procedures, human resources and equipment, including hardware and software, organised to perform a function within the context of ATM/ANS and other ATM network functions;

(57) ‘general aviation’ means any civil aircraft operation other than aerial work or commercial air transport;

(58) ‘grid point data in digital form’ means computer-processed meteorological data for a set of regularly spaced points on a chart, for transmission from a meteorological computer to another computer in a code form suitable for automated use;

(59) ‘guidance material’ means non-binding material developed by the Agency that helps to illustrate the meaning of a requirement or specification and is used to support the interpretation of Regulation (EC) No 216/2008, its implementing rules and AMC;

(60) ‘gridded global forecasts’ means forecasts of expected values of meteorological elements on a global grid with a defined vertical and horizontal resolution;

(61) ‘hazard’ means any condition, event, or circumstance which could induce a harmful effect;

(62) ‘height’ means the vertical distance of a level, a point or an object considered as a point, measured from a specified datum;

(63) ‘level’ is a generic term relating to the vertical position of an aircraft in flight and meaning variously height, altitude or flight level;

(64) ‘local routine report’ means a meteorological report issued at fixed time intervals, intended only for dissemination at the aerodrome of origin where the observations were made;

(65) ‘local special report’ means a meteorological report issued in accordance with the criteria established for special observations, intended only for dissemination at the aerodrome of origin where the observations were made;

(66) ‘meteorological bulletin’ means a text comprising meteorological information preceded by an appropriate heading;

(67) ‘meteorological information’ means meteorological report, analysis, forecast, and any other statement relating to existing or expected meteorological conditions;

(68) ‘meteorological observation’ means the measurement and/or evaluation of one or more meteorological elements;

(69) ‘meteorological report’ means a statement of observed meteorological conditions related to a specified time and location;

(70) ‘meteorological satellite’ means an artificial Earth satellite making meteorological observations and transmitting these observations to Earth;

(71) ‘meteorological watch office’ means an office monitoring meteorological conditions affecting flight operations and providing information concerning the occurrence or expected occurrence of specified en-route weather phenomena, natural and other hazards which may affect the safety of aircraft operations within a specified area of responsibility;

(72) ‘minimum sector altitude (MSA)’ means the lowest altitude which may be used which will provide a minimum clearance of 300 m (1 000 ft) above all objects located in an area contained within a sector of a circle of 46 km (25 NM) radius centred on a significant point, the aerodrome reference point (ARP) or the heliport reference point (HRP);

(73) ‘NOTAM’ means a notice distributed by means of telecommunication containing information concerning the establishment, condition, or change in any aeronautical facility, service, procedure, or hazard, the timely knowledge of which is essential to personnel concerned with flight operations;

(74) ‘obstacle’ means all fixed (whether temporary or permanent) and mobile objects, or parts thereof, that: (a) are located on an area intended for the surface movement of aircraft; or (b) extend above a defined surface intended to protect aircraft in flight; or (c) stand outside those defined surfaces and have been assessed as being a hazard to air navigation;

(75) ‘OPMET’ means operational meteorological information for use in preparatory or in-flight planning of flight operations;

(76) ‘OPMET databank’ means a databank established to store and make available internationally operational meteorological information for aeronautical use;

(77) ‘pre-eruption volcanic activity’ means an unusual and/or increasing volcanic activity which could presage a volcanic eruption;

(78) ‘prevailing visibility’ means the greatest visibility value, observed in accordance with the definition of ‘visibility’, which is reached within at least half the horizon circle or within at least half of the surface of the aerodrome. These areas could comprise contiguous or non-contiguous sectors;

(79) ‘problematic use of psychoactive substances’ means the use of one or more psychoactive substances by an individual, in a way that: (a) constitutes a direct hazard to the user or endangers the lives, health, or welfare of others; and/or (b) causes or worsens an occupational, social, mental or physical problem or disorder;

(80) ‘prognostic chart’ means a forecast of (a) specified meteorological element(s) for a specified time or period and a specified surface or portion of airspace, depicted graphically on a chart;

(81) ‘psychoactive substances’ means alcohol, opioids, cannabinoids, sedatives and hypnotics, cocaine, other psychostimulants, hallucinogens, and volatile solvents, whereas caffeine and tobacco are excluded;

(82) ‘rescue coordination centre (RCC)’ means a unit responsible for promoting efficient organisation of search and rescue services, and for coordinating the conduct of search and rescue operations within a search and rescue region;

(83) ‘rest period’ means a continuous and defined period of time, subsequent to and/or prior to duty, during which an air traffic controller is free of all duties;

(84) ‘rostering system’ means the structure of duty and rest periods of air traffic controllers in accordance with legal and operational requirements;

(85) ‘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;

(86) ‘runway’ means a defined rectangular area on a land aerodrome prepared for the landing and take-off of aircraft;

(87) ‘runway visual range (RVR)’ means the range over which the pilot of an aircraft on the centre line of a runway can see the runway surface markings or the lights delineating the runway or identifying its centre line;

(88) ‘safety directive’ means a document issued or adopted by a competent authority which mandates actions to be performed on a functional system or sets restrictions to its operational use to restore safety when evidence shows that aviation safety may otherwise be compromised;

(89) ‘safety management system (SMS)’ means a systematic approach to managing safety, including the necessary organisational structures, accountabilities, policies, and procedures;

(90) ‘search and rescue services unit’ is a generic term covering, as the case may be, rescue coordination centre, rescue sub-centre or alerting post;

(91) ‘selected volcano observatory’ means a provider, selected by the competent authority, that observes the activity of a volcano or a group of volcanoes and makes these observations available to an agreed list of aviation recipients;

(92) ‘semi-automatic observing system’ means an observing system that allows the augmentation of measured elements and requires a human in the loop for issuing the appropriate reports;

(93) ‘SIGMET’ means information concerning en-route weather phenomena, which may affect the safety of aircraft operations;

(94) ‘SIGMET message’ means information issued by a meteorological watch office concerning the occurrence or expected occurrence of specified en-route weather phenomena which may affect the safety of aircraft operations and of the development of those phenomena in time and space;

(95) ‘special air-report’ means a meteorological report by an aircraft issued in accordance with the criteria based on observations made during the flight;

(96) ‘stress’ means the outcomes experienced by an individual when faced with a potential cause (‘stressor’) of human performance modification. The experience of the stressor may impact the individual's performance negatively (distress), neutrally or positively (eustress), based on the individual's perception of his/her ability to manage the stressor;

(97) ‘system and equipment rating training’ means training designed to impart specific system/equipment knowledge and skills leading towards operational competence;

(98) ‘tailored data’ means aeronautical data which is provided by the aircraft operator or DAT provider on the aircraft operator's behalf and produced for this aircraft operator for its intended operational use;

(99) ‘take-off alternate aerodrome’ means an alternate aerodrome at which an aircraft can land should this become necessary shortly after take-off and if it be not possible to use the aerodrome of departure;

(100) ‘terminal aerodrome forecast (TAF)’ means a concise statement of the expected meteorological conditions at an aerodrome for a specified period;

(101) ‘terrain’ means the surface of the Earth containing naturally occurring features such as mountains, hills, ridges, valleys, bodies of water, permanent ice and snow, and excluding obstacles;

(102) ‘threshold’ means the beginning of that portion of the runway usable for landing;

(103) ‘touchdown zone’ means the portion of a runway, beyond the threshold, where it is intended that landing aeroplanes first contact the runway;

(104) ‘tropical cyclone’ is a generic term for a non-frontal synoptic-scale cyclone originating over tropical or subtropical waters with organised convection and definite cyclonic surface wind circulation;

(105) ‘tropical cyclone advisory centre (TCAC)’ means a meteorological centre providing advisory information to meteorological watch offices, world area forecast centres and international OPMET databanks regarding the position, forecast direction and speed of movement, central pressure and maximum surface wind of tropical cyclones;

(106) ‘visibility’ means visibility for aeronautical purposes, which is the greater of: (a) the greatest distance at which a black object of suitable dimensions, situated near the ground, can be seen and recognised when observed against a bright background; (b) the greatest distance at which lights in the vicinity of 1 000 candelas can be seen and identified against an unlit background;

(107) ‘volcanic ash advisory centre (VAAC)’ means a meteorological centre providing advisory information to meteorological watch offices, area control centres, flight information centres, world area forecast centres and international OPMET databanks regarding the lateral and vertical extent and forecast movement of volcanic ash in the atmosphere following volcanic eruptions;

(108) ‘world area forecast centre (WAFC)’ means a meteorological centre preparing and issuing significant weather forecasts and upper-air forecasts in digital form on a global basis direct to the Member States by appropriate means as part of the aeronautical fixed service;

(109) ‘world area forecast system (WAFS)’ means a worldwide system by which world area forecast centres provide aeronautical meteorological en-route forecasts in uniform standardised formats.









ANNEX II

REQUIREMENTS FOR COMPETENT AUTHORITIES — OVERSIGHT OF SERVICES AND OTHER ATM NETWORK FUNCTIONS

(Part-ATM/ANS.AR)

SUBPART A — GENERAL REQUIREMENTS

ATM/ANS.AR.A.001 Scope

This Annex establishes the requirements for the administration and management systems of the competent authorities responsible for certification, oversight and enforcement in respect of the application of the requirements set out in Annexes III to XIII by the service providers in accordance with Article 6.

ATM/ANS.AR.A.005 Certification, oversight and enforcement tasks

(a) The competent authority shall exercise certification, oversight and enforcement tasks in respect of the application of the requirements applicable to service providers, monitor the safe provision of their services and verify that the applicable requirements are met.

(b) The competent authorities shall identify and exercise the responsibilities for certification, oversight and enforcement in a manner which ensures that: (1) specific points of responsibility exist to implement each provision of this Regulation; (2) they are aware of the safety oversight mechanisms and their results; (3) relevant information exchange is ensured between competent authorities. The competent authorities concerned shall regularly review the agreement on the supervision of the service providers providing air navigation services in functional airspace blocks (FABs) that extend across the airspace falling under the responsibility of more than one Member States referred to in Article 2(3) of Regulation (EC) No 550/2004 and, in the case of cross-border provision of air navigation services, the agreement on the mutual recognition of supervisory tasks referred to in Article 2(5) of Regulation (EC) No 550/2004, as well as the practical implementation of those agreements, in particular in the light of achieved safety performance of the service providers under their supervision.

(c) The competent authority shall establish coordination arrangements with other competent authorities for notified changes to functional systems involving service providers under the oversight of the other competent authorities. Those coordination arrangements shall ensure the effective selection and review of those notified changes, in accordance with point ATM/ANS.AR.C.025.

ATM/ANS.AR.A.010 Certification, oversight and enforcement documentation

The competent authority shall make available the relevant legislative acts, standards, rules, technical publications and related documents to its personnel in order to perform their tasks and to discharge their responsibilities.

ATM/ANS.AR.A.015 Means of compliance

(a) The Agency shall develop acceptable means of compliance (AMC) that may be used to establish compliance with the requirements of this Regulation. When AMC are complied with, the applicable requirements of this Regulation shall be deemed to have been met.

(b) Alternative means of compliance (AltMOC) may be used to establish compliance with the requirements of this Regulation.

(c) The competent authority shall establish a system to consistently evaluate that all AltMOC used by itself or by the service providers under its oversight allow the establishment of compliance with the requirements of this Regulation.

(d) The competent authority shall evaluate all AltMOC proposed by a service provider in accordance with point ATM/ANS.OR.A.020 by analysing the documentation provided and, if considered necessary, conducting an inspection of the service provider. When the competent authority finds that the AltMOC are sufficient to ensure compliance with the applicable requirements of this Regulation it shall without undue delay: (1) notify the applicant that the AltMOC may be implemented and, if applicable, amend the certificate of the applicant accordingly; (2) notify the Agency of their content, including copies of all relevant documentation; (3) inform other Member States about the AltMOC that were accepted.

(e) When the competent authority itself uses AltMOC to achieve compliance with the applicable requirements of this Regulation, it shall: (1) make them available to all service providers under its oversight; (2) notify the Agency without undue delay. The competent authority shall provide the Agency with a full description of the AltMOC, including any revisions to procedures that may be relevant, as well as an assessment demonstrating that the applicable requirements of this Regulation are met.

ATM/ANS.AR.A.020 Information to the Agency

(a) The competent authority shall without undue delay notify the Agency in case of any significant problems with the implementation of the relevant provisions of Regulation (EC) No 216/2008 and its implementing rules or of Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004 and Regulation (EC) No 552/2004 of the European Parliament and of the Council ( 1 ) applicable to service providers.

(b) Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the Council ( 2 ), the competent authority shall provide the Agency with safety-significant information stemming from the occurrence reports it has received.

ATM/ANS.AR.A.025 Immediate reaction to safety problem

(a) Without prejudice to Regulation (EU) No 376/2014, the competent authority shall implement a system to appropriately collect, analyse, and disseminate safety information.

(b) The Agency shall implement a system to appropriately analyse any relevant safety information received from the competent authorities and without undue delay provide to Member States and the Commission, as appropriate, any information, including recommendations or corrective actions to be taken, necessary for them to react in a timely manner to a safety problem involving the service providers.

(c) Upon receiving the information referred to in points (a) and (b), the competent authority shall take adequate measures to address the safety problem, including the issuing of safety directives in accordance with point ATM/ANS.AR.A.030.

(d) Measures taken under point (c) shall immediately be notified to the service providers concerned to comply with them, in accordance with point ATM/ANS.OR.A.060. The competent authority shall also notify those measures to the Agency and, when combined action is required, the other competent authorities concerned.

ATM/ANS.AR.A.030 Safety directives

(a) The competent authority shall issue a safety directive when it has determined the existence of an unsafe condition in a functional system requiring immediate action.

(b) The safety directive shall be forwarded to the service providers concerned and contain, as a minimum, the following information: (1) the identification of the unsafe condition; (2) the identification of the affected functional system; (3) the actions required and their rationale; (4) the time limit for completing the actions required; (5) its date of entry into force.

(c) The competent authority shall forward a copy of the safety directive to the Agency and any other competent authorities concerned within one month from its issuance.

(d) The competent authority shall verify the compliance of service providers with the applicable safety directives.

SUBPART B — MANAGEMENT (ATM/ANS.AR.B)

ATM/ANS.AR.B.001 Management system

(a) The competent authority shall establish and maintain a management system, including, as a minimum, the following elements: (1) documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and its implementing rules as necessary for the exercise of its certification, oversight and enforcement tasks under this Regulation. The procedures shall be kept up to date and serve as the basic working documents within that competent authority for all related tasks; (2) a sufficient number of personnel, including inspectors, to perform its tasks and discharge its responsibilities under this Regulation. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial, on-the-job and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all related tasks; (3) adequate facilities and office accommodation to perform those allocated tasks; (4) a process to monitor compliance of the management system with the relevant requirements and adequacy of the procedures, including the establishment of an internal audit process and a safety risk management process. Compliance monitoring shall include a feedback system of audit findings to the senior management of the competent authority to ensure implementation of corrective actions as necessary; (5) a person or group of persons ultimately responsible to the senior management of the competent authority for the compliance monitoring function.

(b) The competent authority shall, for each field of activity included in the management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s).

(c) The competent authority shall establish procedures for participation in a mutual exchange of all necessary information and assistance with other competent authorities concerned, including exchange of all findings raised and follow-up actions taken as a result of certification and oversight of service providers exercising activities in the territory of a Member State, but certified by the competent authority of another Member State or the Agency.

(d) A copy of the procedures related to the management system and their amendments shall be made available to the Agency for the purpose of standardisation.

ATM/ANS.AR.B.005 Allocation of tasks to qualified entities

(a) The competent authority may allocate its tasks related to the certification or oversight of service providers under this Regulation, other than the issuance of certificates themselves, to qualified entities. When allocating such tasks, the competent authority shall ensure that it has: (1) a system in place to initially and continuously assess that the qualified entity complies with Annex V to Regulation (EC) No 216/2008. This system and the results of the assessments shall be documented; and (2) established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines: (i) the tasks to be performed; (ii) the declarations, reports and records to be provided; (iii) the technical conditions to be met when performing such tasks; (iv) the related liability coverage; (v) the protection given to information acquired when carrying out such tasks.

(b) The competent authority shall ensure that the internal audit process and the safety risk management process required by point ATM/ANS.AR.B.001(a)(4) cover all tasks performed on its behalf by the qualified entity.

ATM/ANS.AR.B.010 Changes in the management system

(a) The competent authority shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities under this Regulation. This system shall enable it to take action, as appropriate, to ensure that the management system remains adequate and effective.

(b) The competent authority shall update its management system to reflect any change to this Regulation in a timely manner, so as to ensure effective implementation.

(c) The competent authority shall notify the Agency of significant changes affecting its capability to perform its tasks and discharge its responsibilities under this Regulation

ATM/ANS.AR.B.015 Record-keeping

(a) The competent authority shall establish a system of record-keeping providing for adequate storage, accessibility, and reliable traceability of: (1) the management system's documented policies and procedures; (2) training, qualification, and authorisation of personnel as required by point ATM/ANS.AR.B.001(a)(2); (3) the allocation of tasks, covering the elements required by point ATM/ANS.AR.B.005, as well as the details of tasks allocated; (4) certification and/or declaration processes; (5) designations of air traffic services and meteorological services providers, as appropriate; (6) certification and oversight of service providers exercising activities within the territory of the Member State, but certified by the competent authority of another Member State or the Agency, as agreed between those authorities; (7) the evaluation and notification to the Agency of AltMOC proposed by service providers and the assessment of AltMOC used by the competent authority itself; (8) compliance of service providers with the applicable requirements of this Regulation after the issuance of the certificate or, where relevant, submission of a declaration, including the reports of all audits, covering findings, corrective actions, and date of action closure, and observations as well as other safety-related records; (9) enforcement measures taken; (10) safety information, safety directives and follow-up measures; (11) the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

(b) The competent authority shall maintain a list of all service provider certificates issued and declarations received.

(c) All records shall be kept for a minimum period of 5 years after the certificate ceases to be valid or the declaration is withdrawn, subject to the applicable data protection law.

SUBPART C — OVERSIGHT, CERTIFICATION AND ENFORCEMENT (ATM/ANS.AR.C)

ATM/ANS.AR.C.001 Monitoring of safety performance

(a) The competent authorities shall regularly monitor and assess the safety performance of the service providers under their oversight.

(b) The competent authorities shall use the results of the monitoring of safety performance in particular within their risk-based oversight.

ATM/ANS.AR.C.005 Certification, declaration, and verification of service providers' compliance with the requirements

(a) Within the framework of point ATM/ANS.AR.B.001(a)(1), the competent authority shall establish a process in order to verify: (1) service providers' compliance with the applicable requirements set out in Annexes III to XIII, and any applicable conditions attached to the certificate before the issue of that certificate. The certificate shall be issued in accordance with Appendix 1 to this Annex; (2) compliance with any safety-related obligations in the designation act issued in accordance with Article 8 of Regulation (EC) No 550/2004; (3) continued compliance with the applicable requirements of the service providers under its oversight; (4) implementation of safety objectives, safety requirements and other safety-related conditions identified in declarations of verification of systems, including any relevant declaration of conformity or suitability for use of constituents of systems issued in accordance with Regulation (EC) No 552/2004; (5) the implementation of safety directives, corrective actions and enforcement measures.

(b) The process referred to in point (a) shall: (1) be based on documented procedures; (2) be supported by documentation specifically intended to provide its personnel with guidance to perform their tasks related to certification, oversight and enforcement; (3) provide the organisation concerned with an indication of the results of the certification, oversight and enforcement activity; (4) be based on audits, reviews and inspections conducted by the competent authority; (5) with regard to certified service providers, provide the competent authority with the evidence needed to support further action, including measures referred to in Article 9 of Regulation (EC) No 549/2004, Article 7(7) of Regulation (EC) No 550/2004, and by Articles 10, 25, and 68 of Regulation (EC) No 216/2008 in situations where requirements are not complied with; (6) with regard to service providers making declarations, provide the competent authority with the evidence to take, if appropriate, remedial action which may include enforcement actions, including, where appropriate, under national law.

ATM/ANS.AR.C.010 Oversight

(a) The competent authority, or qualified entities acting on its behalf, shall conduct audits, in accordance with Article 5.

(b) The audits referred to in point (a) shall: (1) provide the competent authority with evidence of compliance with the applicable requirements and with the implementing arrangements; (2) be independent of any internal auditing activities undertaken by the service provider; (3) cover complete implementing arrangements or elements thereof, and processes or services; (4) determine whether: (i) the implementing arrangements comply with the applicable requirements; (ii) the actions taken comply with the implementing arrangements and the applicable requirements; (iii) the results of actions taken match the results expected from the implementing arrangements.

(c) The competent authority shall, on the basis of the evidence at its disposal, monitor the continuous compliance with the applicable requirements of this Regulation of the service providers under its oversight.

ATM/ANS.AR.C.015 Oversight programme

(a) The competent authority shall establish and update annually an oversight programme taking into account the specific nature of the service providers, the complexity of their activities, the results of past certification and/or oversight activities and shall be based on the assessment of associated risks. It shall include audits, which shall: (1) cover all the areas of potential safety concern, with a focus on those areas where problems have been identified; (2) cover all the service providers under the supervision of the competent authority; (3) cover the means implemented by the service provider to ensure the competency of personnel; (4) ensure that audits are conducted in a manner commensurate with the level of the risk posed by the service provider operations and services provided; and (5) ensure that for service providers under its supervision, an oversight planning cycle not exceeding 24 months is applied. The oversight planning cycle may be reduced if there is evidence that the safety performance of the service provider has decreased. For a service provider certified by the competent authority, the oversight planning cycle may be extended to a maximum of 36 months if the competent authority has established that, during the previous 24 months: (i) the service provider has demonstrated an effective identification of aviation safety hazards and management of associated risks; (ii) the service provider has continuously demonstrated compliance with the change management requirements under points ATM/ANS.OR.A.040 and ATM/ANS.OR.A.045; (iii) no level 1 findings have been issued; (iv) all corrective actions have been implemented within the time period accepted or extended by the competent authority as defined in point ATM/ANS.AR.C.050. If, in addition to the above, the service provider has established an effective continuous reporting system to the competent authority on the safety performance and regulatory compliance of the service provider, which has been approved by the competent authority, the oversight planning cycle may be extended to a maximum of 48 months; (6) ensure follow-up of the implementation of corrective actions; (7) be subject to consultation with the service providers concerned and notification thereafter; (8) indicate the envisaged interval of the inspections of the different sites, if any.

(b) The competent authority may decide to modify the objectives and the scope of pre-planned audits, including documentary reviews and additional audits, wherever that need arises.

(c) The competent authority shall decide which arrangements, elements, services, functions, physical locations, and activities are to be audited within a specified time frame.

(d) Audit observations and findings issued in accordance with point ATM/ANS.AR.C.050 shall be documented. The latter shall be supported by evidence, and identified in terms of the applicable requirements and their implementing arrangements against which the audit has been conducted.

(e) An audit report, including the details of the findings and observations, shall be drawn up and communicated to the service provider concerned.

ATM/ANS.AR.C.020 Issue of certificates

(a) Following the process laid down in point ATM/ANS.AR.C.005(a), upon receiving an application for the issuance of a certificate to a service provider, the competent authority shall verify the service provider's compliance with the applicable requirements of this Regulation.

(b) The competent authority may require any audits, inspections or assessments it finds necessary before issuing the certificate.

(c) The certificate shall be issued for an unlimited duration. The privileges of the activities that the service provider is approved to conduct shall be specified in the service provision conditions attached to the certificate.

(d) The certificate shall not be issued where a level 1 finding remains open. In exceptional circumstances, finding(s), other than level 1, shall be assessed and mitigated as necessary by the service provider and a corrective action plan for closing the finding(s) shall be approved by the competent authority prior to the certificate being issued.

ATM/ANS.AR.C.025 Changes

(a) Upon receiving a notification for a change in accordance with point ATM/ANS.OR.A.045, the competent authority shall comply with points ATM/ANS.AR.C.030, ATM/ANS.AR.C.035 and ATM/ANS.AR.C.040.

(b) Upon receiving a notification for a change in accordance with point ATM/ANS.OR.A.040(a)(2) that requires prior approval, the competent authority shall: (1) verify the service provider's compliance with the applicable requirements before issuing the change approval; (2) take immediate appropriate action, without prejudice to any additional enforcement measures, when the service provider implements changes requiring prior approval without having received competent authority approval referred to in point (1).

(c) To enable a service provider to implement changes to its management system and/or safety management system, as applicable, without prior approval in accordance with point ATM/ANS.OR.A.040 (b), the competent authority shall approve a procedure defining the scope of such changes and describing how such changes will be notified and managed. In the continuous oversight process, the competent authority shall assess the information provided in the notification to verify whether the actions taken comply with the approved procedures and applicable requirements. In case of any non-compliance, the competent authority shall: (1) notify the service provider of the non-compliance and request further changes; (2) in case of level 1 and level 2 findings, act in accordance with point ATM/ANS.AR.C.050.

ATM/ANS.AR.C.030 Approval of change management procedures for functional systems

(a) The competent authority shall review: (1) change management procedures for functional systems or any material modification to those procedures submitted by the service provider in accordance with point ATM/ANS.OR.B.010(b); (2) any deviation from the procedures referred to in point (1) for a particular change, when requested by a service provider in accordance with point ATM/ANS.OR.B.010(c)(1).

(b) The competent authority shall approve the procedures, modifications and deviations referred to in point (a) when it has determined that they are necessary and sufficient for the service provider to demonstrate compliance with points ATM/ANS.OR.A.045, ATM/ANS.OR.C.005, ATS.OR.205, and ATS.OR.210, as applicable.

ATM/ANS.AR.C.035 Decision to review a notified change to the functional system

(a) Upon receipt of a notification in accordance with point ATM/ANS.OR.A.045(a)(1), or upon receipt of modified information in accordance with point ATM/ANS.OR.A.045(b), the competent authority shall make a decision on whether to review the change or not. The competent authority shall request any additional information needed from the service provider to support this decision.

(b) The competent authority shall determine the need for a review based on specific, valid and documented criteria that, as a minimum, ensure that the notified change is reviewed if the combination of the likelihood of the argument being complex or unfamiliar to the service provider and the severity of the possible consequences of the change is significant.

(c) When the competent authority decides the need for a review based on other risk based criteria in addition to point (b), these criteria shall be specific, valid and documented.

(d) The competent authority shall inform the service provider of its decision to review a notified change to a functional system and provide the associated rationale to the service provider upon request.

ATM/ANS.AR.C.040 Review of a notified change to the functional system

(a) When the competent authority reviews the argument for a notified change, it shall: (1) assess the validity of the argument presented with respect to point ATM/ANS.OR.C.005(a)(2) or ATS.OR.205(a)(2); (2) coordinate its activities with other competent authorities whenever necessary.

(b) The competent authority shall, alternatively: (1) approve the argument referred to in point (a)(1), with conditions where applicable, when it is shown to be valid and so inform the service provider, (2) reject the argument referred to in point (a)(1) and inform the service provider together with a supporting rationale.

ATM/ANS.AR.C.045 Declarations of flight information services providers

(a) Upon receiving a declaration from a provider of flight information services intending to provide such services, the competent authority shall verify that the declaration contains all the information required by point ATM/ANS.OR.A.015 and shall acknowledge receipt of the declaration to that service provider.

(b) If the declaration does not contain the required information, or contains information that indicates non-compliance with the applicable requirements, the competent authority shall notify the provider of flight information services concerned about the non-compliance and request further information. If necessary, the competent authority shall carry out an audit of the provider of flight information services. If the non-compliance is confirmed, the competent authority shall take action provided for in point ATM/ANS.AR.C.050.

(c) The competent authority shall keep a register of the declarations of providers of flight information services which were made to it in accordance with this Regulation.

ATM/ANS.AR.C.050 Findings, corrective actions, and enforcement measures

(a) The competent authority shall have a system to analyse findings for their safety significance and decide on enforcement measures on the basis of the safety risk posed by the service provider's non-compliance.

(b) In circumstances where no or very low additional safety risk would be present with immediate appropriate mitigation measures, the competent authority may accept the provision of services to ensure continuity of service whilst corrective actions are being taken.

(c) A level 1 finding shall be issued by the competent authority when any serious non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its implementing rules as well as Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004, and (EC) No 552/2004 and their implementing rules, with the service provider's procedures and manuals, with the terms of conditions of certificate or certificate, with the designation act, if applicable, or with the content of a declaration which poses a significant risk to flight safety or otherwise calls into question the service provider's capability to continue operations. Level 1 findings shall include but not be limited to: (1) promulgating operational procedures and/or providing a service in a way which introduces a significant risk to flight safety; (2) obtaining or maintaining the validity of the service provider's certificate by falsification of submitted documentary evidence; (3) evidence of malpractice or fraudulent use of the service provider's certificate; (4) the lack of an accountable manager.

(d) A level 2 finding shall be issued by the competent authority when any other non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its implementing rules as well as Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004, and (EC) No 552/2004 and their implementing rules, with the service provider's procedures and manuals or with the terms of conditions or certificate, or with the content of a declaration.

(e) When a finding is detected, during oversight or by any other means, the competent authority shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and this Regulation, as well as Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004 and (EC) No 552/2004 and their implementing rules, communicate the finding to the service provider in writing and require corrective action to address the non-compliance(s) identified. (1) In the case of level 1 findings, the competent authority shall take immediate and appropriate action, and may, if appropriate, limit, suspend or revoke in whole or in part the certificate while ensuring the continuity of services provided that safety is not compromised, and in the case of the Network Manager, it shall inform the Commission. The measure taken shall depend upon the extent of the finding and shall remain until successful corrective action has been taken by the service provider. (2) In the case of level 2 findings, the competent authority shall: (i) grant the service provider a corrective action implementation period included in an action plan appropriate to the nature of the finding; (ii) assess the corrective action and implementation plan proposed by the service provider and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept them. (3) In the case of level 2 findings, where the service provider fails to submit a corrective action plan that is acceptable to the competent authority in light of the finding, or where the service provider fails to perform the corrective action within the time period accepted or extended by the competent authority, the finding may be raised to a level 1 finding, and action taken as laid down in point (1).

(f) For those cases not requiring level 1 and 2 findings, the competent authority may issue observations.









Appendix 1

CERTIFICATE FOR SERVICE PROVIDER

EUROPEAN UNION

COMPETENT AUTHORITY

SERVICE PROVIDER CERTIFICATE

[CERTIFICATE NUMBER/ISSUE No]

Pursuant to Implementing Regulation (EU) 2017/373 and subject to the conditions specified below, the [competent authority] hereby certifies

[NAME OF THE SERVICE PROVIDER]

[ADDRESS OF THE SERVICE PROVIDER]

as a service provider with the privileges, as listed in the attached service provision conditions.

CONDITIONS:

This certificate is issued subject to the conditions and the scope of providing services and functions as listed in the attached service provision conditions.

This certificate is valid whilst the certified service provider remains in compliance with Implementing Regulation (EU) 2017/373 and the other applicable regulations and, when relevant, with the procedures in the service provider's documentation.

Subject to compliance with the foregoing conditions, this certificate shall remain valid unless the certificate has been surrendered, limited, suspended or revoked.

Date of issue:

Signed:

[Competent authority]

EASA Form 157 Issue 1 — Page 1/4

SERVICE PROVIDER

CERTIFICATE

SERVICE PROVISION CONDITIONS

Attachment to service provider's certificate:

[CERTIFICATE NUMBER/ISSUE No]

[NAME OF THE SERVICE PROVIDER]

has obtained the privileges to provide the following scope of services/functions:

(Delete lines as appropriate)







Services/Functions Type of Service/Function Scope of Service/Function Limitations (*1) Air traffic services (ATS) (*4) Air traffic control (ATC) Area control service Approach control service Aerodrome control service Flight information service (FIS) Aerodrome flight information service (AFIS) En-route flight information service (En-route FIS) Advisory service n/a Air traffic flow management (ATFM) ATFM Provision of the local ATFM Airspace management (ASM) ASM Provision of the local ASM (tactical/ASM Level 3) service Conditions (*2) Services/Functions Type of Service/Function Scope of Service/Function Limitations (*1) Air traffic services (ATS) for flight test (*3) (*4) Air traffic control (ATC) Area control service Approach control service Aerodrome control service Flight information service (FIS) Aerodrome flight information service (AFIS) En-route flight information service (En-route FIS) Advisory service n/a Conditions (*2) Services/Functions Type of Service/Function Scope of Service/Function Limitations (*1) Communication, navigation or surveillance services (CNS) Communications (C) Aeronautical mobile service (air-ground communication) Aeronautical fixed service (ground-ground communications) Aeronautical mobile satellite service (AMSS) Navigation (N) Provision of NDB signal in space Provision of VOR signal in space Provision of DME signal in space Provision of ILS signal in space Provision of MLS signal in space Provision of GNSS signal in space Surveillance (S) Provision of data from primary surveillance (PS) Provision of data from secondary surveillance (SS) Provision of automatic dependent surveillance (ADS) Data Conditions (*2) Services/Functions Type of Service/Function Scope of Service/Function Limitations (*1) Aeronautical information services (AIS) AIS Provision of the whole AIS service Conditions (*2) Services/Functions Type of Service/Function Scope of Service/Function Limitations (*1) Data services (DAT) Type 1 Provision of Type 1DAT authorises the supply of aeronautical databases in the following formats: [list of the generic data formats] Provision of Type 1 DAT does not authorise the supply of aeronautical databases directly to end-users/aircraft operators. Type 2 Provision of Type 2 DAT authorises the supply of aeronautical databases to end-users/aircraft operators for the following airborne application/ equipment, for which compatibility has been demonstrated: [Manufacturer] Certified Application/Equipment model [XXX], Part No [YYY] Conditions (*2) Services/Functions Type of Service/Function Scope of Service/Function Limitations (*1) Meteorological services (MET) MET Meteorological watch office Aerodrome meteorological offices Aeronautical meteorological stations VAAC WAFC TCAC Conditions (*2) Services/Functions Type of Service/Functions Scope of Service/Function Limitations (*1) ATM network functions Design of ERN n/a Scarce resources Radio frequency Transponder code ATFM Provision of the central ATFM Conditions (*2) ( *1 ) As prescribed by the competent authority. ( *2 ) Where necessary. ( *3 ) If the competent authority considers it necessary to establish additional requirements. ( *4 ) ATS covers alerting service.

Date of issue:

Signed: [Competent authority]

For the Member State/EASA

EASA Form 157 Issue 1 — Page 4/4









ANNEX III

COMMON REQUIREMENTS FOR SERVICE PROVIDERS

(Part-ATM/ANS.OR)

SUBPART A — GENERAL REQUIREMENTS (ATM/ANS.OR.A)

ATM/ANS.OR.A.001 Scope

In accordance with Article 6, this Annex establishes the requirements to be met by the service providers.

ATM/ANS.OR.A.005 Application for a service provider certificate

(a) Application for a service provider certificate or an amendment to an existing certificate shall be made in a form and manner established by the competent authority, taking into account the applicable requirements of this Regulation.

(b) In accordance with Article 6, in order to obtain the certificate, the service provider shall comply with: (1) the requirements referred to in Article 8b(1) of Regulation (EU) No 216/2008; (2) the common requirements set out in this Annex; (3) the specific requirements set out in Annexes IV to XIII, where those requirements are applicable in light of the services that the service provider provides or plans to provide.

ATM/ANS.OR.A.010 Application for a limited certificate

(a) Notwithstanding point (b), the air traffic services provider may apply for a certificate limited to the provision of services in the airspace under the responsibility of the Member State where its principal place of operation or, if any, registered office is located, when it provides or plans to provide services only with respect to one or more of the following categories: (1) aerial work; (2) general aviation; (3) commercial air transport limited to aircraft with less than 10 tonnes of maximum take-off mass or less than 20 passenger seats; (4) commercial air transport with less than 10 000 movements per year, regardless of the maximum take-off mass and the number of passenger seats; for the purposes of this provision, ‘movements’ means, in a given year, the average over the previous three years of the total number of take-offs and landings.

(b) In addition, the following air navigation service providers may also apply for a limited certificate: (1) an air navigation service provider, other than a provider of air traffic services, with a gross annual turnover of EUR 1 000 000 or less in relation to the services they provide or plan to provide; (2) an air navigation service provider providing aerodrome flight information services by operating regularly not more than one working position at any aerodrome.

(c) As determined by the competent authority, an air navigation service provider applying for a limited certificate in accordance with points (a) or (b)(1) shall comply, as a minimum, with the following requirements set out in: (1) point ATM/ANS.OR.B.001 Technical and operational competence and capability; (2) point ATM/ANS.OR.B.005 Management system; (3) point ATM/ANS.OR.B.020 Personnel requirements; (4) point ATM/ANS.OR.A.075 Open and transparent provision of services; (5) Annexes IV, V, VI and VIII, where those requirements are applicable in light of the services that the service provider provides or plans to provide, in accordance with Article 6.

(d) As determined by the competent authority, the air navigation service provider applying for a limited certificate in accordance with point (b)(2) shall comply, as a minimum, with the requirements set out in points (c)(1) to (c)(4) and with the specific requirements set out in Annex IV.

(e) An applicant for a limited certificate shall submit an application to the competent authority in a form and manner established by the competent authority.

ATM/ANS.OR.A.015 Declaration by flight information services providers

(a) Pursuant to Article 7, a flight information services provider may declare its capability and means of discharging the responsibilities associated with the services provided where it meets, in addition to the requirements referred to in Article 8b(1) of Regulation (EU) No 216/2008, the following alternative requirements: (1) the flight information services provider provides, or plans to provide, its services by operating regularly not more than one working position; (2) those services are of a temporary nature, for a duration agreed with the competent authority as necessary to ensure proportional safety assurance.

(b) A flight information services provider declaring its activities shall: (1) provide the competent authority with all the relevant information prior to commencing operations, in a form and manner established by the competent authority; (2) provide the competent authority with a list of the alternative means of compliance used, in accordance with point ATM/ANS.OR.A.020; (3) maintain compliance with the applicable requirements and with the information given in the declaration; (4) notify the competent authority of any changes to its declaration or the means of compliance it uses through submission of an amended declaration; (5) provide its services in accordance with its operations manual and comply with all the relevant provisions contained therein.

(c) Before ceasing the provision of its services, the flight information services provider declaring its activities shall notify the competent authority within a period determined by the competent authority.

(d) A flight information services provider declaring its activities shall comply with the following requirements set out in: (1) point ATM/ANS.OR.A.001 Scope; (2) point ATM/ANS.OR.A.020 Means of compliance; (3) point ATM/ANS.OR.A.035 Demonstration of compliance; (4) point ATM/ANS.OR.A.040 Changes — general; (5) point ATM/ANS.OR.A.045 Changes to the functional system; (6) point ATM/ANS.OR.A.050 Facilitation and cooperation; (7) point ATM/ANS.OR.A.055 Findings and corrective actions; (8) point ATM/ANS.OR.A.060 Immediate reaction to a safety problem; (9) point ATM/ANS.OR.A.065 Occurrence reporting; (10) point ATM/ANS.OR.B.001 Technical and operational competence and capability; (11) point ATM/ANS.OR.B.005 Management system; (12) point ATM/ANS.OR.B.020 Personnel requirements; (13) point ATM/ANS.OR.B.035 Operations manuals; (14) point ATM/ANS.OR.D.020 Liability and insurance cover, (15) Annex IV.

(e) A flight information services provider declaring its activities shall only start operation after receiving the acknowledgement of receipt of the declaration from the competent authority.

ATM/ANS.OR.A.020 Means of compliance

(a) Alternative means of compliance (AltMOC) to the AMC adopted by the Agency may be used by the service provider to establish compliance with the requirements of this Regulation.

(b) When the service provider wishes to use an AltMOC, it shall, prior to implementing it, provide the competent authority with a full description of the AltMOC. The description shall include any revisions to manuals or procedures that may be relevant, as well as an assessment demonstrating compliance with the requirements of this Regulation. A service provider may implement these alternative means of compliance subject to prior approval by the competent authority and upon receipt of the notification as prescribed in point ATM/ANS.AR.A.015(d).

ATM/ANS.OR.A.025 Continued validity of a certificate

(a) A service provider's certificate shall remain valid subject to: (1) the service provider remaining in compliance with the applicable requirements of this Regulation, including those concerning facilitating and cooperating for the purposes of the exercise of the powers of the competent authorities and those concerning the handling of findings as specified in points ATM/ANS.OR.A.050 and ATM/ANS.OR.A.055 respectively; (2) the certificate not having been surrendered, suspended or revoked.

(b) Upon revocation or surrender, the certificate shall be returned to the competent authority without delay.

ATM/ANS.OR.A.030 Continued validity of a declaration of a flight information services provider

A declaration made by the flight information services provider in accordance with point ATM/ANS.OR.A.015 shall remain valid subject to:

(a) the flight information services remaining in compliance with the applicable requirements of this Regulation, including those concerning facilitating and cooperating for the purposes of the exercise of the powers of the competent authorities and those concerning the handling of findings as specified in point ATM/ANS.OR.A.050 and ATM/ANS.OR.A.055 respectively;

(b) the declaration not having been withdrawn by the provider of such services or deregistered by the competent authority.

ATM/ANS.OR.A.035 Demonstration of compliance

A service provider shall provide all the relevant evidence to demonstrate compliance with the applicable requirements of this Regulation at the request of the competent authority.

ATM/ANS.OR.A.040 Changes — general

(a) The notification and management of: (1) a change to the functional system or a change that affects the functional system shall be carried out in accordance with point ATM/ANS.OR.A.045; (2) a change to the provision of service, the service provider's management system and/or safety management system, that does not affect the functional system, shall be carried out in accordance with point (b).

(b) Any change as referred to in point (a)(2) shall require prior approval before implementation, unless such a change is notified and managed in accordance with a procedure approved by the competent authority as laid down in point ATM/ANS.AR.C.025(c).

ATM/ANS.OR.A.045 Changes to a functional system

(a) A service provider planning a change to its functional system shall: (1) notify the competent authority of the change; (2) provide the competent authority, if requested, with any additional information that allows the competent authority to decide whether or not to review the argument for the change; (3) inform other service providers and, where feasible, aviation undertakings affected by the planned change.

(b) Having notified a change, the service provider shall inform the competent authority whenever the information provided in accordance with points (a)(1) and (2) is materially modified, and the relevant service providers and aviation undertakings whenever the information provided in accordance with point (a)(3) is materially modified.

(c) A service provider shall only allow the parts of the change, for which the activities required by the procedures referred to in point ATM/ANS.OR.B.010 have been completed, to enter into operational service.

(d) If the change is subject to competent authority review in accordance with point ATM/ANS.AR.C.035, the service provider shall only allow the parts of the change for which the competent authority has approved the argument to enter into operational service.

(e) When a change affects other service providers and/or aviation undertakings, as identified in point (a)(3), the service provider and these other service providers, in coordination, shall determine: (1) the dependencies with each other and, where feasible, with the affected aviation undertakings; (2) the assumptions and risk mitigations that relate to more than one service provider or aviation undertaking.

(f) Those service providers affected by the assumptions and risk mitigations referred to in point (e)(2) shall only use, in their argument for the change, agreed and aligned assumptions and risk mitigations with each other and, where feasible, with aviation undertakings.

ATM/ANS.OR.A.050 Facilitation and cooperation

A service provider shall facilitate inspections and audits by the competent authority or by a qualified entity acting on its behalf and it shall cooperate as necessary for the efficient and effective exercise of the powers of the competent authorities referred to in Article 5.

ATM/ANS.OR.A.055 Findings and corrective actions

After receipt of notification of findings from the competent authority, the service provider shall:

(a) identify the root cause of the non-compliance;

(b) define a corrective action plan that meets the approval by the competent authority;

(c) demonstrate corrective action implementation to the satisfaction of the competent authority within the time period proposed by the service provider and agreed with that authority, as defined in point ATM/ANS.AR.C.050(e).

ATM/ANS.OR.A.060 Immediate reaction to a safety problem

A service provider shall implement any safety measures, including safety directives, mandated by the competent authority in accordance with point ATM/ANS.AR.A.025(c).

ATM/ANS.OR.A.065 Occurrence reporting

(a) A service provider shall report to the competent authority, and to any other organisation required by the Member State where the service provider provides its services, any accident, serious incident and occurrence as defined in Regulation (EU) No 996/2010 of the European Parliament and of the Council ( 3 ) and Regulation (EU) No 376/2014.

(b) Without prejudice to point (a), the service provider shall report to the competent authority and to the organisation responsible for the design of system and constituents, if different from the service provider, any malfunction, technical defect, exceeding of technical limitations, occurrence, or other irregular circumstance that has or may have endangered the safety of services and that has not resulted in an accident or serious incident.

(c) Without prejudice to Regulations (EU) No 996/2010 and (EU) No 376/2014, the reports referred to in points (a) and (b) shall be made in a form and manner established by the competent authority and contain all the pertinent information about the event known to the service provider.

(d) Reports shall be made as soon as possible and in any case within 72 hours of the service provider identifying the details of the event to which the report relates unless exceptional circumstances prevent this.

(e) Without prejudice to Regulation (EU) No 376/2014, where relevant, the service provider shall produce a follow-up report to provide details of actions it intends to take to prevent similar occurrences in the future, as soon as these actions have been identified. This report shall be produced in a form and manner established by the competent authority.

ATM/ANS.OR.A.070 Contingency plans

A service provider shall have in place contingency plans for all the services it provides in the case of events which result in significant degradation or interruption of its operations.

ATM/ANS.OR.A.075 Open and transparent provision of services

(a) A service provider shall provide its services in an open and transparent manner. It shall publish the conditions of access to its services and changes thereto and establish a consultation process with the users of its services on a regular basis or as needed for specific changes in service provision, either individually or collectively.

(b) A service provider shall not discriminate on grounds of nationality or other characteristic of the user or the class of users of its services in a manner that is contrary to Union law.

SUBPART B — MANAGEMENT (ATM/ANS.OR.B)

ATM/ANS.OR.B.001 Technical and operational competence and capability

A service provider shall ensure that it is able to provide its services in a safe, efficient, continuous and sustainable manner, consistent with any foreseen level of overall demand for a given airspace. To this end, it shall maintain adequate technical and operational capacity and expertise.

ATM/ANS.OR.B.005 Management system

(a) A service provider shall implement and maintain a management system that includes: (1) clearly defined lines of responsibility and accountability throughout its organisation, including a direct accountability of the accountable manager; (2) a description of the overall philosophies and principles of the service provider with regard to safety, quality, and security of its services, collectively constituting a policy, signed by the accountable manager; (3) the means to verify the performance of the service provider's organisation in light of the performance indicators and performance targets of the management system; (4) a process to identify changes within the service provider's organisation and the context in which it operates, which may affect established processes, procedures and services and, where necessary, change the management system and/or the functional system to accommodate those changes; (5) a process to review the management system, identify the causes of substandard performance of the management system, determine the implications of such substandard performance, and eliminate or mitigate such causes; (6) a process to ensure that the personnel of the service provider are trained and competent to perform their duties in a safe, efficient, continuous and sustainable manner. In this context, the service provider shall establish policies for the recruitments and training of its personnel; (7) a formal means for communication that ensures that all personnel of the service provider are fully aware of the management system that allows critical information to be conveyed and that makes it possible to explain why particular actions are taken and why procedures are introduced or changed.

(b) A service provider shall document all management system key processes, including a process for making personnel aware of their responsibilities, and the procedure for the amendment of those processes.

(c) A service provider shall establish a function to monitor compliance of its organisation with the applicable requirements and the adequacy of the procedures. Compliance monitoring shall include a feedback system of findings to the accountable manager to ensure effective implementation of corrective actions as necessary.

(d) A service provider shall monitor the behaviour of its functional system and, where underperformance is identified, it shall establish its causes and eliminate them or, after having determined the implication of the underperformance, mitigate its effects.

(e) The management system shall be proportionate to the size of the service provider and the complexity of its activities, taking into account the hazards and associated risks inherent in those activities.

(f) Within its management system, the service provider shall establish formal interfaces with the relevant service providers and aviation undertakings in order to: (1) ensure that the aviation safety hazards entailed by its activities are identified and evaluated, and the associated risks are managed and mitigated as appropriate; (2) ensure that it provides its services in accordance with the requirements of this Regulation.

(g) In the case that the service provider holds also an aerodrome operator certificate, it shall ensure that the management system covers all activities in the scope of its certificates.

ATM/ANS.OR.B.010 Change management procedures

(a) A service provider shall use procedures to manage, assess and, if necessary, mitigate the impact of changes to its functional systems in accordance with points ATM/ANS.OR.A.045, ATM/ANS.OR.C.005, ATS.OR.205 and ATS.OR.210, as applicable.

(b) The procedures referred to in point (a) or any material modifications to those procedures shall: (1) be submitted, for approval, by the service provider to the competent authority; (2) not be used until approved by the competent authority.

(c) When the approved procedures referred to in point (b) are not suitable for a particular change, the service provider shall: (1) make a request to the competent authority for an exemption to deviate from the approved procedures; (2) provide the details of the deviation and the justification for its use to the competent authority; (3) not use the deviation before being approved by the competent authority.

ATM/ANS.OR.B.015 Contracted activities

(a) Contracted activities include all the activities within the scope of the service provider's operations, in accordance with the terms of the certificate, that are performed by other organisations either themselves certified to carry out such activity or if not certified, working under the service provider's oversight. A service provider shall ensure that when contracting or purchasing any part of its activities to external organisations, the contracted or purchased activity, system or constituent conforms to the applicable requirements.

(b) When a service provider contracts any part of its activities to an organisation that is not itself certified in accordance with this Regulation to carry out such activity, it shall ensure that the contracted organisation works under its oversight. The service provider shall ensure that the competent authority is given access to the contracted organisation to determine continued compliance with the applicable requirements under this Regulation.

ATM/ANS.OR.B.020 Personnel requirements

(a) A service provider shall appoint an accountable manager, who has the authority over ensuring that all activities can be financed and carried out in accordance with the applicable requirements. The accountable manager shall be responsible for establishing and maintaining an effective management system.

(b) A service provider shall define 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 as applicable.

ATM/ANS.OR.B.025 Facilities requirements

A service provider shall ensure that there are adequate and appropriate facilities to perform and manage all tasks and activities in accordance with the applicable requirements.

ATM/ANS.OR.B.030 Record-keeping

(a) A service provider shall establish a system of record-keeping that allows adequate storage of the records and reliable traceability of all its activities, covering in particular all the elements indicated in point ATM/ANS.OR.B.005.

(b) The format and the retention period of the records referred to in point (a) shall be specified in the service provider's management system procedures.

(c) Records shall be stored in a manner that ensures protection against damage, alteration and theft.

ATM/ANS.OR.B.035 Operations manuals

(a) A service provider shall provide and keep up to date its operations manuals relating to the provision of its services for the use and guidance of operations personnel.

(b) It shall ensure that: (1) operations manuals contain the instructions and information required by the operations personnel to perform their duties; (2) relevant parts of the operations manuals are accessible to the personnel concerned; (3) the operations personnel are informed of amendments to the operations manual applying to their duties in a manner that enables their application as of their entry into force.

SUBPART C — SPECIFIC ORGANISATION REQUIREMENTS FOR SERVICE PROVIDERS OTHER THAN ATS PROVIDERS (ATM/ANS.OR.C)

ATM/ANS.OR.C.001 Scope

This Subpart establishes the requirements to be met by the service provider other than the air traffic services provider, in addition to the requirements set out in Subparts A and B.

ATM/ANS.OR.C.005 Safety support assessment and assurance of changes to the functional system

(a) For any change notified in accordance with point ATM/ANS.OR.A.045(a)(1), the service provider other than the air traffic services provider shall: (1) ensure that a safety support assessment is carried out covering the scope of the change which is: (i) the equipment, procedural and human elements being changed; (ii) interfaces and interactions between the elements being changed and the remainder of the functional system; (iii) interfaces and interactions between the elements being changed and the context in which it is intended to operate; (iv) the life cycle of the change from definition to operations including transition into service; (v) planned degraded modes; (2) provide assurance, with sufficient confidence, via a complete, documented and valid argument that the service will behave and will continue to behave only as specified in the specified context.

(b) A service provider other than an air traffic services provider shall ensure that the safety support assessment referred to in point (a) comprises: (1) verification that: (i) the assessment corresponds to the scope of the change as defined in point (a)(1); (ii) the service behaves only as specified in the specified context; (iii) the way the service behaves complies with and does not contradict any applicable requirements of this Regulation placed on the services provided by the changed functional system; and (2) specification of the monitoring criteria necessary to demonstrate that the service delivered by the changed functional system will continue to behave only as specified in the specified context.

SUBPART D — SPECIFIC ORGANISATIONAL REQUIREMENTS FOR ANS AND ATFM PROVIDERS AND THE NETWORK MANAGER (ATM/ANS.OR.D)

ATM/ANS.OR.D.001 Scope

This Subpart establishes the requirements to be met by air navigation services (ANS) and air traffic flow management (ATFM) providers and the Network Manager, in addition to the requirements set out in Subparts A, B and C.

ATM/ANS.OR.D.005 Business, annual, and performance plans

(a) Business plan

(1) Air navigation services and air traffic flow management providers shall produce a business plan covering a minimum period of five years. The business plan shall: (i) set out the overall aims and goals of the air navigation services and of the air traffic flow management providers, and their strategy towards achieving them in consistency with any overall longer-term plan of the air navigation services provider or of the air traffic flow management provider and with the relevant requirements of Union law for the development of infrastructure or other technology; (ii) contain perform