02017R0373 — EN — 30.08.2022 — 005.001

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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:





Corrected by:









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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)







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Article 1

Subject matter

This Regulation lays down common requirements for:

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

(b) the competent authorities and the qualified entities acting on their behalf, which perform certification, oversight and enforcement tasks in respect of the services referred to in point (a);

(c) the rules and procedures for the design of airspace structures.

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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;

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(2) ‘ATM/ANS provider’ means any legal or natural person providing any of the ATM/ANS as defined in Article 3(5) of Regulation (EU) 2018/1139, either individually or bundled, for general air traffic;

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(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;

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(6) ‘“design of airspace structures”’ means a process that ensures that airspace structures are properly designed, surveyed and validated before they are deployed and used by aircraft

(7) ‘airborne collision avoidance system (ACAS)’ means an aircraft system based on secondary surveillance radar (SSR) transponder signals which operates independently of ground-based equipment to provide advice to the pilot on potential conflicting aircraft that are equipped with SSR transponders’;

(8) ‘entity originating aeronautical data and aeronautical information’ – means any public or private entity responsible for origination of aeronautical data and aeronautical information used as a source for aeronautical information products and services. These entities do not include ATM/ANS providers referred to in point (2) of Article 2 of this Regulation and aerodromes defined in point (1)(e) of Article 2 of Regulation (EU) 2018/1139.

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Article 3

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Provision of ATM/ANS and design of airspace structures

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

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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.

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5. Member States shall ensure that: (a) entities originating aeronautical data or aeronautical information meet the requirements laid down in: (i) point ATM/ANS.OR.A.085 of Annex III, except those in points (c), (d), (f)(1) and (i) thereof; (ii) point ATM/ANS.OR.A.090 of Annex III; (b) aeronautical data and aeronautical information are originated, processed and transmitted by adequately trained, competent and authorised personnel. When aeronautical data or aeronautical information is intended to be used for the purpose of IFR or special VFR flights, the requirements referred to in letters (a) and (b) of the first subparagraph shall apply to all entities originating such data and information.

6. Where it is determined that air traffic services are to be provided in particular portions of the airspace or at particular aerodromes, Member States shall ensure that those portions of the airspace or those aerodromes are specified in relation to the air traffic services that are to be provided.

7. Member States shall ensure that appropriate arrangements between the relevant ATM/ANS providers and aircraft operators are established for the adequate coordination of activities and services provided as well as for the exchange of relevant data and information.

8. Member States shall identify the persons or organisations, which are responsible for the design of airspace structures and shall ensure that those persons or organisations apply the requirements laid down in Appendix 1 to Annex XI (Part-FPD).

9. Member States shall ensure that maintenance and periodic review of flight procedures for aerodromes and airspace under their authority are conducted. For that purpose, Member States shall identify the persons or organisations, which are responsible for those tasks and shall ensure that the persons or organisations comply with the requirements laid down in Article 6, points (a) and (k).

Article 3a

Determination of the need for the provision of air traffic services

1. Member States shall determine the need for the provision of air traffic services by taking into account all of the following factors: (a) the types of air traffic involved; (b) the density of air traffic; (c) the meteorological conditions; (d) other relevant factors related to the objectives of the air traffic services defined in point ATS.TR.100 of Annex IV.

2. While determining the need for the provision of air traffic services Member States shall not take into account the carriage of airborne collision avoidance systems by aircraft.

Article 3b

Coordination between military units and air traffic service providers

Without prejudice to Article 6 of Regulation (EC) No 2150/2005, Member States shall establish special procedures so that:

(a) air traffic service providers are notified if a military unit observes that an aircraft, which is, or might be, a civil aircraft is approaching, or has entered, any area in which interception might become necessary;

(b) the air traffic service provider shall in close coordination with the military unit confirm the identity of the aircraft and provide it with the navigational guidance necessary to avoid the need for interception.

Article 3c

Coordination of air operations potentially hazardous to civil aviation

1. Member States shall ensure that operations potentially hazardous to civil aircraft over their territory are coordinated, including over the high seas, in case the competent authority has accepted, pursuant to an ICAO Regional Air Navigation Agreement, the responsibility to provide air traffic services within the airspace concerned. The coordination shall be effected early enough to permit timely promulgation of information regarding those activities.

2. Member States shall establish arrangements for the promulgation of information regarding the activities referred to in paragraph 1.

Article 3d

Very-high frequency (VHF) emergency frequency

1. Without prejudice to paragraph 2, Member States shall ensure that the VHF emergency frequency (121,500 MHz) is only used for genuine emergency purposes as specified in point ATS.OR.405(a) of Annex IV.

2. Member States may exceptionally allow the use of the VHF emergency frequency referred to in paragraph 1 for other purposes than those specified in point ATS.OR.405(a) of Annex IV, if those are limited to the extent necessary to achieve their aim and in order to reduce the impact upon aircraft in distress or emergency and upon the operations of air traffic services units.

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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;

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(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) and the requirements laid down in Regulation (EU) No 923/2012;

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(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);

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(k) for providers of flight procedure design services, in addition to the requirements of points (a) and (b), the requirements laid down in Annex XI (Part-FPD);

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(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

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TABLE OF CONTENTS ANNEX I DEFINITIONS OF TERMS USED IN ANNEXES II to XIII (Part-DEFINITIONS) 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) SUBPART B – MANAGEMENT (ATM/ANS.AR.B) SUBPART C – OVERSIGHT, CERTIFICATION AND ENFORCEMENT (ATM/ANS.AR.C) Appendix 1 – CERTIFICATE FOR SERVICE PROVIDER ANNEX III COMMON REQUIREMENTS FOR SERVICE PROVIDERS (Part-ATM/ANS.OR) SUBPART A – GENERAL REQUIREMENTS (ATM/ANS.OR.A) SUBPART B – MANAGEMENT (ATM/ANS.OR.B) SUBPART C – SPECIFIC ORGANISATIONAL REQUIREMENTS FOR SERVICE PROVIDERS OTHER THAN ATS PROVIDERS (ATM/ANS.OR.C) SUBPART D – SPECIFIC ORGANISATIONAL REQUIREMENTS FOR ANS AND ATFM PROVIDERS AND THE NETWORK MANAGER (ATM/ANS.OR.D) Appendix 1 – AERONAUTICAL DATA CATALOGUE ANNEX IV – SPECIFIC REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC SERVICES (Part-ATS) SUBPART A – ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC SERVICES (ATS.OR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – SAFETY OF SERVICES SECTION 3 – SPECIFIC HUMAN FACTORS REQUIREMENTS FOR AIR TRAFFIC CONTROL SERVICE PROVIDERS SECTION 4 – REQUIREMENTS FOR COMMUNICATION SECTION 5 – REQUIREMENTS FOR INFORMATION SUBPART B – TECHNICAL REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC SERVICES (ATS.TR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – AIR TRAFFIC CONTROL SERVICE SECTION 3 – FLIGHT INFORMATION SERVICE SECTION 4 – ALERTING SERVICE ANNEX V SPECIFIC REQUIREMENTS FOR PROVIDERS OF METEOROLOGICAL SERVICES (Part-MET) SUBPART A – ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF METEOROLOGICAL SERVICES (MET.OR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – SPECIFIC REQUIREMENTS Chapter 1 – Requirements for aeronautical meteorological stations Chapter 2 – Requirements for aerodrome meteorological offices Chapter 3 – Requirements for meteorological watch offices Chapter 4 – Requirements for volcanic ash advisory centres (VAACs) Chapter 5 – Requirements for tropical cyclone advisory centres (TCACs) Chapter 6 – Requirements for world area forecast centres (WAFCs) SUBPART B – TECHNICAL REQUIREMENTS FOR PROVIDERS OF METEOROLOGICAL SERVICES (MET.TR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – SPECIFIC REQUIREMENTS Chapter 1 – Technical requirements for aeronautical meteorological stations Chapter 2 – Technical requirements for aerodrome meteorological offices Chapter 3 – Technical requirements for meteorological watch offices Chapter 4 – Technical requirements for volcanic ash advisory centres (VAACs) Chapter 5 – Technical requirements for tropical cyclone advisory centres (TCACs) Chapter 6 – Technical requirements for world area forecast centres (WAFCs) Appendix 1 – Template for METAR Appendix 2 – Fixed areas of coverage of WAFS forecasts in chart form Appendix 3 – Template for TAF Appendix 4 – Template for wind shear warnings Appendix 5A – Template for SIGMET and AIRMET Appendix 5B – Template for special air-reports (uplink) Appendix 6 – Template for advisory for volcanic ash Appendix 7 – Template for advisory for tropical cyclones Appendix 8 – Ranges and resolutions for the numerical elements included in a volcanic ash advisory, tropical cyclone advisory, SIGMET, AIRMET, aerodrome warning and wind shear warning ANNEX VI SPECIFIC REQUIREMENTS FOR PROVIDERS OF AERONAUTICAL INFORMATION SERVICES (Part-AIS) SUBPART A – ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF AERONAUTICAL INFORMATION SERVICES (AIS.OR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – DATA QUALITY MANAGEMENT SECTION 3 – AERONAUTICAL INFORMATION PRODUCTS Chapter 1 – Aeronautical information in a standardised presentation Chapter 2 – Digital data sets SECTION 4 – DISTRIBUTION AND PRE-FLIGHT INFORMATION SERVICES SECTION 5 – AERONAUTICAL INFORMATION PRODUCTS UPDATES SECTION 6 – PERSONNEL REQUIREMENTS SUBPART B – TECHNICAL REQUIREMENTS FOR PROVIDERS OF AERONAUTICAL INFORMATION SERVICES (AIS.TR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – DATA QUALITY MANAGEMENT SECTION 3 – AERONAUTICAL INFORMATION PRODUCTS Chapter 1 – Aeronautical information in a standardised presentation Chapter 2 – Digital data sets SECTION 4 – DISTRIBUTION AND PRE-FLIGHT INFORMATION SERVICES SECTION 5 – AERONAUTICAL INFORMATION PRODUCTS UPDATES Appendix 1 – CONTENTS OF THE AERONAUTICAL INFORMATION PUBLICATION (AIP) Appendix 2 – NOTAM FORMAT Appendix 3 – SNOWTAM FORMAT Appendix 4 – ASHTAM FORMAT ANNEX VII – SPECIFIC REQUIREMENTS FOR PROVIDERS OF DATA SERVICES (Part-DAT) SUBPART A – ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF DATA SERVICES (DAT.OR) SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – SPECIFIC REQUIREMENTS SUBPART B – TECHNICAL REQUIREMENTS FOR PROVIDERS OF DATA SERVICES (DAT.TR) SECTION 1 – GENERAL REQUIREMENTS ANNEX VIII – SPECIFIC REQUIREMENTS FOR PROVIDERS OF COMMUNICATION, NAVIGATION, OR SURVEILLANCE SERVICES (Part-CNS) SUBPART A – ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF COMMUNICATION, NAVIGATION, OR SURVEILLANCE SERVICES (CNS.OR) SECTION 1 – GENERAL REQUIREMENTS SUBPART B – TECHNICAL REQUIREMENTS FOR PROVIDERS OF COMMUNICATION, NAVIGATION, OR SURVEILLANCE SERVICES (CNS.TR) SECTION 1 – GENERAL REQUIREMENTS ANNEX IX – SPECIFIC REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC FLOW MANAGEMENT (Part-ATFM) TECHNICAL REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC FLOW MANAGEMENT (ATFM.TR) ANNEX X – SPECIFIC REQUIREMENTS FOR PROVIDERS OF AIRSPACE MANAGEMENT (Part-ASM) TECHNICAL REQUIREMENTS FOR PROVIDERS OF AIRSPACE MANAGEMENT (ASM.TR) SECTION 1 – GENERAL REQUIREMENTS ANNEX XI – SPECIFIC REQUIREMENTS FOR PROVIDERS OF FLIGHT PROCEDURE DESIGN SERVICES (Part-FPD) SUBPART A – ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF FLIGHT PROCEDURE DESIGN SERVICES (FPD.OR) SECTION 1 – GENERAL REQUIREMENTS SUBPART B – TECHNICAL REQUIREMENTS FOR PROVIDERS OF FLIGHT PROCEDURE DESIGN SERVICES (FPD.TR) SECTION 1 – GENERAL REQUIREMENTS Appendix 1 – REQUIREMENTS FOR AIRSPACE STRUCTURES AND FLIGHT PROCEDURES CONTAINED THEREIN ANNEX XII – SPECIFIC REQUIREMENTS FOR THE NETWORK MANAGER (Part-NM) TECHNICAL REQUIREMENTS FOR THE NETWORK MANAGER (NM.TR) SECTION 1 – GENERAL REQUIREMENTS ANNEX XIII – REQUIREMENTS FOR SERVICE PROVIDERS CONCERNING PERSONNEL TRAINING AND COMPETENCE ASSESSMENT (Part-PERS) SUBPART A – AIR TRAFFIC SAFETY ELECTRONIC PERSONNEL SECTION 1 – GENERAL REQUIREMENTS SECTION 2 – TRAINING REQUIREMENTS SECTION 3 – COMPETENCE ASSESSMENT REQUIREMENTS SECTION 4 – INSTRUCTORS AND ASSESSORS REQUIREMENTS Appendix 1 – Basic Training – Shared Appendix 2 – Basic Training – Streams Appendix 3 – Qualification Training – Shared Appendix 4 – Qualification Training – Streams

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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;

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(6) ‘aerodrome flight information service (AFIS)’ means flight information service for aerodrome traffic provided by a designated air traffic services provider;

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(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;

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(19) ‘AIRMET’ 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;

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(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;

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(37) ‘cloud of operational significance’ means a cloud with the height of cloud base below 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;

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

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(38a) ‘conventional navigation route’ means an ATS route established by reference to ground navigation aids;

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(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;

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

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(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;

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(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;

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

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(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;

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

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(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;

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(107) ‘volcanic ash advisory centre (VAAC)’ means a meteorological centre that provides 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;

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

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(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;

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(110) ‘aerodrome control tower’ means a unit established to provide air traffic control service to aerodrome traffic;

(111) ‘aerodrome traffic’ means all traffic on the manoeuvring area of an aerodrome and all aircraft flying in the vicinity of an aerodrome. An aircraft operating in the vicinity of an aerodrome includes but is not limited to aircraft entering or leaving an aerodrome traffic circuit;

(112) ‘aerodrome traffic circuit’ means the specified path to be flown by aircraft operating in the vicinity of an aerodrome;

(113) ‘aeronautical fixed station’ means a station in the aeronautical fixed service;

(114) ‘aeronautical ground light’ means any light specially provided as an aid to air navigation, other than a light displayed on an aircraft;

(115) ‘aeronautical information circular (AIC)’ means a notice containing information that does not qualify for the origination of a NOTAM or for inclusion in the aeronautical information publication, but which relates to flight safety, air navigation, technical, administrative or legislative matters;

(116) ‘aeronautical information management (AIM)’ means the dynamic, integrated management of aeronautical information through the provision and exchange of quality-assured digital aeronautical data in collaboration with all parties;

(117) ‘aeronautical information product’ means aeronautical data and aeronautical information provided either as digital data sets or as a standardised presentation in paper or electronic media. Aeronautical information products include: — aeronautical information publication, including amendments and supplements; — AIC; — aeronautical charts; — NOTAM; — digital data sets;

(118) ‘aeronautical information publication (AIP)’ means a publication issued by or with the authority of a State and containing aeronautical information of a lasting character essential to air navigation;

(119) ‘AIP amendment’ means a permanent change to the information contained in the AIP;

(120) ‘AIP supplement’ means a temporary change to the information contained in the AIP, which is provided by means of special pages;

(121) ‘aeronautical information regulation and control’ (AIRAC) means a system aimed at advance notification, based on common effective dates, of circumstances that necessitate significant changes in operating practices;

(122) ‘aeronautical mobile service’ means a mobile service between aeronautical stations and aircraft stations, or between aircraft stations, in which survival craft stations may participate; emergency position-indicating radio beacon stations may also participate in this service on designated distress and emergency frequencies;

(123) ‘aeronautical station’ means a land station in the aeronautical mobile service. In certain instances, an aeronautical station may be located, for example, on board a ship or on a platform at sea;

(124) ‘aeronautical telecommunication station’ means a station in a telecommunication service provided for any aeronautical purpose;

(125) ‘AFIS aerodrome’ means an aerodrome where AFIS is provided within the airspace associated with such aerodrome;

(126) ‘AFIS unit’ means a unit established to provide AFIS and alerting service;

(127) ‘aircraft identification’ means a group of letters, figures or a combination thereof which is either identical to, or the coded equivalent of, the aircraft call sign to be used in air-ground communications, and which is used to identify the aircraft in ground-ground air traffic service communications;

(128) ‘air-ground communication’ means two-way communication between aircraft and stations or locations on the surface of the earth;

(129) ‘air traffic advisory service’ means a service provided within an airspace of defined dimensions, or a designated route (advisory airspace) to ensure separation, in so far as practical, between aircraft which are operating on instrument flight rules (IFR) flight plans;

(130) ‘air traffic control clearance’ or ‘ATC clearance’ means authorisation for an aircraft to proceed under conditions specified by an air traffic control unit;

(131) ‘air traffic control instruction’ or ‘ATC instruction’ means directives issued by ATC for the purpose of requiring a pilot to take a specific action;

(132) ‘air traffic control (ATC) unit’ or ‘ATC unit’ is a generic term meaning variously, area control centre, approach control unit or aerodrome control tower;

(133) ‘ALERFA’ is the code word used to designate an alert phase;

(134) ‘alerting service’ means a service provided to notify appropriate organisations regarding aircraft in need of search and rescue aid, and assist such organisations as required;

(135) ‘alert phase’ means a situation wherein apprehension exists as to the safety of an aircraft and its occupants;

(136) ‘approach control unit’ means a unit established to provide air traffic control service to controlled flights arriving at, or departing from, one or more aerodromes;

(137) ‘area navigation route’ means an ATS route established for the use of aircraft capable of employing area navigation;

(138) ‘assemble’ means a process of merging data from multiple sources into a database and establishing a baseline for subsequent processing;

(139) ‘ATS route’ means a specified route designed for channelling the flow of traffic as necessary for the provision of ATS;

(140) ‘ATS surveillance service’ means a service provided directly by means of an ATS surveillance system;

(141) ‘ATS surveillance system’ means a generic term meaning variously, ADS-B, PSR, SSR or any comparable ground-based system that enables the identification of aircraft;

(142) ‘automatic dependent surveillance – broadcast (ADS-B)’ means a means by which aircraft, aerodrome vehicles and other objects can automatically transmit or receive, or transmit and receive data such as identification, position and additional data, as appropriate, in a broadcast mode via a data link;

(143) ‘automatic dependent surveillance – contract (ADS-C)’ means a means by which the terms of an ADS-C agreement will be exchanged between the ground system and the aircraft, via a data link, specifying under what conditions ADS-C reports would be initiated, and what data would be contained in the reports;

(144) ‘automatic terminal information service (ATIS)’ means the automatic provision of current, routine information to arriving and departing aircraft throughout 24 hours a day or a specified portion thereof;

(145) ‘data link-automatic terminal information service (D-ATIS)’ means the provision of ATIS via data link;

(146) ‘voice-automatic terminal information service (Voice-ATIS)’ means the provision of ATIS by means of continuous and repetitive voice broadcasts;

(147) ‘broadcast’ means a transmission of information relating to air navigation that is not addressed to a specific station or stations;

(148) ‘ceiling’ means the height above the ground or water of the base of the lowest layer of cloud below 6 000 m (20 000 ft) covering more than half of the sky;

(149) ‘clearance limit’ means the point to which an aircraft is granted an ATC clearance;

(150) ‘cloud base’ means the height of the base of the lowest observed or forecast cloud element in the vicinity of an aerodrome or operating site or within a specified area of operations, normally measured above aerodrome elevation or, in the case of offshore operations, above mean sea level;

(151) ‘completeness’ means, in relation to data, the degree of confidence that all data needed to support the intended use is provided;

(152) ‘confidence level’ means the probability that the true value of a parameter is within a certain interval around the estimate of its value;

(153) ‘conference communications’ means communication facilities whereby direct speech conversation may be conducted between three or more locations simultaneously;

(154) ‘control zone’ means a controlled airspace extending upwards from the surface of the Earth to a specified upper limit;

(155) ‘controlled aerodrome’ means an aerodrome at which air traffic control service is provided to aerodrome traffic;

(156) ‘controlled airspace’ means an airspace of defined dimensions within which air traffic control service is provided in accordance with the airspace classification;

(157) ‘controlled flight’ means any flight which is subject to an ATC clearance;

(158) ‘controller-pilot data link communications (CPDLC)’ means a means of communication between air traffic controller and pilot, using data link for ATC communications;

(159) ‘critical area’ means an area of defined dimensions extending around the ground equipment of a precision instrument approach within which the presence of vehicles or aircraft will cause unacceptable disturbance of the guidance signals;

(160) ‘cruising level’ means a level maintained during a significant portion of a flight;

(161) ‘cyclic redundancy check (CRC)’ means a mathematical algorithm applied to the digital expression of data that provides a level of assurance against loss or alteration of data;

(162) ‘danger area’ means an airspace of defined dimensions within which activities dangerous to the flight of aircraft may exist at specified times;

(163) ‘data accuracy’ means a degree of conformance between the estimated or measured value and the true value;

(164) ‘data collection surface’ means a defined surface intended for the purpose of collecting obstacle or terrain data;

(165) ‘data integrity’ means a degree of assurance that aeronautical data and its value has not been lost or altered since the data origination or authorised amendment;

(166) ‘data item’ means a single attribute of a complete data set, which is allocated a value that defines its current status;

(167) ‘data link communications’ means a form of communication intended for the exchange of messages via a data link;

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(168) ‘data link-VOLMET (D-VOLMET)’ means the provision of aerodrome routine meteorological report (METAR), aerodrome special meteorological report (SPECI), TAF, SIGMET, special air-reports not covered by a SIGMET and, where available, AIRMET via data link;

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(169) ‘data origination’ means the creation of a new data item with its associated value, the modification of the value of an existing data item or the deletion of an existing data item;

(170) ‘data product specification’ means a detailed description of a data set or a collection of data sets together with additional information that will enable it to be created, supplied to and used by another party;

(171) ‘data set’ means an identifiable collection of data;

(172) ‘datum’ means any quantity or set of quantities that may serve as a reference or basis for the calculation of other quantities;

(173) ‘DETRESFA’ is the code word used to designate a distress phase;

(174) ‘distress phase’ means a situation wherein there is reasonable certainty that an aircraft and its occupants are threatened by grave and imminent danger or require immediate assistance;

(175) ‘downstream clearance’ means a clearance issued to an aircraft by an air traffic control unit that is not the current controlling authority of that aircraft;

(176) ‘essential traffic’ means controlled traffic to which the provision of separation by air traffic control service is applicable, but which, in relation to a particular controlled flight is not, or will not be, separated from other controlled traffic by the appropriate separation minimum;

(177) ‘essential local traffic’ means any aircraft, vehicle or personnel on or near the manoeuvring area, or traffic in the take-off and climb-out area or the final approach area, which may constitute a hazard to the aircraft concerned;

(178) ‘estimated time of arrival’ means: (a) for IFR flights, the time at which it is estimated that the aircraft will arrive over a designated point, defined by reference to navigation aids, from which it is intended that an instrument approach procedure will be commenced, or, if no navigation aid is associated with the aerodrome, the time at which the aircraft will arrive over the aerodrome; (b) for visual flight rules (VFR) flights, the time at which it is estimated that the aircraft will arrive over the aerodrome;

(179) ‘feature’ means an abstraction of real world phenomena;

(180) ‘feature attribute’ means a characteristic of a feature that has a name, a data type and a value domain associated with it;

(181) ‘feature type’ means a class of real world phenomena with common properties, which forms the basic level of classification in a feature catalogue;

(182) ‘final approach’ means that part of an instrument approach procedure which: (a) commences at the specified fix or point, or, where such a fix or point is not specified, at either of the following places: (i) at the end of the last procedure turn, base turn or inbound turn of a racetrack procedure, if specified; (ii) at the point of interception of the last track specified in the approach procedure, (b) ends at a point in the vicinity of an aerodrome from which a landing can be made or a missed approach procedure is initiated;

(183) ‘flight information zone’ means an airspace of defined dimension within which aerodrome flight information service and alerting service for aerodrome traffic are provided;

(184) ‘flight procedure design services’ means services for the design, documentation, validation, maintenance and periodic review of flight procedures necessary for the safety, regularity and efficiency of air navigation;

(185) ‘flight procedure designer’ means a qualified person who performs design, documentation, validation, continuous maintenance, and periodic review of flight procedures;

(186) ‘flight procedure’ means a set of predetermined flight manoeuvres intended to be followed by a pilot, published by electronic, printed or digital means, or both. Flight procedure is conducted either in accordance with instrument flight rules (IFR) or visual flight rules (VFR);

(187) ‘flight plan’ means specified information provided to air traffic services units, relative to an intended flight or portion of a flight of an aircraft;

(188) ‘flight visibility’ means the visibility forward from the cockpit of an aircraft in flight;

(189) ‘format’ means, in relation to data, a structure of data items, records and files arranged to meet standards, specifications or data quality requirements;

(190) ‘geoid’ means the equipotential surface in the gravity field of the Earth which coincides with the undisturbed mean sea level (MSL) extended continuously through the continents;

(191) ‘geoid undulation’ means the distance of the geoid above (positive) or below (negative) the mathematical reference ellipsoid;

(192) ‘glide path’ means a descent profile determined for vertical guidance during a final approach;

(193) ‘ground visibility’ means the visibility at an aerodrome, as reported by an accredited observer or by automatic systems;

(194) ‘heading’ means the direction in which the longitudinal axis of an aircraft is pointed, usually expressed in degrees from North (true, magnetic, compass or grid);

(195) ‘heliport’ means an aerodrome or a defined area on a structure intended to be used wholly or in part for the arrival, departure and surface movement of helicopters;

(196) ‘integrity classification’ means, in relation to aeronautical data, a classification based upon the potential risk resulting from the use of corrupted data, defining routine, essential and critical data;

(197) ‘international NOTAM office (NOF)’ means an office designated by a Member State for the exchange of NOTAM internationally;

(198) ‘holding fix’ means a geographical location that serves as a reference for a holding procedure;

(199) ‘holding procedure’ means a predetermined manoeuvre which keeps an aircraft within a specified airspace while awaiting further clearance;

(200) ‘identification’ means the situation which exists when the position indication of a particular aircraft is seen on a situation display and positively identified;

(201) ‘instrument flight rules’ are rules which allow an aircraft which is equipped with suitable navigation equipment appropriate to the route to be flown in accordance with the applicable requirements on air operations.

(202) ‘INCERFA’ is the code word used to designate an uncertainty phase;

(203) ‘instrument approach operations’ means an approach and landing using instruments for navigation guidance based on an instrument approach procedure. There are two methods for executing instrument approach operations: (a) a two-dimensional (2D) instrument approach operation, using lateral navigation guidance only; (b) a three-dimensional (3D) instrument approach operation, using both lateral and vertical navigation guidance;

(204) ‘instrument approach procedure (IAP)’ means a series of predetermined manoeuvres by reference to flight instruments with specified protection from obstacles from the initial approach fix, or where applicable, from the beginning of a defined arrival route to a point from which a landing can be completed and thereafter, if a landing is not completed, to a position at which holding or en-route obstacle clearance criteria apply. Instrument approach procedures are classified as follows: (a) ‘non-precision approach (NPA) procedure’ means an instrument approach procedure designed for 2D instrument approach operations Type A. (b) ‘approach procedure with vertical guidance (APV)’ means a performance-based navigation (PBN) instrument approach procedure designed for 3D instrument approach operations Type A. (c) ‘precision approach (PA) procedure’ means an instrument approach procedure based on navigation systems (ILS, MLS, GLS and SBAS Cat I) designed for 3D instrument approach operations Type A or B;]

(205) ‘instrument meteorological conditions (IMC)’ means meteorological conditions expressed in terms of visibility, distance from cloud, and ceiling, less than the minima specified for visual meteorological conditions;

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(206) ‘low-visibility operations (LVOs)’ means approach or take-off operations on a runway with a runway visual range (RVR) of less than 550 m or with a decision height (DH) of less than 200 ft;

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(206a) ‘low-visibility procedures’ means procedures applied at an aerodrome for the purpose of ensuring safety during low-visibility operations;

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(207) ‘manoeuvring area’ means that part of an aerodrome to be used for the take-off, landing and taxiing of aircraft, excluding aprons;

(208) ‘metadata’ means data about data;

(209) ‘movement area’ means that part of an aerodrome to be used for the take-off, landing and taxiing of aircraft, consisting of the manoeuvring area and the apron;

(210) ‘navigation aid’ means a facility or system external to the aircraft, which generates electro-magnetic signals to be used by aircraft navigation systems for position determination or flight path guidance;

(211) ‘mode Secondary Surveillance Radar (SSR)’ means the conventional identifier related to specific functions of the interrogation signals transmitted by an SSR interrogator. There are four modes specified in ICAO Annex 10: A, C, S and intermode;

(212) ‘near-parallel runways’ means non-intersecting runways whose extended centre lines have an angle of convergence/divergence of 15 degrees or less;

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(212a) ‘operation with operational credits’ means an operation using specific aircraft or ground equipment, or a combination of aircraft and ground equipment which allows any of the following elements: (a) the application of lower-than-standard aerodrome operating minima for a particular classification of operation; (b) visibility requirements can be satisfied or reduced; (c) fewer ground facilities are required;

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(213) ‘pilot-in-command’ means the pilot designated by the operator, or in the case of General Aviation, the owner, as being in command and charged with the safe conduct of a flight;

(214) ‘position’ means, in a geographical context, a set of coordinates (latitude and longitude) referenced to the mathematical reference ellipsoid, which define the position of a point on the surface of the Earth;

(215) ‘position indication’ means the visual indication, in non-symbolic or symbolic form, or both, on a situation display, of the position of an aircraft, aerodrome vehicle or other object;

(216) ‘pressure-altitude’ means an atmospheric pressure expressed in terms of altitude which corresponds to that pressure in the Standard Atmosphere;

(217) ‘primary radar’ means a radar system which uses reflected radio signals;

(218) ‘printed communications’ means communications which automatically provide a permanent printed record at each terminal of a circuit of all messages which pass over such circuit;

(219) ‘prohibited area’ means an airspace of defined dimensions, above the land areas or territorial waters of a Member State, within which the flight of aircraft is prohibited;

(220) ‘radio navigation service’ means a service providing guidance information or position data for the efficient and safe operation of aircraft supported by one or more radio navigation aids;

(221) ‘radiotelephony’ means a form of radio communication primarily intended for the exchange of information in the form of speech;

(222) ‘required communication performance specification’ or ‘RCP specification’ means a set of requirements for air traffic service provision and associated ground equipment, aircraft capability, and operations needed to support performance-based communication;

(223) ‘required surveillance performance specification’ or ‘RSP specification’ means a set of requirements for air traffic service provision and associated ground equipment, aircraft capability, and operations needed to support performance-based surveillance;

(224) ‘resolution’ means, in relation to data, a number of units or digits to which a measured or calculated value is expressed and used;

(225) ‘restricted area’ means an airspace of defined dimensions, above the land areas or territorial waters of a Member State, within which the flight of aircraft is restricted in accordance with certain specified conditions;

(226) ‘route stage’ means a route or portion of a route flown without an intermediate landing;

(227) ‘runway-in-use’ means the runway or runways that, at a particular time, are considered by the air traffic services unit to be the most suitable for use by the types of aircraft expected to land or take off at the aerodrome. Separate or multiple runways may be designated runway-in-use for arriving aircraft and departing aircraft;

(228) ‘secondary radar’ means a radar system wherein a radio signal transmitted from the radar station initiates the transmission of a radio signal from another station;

(229) ‘secondary surveillance radar (SSR)’ means a surveillance radar system which uses transmitters and receivers (interrogators) and transponders;

(230) ‘sensitive area’ means an area extending beyond the critical area where the parking or movement of aircraft or vehicles will affect the guidance signal to the extent that it may be rendered as an unacceptable disturbance to aircraft using the signal;

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(231) ‘SNOWTAM’ means a special series NOTAM given in a standard format, which provides a surface condition report notifying the presence or cessation of hazardous conditions due to snow, ice, slush, frost, standing water or water associated with snow, slush, ice, or frost on the movement area;

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(232) ‘significant point’ means a specified geographical location used in defining an ATS route or the flight path of an aircraft and for other navigation and air traffic services purposes;

(233) ‘situation display’ means an electronic display depicting the position and movement of aircraft and other information as required;

(234) ‘standard instrument arrival (STAR)’ means a designated IFR arrival route that links a significant point, normally on an ATS route, with a point from which a published instrument approach procedure can be commenced;

(235) ‘standard instrument departure (SID)’ means a designated IFR departure route that links the aerodrome or a specified runway of the aerodrome with a specified significant point, normally on a designated ATS route, at which the en-route phase of a flight commences;

(236) ‘special VFR flight’ means a VFR flight cleared by ATC to operate within a control zone in meteorological conditions below VMC;

(237) ‘taxiing’ means movement of an aircraft on the surface of an aerodrome or an operating site under its own power, excluding take-off and landing;

(238) ‘taxiway’ means a defined path on a land aerodrome established for the taxiing of aircraft and intended to provide a link between one part of the aerodrome and another;

(239) ‘terminal control area (TMA)’ means a control area normally established at the confluence of ATS routes in the vicinity of one or more major aerodromes;

(240) ‘timeliness’ means, in relation to data, the degree of confidence that the data is applicable to the period of its intended use;

(241) ‘traceability’ means, in relation to data, the degree to which a system or a data product can provide a record of the changes made to that product and thereby enable an audit trail to be followed from the end-user to the party originating data;

(242) ‘track’ means the projection on the Earth’s surface of the path of an aircraft, the direction of which path at any point is usually expressed in degrees from North (true, magnetic or grid);

(243) ‘traffic information’ means information issued by an air traffic services unit to alert a pilot to other known or observed air traffic which may be in proximity to the position or intended route of flight and to help the pilot avoid a collision;

(244) ‘transfer of control point’ means a defined point located along the flight path of an aircraft, at which the responsibility for providing air traffic control service to the aircraft is transferred from one control unit or control position to the next;

(245) ‘transferring unit’ means air traffic control unit in the process of transferring the responsibility for providing air traffic control service to an aircraft to the next air traffic control unit or air traffic controller along the route of flight;

(246) ‘transition altitude’ means the altitude at or below which the vertical position of an aircraft is controlled by reference to altitudes;

(247) ‘transition layer’ means the airspace between the transition altitude and the transition level;

(248) ‘transition level’ means the lowest flight level available for use above the transition altitude;

(249) ‘validation’ means, in relation to data, the process of ensuring that data meets the requirements for the specified application or intended use;

(250) ‘verification’ means, in relation to data, the evaluation of the output of an aeronautical data process to ensure correctness and consistency with respect to the inputs and applicable data standards, rules and conventions used in that process;

(251) ‘uncertainty phase’ means a situation wherein uncertainty exists as to the safety of an aircraft and its occupants;

(252) ‘unmanned free balloon’ means a non-power-driven, unmanned, lighter-than-air aircraft in free flight;

(253) ‘vectoring’ means the provision of navigational guidance to aircraft in the form of specific headings, based on the use of an ATS surveillance system;

(254) ‘visual flight rules flight’ or ‘VFR flight’ means a flight conducted in accordance with the visual flight rules;

(255) ‘visual approach’ means an approach by an IFR flight when either part or all of an instrument approach procedure is not completed and the approach is executed in visual reference to terrain;

(256) ‘visual meteorological conditions (VMC)’ means meteorological conditions expressed in terms of visibility, distance from cloud, and ceiling, equal to or better than specified minima;

(257) ‘VOLMET’ means meteorological information for aircraft in flight;

(258) ‘VOLMET broadcast’ means the provision, as appropriate, of current METAR, SPECI, TAF and SIGMET by means of continuous and repetitive voice broadcasts;

(259) ‘waypoint’ means a specified geographical location used to define an area navigation route or the flight path of an aircraft employing area navigation. Waypoints are identified as either: (a) fly-by waypoint – a waypoint which requires turn anticipation to allow tangential interception of the next segment of a route or procedure, or (b) fly-over waypoint – a waypoint at which a turn is initiated in order to join the next segment of a route or procedure;

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

(265) ‘Geography Markup Language (GML)’ means an encoding standard of the Open Geospatial Consortium (OGC);

(266) ‘space weather centre (SWXC)’ means a centre designated to monitor and provide advisory information on space weather phenomena expected to affect high-frequency radio communications, communications via satellite, GNSS-based navigation and surveillance systems and/or pose a radiation risk to aircraft occupants.

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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.

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

(a) The competent authority shall notify the Agency in case of any significant problems with the implementation of Regulation (EU) 2018/1139 and its delegated and implementing acts within 30 days from the time the competent authority has become aware of the problems.

(b) Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the Council ( 1 ) and its delegated and implementing acts, the competent authority shall provide the Agency with safety-significant information stemming from the occurrence reports stored in its national database in accordance with Article 6(6) of Regulation (EU) No 376/2014, as soon as possible.

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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: ▼M3 (1) documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof, as necessary, for the exercise of its certification, oversight and enforcement tasks. The procedures shall be kept up to date and serve as the basic working documents within that competent authority for all related tasks; ▼B (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).

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(c) The competent authority shall establish procedures for the participation in a mutual exchange of all necessary information and assistance with other competent authorities concerned, whether from within the Member State or in other Member States, including the following information: (1) the relevant findings raised and follow-up actions taken as a result of oversight of ATM/ANS providers exercising activities in the territory of a Member State, but certified by the competent authority of another Member State or the Agency; and (2) stemming from mandatory and voluntary occurrence reporting as required by point ATM/ANS.OR.A.065.

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(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.

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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 Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof. 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 changes to Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof, in a timely manner, so as to ensure the effective implementation of its management system.

(c) The competent authority shall notify the Agency of changes affecting its capability to perform its tasks and discharge its responsibilities under Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof.

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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