Commission Regulation (EC) No 2096/2005 of  20 December 2005  laying down common requirements for the provision of air navigation services   (Text with EEA relevance)
Date: 2005-12-20
Institutions: European Commission
Subjects: Community certification, International Civil Aviation Organisation, air traffic, organisation of transport, provision of services, transport safety

21.12.2005

EN

Official Journal of the European Union

L 335/13

COMMISSION REGULATION (EC) No 2096/2005

of 20 December 2005

laying down common requirements for the provision of air navigation services

(Text with EEA relevance)

THE COMMISSION OF THE EUROPEAN COMMUNITIES,

The common requirements should not cover military
operations and training within the scope of Article 1(2)
of Regulation (EC) No 549/2004.

Having regard to the Treaty
Community,

establishing the European

Having regard to Regulation (EC) No 550/2004 of the European
the Council of 10 March 2004 on the
Parliament and of
provision of air navigation services in the single European sky
(the service provision Regulation) (1), and in particular Articles 4
and 6 thereof,

Whereas:

(1)

(2)

(3)

is

required

to Regulation (EC) No 550/2004,
to

the
Pursuant
common
Commission
requirements for the provision of air navigation services
the Community. A Regulation providing
throughout
direct application is the most suitable instrument
for
this purpose.

establish

subject

should be

The provision of air navigation services within the
to certification by
Community
Member States. Air navigation service providers which
comply with the common requirements should receive
a certificate in accordance with Article 7 of Regulation
(EC) No 550/2004. Those air navigation service providers
should
which may operate without
endeavour to ensure maximum compliance with the
common requirements as far as their legal status allows.

certificate

a

sovereignty over

The application of the common requirements to be laid
down pursuant
to Article 6 of Regulation (EC) No
550/2004 should be without prejudice to Member
and to the
airspace
States'
requirements of
the Member States relating to public
order, public security and defence matters, as set out in
Article 13 of Regulation (EC) No 549/2004 of
the
European Parliament and of the Council of 10 March
2004 laying down the framework for the creation of
the single European sky (the framework Regulation) (2).

their

(1) OJ L 96, 31.3.2004, p. 10.
(2) OJ L 96, 31.3.2004, p. 1.

(4)

(5)

(6)

(7)

(8)

for

common requirements

the
The definition of
provision of air navigation services should take due
account of
the legal status of air navigation service
providers in the Member States. Furthermore, when an
organisation pursues activities other than the provision of
air navigation services, the common requirements to be
laid down pursuant to Article 6 of Regulation (EC) No
550/2004 should not apply to such other activities or to
resources allocated to activities outside the provision of
air navigation services, unless provision is made to the
contrary.

to provide

The application of common requirements to air navi-
gation service providers should be proportionate to the
risks linked with the specific features of each service such
as the number and/or the nature and characteristics of
processed movements. Should certain air navigation
themselves of the
service providers elect not to avail
opportunity
and
services
to mutual recognition within
thereby waive the right
the
supervisory
authority should be entitled to allow those providers to
comply
certain
general requirements for the provision of air navigation
the
services
provision of
the
conditions attached to the certificate should reflect the
nature and the scope of the derogation.

for
requirements
services. Consequently,

commensurately with,

and certain specific

European sky,

cross-border

respectively,

a national

traffic

single

air

In order to ensure the proper functioning of the certifi-
cation scheme, Member States
the
Commission with all relevant information on the dero-
gations granted by their national supervisory authority in
the context of their annual reports.

should provide

types of air navigation services are not
The different
necessarily subject
is
to the same requirements.
therefore necessary to adjust common requirements to
the special features of each type of service.

It

The onus of proving compliance should lie with the air
navigation service providers, for the period of validity of
the certificate and for all the services covered.

L 335/14

EN

Official Journal of the European Union

21.12.2005

(9)

(10)

(11)

a

of

regular

In order to ensure the effective application of common
supervision and
system of
requirements,
inspection
common
those
compliance with
requirements and with the conditions specified in the
certificate should be established. The national supervisory
authority should examine the suitability of a provider
to issuing a certificate and should assess
prior
the
ongoing compliance of
air navigation service
the
providers it has certified on a yearly basis. Consequently,
it should establish and update annually an indicative
inspection programme covering all the providers it has
certified, on the basis of an assessment of the risks. The
programme should allow the inspection of all relevant
parts of the air navigation service providers within a
reasonable time-frame. When assessing the compliance
of designated providers of air traffic services and meteor-
supervisory authority
ological
requirements
should be
the
on
stemming
Member State in question.

entitled to check relevant
from international

the national

obligations

services,

service

providers

Peer reviews of national supervisory authorities should
further a common approach to the supervision of air
navigation
the
throughout
Community. The Commission,
in cooperation with the
Member States, should arrange these peer reviews, which
should be co-ordinated with the activities undertaken
within the framework of Eurocontrol's ESARR Imple-
mentation Monitoring and Support programme (ESIMS)
and the Universal Safety Oversight Audit Programme
(USOAP) run by the International Civil Aviation Organi-
sation (ICAO). This will avoid duplication of work. In
order to allow the exchange of experience and best
practice during a peer
the national experts
should preferably originate from a national supervisory
authority or a recognised organisation.

review,

air

developed

Regulatory
has
Safety
Eurocontrol
Requirements
the highest
(ESARRs) which are of
importance for the safe provision of air traffic services.
In accordance with Regulation (EC) No 550/2004, the
Commission should identify and adopt
the relevant
provisions of ESARR 3 on the use of safety management
systems by
service
traffic management
providers, ESARR 4 on risk assessment and mitigation
in ATM and ESARR 5 on ATM services' personnel,
requirements for engineering and technical personnel
undertaking operational safety related tasks. Pursuant to
the
Article 5 of Regulation (EC) No 550/2004,
Commission has presented a proposal for a directive of
the European Parliament and of
the Council on a
Community Air Traffic Controller Licence (1) which

(ATM)

It

the provisions of ESARR 5 for air

traffic
covers
controllers.
is therefore not appropriate to repeat
these provisions in this Regulation. However, provisions
should be included to require a national supervisory
authority to check whether the personnel of a provider
of air traffic services, in particular air traffic controllers, is
properly licensed, if so required.

It is similarly not appropriate to repeat the ESARR 2
provisions on reporting and assessment of safety occur-
rences in ATM, which are covered by Council Directive
94/56/EC of 21 November 1994 establishing the funda-
mental principles governing the investigation of civil
accidents and incidents (2) and by Directive 2003/42/EC
of the European Parliament and of the Council of 13
June 2003 on occurrence reporting in civil aviation (3).
However, new provisions on safety occurrences should
be introduced to require a national supervisory authority
to check whether a provider of air traffic services, and
communication, navigation or
also a provider of
surveillance services, meet the arrangements required to
cover the reporting and assessment of such occurrences.
The relevant provisions of ESARR 1 on safety oversight
in ATM, and of ESARR 6 on software in ATM systems,
should be identified and adopted by way of separate
Community acts.

is

that

function of air

It should be recognised in particular that, first, safety
management
traffic services
which ensures that all safety risks have been identified,
assessed and satisfactorily mitigated, and that, secondly, a
formal and systematic approach to safety management
will maximise safety benefits in a visible and traceable
way. The Commission should update and specify further
the safety requirements applying to air traffic services, in
order
to ensure the highest possible level of safety
without prejudice to such future role as may be
defined for the European Aviation Safety Agency in
this area.

(12)

(13)

(14) Air navigation service providers

the

should operate

the Member States

in
compliance with the relevant ICAO standards. With a
cross-border provision of
view to facilitating
services,
and the Commission,
acting in close cooperation with Eurocontrol, should
work towards minimising the differences notified by
Member States in the application of ICAO standards in
the field of air navigation services in order to reach a
common set of standards between Member States within
the single European sky in particular with a view to
developing common rules of the air.

(1) COM(2004) 473, not yet published in the Official Journal.

(2) OJ L 319, 12.12.1994, p. 14.
(3) OJ L 167, 4.7.2003, p. 23.

21.12.2005

EN

Official Journal of the European Union

L 335/15

(15) Different national arrangements as to liability should not
prevent an air navigation service provider from entering
into agreements on the
cross-border provision of
services, once they have set up arrangements to cover
losses for damages arising from liabilities under the
applicable law. The method employed should follow
national legal requirements. Member States which allow
the provision of air navigation services in all or part of
the airspace under their responsibility without certifi-
(EC) No
accordance with Regulation
cation
550/2004 should cover the liabilities of those providers.

in

(16) While ESARR 4 defines a maximum tolerable probability
for ATM directly contributing to accidents in the ECAC
(European Civil Aviation Conference) region, maximum
tolerable probabilities for all severity classes have not yet
the
The Member
been
Commission, acting together with Eurocontrol, should
complete and update these probabilities and develop
mechanisms to apply them in different circumstances.

established.

States

and

(17)

The measures provided for in this Regulation are in
accordance with the opinion of
Sky
Committee established by Article 5 of Regulation (EC)
No 549/2004,

Single

the

HAS ADOPTED THIS REGULATION:

Article 1

Subject-matter and scope

This Regulation lays down the common requirements for the
provision of air navigation services. However, unless Annex I or
II makes provision to the contrary, those common requirements
do not apply to:

(a) activities other than the provision of air navigation services

by a provider;

(b) ESARR 4 on risk assessment and mitigation in ATM, issued

on 5 April 2001;

(c) ESARR 5 on ATM services' personnel, requirements for
engineering and technical personnel undertaking operational
safety related tasks, issued on 11 April 2002.

Article 2

Definitions

For the purposes of this Regulation the definitions estab-

1.
lished by Regulation (EC) No 549/2004 shall apply.

In addition to the definitions referred to in paragraph 1

2.
the following definitions shall apply:

(a)

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

(b) ‘commercial air transport’ shall mean any aircraft operation
involving the transport of passengers, cargo or mail
for
remuneration or hire;

(c)

‘functional system’ shall mean a combination of systems,
procedures and human resources organised to perform a
function within the context of ATM;

(d)

‘general aviation’ shall mean any civil aircraft operation
other than commercial air transport or aerial work;

(b) resources allocated to activities outside the provision of air

navigation services.

(e)

‘national supervisory authority’ shall mean the body or
bodies nominated or established by Member States as
their national authority pursuant to Article 4 of Regulation
(EC) No 549/2004;

This Regulation identifies and adopts the mandatory provisions
of the following Eurocontrol Safety Regulatory Requirements
(ESARRs) which are relevant for the certification of air navi-
gation service providers:

(f)

‘hazard’ shall mean any condition, event, or circumstance
which could induce an accident;

(a) ESARR 3 on the use of safety management systems by air
traffic management (ATM) service providers, issued on 17
July 2000;

(g)

organisation’

‘operating
organisation
responsible for the provision of engineering and technical
services supporting air traffic, communication, navigation or
surveillance services;

shall mean

an

L 335/16

EN

Official Journal of the European Union

21.12.2005

(h) ‘risk’ shall mean the combination of the overall probability,
or frequency of occurrence of a harmful effect induced by a
hazard and the severity of that effect;

Article 4

Derogations

(i)

‘safety assurance’ shall mean all planned and systematic
actions necessary to afford adequate confidence that a
product, a service, an organisation or a functional system
achieves acceptable or tolerable safety;

(j)

‘safety objective’ shall mean a qualitative or quantitative
statement that defines the maximum frequency or prob-
ability at which a hazard can be expected to occur;

(k)

‘safety requirement’ shall mean a risk-mitigation means,
defined from the risk-mitigation strategy that achieves a
particular safety objective,
including organisational, opera-
tional, procedural, functional, performance, and interoper-
ability requirements or environment characteristics;

1.
By way of derogation from the provisions of Article 3(1),
certain air navigation service providers may elect not to avail
themselves of the opportunity to provide cross-border services
and may waive the right to mutual recognition within the single
European sky.

They may, in those circumstances, apply for a certificate which
is limited to the airspace under the responsibility of the Member
State referred to in Article 7(2) of Regulation (EC) No
550/2004.

In order to make such an application, a provider of air traffic
services shall provide services or plan to provide them only with
respect to one or more of the following categories:

(a) general aviation;

(l)

‘services’ shall mean either an air navigation service or a
bundle of air navigation services.

(b) aerial work;

‘Air navigation service provider’ shall be understood to
3.
include an organisation having applied for a certificate to
provide such services.

(c) commercial air transport limited to aircraft with less than
10 tonnes of maximum take-off mass or less than 20
passenger seats;

Article 3

Granting of certificates

1.
In order to obtain the certificate necessary to provide air
navigation services, and without prejudice to Article 7(5) of
Regulation (EC) No 550/2004, air navigation service providers
shall comply with the general common requirements set out in
Annex I as well as with the specific additional requirements set
out in Annexes II to V to this Regulation according to the type
of service they provide, subject to the derogations under Article
4.

(d) commercial air transport with less than 10 000 movements
per year, regardless of the maximum take-off mass and the
‘movements’ being counted as
number of passenger seats,
the sum of take-offs and landings and calculated as an
average over the previous three years.

In order to make such an application, an air navigation service
provider other than a provider of air traffic services shall have a
gross annual turnover of EUR 1 000 000 or less in relation to
the services it provides or plans to provide.

A national supervisory authority shall verify an air navi-
common

2.
gation service provider's
requirements before issuing a certificate to that provider.

compliance with the

Where, owing to objective practical reasons, an air navigation
service provider is unable to provide evidence that it meets
those criteria, a national supervisory authority may accept
analogous
in relation to the ceilings
defined in the third and fourth subparagraphs.

figures or

forecasts

3.
An air navigation service provider shall comply with the
common requirements no later than the time at which the
certificate is issued pursuant to Article 7 of Regulation (EC)
No 550/2004.

When presenting such an application, an air navigation service
provider shall submit
to the national supervisory authority,
simultaneously, the relevant evidence regarding the qualifying
criteria.

21.12.2005

EN

Official Journal of the European Union

L 335/17

A national supervisory authority may grant specific dero-
2.
gations to applicants who fulfil the criteria of paragraph 1,
commensurately with
traffic
management in the airspace under the responsibility of the
Member State.

contribution

their

air

to

(b) limit the validity of the certificate in time; and

(c) monitor whether

the air navigation service providers

continue to qualify for the derogation.

Those derogations may relate only to the requirements of
Annex I, subject to the following exceptions:

(a) part 1 technical and operational competence and capability;

Article 5

Demonstration of compliance

(b) part 3.1 safety management;

(c) part 5 human resources;

evidence

The air navigation service provider shall provide all the
compliance with the
the
request of
supervisory authority. The air navigation service

1.
relevant
applicable
national
provider may make full use of existing data.

common requirements

to demonstrate

the

at

(d) part 8.1 open and transparent provision of services.

3.
In addition to the derogations referred to in paragraph 2,
a national supervisory authority may grant derogations to
applicants who provide aerodrome flight information services
by operating regularly not more than one working position at
shall do so commensurately with the
any aerodrome.
applicants' contribution to air
in the
traffic management
airspace under the responsibility of the Member State.

It

Those
relate
derogations may
requirements of Annex II, part 3:

only

to

the

following

(a) safety management responsibility as well as external services

and supplies (under part 3.1.2);

(b) safety surveys (under part 3.1.3);

supervisory authority of planned changes

A certified air navigation service provider shall notify the
2.
to its
national
provision of services which may affect
its compliance with
the applicable common requirements or with the conditions
attached to the certificate.

A certified provider of air traffic services shall notify the
3.
national supervisory authority of planned safety related changes
to the provision of air traffic services.

4. Where a certified air navigation service provider does not
comply any longer with the applicable common requirements
or with the conditions attached to the certificate, the competent
national supervisory authority shall take a decision within a
time period not exceeding one month. By this decision, the
national supervisory authority shall require the air navigation
service provider to take corrective action.

(c) safety requirements for risk assessment and mitigation with

regard to changes (part 3.2).

The decision shall immediately be notified to the relevant air
navigation service provider.

No derogations shall be granted from the requirements

4.
contained in Annexes III, IV or V.

In conformity with Annex II of Regulation (EC) No

5.
550/2004, a national supervisory authority shall:

(a) specify the nature and the scope of the derogation in the
conditions attached to the certificate by indicating its legal
basis;

check that

to the
the national

supervisory authority shall

the
The national
corrective action has been implemented before notifying its
relevant air navigation service provider.
approval
Where
that
supervisory authority considers
corrective action has not been properly implemented within
the agreed timetable,
take appropriate enforcement
measures in accordance with Article 7(7) of Regulation (EC)
No 550/2004 and Article 9 of Regulation (EC) No 549/2004
while taking into account the need to ensure the continuity of
services.

it shall

L 335/18

EN

Official Journal of the European Union

21.12.2005

Article 6

Facilitation of compliance monitoring

The programme shall
inspections of the different sites.

indicate the envisaged interval of

the

In accordance with Article 2(2) of Regulation (EC) No
facilitate
550/2004, air navigation service providers
inspections and surveys by the national supervisory authority
or by a recognised organisation acting on the latter’s behalf,
including site visits and visits without prior notice.

shall

The authorised persons shall be empowered to perform the
following acts:

Article 8

Safety regulation of engineering and technical personnel

With regard to the provision of air traffic, communication,
navigation or surveillance services,
the national supervisory
authority or any other authority designated by a Member
State to fulfil this task shall:

(a)

to examine the relevant records, data, procedures and any
other material relevant to the provision of air navigation
services;

(a)

issue appropriate safety rules for engineering and technical
personnel who undertake operational safety-related tasks;

(b) to take copies of or extracts from such records, data,

procedures and other material;

(b) ensure adequate and appropriate safety oversight of

engineering and technical personnel
operating organisation to undertake operational
related tasks;

the
assigned by any
safety-

(c)

to ask for an oral explanation on site;

(d) to enter relevant premises, lands or means of transport.

(c) on reasonable grounds and after due enquiry, take appro-
priate action in respect of the operating organisation and/or
its technical and engineering personnel who do not meet
the provisions of Annex II, part 3.3;

Such inspections and surveys shall be carried out in compliance
with the legal provisions of the Member State in which they are
to be undertaken.

(d) verify that appropriate methods are in place to ensure that
third parties assigned to operational safety-related tasks
meet the provisions of Annex II, part 3.3.

Article 7

Ongoing compliance

The national supervisory authority shall, on the basis of the
annually the ongoing
evidence
compliance of
the air navigation service providers which it
has certified.

its disposal, monitor

at

Article 9

Peer review procedure

The Commission, acting in cooperation with the Member
1.
States shall arrange peer reviews of national supervisory autho-
rities in accordance with paragraphs 2 to 6.

To this end, the national supervisory authority shall establish
and update annually an indicative inspection programme
the providers it has certified and based on an
covering all
assessment of the risks associated with the different operations
constituting the services provided. It shall consult the air navi-
gation service providers concerned as well as any other national
supervisory authority concerned,
if appropriate, before estab-
lishing such a programme.

2.
A peer review shall be carried out by a team of national
experts. A team shall be comprised of experts coming from at
least three different Member States. Experts shall not participate
in peer reviews in the Member State where they are employed.
The Commission shall establish and maintain a pool of national
experts designated by Member States, which shall cover all
aspects of the common requirements as listed in Article 6 of
Regulation (EC) No 550/2004.

21.12.2005

EN

Official Journal of the European Union

L 335/19

Not less than three months before a peer review, the
3.
Commission shall
inform the Member State and the national
supervisory authority concerned of the peer review, the date on
which it is scheduled to take place and the identity of the
experts taking part in it.

The Member State whose national supervisory authority is
subject to review shall approve the team of experts before it
can carry out the review.

4. Within a period of three months following the review, the
review team shall draw up, by consensus, a report which may
contain recommendations. The Commission shall convene a
supervisory
meeting with the
authority to discuss the report.

and the national

experts

present its observations; those observations shall include, where
relevant, the measures which it has taken or intends to take to
respond to the review within a given timescale.

Unless otherwise agreed with the Member State concerned, the
review report and the follow-up shall not be published.

The Commission shall inform the Member States through
6.
the Single Sky Committee of the main findings of these reviews
on an annual basis.

Article 10

Entry into force

5.
The Commission shall forward the report to the Member
State concerned. The latter may, within three months of receipt,

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

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

Done at Brussels, 20 December 2005.

For the Commission

Jacques BARROT
Vice-President

L 335/20

EN

Official Journal of the European Union

21.12.2005

ANNEX I

GENERAL REQUIREMENTS FOR THE PROVISION OF AIR NAVIGATION SERVICES

1.

TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY

An air navigation service provider shall be able to provide services in a safe, efficient, continuous and sustainable
manner consistent with any reasonable level of overall demand for a given airspace. To this end, it shall maintain
adequate technical and operational capacity and expertise.

2. ORGANISATIONAL STRUCTURE AND MANAGEMENT

2.1. Organisational structure

An air navigation service provider shall set up and manage its organisation according to a structure that supports the
safe, efficient and continuous provision of services.

The organisational structure shall define:

(a) the authority, duties and responsibilities of the nominated post holders,

in particular of the management

personnel in charge of safety, quality, security, finance and human resources related functions;

(b) the relationship and reporting lines between different parts and processes of the organisation.

2.2. Organisational management

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

(a) set out the overall aims and goals of the air navigation service provider and its strategy towards achieving them
in consistency with any overall longer term plan of the provider and with relevant Community requirements
relevant for the development of infrastructure or other technology;

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

An air navigation service provider shall produce an annual plan covering the forthcoming year which shall specify
further the features of the business plan and describe any changes to it.

The annual plan shall cover the following provisions on the level and quality of service such as the expected level of
capacity, safety and delays to flights incurred as well as on financial arrangements:

(a) information on the implementation of new infrastructure or other developments and a statement how they will

contribute to improving the level and quality of services;

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

(c) the service provider’s expected short-term financial position as well as any changes to or impacts on the business

plan.

3.

SAFETY AND QUALITY MANAGEMENT

3.1. Safety management

An air navigation service provider shall manage the safety of all its services. In doing so, it shall establish formal
interfaces with all stakeholders which may influence directly the safety of its services.

3.2. Quality management system

An air navigation service provider shall have in place at the latest two years after entry into force of this Regulation a
quality management system which covers all air navigation services it provides according to the following principles.
It shall:

(a) define the quality policy in such a way as to meet the needs of different users as closely as possible;

21.12.2005

EN

Official Journal of the European Union

L 335/21

(b) set up a quality assurance programme that contains procedures designed to verify that all operations are being

conducted in accordance with applicable requirements, standards and procedures;

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

(d) appoint management representatives to monitor compliance with, and adequacy of, procedures to ensure safe

and efficient operational practices;

(e) perform reviews of the quality system in place and take remedial actions, as appropriate.

An EN ISO 9001 certificate, issued by an appropriately accredited organisation, covering the air navigation services
of the provider shall be considered as a sufficient means of compliance. The air navigation service provider shall
accept the disclosure of the documentation related to the certification to the national supervisory authority upon the
latter’s request.

3.3. Operations manuals

An air navigation service provider shall provide and keep up-to-date operations manuals relating to the provision of
its services for the use and guidance of operations personnel. It shall ensure that:

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

duties;

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

(c) the operations personnel are expeditiously informed of the amendments to the operations manual applying to

their duties as well as of their entry into force.

4.

SECURITY

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

(a) the security of its facilities and personnel so as to prevent unlawful interference with the provision of services;

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

to those authorised.

The security management system shall define:

(a) the procedures relating to security risk assessment and mitigation, security monitoring and improvement, security

reviews and lesson dissemination;

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

(c) the means of containing the effects of security breaches and to identify recovery action and mitigation

procedures to prevent re-occurrence.

An air navigation service provider shall ensure the security clearance of its personnel, if appropriate, and coordinate
with the relevant civil and military authorities to ensure the security of its facilities, personnel and data.

5. HUMAN RESOURCES

An air navigation service provider shall employ appropriately skilled personnel to ensure the provision of its services
in a safe, efficient, continuous and sustainable manner. In this context, it shall establish policies for the recruitment
and training of personnel.

6.

FINANCIAL STRENGTH

6.1. Economic and financial capacity

An air navigation service provider shall be able to meet its financial obligations, such as fixed and variable costs of
operation or capital investment costs. It shall use an appropriate cost accounting system. It shall demonstrate its
ability through the annual plan as referred to in part 2.2 of this Annex as well as through balance sheets and
accounts as practicable under its legal statute.

L 335/22

EN

Official Journal of the European Union

21.12.2005

6.2. Financial audit

In accordance with article 12(2) of Regulation (EC) No 550/2004, an air navigation service provider shall demon-
strate that it is undergoing an independent audit on a regular basis.

7.

LIABILITY AND INSURANCE COVER

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

The method employed to provide the cover shall be appropriate to the potential loss and damage in question, taking
into account the legal status of the air navigation service provider and the level of commercial insurance cover
available.

An air navigation service provider which avails itself of services of another air navigation service provider shall
ensure that the agreements cover the allocation of liability between them.

8. QUALITY OF SERVICES

8.1. Open and transparent provision of services

An air navigation service provider shall provide its services in an open and transparent manner. It shall publish the
conditions of access to its services and establish a formal consultation process with the users of its services on a
regular basis, either individually or collectively, and at least once a year.

An air navigation service provider shall not discriminate on grounds of nationality or identity of the user or the class
of users in accordance with applicable Community law.

8.2. Contingency plans

At the latest one year after certification, an air navigation service provider shall have in place contingency plans for
all the services it provides in the case of events which result in significant degradation or interruption of its services.

9.

REPORTING REQUIREMENTS

An air navigation service provider shall be able to provide an annual report of its activities to the relevant national
supervisory authority. This report shall cover its financial results without prejudice to Article 12 of Regulation (EC)
No 550/2004, as well as its operational performance and any other significant activities and developments in
particular in the area of safety.

The annual report shall include as a minimum:

— an assessment of the level and quality of service generated and of the level of safety provided,

— the performance of the air navigation service provider compared to the performance objectives established in the
business plan, reconciling actual performance against the annual plan by using the indicators of performance
established in the annual plan,

— developments in operations and infrastructure,

— the financial results, as long as they are not separately published in accordance with Article 12(1) of Regulation

(EC) No 550/2004,

— information about the formal consultation process with the users of its services,

— information about the human resources policy.

The air navigation service provider shall make the content of the annual report available to the public under
conditions set by the national supervisory authority in accordance with national law.

21.12.2005

EN

Official Journal of the European Union

L 335/23

ANNEX II

SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES

1.

OWNERSHIP

A provider of air traffic services shall make explicit to the national supervisory authority referred to in Article 7(2)
of Regulation (EC) No 550/2004:

— its legal status, its ownership structure and any arrangements having a significant impact on the control over its

assets,

— any links with organisations not involved in the provision of air navigation services, including commercial
activities in which it is engaged either directly or through related undertakings, which account for more than
1 % of
it shall notify any change of any single shareholding which
its expected revenue. Furthermore,
represents 10 % or more of its total shareholding.

A provider of air traffic services shall take all necessary measures to prevent any situation of conflict of interests
that could compromise the impartial and objective provision of its services.

2.

OPEN AND TRANSPARENT PROVISION OF SERVICES

In addition to the provision of Annex I, part 8.1 and where a Member State decides to organise the provision of
specific ATS services in a competitive environment, a Member State may take all appropriate measures to ensure
that providers of these specific air traffic services shall neither engage in conduct that would have as its object or
effect the prevention, restriction or distortion of competition, nor shall they engage in conduct that amounts to an
abuse of a dominant position in accordance with applicable national and Community law.

3.

SAFETY OF SERVICES

Safety management system

3.1.
3.1.1. General safety requirements

A provider of air traffic services shall, as an integral part of the management of its services, have in place a safety
management system (SMS) which:

— ensures a formalised, explicit and proactive approach to systematic safety management in meeting its safety
responsibilities within the provision of its services; operates in respect of all its services and the supporting
arrangements under its managerial control; and includes, as its foundation, a statement of safety policy defining
the organisation’s fundamental approach to managing safety (safety management),

— ensures that everyone involved in the safety aspects of the provision of air traffic services has an individual
safety responsibility for their own actions, that managers are responsible for the safety performance of their
respective departments or divisions and that the top management of the provider carries an overall safety
responsibility (safety responsibility),

— ensures that the achievement of satisfactory safety in air traffic services shall be afforded the highest priority

(safety priority),

— ensures that while providing air traffic services, the principal safety objective is to minimise its contribution to

the risk of an aircraft accident as far as reasonably practicable (safety objective).

3.1.2. Requirements for safety achievement

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

— ensure that personnel are adequately trained and competent for the job they are required to do, in addition to
being properly licensed if so required and satisfying applicable medical fitness requirements (competency),

L 335/24

EN

Official Journal of the European Union

21.12.2005

— ensure that a safety management function is identified with organisational responsibility for development and
maintenance of the safety management system; ensure that this point of responsibility is independent of line
management, and accountable directly to the highest organisational
in the case of small
organisations where combination of responsibilities may prevent sufficient independence in this regard, the
arrangements for safety assurance shall be supplemented by additional independent means; and ensure that the
top management of the service provider organisation is actively involved in ensuring safety management (safety
management responsibility),

level. However,

— ensure that, wherever practicable, quantitative safety levels are derived and are maintained for all functional

systems (quantitative safety levels),

— ensure that the SMS is systematically documented in a manner, which provides a clear linkage to the

organisation’s safety policy (SMS documentation),

— ensure adequate justification of the safety of the externally provided services and supplies, having regard to

their safety significance within the provision of its services (external services and supplies),

— ensure that risk assessment and mitigation is conducted to an appropriate level to ensure that due consid-
eration is given to all aspects of the provision of ATM (risk assessment and mitigation). As far as changes to
the ATM functional system are concerned, the provisions of part 3.2 of this Annex shall apply,

— ensure that ATM operational or technical occurrences which are considered to have significant safety impli-
cations are investigated immediately, and any necessary corrective action is taken (safety occurrences). It shall
also demonstrate that it has implemented the requirements on the reporting and assessment of safety occur-
rences in accordance with applicable national and Community law.

3.1.3. Requirements for safety assurance

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

— safety surveys are carried out as a matter of routine, to recommend improvements where needed, to provide
assurance to managers of the safety of activities within their areas and to confirm compliance with the relevant
parts of the SMS (safety surveys),

— methods are in place to detect changes in functional systems or operations which may suggest any element is
approaching a point at which acceptable standards of safety can no longer be met, and that corrective action is
taken (safety monitoring),

— safety records are maintained throughout the SMS operation as a basis for providing safety assurance to all
associated with, responsible for or dependent upon the services provided, and to the national supervisory
authority (safety records).

3.1.4. Requirements for safety promotion

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

— all personnel are aware of the potential safety hazards connected with their duties (safety awareness),

— the lessons arising from safety occurrence investigations and other safety activities are disseminated within the

organisation at management and operational levels (lesson dissemination),

— all personnel are actively encouraged to propose solutions to identified hazards, and changes are made to

improve safety where they appear needed (safety improvement).

21.12.2005

EN

Official Journal of the European Union

L 335/25

Safety requirements for risk assessment and mitigation with regard to changes

3.2.
3.2.1. Section 1

Within the operation of the SMS, a provider of air traffic services shall ensure that hazard identification as well as
risk assessment and mitigation are systematically conducted for any changes to those parts of the ATM functional
system and supporting arrangements within his managerial control, in a manner which addresses:

(a) the complete life cycle of the constituent part of the ATM functional system under consideration, from initial

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

(b) the airborne, ground and, if appropriate, spatial components of the ATM functional system, through coop-

eration with responsible parties; and

(c) the equipment, procedures and human resources of the ATM functional system, the interactions between these
elements and the interactions between the constituent part under consideration and the remainder of the ATM
functional System.

3.2.2. Section 2

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

(a) a determination of the scope, boundaries and interfaces of the constituent part being considered, as well as the
identification of the functions that the constituent part is to perform and the environment of operations in
which it is intended to operate;

(b) a determination of the safety objectives to be placed on the constituent part, incorporating:

— an identification of ATM-related credible hazards and failure conditions, together with their combined

effects,

— an assessment of the effects they may have on the safety of aircraft, as well as an assessment of the severity

of those effects, using the severity classification scheme provided in Section 4,

— a determination of their tolerability, in terms of the hazard’s maximum probability of occurrence, derived
from the severity and the maximum probability of the hazard’s effects, in a manner consistent with Section
4;

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

— specifies the defences to be implemented to protect against the risk-bearing hazards,

— includes, as necessary, the development of safety requirements potentially bearing on the constituent part
under consideration, or other parts of the ATM functional system, or environment of operations, and

— presents an assurance of its feasibility and effectiveness;

(d) verification that all identified safety objectives and safety requirements have been met:

— prior to its implementation of the change,

— during any transition phase into operational service,

— during its operational life, and

— during any transition phase until decommissioning.

L 335/26

EN

Official Journal of the European Union

21.12.2005

3.2.3. Section 3

The results, associated rationales and evidence of the risk assessment and mitigation processes, including hazard
identification, shall be collated and documented in a manner which ensures that:

— complete arguments are established to demonstrate that the constituent part under consideration, as well as the
overall ATM functional system are, and will remain tolerably safe by meeting allocated safety objectives and
requirements. This shall include, as appropriate, specifications of any predictive, monitoring or survey tech-
niques being used,

— all safety requirements related to the implementation of a change are traceable to the intended operations/-

functions.

3.2.4. Section 4

H a z a r d i d e n t i f i c a t i o n a n d s e v e r i t y a s s e s s m e n t

A systematic identification of the hazards shall be conducted. The severity of the effects of hazards in a given
environment of operations shall be determined using the classification scheme shown in the following table, while
the severity classification shall rely on a specific argument demonstrating the most probable effect of hazards,
under the worst-case scenario.

Severity class

1
(Most severe)

2

3

4

Effect on operations

Accident (1)

Serious incident (1)

Major incident associated with the operation of an
aircraft,
in which safety of aircraft may have been
compromised, having led to a near collision between
aircraft, with ground or obstacles

Significant incident involving circumstances indicating
that an accident, a serious or major incident could
have occurred,
the risk had not been managed
within safety margins, or if another aircraft had been
in the vicinity

if

5
(Least severe)

No immediate effect on safety

(1) As defined in Council Directive 94/56/EC of 21 November 1994 establishing the fundamental principles governing the

investigation of civil aviation accidents and incidents (OJ L 319, 12.12.1994, p. 14).

In order to deduce the effect of a hazard on operations and to determine its severity, the systematic approach/-
process shall include the effects of hazards on the various elements of the ATM functional system, such as the air
crew, the air traffic controllers, the aircraft functional capabilities, the functional capabilities of the ground part of
the ATM functional system, and the ability to provide safe air traffic services.

R i s k c l a s s i f i c a t i o n s c h e m e

Safety objectives based on risk shall be established in terms of the hazards maximum probability of occurrence,
derived both from the severity of its effect, and from the maximum probability of the hazard’s effect.

As a necessary complement to the demonstration that established quantitative objectives are met, additional safety
management considerations shall be applied so that more safety is added to the ATM system whenever reasonable.

21.12.2005

EN

Official Journal of the European Union

L 335/27

3.3.

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

A provider of air traffic services shall ensure that technical and engineering personnel
including personnel of
subcontracted operating organisations who operate and maintain ATM equipment approved for its operational use
have and maintain sufficient knowledge and understanding of the services they are supporting, of the actual and
potential effects of their work on the safety of those services, and of the appropriate working limits to be applied.

the provider of air traffic services shall document

the competence of
the rostering arrangements in place to ensure sufficient capacity and continuity of service;

involved in safety related tasks including personnel of subcontracted operating
With regard to the personnel
the
organisations,
personnel;
the
personnel qualification schemes and policy, the personnel training policy, training plans and records as well as
arrangements for the supervision of non-qualified personnel. It shall have procedures in place for cases where the
physical or mental condition of the personnel is in doubt.

the adequacy of

A provider of air traffic services shall maintain a register of information on the numbers, status and deployment of
the personnel involved in safety related tasks. The register shall:

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

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

requirements;

(c) specify the locations and duties to which technical and operational personnel are assigned,

including any

rostering methodology.

4.

WORKING METHODS AND OPERATING PROCEDURES

A provider of air traffic services shall be able to demonstrate that its working methods and operating procedures
are compliant with the standards in the following annexes to the Convention on International Civil Aviation as far
as they are relevant for the provision of air traffic services in the airspace concerned:

— Annex 2 on rules of the air (10th edition, July 2005),

— Annex 10 on aeronautical telecommunications, Volume 2 on communication procedures (6th edition, October

2001 including all amendments up to No 79),

— Annex 11 on air traffic services (13th edition, July 2001 including all amendments up to No 43).

L 335/28

EN

Official Journal of the European Union

21.12.2005

ANNEX III

SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES

1. TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY

A provider of meteorological services shall ensure that meteorological information, necessary for the performance of
their respective functions and in a form suitable for users, is made available to:
— operators and flight crew members for pre-flight and in-flight planning,
— providers of air traffic services and flight information services,
— search and rescue services units, and
— airports.

A provider of meteorological services shall confirm the level of attainable accuracy of the information distributed for
operations, including the source of such information, whilst also ensuring that such information is distributed in a
sufficiently timely manner, and updated as required.

2. WORKING METHODS AND OPERATING PROCEDURES

A provider of meteorological services shall be able to demonstrate that its working methods and operating procedures
are compliant with the standards in the following annexes to the Convention on International Civil Aviation as far as
they are relevant for the provision of meteorological services in the airspace concerned:
— Annex 3 on meteorological service for international air navigation (15th edition, July 2004),
— Annex 11 on air traffic services (13th edition, July 2001 including all amendments up to No 43),
— Annex 14 on aerodromes (Volume I: 4th edition, July 2004; Volume II, 2nd edition, July 1995 including all

amendments up to No 3).

21.12.2005

EN

Official Journal of the European Union

L 335/29

ANNEX IV

SPECIFIC REQUIREMENTS FOR THE PROVISION OF AERONAUTICAL INFORMATION SERVICE

1. TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY

A provider of an aeronautical information service shall ensure that information and data is available for operations in a
form suitable for:
— flight operating personnel, including flight crew, as well as flight planning, flight management systems and flight

simulators, and

— providers of air traffic services which are responsible for flight information services, aerodrome flight information

services and the provision of pre-flight information.

A provider of aeronautical information services shall ensure the integrity of data and confirm the level of accuracy of
including the source of such information, before such information is
the information distributed for operations,
distributed.

2. WORKING METHODS AND OPERATING PROCEDURES

A provider of aeronautical information services shall be able to demonstrate that its working methods and operating
procedures are compliant with the standards in the following annexes to the Convention on International Civil
Aviation as far as they are relevant for the provision of aeronautical information services in the airspace concerned:
— Annex 3 on meteorological service for international air navigation (15th edition, July 2004),
— Annex 4 on aeronautical charts (10th edition, July 2001 including all amendments up to No 53),
— Annex 15 on aeronautical information services (12th edition, July 2004).

L 335/30

EN

Official Journal of the European Union

21.12.2005

ANNEX V

SPECIFIC REQUIREMENTS FOR THE PROVISION OF COMMUNICATION, NAVIGATION OR SURVEILLANCE
SERVICES

1. TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY

A provider of communication, navigation or surveillance services shall ensure the availability, continuity, accuracy and
integrity of its services.

A provider of communication, navigation or surveillance services shall confirm the quality level of the services it is
providing and shall demonstrate that its equipment is regularly maintained and where required calibrated.

2. SAFETY OF SERVICES

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

3. WORKING METHODS AND OPERATING PROCEDURES

A provider of communication, navigation or surveillance services shall be able to demonstrate that its working
methods and operating procedures are compliant with the standards of Annex 10 on aeronautical telecommunications
to the Convention on International Civil Aviation (Volume I: 5th edition, July 1996; Volume II: 6th edition, October
2001; Volume III: 1st edition, July 1995; Volume IV: 3rd edition, July 2002; Volume V: 2nd edition, July 2001
including all amendments up to No 79) as far as they are relevant for the provision of communication, navigation or
surveillance services in the airspace concerned.