ANSP certification and designation Roles, responsibilities, processes Bogdan BRAGUTA June 2016

ANSP certification and designation, Skopje, June Content  Regulatory framework  Clarification regarding the new regulations  Certification model  Designation aspects  Conclusions

3 Regulatory requirements  Regulation (EC) No. 550/2004 of the European Parliament and of the Council of 10 March 2004 on the provision of air navigation services in the single European sky  Service Provision Regulation (SPR)  Amended with Regulation (EC) No. 1070/2009 of the European Parliament and of the Council of 21 October 2009 in order to improve the performance and sustainability of the European aviation system  Commission Implementing Regulation (EU) No.1035/2011 of 17 October 2011 laying down common requirements for the provision of air navigation services and amending Regulations (EC) No. 482/2008 and (EU) No. 691/2010  Common Requirements Regulation (CR) ANSP certification and designation, Skopje, June 2016

4 Regulatory requirements - clarifications  Why Commission Implementing Regulation (EU) No.1035/2011?  Why not Commission Regulation (EC) No. 2096/2005?  FYROM is applying the ECAA Agreement provisions  Regulation 2096/2005 has been transposed by CAA (ARC No 6.2)  Why another regulation?  It was done under the mechanisms of EASA  Kept all the articles from 2096  Differences between 1035 and 2096:  Art1 – no mention of the ESARR 3, 4 and 5 (ATSEP) transposition  Art 3 – new article Competent Authority for certification  Articles had been aligned with EASA Basic Regulation 216/2008 in terms of wording and links ANSP certification and designation, Skopje, June 2016

5 Regulation (EC) No. 550/2004 of the European Parliament and of the Council of 10 March 2004 on the provision of air navigation services in the single European sky ANSP certification and designation, Skopje, June 2016

6 Service Provision Regulation requirements  Article 6 : Common requirements include  Technical and operational competence and suitability;  Systems and processes for safety and quality management;  Reporting systems;  Quality of services;  Financial strength;  Liability and insurance cover;  Ownership and organisational structure, including the prevention of conflict of interest;  Human resources, including adequate staffing plans; and  Security. ANSP certification and designation, Skopje, June 2016

7 Service Provision Regulation requirements / 2  Article 7 : Certification of air navigation service providers  Provision of ANS in the Community is subject of certification by MS  To offer such services to other MS, ANSP, etc.  MS shall recognise certificates issued by another MS  Application for certification shall be submitted to the NSA  NSA shall issue the certificates to ANSP  ANSP comply with CR  For each type of service or for a bundle of services  Certificates are checked on a regular basis ANSP certification and designation, Skopje, June 2016

8 Service Provision Regulation requirements / 3  Article 7 : Certification of air navigation service providers  Certificates shall specify the rights and obligations of ANSP  Conditions are listed in Annex II  NSA monitor compliance with CR and conditions from certificates – annual report  An ANSP no longer satisfies CR – appropriate measures ensuring continuity of services and safety is not compromised – include revocation of the certificate  Exemptions: Provision of ANS may be allowed without certification only where offered primarily to aircraft movements other than General Air Traffic (GAT) – e.g. military ANS servicing primarily their own OAT  The MS shall inform the Commission and other MS of its decision and of the measures taken to ensure max. compliance with CR ANSP certification and designation, Skopje, June 2016

9 Service Provision Regulation requirements / 3-1 ANSP certification and designation, Skopje, June 2016 What certificates shall specify? Additional conditions attached to the certificate

10 Service Provision Regulation requirements / 4  DESIGNATION  Where ?  ART 8  WHO?  ATS  MET  Certified  FAB dimension ANSP certification and designation, Skopje, June 2016

11 Service Provision Regulation requirements / 5  Article 8 : Designation of ATS providers  MS shall designate an ATS provider holding a valid certificate  Provision of ATS on exclusive basis within specific airspace blocks in the airspace under their responsibility  MS shall define the rights and obligations to be met by the designated ATS provider  Obligations – conditions for the timely supply of the relevant information enabling all aircraft movements in the airspace under their responsibility  FAB: MS concerned shall jointly designate one or more ATS providers at least one month before implementation of FABs.  Conditions to be checked in the case of cross-border services  MS shall inform Commission and other MS of any decision regarding the designation of ATS providers within a specific airspace block under their responsibility ANSP certification and designation, Skopje, June 2016

12 Service Provision Regulation requirements / 6  Article 8 : Designation of MET providers  MS shall designate a MET provider taking into account safety considerations.  Provision of MET on exclusive basis in all or part of the airspace under their responsibility  MS shall inform Commission and other MS of any decision regarding the designation of MET provider ANSP certification and designation, Skopje, June 2016

13 Commission Implementing Regulation (EU) No.1035/2011 of 17 October 2011 laying down common requirements for the provision of air navigation services and amending Regulations (EC) No. 482/2008 and (EU) No. 691/2010 ANSP certification and designation, Skopje, June 2016

14 Common Requirements  Article 4 : Granting of certificates  In order to obtain the certificate necessary to provide air navigation services, an ANSP must demonstrate that it complies with  the general common requirements set out in Annex I, and  with the specific additional requirements set out in Annexes II-V according to the types of service it provides  The CA/NSA shall verify the ANSP’s compliance with the CRs before it issues a certificate to that provider  An ANSP must be compliant with the CRs no later than the time at which the certificate is issued  Article 7 of Regulation (EC) No.550/2004  Article 8b(2) and Article 22a(b) and (c) – EASA Basic regulation (1108/2009) ANSP certification and designation, Skopje, June 2016

15 Common Requirements / 2  Article 6 : Demonstration of compliance  The ANSP must provide to the NSA all the relevant evidences to demonstrate compliance with the applicable CRs  A certified ANSP must notify the NSA of any planned changes to its services which might affect its compliance with any of the CRs or conditions attached to the certificate  Where a certified ANSP no longer complies with any of the applicable CRs or conditions, the NSA must take a decision within no longer than one month  NSA must require the ANSP to take corrective actions  Where the NSA considers that the required corrective action has not been properly implemented within the agreed timetable, the NSA must take appropriate enforcement measures  Art. 7(7) SPR and Art. 10, 22a(d), 25 and 68 Regulation 216/2008  Ensure the continuity of air navigation services ANSP certification and designation, Skopje, June 2016

16 Common Requirements / 3  Article 7 : Facilitation of compliance monitoring  The ANSP must facilitate inspections & surveys by the CA/NSA or by a Qualified Entity (QE) acting on behalf of the CA/NSA, including site visits and visits without prior notice  The authorized persons (CA/NSA or QE) must be empowered to perform the following acts:  Examine the relevant records, data, procedures and any other relevant material to the provision of ANS  Take copies of or extracts from any such records, data, procedures or other material  Ask for oral explanations on site  Enter relevant premises, lands or means of transport  Inspections & surveys will be carried out in compliance with the relevant national legal provisions  WHAT QE cannot do? ANSP certification and designation, Skopje, June 2016

17 Common Requirements / 4  Article 8 : On going compliance  CA monitor annually the ongoing compliance  ANSP certified  On the basis of evidence  CA shall establish and update annually  Indicative inspection programme  Based on the assessment of the risk associated with different operations  Inspection programme  Consultation with the ANSP regarding the programme (other CAs)  The interval of inspections of the different sites ANSP certification and designation, Skopje, June 2016

18 Commission Implementing Regulation (EU) No 1034/2011 on safety oversight in ATM and ANS  Article 7 : Safety regulatory audits; para 3  Art 8 of 1035/2011, CA shall establish and update at least annually a programme of safety regulatory audits to  Cover all areas of potential safety concern  Cover all organisations, services and network functions operating under the supervision of the CA  Audits are conducted in a manner commensurate with the level of risk posed by the organisations  Ensure sufficient audits are carried out over 2 years to check compliance with applicable safety requirements in all relevant areas of the functional system  Follow-up of the implementation of the corrective actions  Modify the scope of the pre-planned audits (para 4)  Decide which arrangements, services, functions, products, physical locations and activities to be audited (para 5) ANSP certification and designation, Skopje, June 2016

19 Commission Implementing Regulation (EU) No 1034/2011 on safety oversight in ATM and ANS  Why Commission Implementing Regulation (EU) No 1034/2011?  Why not Commission Regulation (EC) No 1315/2007?  FYROM is applying the ECAA Agreement provisions  Regulation 1315/2007 has been transposed by CAA (ARC no 6.1)  Why another regulation? Nothing is new.  It was done under the mechanisms of EASA  Kept all the articles from 1315  Differences between 1034 and 1315:  Competent Authority (CA) instead of NSA  Article 3 explaining who is the CA ANSP certification and designation, Skopje, June 2016

20 FEW CLARIFICATIONS ANSP certification and designation, Skopje, June 2016

21 WHAT to be DONE!  CERTIFICATION  Certification of ANSP = ATS, AIS, CNS, MET  ATM = ATS + ATFM + ASM;  ATFM and ASM = FUNCTIONS, NOT SERVICES  Capability to provide a service  !! ATFM and ASM are part of the safety oversight process !!  DESIGNATION  Only ATS and MET for designation  Previously certified  Possibility to offer the certified service in a specific airspace ANSP certification and designation, Skopje, June 2016

22 Terminology used  Safety Oversight  Initial oversight (CERTIFICATION, DESIGNATION, NEW SYSTEMS or CHANGES)  On going oversight (Continuous compliance)  Supervision  The means to achieve this:  Audits  Inspections  Surveys ANSP certification and designation, Skopje, June 2016

23 Guidance material  EAM 1 GUI material  EAM 2- 6 GUI documents regarding safety oversight  SESISC material more related to certification  WHY ESARR guidance material?  clarification ANSP certification and designation, Skopje, June 2016

24 CERTIFICATION MODEL ANSP certification and designation, Skopje, June 2016

25 Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs  Art. 6 – Common requirements shall include:  Technical and operational competence and suitability;  Systems and processes for safety and quality management;  Reporting systems;  Quality of services;  Financial strength;  Liability and insurance cover;  Ownership and organisational structure, including the prevention of conflict of interest;  Human resources, including adequate staffing plans  Security. ( Regulation (EC) No. 550/2004 )  Integrated certification process (safety and non-safety related requirements)  The model integrates the safety oversight with activities intended to address non-safety requirements to cover all CR Certification model process ANSP certification and designation, Skopje, June 2016

26 But before…  Prior to the implementation of the certification process a procedure needs to be developed by the NSA  How the NSA will handle the certification of a service provider organisation against the set of common requirements  It should cover all the steps identified in the box  The procedure should:  Deal with CR applicable in an integrated manner  Ensure priority to the verification of compliance with the applicable safety regulatory requirements in the overall process  Criteria for derogations  Ensure that applicable safety regulatory requirements are verified by audits  Be made available to service providers and organisation applying for certification  Include all relevant forms Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

27 Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs Application form… Table defining the scope of services For which certification is asked

28 Organisation exposition  A statement signed by the CEO confirming that the document defines organisation’s compliance with CR  Organisation’s safety policy to meet the requirements of Annex II, Section of CR  Title and names of senior managers  Duties and responsibilities of senior managers  Complete description of the safety management function with organsational responsibility for the development and maintenance of the SMS (Annex II, section 3.1.2)  Duties, responsibilities and arrangements established to ensure that senior management is actively involved in the management of safety (Annex II, Section 3.1.2)  Organisation chart  General description of the manpower resources,  General description of organisation’s facilities  Complete description of the means and arrangements to meet CR including reference to the main documents, manuals Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

29 Scope of certification  Few questions to answer:  How many ANSPs do you have?  How many NSAs do we need? Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

30 Roles and Responsibilities  Applications Management Function (APMF)  Certification Team:  Certification Team Leader (CTL)  Certification Team Members (CTMs) - competences, qualification  (Possible) Panels of Experts for specific investigations to provide NSA with – but not ANSP staff  Advice on general organisation and compliance with reqs  Opinions on technical interpretation of CR  Opinions regarding conclusions and recommendations of final certificiation reports  Use of QE Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

31 Investigations for Initial oversight (1/3)  Review of ANSP Documentation:  Evidences that applicable safety requirements and any safety related conditions have been understood and processes have been developed to meet them  The review should not be confined to the documentation intended to implement a SMS and/or SES/ESARR related requirements, but should include:  Operational documentation (manuals, etc)  Technical systems documentation (installation and maintenance of equipment, etc)  Documentation in the areas of quality, quality of services, human resources, staffing plans and security  The review should not be confined to the documentation referenced in the organisational exposure  If such review provides concerns regarding the processes to manage safety – on site audits  Initial Oversight Audit Visits  Basic criteria for sampling (based on best practices):  At least one visit per ANSP  In an initial oversight all requirements should be verified somewhere (but not everywhere!)  Enough number of facilities should be audited. At least 10% of the operational units to be audited (if this percentage is applied the resulting figure to be rounded up)  Expert judgment will be needed Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

32 Investigations for Initial oversight (2/3)  Initial Oversight Audit Visits  Criteria to assess compliance  Compliance with Accepted Means of Compliance (possible solution: ESARRs guidance material and their AMC  Annex II, section – reporting and assessment of occurrences - full compliance with ESARR 2  Annex II, section 3.2. – personnel properly licesed if so required and satisfy medical requirements – full compliance with ESARR 5.1 and 5.2  Panel of experts – additional criteria to assess compliance with applicable safety regulatory requirements not intended to transpose ESARRs into SES  WHY ESARRs again here? Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

33 Investigations for Initial oversight (3/3)  Initial Oversight Audit Visits  Non conformities  Only in relation to Common Requirements (or their equivalent) applicable to the ANSP  Corrective actions  ANSP proposes corrective actions  NSA assess the corrective actions  Timely and sufficient  Follow-up for verification that corrective actions had been implemented Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

34 Validity of the certificate  Associated with a number of 24 months ongoing safety oversight cycles established to review compliance with applicable safety regulatory requirements  2, 4 or 6 years depending upon the case and to be decided by the NSA on a case by case basis (so encompassing 1, 2 or 3 safety oversight cycles)  Renewal almost automatic (but the steps remain) if no problems have been found in the ongoing safety oversight activity  Next validity period may be extended or reduced to 2, 4 or 6 years depending on the results of the ongoing safety oversight activity Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

35 Validity of the certificate - rationale  At the end of each 24 months cycle the NSA has the information resulting from a complete review of compliance with the full set of applicable safety requirements  Therefore at that moment the NSA is in an optimal position to make decisions  A maximum validity is needed to make sure that the results of the ongoing oversight activity are seriously taken into consideration  6 years is ideal to encompass:  3 cycles of audits  2 ISO cycles (re-certification of management systems) Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

36 24 months Full review of Compliance with safety requirements Certificate renewed 24 months Full review of Compliance with safety requirements 24 months Full review of Compliance with safety requirements application Issue of Certificate InitialOversight QMS certification / recertification ANSP certification and designation, Skopje, June 2016

37 On going oversight  NSA’s programme of safety regulatory audits  Safety auditing activity initially planned maybe subject to modifications – to include additional audits as needed  On-site safety audit investigations shall follow the safety regulatory audit methodologies (guidance material provided in EAM1/GUI3)  Non-conformities and corrective actions shall apply in the case on the on-going oversight audits  Sufficient safety regulatory audits should be conducted over 24 months to review compliance with applicable safety reg. reqs. in all areas of functional relevance Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

38 The certificate – a template Table defining the scope of services For which certification is granted Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

39 Issue of the certificate  NOTE that, normally, all non-conformities should have been addressed/closed before issuing the Certificate  Certificate to be harmonised in accordance with model defined in annexes  Final decision to be made by person(s) not involved in the investigations (Best practice, from ISO/IEC Guide 62)  Certificate to be signed by the DG (or equivalent position) at the NSA  In national languages + English Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

40 New ANSP VERIFICATION OF EFFECTIVE IMPLEMENTATION CAN ONLY TAKE PLACE AFTER ALLOWING A PERIOD OF OPERATIONS  NSA may allow a period for confirming the assessment under which the certificate was granted.  That period should not be longer that one year of operations.  If that verification is successful, the process should lead to a certificate with validity defined in accordance with general approach Application and the Organisation Exposition Roles & Responsibilities Investigations for Initial Oversight Validity Period of the Certificate The Certificate – Forms proposed Ongoing oversight Newly established ANSPs ANSP certification and designation, Skopje, June 2016

41 time verification activity time verification activity application Certificate for a limited period (conditions included as appropriate) Certificate for a limited period (conditions included as appropriate) Certificate (issued in accordance with the general approach) Certificate (issued in accordance with the general approach) Verification to gain enough confidence to allow the operation Verification to gain enough confidence to allow the operation Additional verification to confirm the level of confidence previously gained Additional verification to confirm the level of confidence previously gained One year maximum OPS allowed One year maximum One year maximum OPS allowed ANSP certification and designation, Skopje, June 2016

42 Certification elements (CR) – safety elements  Annex I – General requirements for the provision of ANS  Section 3, 3.1 Safety management – ESARR 3  Annex II – Specific requirements for the provision of ATS  Section 3 - Safety of services  Section 3.1 – Safety management systems – ESARR3  Section 3.2 – Safety requirements for risk assessment and mitigation with regard to changes - ESARR 4  Section safety requirements for engineering and technical personnel undertaking safety related tasks – ESARR 5/ATSEPs  Annex V - Specific requirements for the provision of CNS services  Section 2 –Safety of services: A provider of CNS shall comply with the requirements of Annex II, part 3 on the safety of services (ESARR 3,4 and 5) ANSP certification and designation, Skopje, June 2016

43 SUMMARY OF CERTIFICATION PROCESS ANSP certification and designation, Skopje, June 2016

44 Designation of service providers ANSP certification and designation, Skopje, June 2016

45 Designation of service providers (1)  Art 8 of Regulation No. 550/2004  “Member States shall provide ATS services on an exclusive basis within specific airspace blocks under their responsibility. For this purpose States shall designate an ATS service provider holding a valid certificate issued by an EU Member State.”  Designation is mandatory for ATS and possible in relation to MET  NO Designation for CNS and AIS  Art 8 of Regulation No. 550/2004 – EU Member States  Define the rights and obligations to be met by the designated service providers;  Have discretionary powers in choosing a service provider organisation, provided that it holds a valid certificate. ANSP certification and designation, Skopje, June 2016

46 Designation of service providers (2)  CERTIFICATION – demonstration of capabilities  DESIGNATION – application of such capabilities in a functional airspace block  Local operational environment – conditions  States should define the local safety-related conditions which are necessary to operate ATS services in their airspace blocks in order to meet their obligations as regards the safe provision of services as Contracting Parties to the Chicago Convention.  Consistent with the Common Requirements, ICAO SARPs and other internationally recommended practices.  The implementation of such local safety-related conditions, together with other local conditions where applicable, should be defined as an obligation of the designated service provider ANSP certification and designation, Skopje, June 2016

47 CONCLUSIONS ANSP certification and designation, Skopje, June 2016

48 Conclusions  Safety and non-safety elements to be integrated in the certification process  Safety cannot be seen as a separate discipline.  Certification addresses  Technical and operational competence and suitability;  Systems and processes for safety and quality management;  Reporting systems;  Quality of services;  Financial strength;  Liability and insurance cover;  Ownership and organisational structure, including the prevention of conflict of interest;  Human resources, including adequate staffing plans  Security.

ANSP certification and designation Roles, responsibilities, processes Bogdan BRAGUTA June 2016