EAM 1 / GUI 5 ESARR 1 in the Certification of Service Providers

1. SAFETY REGULATION COMMISSION EUROCONTROL EAM 1 / GUI 5 ESARR 1 in the Certification of Service Providers

2. Common Rules Common Requirements Certification… …why certification? OBJECTIVE: achieving a “level playing field” Common Interpretation of the Rules Common Procedures The “HOW” is really important

3. Common Interpretation of the Rules Common Procedures The “HOW” is really important Common Interpretation of the Rules Common Procedures The “HOW” is really important

4. ESARR 1 and its GUIDANCE has a role in all this Common Interpretation of the Rules Common Procedures The “HOW” is really important EUROPEAN ORGANISATION FOR THE SAFETY OF AIR NAVIGATION EAM 1 / GUI 5 EAM 1 / GUI 3 EUROCONTROL SAFETY REGULATORY REQUIREMENT (ESARR) ESARR 1 SAFETY OVERSIGHT IN ATM EDITION : 1.0 EDITION DATE : 27-02-2002 STATUS : RELEASED ISSUE CLASS : GENERAL PUBLIC GUIDANCE REGARDING THE CERTIFICATION PROCEDURE GUIDANCE REGARDING THE AUDIT PROCEDURE MANDATORY RULES REGARDING THE PROCEDURES WHEREVER CERTIFICATION INVOLVES VERIFICATION OF COMPLIANCE WITH “applicable safety regulatory requirements” Common Procedures

5. ESARR 1 and its GUIDANCE has a role in all this Common Interpretation of the Rules Common Procedures The “HOW” is really important WHEREVER CERTIFICATION INVOLVES VERIFICATION OF COMPLIANCE WITH “applicable safety regulatory requirements” Common Interpretation in relation to a specific requirement… Which might be very generic… or very abstract… or very vague What are you going to check ? What evidence are you going to accept as proof of compliance? In other words, what are the ‘acceptable means of compliance’ and, once the evidence is clearly identified… … how are you going to evaluate that evidence?

6. ESARR 1 and its GUIDANCE has a role in all this Common Interpretation of the Rules Common Procedures The “HOW” is really important REQUIREMENT EVIDENCE EVALUATION OF THE EVIDENCE All personnel shall be trained ? ? WHEREVER CERTIFICATION INVOLVES VERIFICATION OF COMPLIANCE WITH “applicable safety regulatory requirements” Common Interpretation

7. ESARR 1 and its GUIDANCE has a role in all this Common Interpretation of the Rules Common Procedures The “HOW” is really important WHEREVER CERTIFICATION INVOLVES VERIFICATION OF COMPLIANCE WITH “applicable safety regulatory requirements” Common Interpretation REQUIREMENT EVIDENCE EVALUATION OF THE EVIDENCE All personnel shall be appropriately trained ? ?

8. ESARR 1 and its GUIDANCE has a role in all this Common Interpretation of the Rules Common Procedures The “HOW” is really important WHEREVER CERTIFICATION INVOLVES VERIFICATION OF COMPLIANCE WITH “applicable safety regulatory requirements” Common Interpretation REQUIREMENT EVIDENCE EVALUATION OF THE EVIDENCE Separation minima shall be X meters ? ?

9. ESARR 1 and its GUIDANCE has a role in all this Common Interpretation of the Rules Common Procedures The “HOW” is really important EAM 1 / GUI 5 EAM 1 / GUI 7 For ICAO Annex 11 Standards “EAM Safety Oversight” deliverables for ESARR 2, 3, 4 and 5 NEW TABLES GUIDANCE REGARDING THE CERTIFICATION PROCEDURE TABLE Guidance on criteria for assessment of compliance WHEREVER CERTIFICATION INVOLVES VERIFICATION OF COMPLIANCE WITH “applicable safety regulatory requirements” Common Interpretation

10. GUIDANCE ON CRITERIA FOR ASSESSMENT OF COMPLIANCE

11. 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 EAM 1 GUI 5 proposes a CERTIFICATION MODEL PROCESS EAM 1 GUI 5 does not contain binding provisions EAM 1 GUI 5 only intends to propose a comprehensive approach for possible NSA use... ... that makes sure the implementation of ESARR 1 in the context of the certification process This model provided the architecture of the overall model proposed in the SESIS guidance produced by EUROCONTROL

12. 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 Need to harmonise the NSAs actions and its sequence (the procedure) Need to harmonise the OUTPUT (the Certificate) Need to harmonise the INPUT (the ANSP application)

13. 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 Need to harmonise the NSAs actions and its sequence (the procedure) Need to harmonise the OUTPUT (the Certificate) Need to harmonise the INPUT (the ANSP application) • There is a need to: • Organise the application step as an open process… accepting the fact that anyone could apply and should be subject to the same conditions • Create a useful tool for the NSA… a starting point • Neither a truck with two tons of documents left in front of the door of the NSA • Nor a one page letter asking for a certificate • Harmonise what people ask for in relation to what will be certified

14. 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 Need to harmonise the NSAs actions and its sequence (the procedure) Need to harmonise the OUTPUT (the Certificate) Need to harmonise the INPUT (the ANSP application) harmonise what people ask for… … in relation to what will be certified MODEL FORM Certificate Model Form To be sent together with an Organisation Exposition TABLE DEFINING THE SCOPE OF SERVICES to identify the services for which certification is asked by the ANSP to identify the services for which certification is granted by the NSA

15. Table defining the scope of services For which certification is asked 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 Model Form

16. CONDITIONS part sub-part service ATS ATC Area control Whatever needed APP control Whatever needed AD control Whatever needed etc ... etc ... etc ... 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 THE TABLE TO DEFINE THE SCOPE OF SERVICES • It is used by the applicant to identify the services for which certification is requested • It is used by the NSA to identify (in the Certificate) the services for which certification is granted

17. 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 • ORGANISATION EXPOSITION: • Inspired in EASA / JAA materials • The applicant describes the means and arrangements proposed to meet the applicable common requirements • The Organisation Exposition is an exposition of the means and a collection of references, not a new manual • To be based on references to the manuals and other relevant documentation • It is part of the application. The Organisation Exposition is not “approved” like in the EASA approach • Possible use of Questionnaires if the NSA decides so (in addition to the Organisation Exposition)

18. 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 • ROLES AND RESPONSIBILITIES • (IN THE NSA) • (also inspired on EASA/JAA materials): • Applications Management Function (APMF) • Certification Team: • Certification Team Leader (CTL) • Certification Team Members (CTMs) • (Possible) Panels of Experts to provide NSA and with not binding technical opinions • Use of recognised organisations in a manner compatible with ESARR 1

19. INVESTIGATIONS FOR INITIAL OVERSIGHT: We rely on the methodology & recommended practices established in EAM 1 / GUI 3 (Guidelines on Safety Regulatory Auditing) • Review of Documentation: • Indication of types of documents which may need to be reviewed (not confined to safety management literature…) • 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

20. INVESTIGATIONS FOR INITIAL OVERSIGHT: 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 • The approach may be different for non- safety requirements • But there will always be a review of Documentation • and SESIS proposes three “routes” in the process depending on the common requirement being considered Documentation Review Auditing in accordance with ESARR 1 Auditing

21. 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 • VALIDITY OF THE CERTIFICATE • Associated with a number of 24 month 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 to case basis (so encompassing 1, 2 or 3 safety oversight cycles) • Renewal almost automatic (but the step remains) 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

22. 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 • RATIONALE • At the end of each 24 month 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 ESARR 1 cycles • 2 ISO cycles (recertification of management systems)

23. application Issue of Certificate Certificate renewed 24 months Initial Oversight Full review of Compliance with safety requirements Full review of Compliance with safety requirements Full review of Compliance with safety requirements 24 months 24 months The 24 months cycles are intended to review compliance with The full set of “applicable safety regulatory requirements” ( NON-SAFETY REQUIREMENTS MAY FOLLOW OTHER CYCLES )

24. 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 Need to harmonise the NSAs actions and its sequence (the procedure) Need to harmonise the OUTPUT (the Certificate) Need to harmonise the INPUT (the ANSP application)

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 Need to harmonise the NSAs actions and its sequence (the procedure) Need to harmonise the OUTPUT (the Certificate) Need to harmonise the INPUT (the ANSP application) harmonise what people ask for… … in relation to what will be certified MODEL FORM Certificate Model Form To be sent together with an Organisation Exposition TABLE DEFINING THE SCOPE OF SERVICES to identify the services for which certification is asked by the ANSP to identify the services for which certification is granted by the NSA

26. 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 Certificate – Model Form

27. CONDITIONS part sub-part service ATS ATC Area control Whatever needed APP control Whatever needed AD control Whatever needed etc ... etc ... etc ... 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 THE TABLE TO DEFINE THE SCOPE OF SERVICES • It is used by the applicant to identify the services for which certification is requested • It is used by the NSA to identify (in the Certificate) the services for which certification is granted

28. ISSUE OF CERTIFICATE • TO 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

29. 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 • WHAT ABOUT NEWLY ESTABLISHED ANSPs? • Approach proposed similar to case of airlines… 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

30. verification activity Additional verification to confirm the level of confidence previously gained Verification to gain enough confidence to allow the operation One year maximum OPS allowed time Certificate for a limited period (conditions included as appropriate) Certificate (issued in accordance with the general approach) application

31. QUESTIONS ? • COMMENTS ? • VIEWS ? • … on anything said (or not said)