Information day on EUROCONTROL Guidance Material on the application of Common Requirements for Service Provision CERTIFICATION PROCESS  Peter Stastny, Head of Safety Regulation Unit European Organisation for the Safety of Air Navigation

Certification Process It is usually considered that the establishment of a level playing field may require consideration of three key aspects:  Common Rules (we’ve got the CRs!)  Harmonised Criteria to assess compliance with the common rules  Harmonised Procedures to articulate that assessment into a process leading to an overall judgment THE “HOW” IS REALLY IMPORTANT

Certification Process Certification will take place against Common Requirements (CRs) laid down in Commission Regulation (EC) 2096/2005 However:  CRs and SPR only include general indications on how NSAs will certify  CRs are indeed focused on what the ANSPs must do.  The establishment of certification procedures is a matter to be addressed by the States/NSAs SESIS provides guidance on a model process capable of doing the job

MODEL PROCESS NSAs actions and their sequence (the procedure) NSAs actions and their sequence (the procedure) INPUT (ANSP application)INPUT OUTPUT (Certificate)OUTPUT SESIS proposes an approach to support the harmonisation of the three elements The INPUT/OUTPUT is as important as the ACTIONS

MODEL PROCESS NSAs actions and their sequence (the procedure) NSAs actions and their sequence (the procedure) INPUT (ANSP application)INPUT OUTPUT (Certificate)OUTPUT  Establishment of Procedure  Dealing with Applications  Allocation of Tasks  Investigations for initial oversight  Dealing with non-conformities  Issue of the Certificate  Validity of the Certificate  Ongoing oversight  Possible Derogations  Confidentiality of Documents  Establishment of Procedure  Dealing with Applications  Allocation of Tasks  Investigations for initial oversight  Dealing with non-conformities  Issue of the Certificate  Validity of the Certificate  Ongoing oversight  Possible Derogations  Confidentiality of Documents MODEL FORM OrganisationExpositionOrganisationExposition CertificateCertificate 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 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

MODEL FORM OrganisationExpositionOrganisationExposition CertificateCertificate 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 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  Establishment of Procedure  Dealing with Applications  Allocation of Tasks  Investigations for initial oversight  Dealing with non-conformities  Issue of the Certificate  Validity of the Certificate  Ongoing oversight  Possible Derogations  Confidentiality of Documents  Establishment of Procedure  Dealing with Applications  Allocation of Tasks  Investigations for initial oversight  Dealing with non-conformities  Issue of the Certificate  Validity of the Certificate  Ongoing oversight  Possible Derogations  Confidentiality of Documents These are basic features addressed in the SESIS guidance for NSAs

CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS ROLES AND RESPONSIBILITIES (IN THE NSA) 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

CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS APPLICATION FOR CERTIFICATE: Organisation Exposition: Description of means and arrangements proposed to meet the common requirements Based on references to manuals and other relevant documentation Possible use of Questionnaires

CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS INVESTIGATIONS FOR INITIAL OVERSIGHT : There will always be a review of Documentation and three “routes” in the procedure depending on the common requirement being considered Documentation Review Auditing in accordance with ESARR 1 Auditing in accordance with ESARR 1 Auditing

CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS INVESTIGATIONS FOR INITIAL OVERSIGHT : There will always be a review of Documentation and three “routes” in the procedure depending on the common requirement being considered Documentation Review Auditing in accordance with ESARR 1 Auditing in accordance with ESARR 1 Auditing SESIS provides guidance to support the identification of the “route” applicable to each requirement

RESOLUTION OF NON-CONFORMITIES Classical ISO approach: Non- conformities are raised by the NSA Corrective Actions proposed by the ANSP are accepted by the NSA Once accepted, they are implemented by the ANSP ISSUE OF CERTIFICATE Certificate to be harmonised in accordance with model defined in SESIS Final decision to be made by person(s) not involved in the investigations Certificate to be signed by the DG (or equivalent position) at the NSA CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS

THE CERTIFICATE – VALIDITY PERIOD Period associated with a number of ongoing oversight cycles to review compliance with the applicable CRs For safety, a full review of requirements should take 24 months According with ESARR 1. Ultimate rationale for the even figure Non-safety requirements may be reviewed with longer oversight cycles Renewal should be almost automatic if no issues are reveiled by the ongoing oversight CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS 2, 4 or 6 years depending upon the case and to decided by the NSA on a case to case basis

application Issue of Certificate Initial Oversight Certificate Renewal 6 years REVIEW OF SAFETY REQUIREMENTS 24 months Full review of Compliance with safety requirements 24 months Full review of Compliance with safety requirements 24 months Full review of Compliance with safety requirements NON-SAFETY REQUIREMENTS MAY BE REVIEWED WITH LONGER CYCLES WITHIN THE 6 YEARS PERIOD “n” months …

WHY LIMITED VALIDITY ? WHY A MAXIMUM OF 6 YEARS? 6 years is ideal to encompass: 3 ESARR 1 cycles 2 ISO cycles (recertification of management systems, if ISO is used for quality) Other cycles (1 to 6 years to review other non safety-related requirements) At the end of an oversight cycle the NSA is in an optimal position to make decisions CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS A maximum validity is needed to make sure that the results of the ongoing oversight activity are seriously taken into consideration

WHAT ABOUT NEWLY ESTABLISHED ANSPs? Approach proposed similar to case of airlines… CERTIFICATION MODEL PROCESS CERTIFICATION MODEL PROCESS 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

MODEL FORMS Application Form – Model Form 1 MODEL FORMS MODEL FORMS Table defining the scope of services For which certification is asked

MODEL FORMS Certificate – Model Form 2 MODEL FORMS MODEL FORMS Table defining the scope of services For which certification is granted

THE TABLE FORMAT IS COMMON ►Used by the applicant to identify the services for which certification is requested ►Used by the NSA to identify (in the Certificate) the services for which certification is granted ATSATCArea control APP control AD control etc... CONDITIONS Whatever needed service partsub-part etc... MODEL FORMS MODEL FORMS

SUMMARY  Harmonisation of NSA procedures is a key component of a level playing field of a level playing field  SESIS proposes a model process to assist the NSAs in establishing their procedures in establishing their procedures  SESIS Guidance addresses the ACTIONS, the INPUT (application) and the OUTPUT (certificate) the INPUT (application) and the OUTPUT (certificate)  Oversight investigations range from a review of documentation to a full application of auditing in documentation to a full application of auditing in accordance with ESARR 1 requirements accordance with ESARR 1 requirements

SUMMARY  Validity period (even number, 6 years maximum) is proposed taking ongoing oversight into consideration proposed taking ongoing oversight into consideration  Basic guidance is provided to address the case of newly established ANSPs (further work may be needed on details) newly established ANSPs (further work may be needed on details)  The process proposed ensures an appropriate framework to meet ESARR 1 as regards the supervision framework to meet ESARR 1 as regards the supervision of safety-related common requirements of safety-related common requirements