HTML PUBLIC "-//W3C//DTD HTML 4.01 Transitional//EN"EN
18.10.2011 Official
Journal
of
the
European
Union L
271/23
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
(Text with EEA relevance)
THE EUROPEAN COMMISSION,
(EC) No 549/2004. The common requirements should
not cover military operations and training, as provided
for in Article 1(2) of Regulation (EC) No 549/2004 and
Having regard to the Treaty on the Functioning of the European
Article 1(2) of Regulation (EC) No 216/2008.
Union,
(4) The
definition
of
common
requirements
for
the
Having regard to Regulation (EC) No 550/2004 of the European
provision of air navigation services should take due
Parliament and of the Council of 10 March 2004 on the
account of the legal status of air navigation service
provision of air navigation services in the single European sky
providers in the Member States. Furthermore, when an
(the service provision Regulation) ( 1 ), and in particular Articles
organisation pursues activities other than the provision of
4, 6 and 7 thereof,
air navigation services, the common requirements should
not apply to such other activities or to resources
allocated to activities outside the provision of air navi
Having regard to Regulation (EC) No 216/2008 of the European
gation services, unless provision is made to the contrary.
Parliament and of the Council of 20 February 2008 on
common rules in the field of civil aviation and establishing a
European Aviation Safety Agency, and repealing Council
(5) The
application
of
the
common
requirements
to
air
navi
Directive 91/670/EEC, Regulation (EC) No 1592/2002 and
gation service providers should be proportionate to the
Directive 2004/36/EC (
risks linked with the specific features of each activity

2 ), and in particular Article 8b(6) thereof,
such as the number and/or the nature and characteristics
of processed movements. Should certain air navigation
Whereas:
service providers elect not to avail themselves of the
opportunity to provide cross-border services within the
single European sky, a competent authority should be
(1) Pursuant
to
Regulation
(EC)
No
216/2008,
the
entitled to allow those providers to comply commen
Commission, assisted by the European Aviation Safety
surately with, respectively, certain general requirements
Agency (the Agency), is required to adopt implementing
for the provision of air navigation services and certain
rules for the provision of air traffic management and air
specific requirements for the provision of air traffic
navigation services (ATM/ANS) throughout the Union.
services. Consequently, the conditions attached to the
Article 8b(6) of that Regulation requires those imple
certificate should reflect the nature and the scope of
menting rules to be based on the regulations adopted
the derogation.
under Article 5(3) 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
(6) In
order
to
ensure
the
proper
functioning
of
the
certifi
cation scheme, Member States should provide the
single European sky (the framework Regulation) ( 3 ).
Commission and the Agency with all relevant
information on the derogations granted by their
competent authority in the context of their annual
(2) The
provision
of
air
navigation
services
within
the
Union
reports.
should be subject to certification by Member States or

the Agency. Air navigation service providers which
comply with the common requirements should be
(7) The
different
types
of
air
navigation
service
activities
are
granted a certificate in accordance with Article 7 of
not necessarily subject to the same requirements. It is
Regulation (EC) No 550/2004 and Article 8b(2) of Regu
therefore necessary to adjust common requirements to
lation (EC) No 216/2008.
the special features of each type of activity.
(3) The
application
of
the
common
requirements
laid
down (8) The
onus
of
proving
compliance
with
the
applicable
pursuant to Article 6 of Regulation (EC) No 550/2004
common requirements should lie with the air navigation
and Article 8b of Regulation (EC) No 216/2008 should
service provider, for the period of validity of the
be without prejudice to Member States’ sovereignty over
certificate and for all the services covered by it.
their airspace and to the requirements of the Member
States relating to public order, public security and
defence matters, as set out in Article 13 of Regulation
(9) In
order
to
ensure
the
effective
application
of
the
common requirements, a system of regular supervision
and inspection of compliance with those common
( 1 ) OJ L 96, 31.3.2004, p. 10.
( 2 ) OJ L 79, 19.3.2008, p. 1.
requirements and with the conditions specified in the
( 3 ) OJ L 96, 31.3.2004, p. 1.
certificate should be established. The competent

---

L 271/24
EN
Official Journal of the European Union
18.10.2011
authority should examine the suitability of a provider
of air traffic services, and also providers of communi
prior to issuing a certificate and should assess the
cation, navigation or surveillance services, meet the
ongoing compliance of the air navigation service
arrangements required to cover the reporting and
providers it has certified on a yearly basis. Consequently,
assessment of such occurrences.
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. That
programme should allow the inspection of all relevant
(13) It should be recognised in particular that, firstly, safety
parts of the air navigation service providers within a
management is that function of air navigation services
reasonable time frame. When assessing the compliance
which ensures that all safety risks have been identified,
of designated providers of air traffic services and
assessed and satisfactorily mitigated, and that, secondly, a
meteorological services, the competent authority should
formal and systematic approach to safety management
be entitled to check relevant requirements stemming
and management systems, towards a total system
from the international obligations on the Member State
approach, will maximise safety benefits in a visible and
in question.
traceable way. The Agency should further evaluate the
safety requirements of this Regulation and integrate
them into a common regulatory structure for civil
aviation safety.
(10) Peer
reviews
of
national
supervisory
authorities
could
further a common approach to the supervision of air
navigation service providers throughout the Union. The
(14) Until the Agency has drawn up the implementing
Commission, in cooperation with the Member States and
measures transposing the relevant standards of the Inter
the Agency, may arrange these peer reviews, which
national Civil Aviation Organisation (ICAO) into Union
should be coordinated with the activities undertaken
implementing measures, acceptable means of compliance,
within the framework of Articles 24 and 54 of Regu
certification specifications and guidance material, air
lation (EC) No 216/2008 and any other international
navigation service providers should operate in
monitoring and oversight programmes. This would
compliance with the relevant ICAO standards. With a
avoid duplication of work. In order to allow the
view to facilitating the cross-border provision of air navi
exchange of experience and best practice during a peer
gation services, and until the finalisation of the work of
review, the experts should preferably be from a
the Agency to draw up the relevant measures transposing
competent authority.
the ICAO standards, the Member States, the Commission
and the Agency, acting in close cooperation with Euro
control where relevant, should work towards minimising
the differences notified by Member States in the appli
(11) Eurocontrol has developed Safety Regulatory
cation of ICAO standards in the field of air navigation
Requirements (ESARRs) which have been of the highest
services in order to reach a common set of standards
importance for the safe provision of air traffic services. In
between Member States within the single European sky.
accordance with Regulation (EC) No 550/2004, the
Commission should identify and adopt the relevant
provisions of ESARRs in Union regulations. The
ESARRs incorporated in Commission Regulation (EC)
(15) Different
national
arrangements
as
to
liability
should
not
No 2096/2005 of 20 December 2005 laying down
prevent air navigation service providers from entering
common requirements for the provision of air navigation
into agreements on the cross-border provision of
services (
services, once the air navigation service providers have

1 ) form the basis of these implementing rules.
set up arrangements to cover losses for damages arising
from liabilities under the applicable law. The method
employed should comply with the requirements of
national law. Member States which allow the provision
(12) When
adopting Regulation (EC) No 2096/2005, the
of air navigation services in all or part of the airspace
Commission concluded that it was not appropriate to
under their responsibility without certification in
repeat the ESARR 2 provisions on reporting and
accordance with Regulation (EC) No 550/2004 should
assessment of safety occurrences in ATM, which are
cover the liabilities of those air navigation service
covered by Regulation (EU) No 996/2010 of the
providers.
European Parliament and the Council of 20 October
2010 on the investigation and prevention of accidents
and incidents in civil aviation and repealing Directive
94/56/EC ( 2 ) and by Directive 2003/42/EC of the
(16) The Agency should further evaluate the provisions of this
European Parliament and of the Council of 13 June
Regulation, in particular those related to the safety
2003 on occurrence reporting in civil aviation
( 3 ).
assessment of changes to the provision of air navigation
However, new provisions on safety occurrences should
services by the certified organisation and engineering and
be introduced in order to require a competent authority,
technical personnel, and issue an opinion to adapt them
as defined by this Regulation, to check whether providers
towards a total system approach, taking into account the
integration of these provisions into a future common
regulatory structure for civil aviation safety and the
( 1 ) OJ L 335, 21.12.2005, p. 13.
( 2 ) OJ L 295, 12.11.2010, p. 35.
experience gained by stakeholders and competent
( 3 ) OJ L 167, 4.7.2003, p. 23.
authorities in the field of safety oversight.

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/25
(17) Regulation (EC) No 551/2004 of the European
However, unless Annex I or II makes provision to the contrary,
Parliament and of the Council of 10 March 2004 on
those common requirements shall not apply to:
the organisation and use of the airspace in the single
European sky (the airspace Regulation) ( 1 ) requires that
specific functions called network functions are to be set
(a) activities other than the provision of air navigation services
up to allow optimum use of airspace and scarce
by a provider of such services;
resources, while allowing users maximum access to
airspace as well as the ability to operate preferred trajec
tories. As provided for in Regulation (EC) No 551/2004,
(b) resources allocated to activities outside the provision of air
Commission Regulation (EU) No 677/2011 of 7 July
navigation services.
2011 laying down detailed rules for the implementation
of air traffic management (ATM) network functions and
amending Regulation (EU) No 691/2010 (
Article 2

2 ) lays down
the rights, obligations and responsibilities of the entity
Definitions
involved in the provision of those functions.
For the purposes of this Regulation, the definitions in Article 2
of Regulation (EC) No 549/2004 and Article 3 of Regulation
(EC) No 216/2008 apply. However, the definition of ‘certificate’
(18) For
the
safe
execution
of
certain
network
functions,
the
entity involved is subject to certain requirements. These
in Article 2(15) of Regulation (EC) No 549/2004 does not
requirements aim to ensure that the entity or organi
apply.
sation operates in a safe manner and they are laid
down in Annex VI Regulation (EU) No 677/2011.
The following definitions also apply:
These are organisation safety requirements which are
very similar to the general requirements for the
provision of air navigation services laid down in Annex
(1) ‘aerial work’ means an aircraft operation in which an
I to this Regulation but adapted to the safety responsi
aircraft is used for specialised services such as agriculture,
bilities of the network functions.
construction, photography, surveying, observation and
patrol, search and rescue or aerial advertisement;
(19) Regulation
(EC) No 2096/2005 should therefore be
repealed.
(2) ‘commercial air transport’ means any aircraft operation
involving the transport of passengers, cargo or mail for
remuneration or hire;
(20) Commission
Regulation
(EC)
No
482/2008
of
30
May
2008 establishing a software safety assurance system to
be implemented by air navigation service providers and
(3) ‘functional system’ means a combination of systems,
amending Annex II to Regulation (EC) No 2096/2005 (
procedures and human resources organised to perform a

3 )
and Commission Regulation (EU) No 691/2010 of
function within the context of ATM;
29 July 2010 laying down a performance scheme for
air navigation services and network functions and
(4) ‘general aviation’ means any civil aircraft operation other
amending Regulation (EC) No 2096/2005 laying down
than aerial work or commercial air transport;
common requirements for the provision of air navigation
services ( 4 ) should be amended in order to be adapted to
this Regulation.
(5) ‘national supervisory authority’ means the body or bodies
nominated or established by Member States as their
national supervisory authority pursuant to Article 4(1) of
(21) The
measures
provided
for
in
this
Regulation
are
in
Regulation (EC) No 549/2004;
accordance with the opinion of the Single Sky
Committee established by Article 5 of Regulation (EC)
No 549/2004,
(6) ‘hazard’ means any condition, event, or circumstance
which could induce an accident;
HAS ADOPTED THIS REGULATION:
(7) ‘organisation’ means an entity providing air navigation
services;
Article 1
(8) ‘operating organisation’ means an organisation responsible
Subject matter and scope
for the provision of engineering and technical services
This Regulation lays down the common requirements for the
supporting air traffic, communication, navigation or
provision of air navigation services.
surveillance services;
( 1 ) OJ L 96, 31.3.2004, p. 20.
(9) ‘risk’ means the combination of the overall probability, or
( 2 ) OJ L 185, 15.7.2011, p. 1.
( 3 ) OJ L 141, 31.5.2008, p. 5.
frequency of occurrence of a harmful effect induced by a
( 4 ) OJ L 201, 3.8.2010, p. 1.
hazard and the severity of that effect;

---

L 271/26
EN
Official Journal of the European Union
18.10.2011
(10) ‘safety assurance’ means all planned and systematic actions
Article 4
necessary to provide adequate confidence that a product, a
service, an organisation or a functional system achieves
Granting of certificates
acceptable or tolerable safety;
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, organisations shall comply with:
(11) ‘safety objective’ means a qualitative or quantitative
statement that defines the maximum frequency or prob
ability at which a hazard can be expected to occur;
(a) the general requirements for the provision of air navigation
services set out in Annex I;
(12) ‘safety requirement’ means a risk-mitigation means, defined
from the risk-mitigation strategy that achieves a particular
safety objective, including organisational, operational,
(b) the additional specific requirements set out in Annexes II to
procedural, functional, performance, and interoperability
V according to the type of service they provide.
requirements or environment characteristics;
2. A
competent
authority
shall
verify
an
organisation’s
(13) ‘services’ means either an air navigation service or a bundle
compliance with the common requirements before issuing a
of such services;
certificate to it.
(14) ‘pan-European air navigation service’ means an air navi
3. An organisation shall comply with the common
gation service which is designed and established for users
requirements no later than at the time at which the certificate
within most or all Member States and which may also
is issued pursuant to:
extend beyond the airspace of the territory to which the
Treaty applies.
(a) Article 7 of Regulation (EC) No 550/2004;
(15) ‘air navigation service provider’ means any public or
private entity providing ANS for general air traffic,
including an organisation having applied for a certificate
(b) Article 8b(2) and Article 22a(b) and (c) of Regulation (EC)
to provide such services.
No 216/2008.
Article 3
Article 5
Competent authority for certification
Derogations
1. For
the
purpose
of
this
Regulation,
the
competent 1. By way of derogation from Article 4(1), certain air navi
authority for the certification of air navigation service
gation service providers may elect not to avail themselves of the
providers shall be:
opportunity to provide cross-border services and may waive the
right to mutual recognition within the single European sky.
(a) for organisations having their principal place of operation
and, if any, their registered office located in a Member State,
They may, in those circumstances, apply for a certificate which
the national supervisory authority nominated or established
is limited to the airspace under the responsibility of the Member
by that Member State;
State referred to in Article 7(2) of Regulation (EC) No
550/2004.
(b) for organisations providing air navigation services in the
airspace of the territory to which the Treaty applies and
2. In order to make an application as referred to in
having their principal place of operation and, if any, their
paragraph 1, a provider of air traffic services shall provide
registered office located outside the territory subject to the
services or plan to provide them only with respect to one or
provisions of the Treaty, the Agency;
more of the following categories:
(c) for organisations providing pan-European air navigation
services in the airspace of the territory to which the
(a) aerial work;
Treaty applies, the Agency.
(b) general aviation;
2. The
competent
authority
for
safety
oversight
shall
be
the
authority determined in accordance with Article 3 of
Commission Implementing Regulation (EU) No 1034/2011 ( 1 ).
(c) commercial air transport limited to aircraft with less than
10 tonnes of maximum take-off mass or less than 20
( 1 ) See page 15 of this Official Journal.
passenger seats;

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/27
(d) commercial air transport with less than 10 000 movements
(c) safety requirements for risk assessment and mitigation with
per year, regardless of the maximum take-off mass and the
regard to changes (point 3.2).
number of passenger seats; ‘movements’ being counted as
the sum of take-offs and landings and calculated as an
average over the previous three years.
5. No
derogations
shall
be
granted
from
the
requirements
in
Annexes III, IV or V.
In order to make such an application, an air navigation service
provider other than a provider of air traffic services shall have a
6. In
accordance
with
Annex
II
of
Regulation
(EC)
No
gross annual turnover of EUR 1 000 000 or less in relation to
550/2004, the competent authority shall:
the services it provides or plans to provide.
Where, owing to objective practical reasons, an air navigation
(a) specify the nature and the scope of the derogation in the
service provider is unable to provide evidence that it meets
conditions attached to the certificate by indicating its legal
those qualifying criteria, the competent authority may accept
basis;
analogous figures or forecasts in relation to the ceilings
defined in the first and the second subparagraphs.
(b) limit the validity of the certificate in time, where considered
necessary for oversight purposes;
When submitting such an application, the air navigation service
provider shall submit to the competent authority, at the same
time the relevant evidence regarding the qualifying criteria.
(c) monitor whether the air navigation service providers
continue to qualify for the derogation.
3. The
competent
authority
may
grant
specific
derogations
to
applicants who fulfil the qualifying criteria of paragraph 1,
commensurately with their contribution to ATM in the
Article 6
airspace under the responsibility of the Member State
Demonstration of compliance
concerned.
1. Organisations
shall
provide
all
the
relevant
evidence
to
demonstrate compliance with the applicable common
Those derogations may relate only to the requirements set out
requirements at the request of the competent authority. Organi
in Annex I.
sations may make full use of existing data.
However, no derogation shall be granted for the following
requirements:
2. A
certified
organisation
shall
notify
the
competent
authority of planned changes to its provision of air navigation
services which may affect its compliance with the applicable
(a) technical and operational competence and capability
common requirements or with the conditions attached to the
(point 1);
certificate, where applicable.
(b) safety management (point 3.1);
3. Where a certified organisation no longer complies with
the applicable common requirements or, where applicable, with
(c) human resources (point 5);
the conditions attached to the certificate, the competent
authority shall, within one month of the date of discovering
the non-compliance, require the organisation to take corrective
(d) open and transparent provision of air navigation services
action.
(point 8.1).
4. In
addition
to
the
derogations
provided
for
in
paragraph That decision shall immediately be notified to the relevant
3, the competent authority may grant derogations to applicants
organisation.
who provide aerodrome flight information services by operating
regularly not more than one working position at any
aerodrome. It shall do so commensurately with the applicants’
The competent authority shall check that the corrective action
contribution to ATM in the airspace under the responsibility of
has been implemented before notifying its approval to the
the Member State concerned.
relevant organisation.
Those derogations may relate only to the following
Where the competent authority considers that corrective action
requirements of point 3 of Annex II:
has not been properly implemented within the timetable agreed
with the organisation, it shall take appropriate enforcement
(a) safety management responsibility and external services and
measures as provided for in Article 7(7) of Regulation (EC)
supplies (point 3.1.2(b) and (e));
No 550/2004 and Article 10, Article 22a(d), and Articles 25
and 68 of Regulation (EC) No 216/2008, while taking into
account the need to ensure the continuity of air navigation
(b) safety surveys (point 3.1.3(a));
services.

---

L 271/28
EN
Official Journal of the European Union
18.10.2011
Article 7
(a) issue appropriate safety rules for engineering and technical
personnel who undertake operational safety-related tasks;
Facilitation of compliance monitoring
Organisations shall facilitate inspections and surveys by the
competent authority or by a qualified entity acting on the
(b) ensure adequate and appropriate safety oversight of the
latter’s behalf, including site visits and visits without prior
engineering and technical personnel assigned by any
notice.
operating organisation to undertake operational safety-
related tasks;
The authorised persons shall be empowered to perform the
(c) on reasonable grounds and after due enquiry, take appro
following acts:
priate action in respect of the operating organisation and/or
its technical and engineering personnel who do not comply
with the requirements of point 3.3 of Annex II;
(a) to examine the relevant records, data, procedures and any
other material relevant to the provision of air navigation
services;
(d) verify that appropriate methods are in place to ensure that
third parties assigned to operational safety-related tasks
comply with the requirements of point 3.3 of Annex II.
(b) to take copies of or extracts from such records, data,
procedures and other material;
Article 10
Peer review procedure
(c) to ask for an oral explanation on site;
1. The
Commission,
acting
in
cooperation
with
the
Member
States and the Agency may arrange peer reviews of national
supervisory authorities in accordance with paragraphs 2 to 6.
(d) to enter relevant premises, lands or means of transport.
2. A
peer
review
shall
be
carried
out
by
a
team
of
national
Such inspections and surveys, when conducted by a competent
experts and, where appropriate, observers from the Agency.
authority or by a qualified entity acting on their behalf, shall be
carried out in compliance with the legal provisions of the
Member State in which they are to be undertaken.
A team shall be comprised of experts coming from at least
three different Member States and the Agency.
Article 8
Experts shall not participate in peer reviews in the Member
Ongoing compliance
State where they are employed.
The competent authority shall, on the basis of the evidence at
its disposal, monitor annually the ongoing compliance of the
The Commission shall establish and maintain a pool of national
organisations which it has certified.
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.
To that end, the competent authority shall establish and update
annually an indicative inspection programme which covers all
the providers it has certified and which is based on an
3. Not
less
than
three
months
before
a
peer
review,
the
assessment of the risks associated with the different operations
Commission shall inform the Member State and the national
constituting the air navigation services provided. It shall consult
supervisory authority concerned of the peer review, the date on
the organisation concerned as well as any other competent
which it is scheduled to take place and the identity of the
authority concerned, if appropriate, before establishing such a
experts taking part in it.
programme.
The Member State whose national supervisory authority is
The programme shall indicate the envisaged interval of the
subject to review shall approve the team of experts before it
inspections of the different sites.
may carry out the review.
4. Within a period of three months from the date of the
Article 9
review, the review team shall draw up, by consensus, a report
Safety regulation of engineering and technical personnel
which may contain recommendations.
With regard to the provision of air traffic, communication,
navigation or surveillance services, the competent authority or
The Commission shall convene a meeting with the Agency, the
any other authority designated by a Member State to fulfil this
experts and the national supervisory authority to discuss that
task shall:
report.

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/29
5. The
Commission
shall
forward
the
report
to
the
Member
Article 12
State concerned.
Repeal
The Member State may, within three months from the date of
receipt of the report, present its observations.
Regulation (EC) No 2096/2005 is repealed.
Those observations shall include, where relevant, the measures
Article 13
which the Member State has taken or intends to take to
respond to the review within a given timescale.
Amendment to Regulation (EC) No 482/2008
Unless otherwise agreed with the Member State concerned, the
Regulation (EC) No 482/2008 is amended as follows:
report and the follow-up shall not be published.
(1) in Article 4(5), the reference to ‘Regulation (EC) No
6. The
Commission
shall
inform
the
Member
States
through
2096/2005’ is replaced by a reference to ‘Commission
the Single Sky Committee of the main findings of these reviews
Implementing Regulation (EU) No 1035/2011 (*).
on an annual basis.
Article 11
___________
(*) OJ L 271, 18.10.2011, p. 23’;
Transitional provisions
1. Air
navigation
service
providers
holding
a
certificate
issued
in accordance with Regulation (EC) No 2096/2005 on the date
(2) Article 6 is deleted;
of entry into force of this Regulation shall be deemed to hold a
certificate issued in accordance with this Regulation.
(3) in Annex I, in points 1 and 2, the reference to ‘Regulation
(EC) No 2096/2005’ is replaced by a reference to ‘Imple
2. Applicants
for an air
navigation
service
providers’
menting Regulation (EU) No 1035/2011’.
certificate which submitted their application before the date of
entry into force of this Regulation and were not already issued
Article 14
with a certificate on that date shall show compliance with the
provisions of this Regulation before the certificate is issued.
Amendment to Regulation (EU) No 691/2010
3. Where
organisations,
for
which
the
competent
authority In Regulation (EU) No 691/2010, Article 25 is deleted.
will be the Agency in accordance with Article 3, have applied to
a national supervisory authority of a Member State for the issue
Article 15
of a certificate before the date entry into force of this Regu
Entry into force
lation, the national supervisory authority shall finalise the
certification process in coordination with the Agency and
This Regulation shall enter into force on the 20th day following
transfer the file to the Agency upon the issue of the certificate.
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, 17 October 2011.
For the Commission
The President
José Manuel BARROSO

---

L 271/30
EN
Official Journal of the European Union
18.10.2011
ANNEX I
General requirements for the provision of air navigation services
1.
TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY
Air navigation service providers shall be able to provide their services in a safe, efficient, continuous and
sustainable manner consistent with any reasonable level of overall demand for a given airspace. To this end,
they shall maintain adequate technical and operational capacity and expertise.
2. ORGANISATIONAL
STRUCTURE
AND
MANAGEMENT
2.1. Organisational
structure
Air navigation service providers shall set up and manage their organisation according to a structure that supports
the safe, efficient and continuous provision of air navigation 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
2.2.1. Business plan
Air navigation service providers 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 air navigation service provider and with relevant Union
requirements for the development of infrastructure or other technology;
(b) contain appropriate performance targets in terms of safety, capacity, environment and cost-efficiency, as may
be applicable.
The information listed in points (a) and (b) shall be consistent with the national or functional airspace block
performance plan referred to in Article 11 of Regulation (EC) No 549/2004 and, as far as safety data is concerned,
consistent with the State Safety Programme referred to in Standard 2.27.1 of Annex 11 to the Convention on
International Civil Aviation, Amendment 47B from 20 July 2009 as applicable.
Air navigation service providers shall produce safety and business justifications for major investment projects
including, where relevant, the estimated impact on the appropriate performance targets referred to in point (b) and
identifying investments stemming from the legal requirements associated with the implementation of the Single
European Sky ATM Research Programme (SESAR).
2.2.2. Annual plan
Air navigation service providers 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, environment and cost-efficiency, as may be applicable:
(a) information on the implementation of new infrastructure or other developments and a statement how they
will contribute to improving the performance of the air navigation service provider, including level and quality
of services;

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/31
(b) performance indicators consistent with the national or functional airspace block performance plan referred to
in Article 11 of Regulation (EC) No 549/2004 against which the performance level and quality of service may
be reasonably assessed;
(c) information on the measures foreseen to mitigate the safety risks identified in the safety plan of the air
navigation service provider, including safety indicators to monitor safety risk and, where appropriate, the
estimated cost of mitigation measures;
(d) the air navigation service provider’s expected short-term financial position as well as any changes to or impacts
on the business plan.
2.2.3. Performance part of the plans
The air navigation service provider shall make the content of the performance part of the business plan and of the
annual plan available to the Commission on request under the conditions set by the competent authority in
accordance with national law.
3. SAFETY
AND
QUALITY
MANAGEMENT
3.1. Safety
management
Air navigation service providers shall manage the safety of all their services. In doing so, they shall establish formal
interfaces with all stakeholders which may influence directly the safety of their services.
Air navigation service providers shall develop procedures for managing safety when introducing new functional
systems or changing the existing functional systems.
3.2. Quality
management
system
Air navigation service providers shall have in place a quality management system which covers all air navigation
services that they provide, according to the following principles.
The quality management system shall:
(a) define the quality policy in such a way as to meet the needs of different users as closely as possible;
(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 management 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 management 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 competent authority upon the latter’s
request.
Air navigation service providers may integrate safety, security and quality management systems into their
management system.
3.3. Operations
manuals
Air navigation service providers shall provide and keep up-to-date operations manuals relating to the provision of
their services for the use and guidance of operations personnel.

---

L 271/32
EN
Official Journal of the European Union
18.10.2011
They shall ensure that:
(a) operations manuals contain the 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 amendments to the operations manual applying to
their duties as well as of their entry into force.
4. SECURITY
Air navigation service providers shall establish a security management system to ensure:
(a) the security of their facilities and personnel so as to prevent unlawful interference with the provision of air
navigation services;
(b) the security of operational data they receive or produce or otherwise employ, 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 reoccurrence.
Air navigation service providers shall ensure the security clearance of their personnel, if appropriate, and coor
dinate with the relevant civil and military authorities to ensure the security of their facilities, personnel and data.
The safety, quality and security management systems may be designed and operated as an integrated management
system.
5. HUMAN
RESOURCES
Air navigation service providers shall employ appropriately skilled personnel to ensure the provision of air
navigation services in a safe, efficient, continuous and sustainable manner. In this context, they shall establish
policies for the recruitment and training of personnel.
6. FINANCIAL
STRENGTH
6.1. Economic
and
financial
capacity
Air navigation service providers shall be able to meet their financial obligations, such as fixed and variable costs of
operation or capital investment costs. They shall use an appropriate cost accounting system. They shall demon
strate their abilities through the annual plan as referred to in point 2.2.2 as well as through balance sheets and
accounts as practicable under their legal statute.
6.2. Financial
audit
In accordance with Article 12(2) of Regulation (EC) No 550/2004, air navigation service providers shall demon
strate that they are undergoing an independent audit on a regular basis.
7. LIABILITY
AND
INSURANCE
COVER
Air navigation service providers shall have in place arrangements to cover their 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 organisation and the level of commercial insurance cover available.

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/33
An air navigation service provider which avails itself of the 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
air
navigation
services
Air navigation service providers shall provide air navigation services in an open and transparent manner. They
shall publish the conditions of access to their services and establish a formal consultation process with the users of
air navigation services on a regular basis, either individually or collectively, and at least once a year.
Air navigation service providers shall not discriminate on the grounds of the nationality or identity of the user or
the class of users in accordance with applicable Union law.
8.2. Contingency
plans
Air navigation service providers shall have in place contingency plans for all the air navigation services they
provide in the case of events which result in significant degradation or interruption of their operations.
9. REPORTING
REQUIREMENTS
Air navigation service providers shall be able to provide an annual report of their activities to the relevant
competent authority.
That annual report shall cover their financial results without prejudice to Article 12 of Regulation (EC) No
550/2004, as well as their operational performance and any other significant activities and developments in
particular in the area of safety.
The annual report shall include as a minimum:
(a) an assessment of the level of performance of air navigation services generated;
(b) the performance of the air navigation service provider compared to the performance targets established in the
business plan referred to in point 2.2.1, reconciling actual performance against the annual plan by using the
indicators of performance established in the annual plan;
(c) provide an explanation for differences with the targets, and identify measures for closing any gaps during the
reference period referred to in Article 11 of Regulation (EC) No 549/2004;
(d) developments in operations and infrastructure;
(e) the financial results, as long as they are not published separately in accordance with Article 12(1) of Regulation
(EC) No 550/2004;
(f) information about the formal consultation process with the users of its services;
(g) information about the human resources policy.
Air navigation service providers shall make the content of the annual report available to the Commission and the
Agency on request and to the public under the conditions set by the competent authority in accordance with
national law.

---

L 271/34
EN
Official Journal of the European Union
18.10.2011
ANNEX II
Specific requirements for the provision of air traffic services
1. OWNERSHIP
Providers of air traffic services shall notify to the competent authorities referred to in Article 7(2) of Regulation
(EC) No 550/2004:
(a) their legal status, their ownership structure and any arrangements having a significant impact on control over
their assets;
(b) any links with organisations not involved in the provision of air navigation services, including commercial
activities in which they are engaged either directly or through related undertakings, which account for more
than 1 % of their expected revenue; furthermore, they shall notify any change of any single shareholding which
represents 10 % or more of their total shareholding.
Providers 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 their services.
2. OPEN
AND
TRANSPARENT
PROVISION
OF
SERVICES
In addition to point 8.1 of Annex I and where a Member State decides to organise the provision of specific air
traffic services in a competitive environment, that Member State may take all appropriate measures to ensure that
the 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 Union law.
3. SAFETY
OF
SERVICES
3.1. Safety
management
system
(SMS)
3.1.1. General safety requirements
Providers of air traffic services shall, as an integral part of the management of their services, have in place a safety
management system (SMS) which:
(a) ensures a formalised, explicit and proactive approach to systematic safety management in meeting their safety
responsibilities within the provision of their services; operates in respect of all their 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);
(b) 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);
(c) ensures that the achievement of satisfactory safety in air traffic services shall be afforded the highest priority
(safety priority);
(d) 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, providers of air traffic services shall:
(a) 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);
(b) ensure that a safety management function is identified with organisational responsibility for development and
maintenance of the SMS; ensure that this point of responsibility is independent of line management, and
accountable directly to the highest organisational level. However, in the case of small organisations where a
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);

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/35
(c) ensure that, wherever practicable, quantitative safety levels are derived and are maintained for all functional
systems (quantitative safety levels);
(d) ensure that the SMS is systematically documented in a manner which provides a clear linkage to the
organisation’s safety policy (SMS documentation);
(e) 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);
(f) ensure that risk assessment and mitigation is conducted to an appropriate level to ensure that due
consideration 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, point 3.2 shall apply;
(g) ensure that ATM operational or technical occurrences which are considered to have significant safety
implications are investigated immediately, and any necessary corrective action is taken (safety occurrences).
They shall also demonstrate that they have implemented the requirements on the reporting and assessment of
safety occurrences in accordance with applicable national and Union law.
3.1.3. Requirements for safety assurance
Within the operation of the SMS, providers of air traffic services shall ensure that:
(a) 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);
(b) 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);
(c) 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 competent authority
(safety records).
3.1.4. Requirements for safety promotion
Within the operation of the SMS, providers of air traffic services shall ensure that:
(a) all personnel are aware of the potential safety hazards connected with their duties (safety awareness);
(b) the lessons arising from safety occurrence investigations and other safety activities are disseminated within the
organisation at management and operational levels (lesson dissemination);
(c) all personnel are actively encouraged to propose solutions to identified hazards, and changes are made to
improve safety where they appear needed (safety improvement).
3.2. Safety
requirements
for
risk
assessment
and
mitigation
with
regard
to
changes
3.2.1. Section 1
Within the operation of the SMS, providers 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 their 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 decommissioning;
(b) the airborne, ground and, if appropriate, spatial components of the ATM functional system, through
cooperation with responsible parties;

---

L 271/36
EN
Official Journal of the European Union
18.10.2011
(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:
(i) an identification of ATM-related credible hazards and failure conditions, together with their combined
effects;
(ii) 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 set out in Section 4;
(iii) 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:
(i) specifies the defences to be implemented to protect against the risk-bearing hazards;
(ii) 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;
(iii) presents an assurance of its feasibility and effectiveness;
(d) verification that all identified safety objectives and safety requirements have been met:
(i) prior to its implementation of the change;
(ii) during any transition phase into operational service;
(iii) during its operational life;
(iv) during any transition phase until decommissioning.
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:
(a) 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
techniques being used;
(b) all safety requirements related to the implementation of a change are traceable to the intended operations/
functions.
3.2.4. Section 4
Hazard identification and severity assessment
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 set out 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.

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/37
Severity class Effect
on
operations
1
Accident as defined in Article 2 of Regulation (EU)
(Most severe)
No 996/2010 of the European Parliament and of the
Council ( 1 ).
2
Serious incident as defined in Article 2 of Regulation
(EU) No 996/2010.
3 Major
incident
associated
with
the
operation
of
an
aircraft, in which the safety of the aircraft may have
been compromised, having led to a near collision
between aircrafts, with ground or obstacles.
4 Significant
incident
involving
circumstances
indicating
that an accident, a serious or major incident could
have occurred, if the risk had not been managed
within safety margins, or if another aircraft had been
in the vicinity.
5
No immediate effect on safety.
(Least severe)
( 1 ) OJ L 295, 12.11.2010, p. 35.
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.
Risk classification scheme
Safety objectives based on risk shall be established in terms of the hazard’s 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.
3.2.5. Section 5
Software safety assurance system
Within the operation of the SMS, a provider of air traffic services shall implement a software safety assurance
system in accordance with Regulation (EC) No 482/2008.
3.3. Safety requirements for engineering and technical personnel undertaking operational safety related tasks
Providers 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 their 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.
With regard to the personnel involved in safety-related tasks including personnel of subcontracted operating
organisations, providers of air traffic services shall document the adequacy of the competence of the personnel;
the rostering arrangements in place to ensure sufficient capacity and continuity of service; 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. They shall have procedures in place for cases where the physical or
mental condition of the personnel is in doubt.
Providers of air traffic services shall maintain a register of information on the numbers, status and deployment of
the personnel involved in safety related tasks.

---

L 271/38
EN
Official Journal of the European Union
18.10.2011
That 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
Providers of air traffic services shall be able to demonstrate that their 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:
(a) Annex 2 on rules of the air in its 10th edition of July 2005, including all amendments up to No 42;
(b) Annex 10 on aeronautical telecommunications, Volume II on communication procedures including those with
PANS Status in its sixth edition of October 2001, including all amendments up to No 85;
(c) Annex 11 on air traffic services in its 13th edition of July 2001, including all amendments up to No 47-B.

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/39
ANNEX III
Specific requirements for the provision of meteorological services
1. TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY
Providers of meteorological services shall ensure that the meteorological information, necessary for the performance of
their respective functions and in a form suitable for users, is made available to:
(a) operators and flight crew members for pre-flight and in-flight planning;
(b) providers of air traffic services and flight information services;
(c) search and rescue services units;
(d) aerodromes.
Providers 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
Providers of meteorological services shall be able to demonstrate that their 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:
(a) Annex 3 on meteorological service for international air navigation in its 17th edition of July 2010, including all
amendments up to No 75;
(b) Annex 11 on air traffic services in its 13th edition of July 2001, including all amendments up to No 47-B;
(c) Annex 14 on aerodromes in the following versions:
(i) Volume I on aerodrome design and operations in its 5th edition of July 2009, including all amendments up to
No 10-B;
(ii) Volume II on heliports in its 3rd edition of July 2009, including all amendments up to No 4.

---

L 271/40
EN
Official Journal of the European Union
18.10.2011
ANNEX IV
Specific requirements for the provision of aeronautical information services
1. TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY
Providers of aeronautical information services shall ensure that information and data is available for operations in a
form suitable for:
(a) flight operating personnel, including flight crew, as well as flight planning, flight management systems and flight
simulators;
(b) providers of air traffic services which are responsible for flight information services, aerodrome flight information
services and the provision of pre-flight information.
Providers of aeronautical information services shall ensure the integrity of data and confirm the level of accuracy of
the information distributed for operations, including the source of such information, before such information is
distributed.
2. WORKING METHODS AND OPERATING PROCEDURES
Providers of aeronautical information services shall be able to demonstrate that their working methods and operating
procedures are compliant with the standards in:
(a) Commission Regulation (EU) No 73/2010 ( 1 );
(b) 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:
(i) Annex 3 on meteorological service for international air navigation in its 17th edition of July 2010, including
all amendments up to No 75;
(ii) Annex 4 on aeronautical charts in its 11th edition of July 2009, including all amendments up to No 56;
(iii) without prejudice to Regulation (EU) No 73/2010, Annex 15 on aeronautical information services in its 13th
edition of July 2010, including all amendments up to No 36.
( 1 ) OJ L 23, 27.1.2010, p. 6.

---

EN
18.10.2011 Official
Journal
of
the
European
Union L
271/41
ANNEX V
Specific requirements for the provision of communication, navigation or surveillance services
1. TECHNICAL AND OPERATIONAL COMPETENCE AND CAPABILITY
Providers of communication, navigation or surveillance services shall ensure the availability, continuity, accuracy and
integrity of their services.
Providers of communication, navigation or surveillance services shall confirm the quality level of the services they are
providing and shall demonstrate that their equipment is regularly maintained and where required calibrated.
2. SAFETY OF SERVICES
Providers of communication, navigation or surveillance services shall comply with the requirements of point 3 of
Annex II on the safety of services.
3. WORKING METHODS AND OPERATING PROCEDURES
Providers of communication, navigation or surveillance services shall be able to demonstrate that their working
methods and operating procedures are compliant with the standards of Annex 10 on aeronautical telecommunications
to the Convention on International Civil Aviation in the following versions as far as they are relevant for the provision
of communication, navigation or surveillance services in the airspace concerned:
(a) Volume I on radio navigation aids in its sixth edition of July 2006, including all amendments up to No 85;
(b) Volume II on communication procedures including those with PANS status in its sixth edition of October 2001,
including all amendments up to No 85;
(c) Volume III on communications systems in its second edition of July 2007 including all amendments up to No 85;
(d) Volume IV on surveillance radar and collision avoidance systems in its fourth edition of July 2007, including all
amendments up to No 85;
(e) Volume V on aeronautical radio frequency spectrum utilisation in its second edition of July 2001, including all
amendments up to No 85.

---