ATM/ANS.OR.B.005 Management system

DEFINITIONS AND CONCEPT OF MANAGEMENT SYSTEM

(a)ISO 9000 series of standards define a management system as a 'set of interrelated or interacting elements to establish policy and objectives and to achieve those objectives'.

(b)Another available definition of management system is the following: ‘The structure, processes and resources needed to establish an organisation's policy and objectives and to achieve those objectives.'

(c)Traditionally, separate management systems were developed to address issues such as safety, quality, environment, health and safety, finance, human resources, information technology and data protection. However, it is foreseen that more and more the services providers will establish integrated management systems following the harmonised set of requirements in this Regulation.

(d)The Regulation does not require that the different management systems are integrated but it facilitates their integration.

RELATIONSHIP BETWEEN THE TYPE OF SERVICE AND SAFETY MANAGEMENT — QUALITY MANAGEMENT

(a)All service providers are required to establish and maintain a management system. However, only an air traffic services provider can have managerial control over functions directly affecting the safety of the flight (e.g. the ATCO to separate aircraft from each other). Hence, the management system requirements in Annex III, which apply to all service providers, are more broadly associated with the quality of the service rather than the safety of the service. Annex IV (Part-ATS) has specific safety management requirements for the provision of air traffic services. Therefore, only the air traffic services provider (that providing air traffic control, alerting service, air traffic advisory service or flight information service) is required to have a safety management system and undertake safety assessment of changes to the functional system.

(b)Service providers other than the air traffic services provider can still affect the safety of the flight through functions or services they provide, but this will always be influenced by the way in which the air traffic services provider or airspace user are using those functions or services. Therefore, service providers other than air traffic services providers have a management system which manages the performance of service (rather than the safe use of their services for flight navigation and the control which is beyond the managerial control of the service provider). This performance of the service refers to such properties of the service provided such as accuracy, reliability, integrity, availability, timeliness, etc.

(c)It is quite likely that air traffic services providers have contractual arrangements in place with other service providers, whose services they use, specifying the required performance and requiring the service provider to inform, in a timely manner, the air traffic services provider of any impact on the performance of services supplied.

(d)When the service provider other than an air traffic services provider provides services or functions directly to a flight (e.g. MET) without involving air traffic services, then the safe use of those services is the responsibility of the users of those services.

(e)When the air traffic services provider also provides other services, it may choose to combine the necessary performance and safety management activities into an integrated management system covering all services.

GENERAL An ISO 9001 certificate, issued by an appropriately accredited organisation, addressing the quality management elements required in this Subpart should be considered a sufficient means of compliance for the service provider. In this case, the service provider should accept the disclosure of the documentation related to the certification to the competent authority upon the latter’s request.

GENERAL — TYPE 1 DAT PROVIDERS An ISO 9001 or EN 9100 certificate issued by an appropriately accredited organisation addressing the quality management elements required in the respective Subparts should be considered a sufficient means of compliance for the Type 1 DAT provider. In this case, the Type 1 DAT provider should accept the disclosure of the documentation related to the certification to the competent authority upon its request.

GENERAL — TYPE 2 DAT PROVIDERS An EN 9100 certificate issued by an appropriately accredited organisation addressing the quality management elements required in the respective Subparts should be considered as a sufficient means of compliance for the Type 2 DAT provider. In this case, the Type 2 DAT provider should accept the disclosure of the documentation related to the certification to the competent authority upon its request.

GENERAL — NON-COMPLEX SERVICE PROVIDERS

(a)The policy should include a commitment to improve towards the highest standards, comply with all the applicable legal requirements, meet all the applicable standards, consider the best practices, and provide the appropriate resources.

(b)The compliance monitoring task may be exercised by the accountable manager, provided that he or she has demonstrated having the related competence as defined in point (b)(4) of GM1 ATM/ANS.OR.B.005(c).

(c)Risk management may be performed using hazard checklists or similar risk management tools or processes, which are integrated into the activities of the service provider.

(d)A service provider should manage associated risks related to changes, as applicable. Management of changes should be a documented process to identify external and internal changes.

(e)A service provider should identify persons who fulfil the role of managers and who are responsible with regard to safety, quality and security of its services, as applicable. These persons may be accountable managers or individuals with an operational role in the service provider.

RESPONSIBILITIES AND ACCOUNTABILITIES

(a)Senior management should ensure that responsibilities and accountabilities are defined and communicated within the service provider and documented within the management system. In the context of this rule, ‘responsibilities’ refers to obligations that can be delegated and ‘accountabilities’ refers to obligations that cannot be delegated.

(b)The appointment of an accountable manager who is given the required authorities and responsibilities, requires that the individual has the necessary attributes to fulfil the role. The accountable manager may have more than one function in the organisation. Nonetheless, the accountable manager’s role is to ensure that the management system is properly implemented and maintained through the allocation of resources and tasks.

POLICY

(a)The policy should:

(1)be signed by the accountable manager;

(2)reflect organisational commitments regarding performance of its services and safety, where applicable, and its proactive and systematic management;

(3)include reporting principles; and

(4)include a commitment to:

(i)improve towards the highest performance standards so as to support the achievement of the highest level of safety;

(ii)comply with all applicable legislation and requirements, meet all applicable standards and consider best practices;

(iii)continually improve the effectiveness of the management system;

(iv)provide appropriate resources;

(v)enforce the performance of the service required to support the achievement of the highest level of safety in the airspace where the service is provided as one primary responsibility of all managers; and

(vi)that the purpose of reporting is improvement and not to apportion blame to individuals.

(b)Senior management should:

(1)ensure that the policy:

(i)is appropriate to the purpose of service providers;

(ii)provides a framework for establishing and reviewing objectives in relation to the provision of the service;

(iii)is communicated and understood within the service provider; and

(iv)is reviewed for continuing suitability;

(2)continually promote the policy to all personnel and demonstrate their commitment to it;

(3)provide necessary and appropriate human and financial resources for its implementation; and

(4)establish objectives in relation to the provision of the services and performance standards.

POLICY FOR AIR TRAFFIC SERVICES PROVIDERS VS POLICY FOR ALL OTHER SERVICE PROVIDERS If a service provider does not undertake the provision of air traffic services, then the policy will be recognisable more as a quality policy that is concerned with the performance of the service and conformance to the service provision requirements supporting the achievement of the highest level of safety in the airspace where the service is provided. Should the service provider undertake the provision of air traffic services, then ATS.OR.200 also applies and the policy will need to be expanded to include both the safety and the quality of the service.

POLICY — NON-COMPLEX SERVICE PROVIDERS The policy is the means whereby the service provider states its intention to maintain and, where practicable, improve performance levels in all their activities and to minimise their contribution to the risk of an aircraft accident as far as is reasonably practicable.

SAFETY CULTURE The policy should actively encourage effective safety reporting and, by defining the line between acceptable performance (often unintended errors) and unacceptable performance (such as negligence, recklessness, violations or sabotage), provide fair protection to reporters. A safety or just culture may not, however, preclude the ‘criminalisation of error’, which is legally, ethically and morally within the sovereign rights of any Member State, provided that European Union law and established international agreements are observed. A judicial investigation, and consequences of some form, may be expected following an accident or serious incident especially if a system failure resulted in lives lost or property damaged, even if no negligence or ill intent existed. A potential issue could, therefore, exist if voluntary hazard reports, which relate to latent deficiencies of a system or its performance, are treated in the same way as those concerning accident and serious incident investigations. The intent of protecting hazard reports should not challenge the legitimacy of a judicial investigation or demand undue immunity.

MANAGEMENT OF METEOROLOGICAL SERVICES PERFORMANCE

(a)The management system of the meteorological service provider should provide users with assurance that the meteorological information supplied complies with the stated requirements in terms of geographical and spatial coverage, format and content, time and frequency of issuance and period of validity, as well as the accuracy of measurements, observations and forecasts.

(b)When the management system indicates that the meteorological information to be supplied to users does not comply with the stated requirements, and automatic error correction procedures are not appropriate, such information should not be supplied to users unless it is validated with the originator.

(c)In regard to the exchange of meteorological information for operational purposes, the management system should include verification and validation procedures and resources for monitoring adherence to the prescribed transmission schedules for individual messages and/or bulletins required to be exchanged as well as the times of their filing for transmission. The management system should be capable of detecting excessive transit times of messages and bulletins received.

SAFETY PERFORMANCE MONITORING AND MEASUREMENT — ATS PROVIDER

(a)Safety performance monitoring and measurement should be the process by which the safety performance of the air traffic services providers is verified in comparison to the safety policy and the safety objectives established by the air traffic services provider.

(b)This process should include:

(1)safety reporting;

(2)safety studies encompassing broad safety concerns;

(3)safety reviews including trends reviews, which would be conducted during introduction and deployment of new technologies, change or implementation of procedures, or in situations of structural change in operations;

(4)safety audits focusing on the integrity of the air traffic services provider’s management system, and periodically assessing the status of safety risk controls; and

(5)safety surveys, examining particular elements or procedures of a specific operation, such as problem areas or bottlenecks in daily operations, perceptions and opinions of operational personnel, and areas of dissent or confusion.

SAFETY PERFORMANCE MONITORING AND MEASUREMENT — ATS PROVIDER

(a)The means to monitor performance is often through one or more leading or lagging indicators.

(b)Indicators and performance measures provide feedback on what is happening so that the air traffic services provider can take appropriate actions to respond to changing circumstances. The indicators provide information on:

(1)what is happening around the air traffic services provider;

(2)how well the air traffic services provider is doing;

(3)what has happened so far; and

(4)warning of impending problems or dangers that the air traffic services provider may need to take action to avoid.

(c)Although ‘lagging’ performance indicators that measure the final outcomes resulting from the air traffic services provider’s activities are often considered as the most interesting, lagging indicators themselves may not provide enough information to guide the air traffic services provider’s actions and ensure success.

(d)By measuring the inputs to a process, leading performance indicators can complement the use of lagging indicators and compensate for some of their shortcomings. Leading indicators can be used to monitor the effectiveness of control systems and give advance warning of any developing weaknesses before problems occur. One purpose of leading performance indicators is, therefore, to show the condition of systems before accidents, incidents, harm, damage or failure occurs. In this way, they can help to control risks and prevent mishaps.

(e)There is good evidence that when leading performance indicators are used correctly, they are effective in improving performance. However, there is also good evidence that they can be misused.

(f)For leading performance indicators to play an effective role in the improvement process, there should be an association between the inputs that the leading performance indicators measure and the desired lagging outputs. There needs to be a reasonable belief that the actions taken to improve leading performance indicators will be followed by an improvement in the associated lagging output indicators.

(g)The process for effective use of leading performance indicators can be summarised as:

(1)Identify where there are potential weaknesses or opportunities for improvement;

(2)Identify what can be done to counter weaknesses or deliver improvement;

(3)Set performance standards for the actions identified;

(4)Monitor performance against the standards;

(5)Take corrective actions to improve performance; and

(6)Repeat the process by using the following continuous improvement model: [Figure or form omitted from this preview — available in the Avioverse workspace library.]

(h)For any performance indicator to be effective, it is important that it is:

(1)objective and easy to measure and collect;

(2)relevant to the air traffic services provider whose performance is being measured;

(3)capable of providing immediate and reliable indications of the level of performance;

(4)cost-efficient in terms of the equipment, personnel and additional technology required to gather the information;

(5)understood and owned by the air traffic services provider whose performance is being measured;

(6)related to activities considered to be important for future performance;

(7)amenable to intervention/influence by the air traffic services provider whose performance is being measured;

(8)related to something where there is scope to improve; and

(9)a clear indication of a means to improve performance.

PERFORMANCE MONITORING AND MEASUREMENT — SERVICE PROVIDER OTHER THAN AIR TRAFFIC SERVICES PROVIDER A performance indicator (PI) is a type of performance measurement. An organisation may use PIs to evaluate its success, or to evaluate the success of a particular activity in which it is engaged. Sometimes success is defined in terms of making progress towards strategic goals, but often success is simply the repeated, periodic achievement of some level of operational goal (e.g. zero defects). Accordingly, choosing the right PIs relies upon a good understanding of what is important to the organisation. Since there is a need to understand well what is important, various techniques to assess the present state of the business, and its key activities, are associated with the selection of PIs. These assessments often lead to the identification of potential improvements, so performance indicators are routinely associated with 'performance improvement' initiatives. When PIs have performance targets associated with them, they are known as key performance indicators (KPIs).

IDENTIFICATION OF CHANGES TO FUNCTIONAL SYSTEMS This process is used by the service provider to correctly identify proposed changes. The changes dealt with in this GM are the proposed changes to the functional system. These can be triggered internally by changing circumstances that are related to the service provider of concern or externally by changing circumstances that are related to others or to the context in which the service operates, i.e. in situations where the service provider does not have managerial control over them. The triggers are called ‘change drivers’.

(a)Identification of internal circumstances

(1)The procedure to identify changes needs to be embedded in all parts of the organisation that can modify the functional system, i.e. the operational system used to support the services provided. Examples of proposed changes to the functional system as a response to changing circumstances under the control of the organisation, therefore, include:

(i)changes to the way the components of the functional system are used;

(ii)changes to equipment, either hardware or software;

(iii)changes to roles and responsibilities of operational personnel;

(iv)changes to operating procedures;

(v)changes to system configuration, excluding changes during maintenance, repair and alternative operations that are already part of the accepted operational envelope;

(vi)changes that are necessary as a result of changing circumstances to the operational context under the managerial control of the provider that can impact the service, e.g. provision of service under new conditions;

(vii)changes that are necessary as a result of changing circumstances to the local physical (operational) environment of the functional system; and

(viii)changes to the working hours and/or shift patterns of key personnel which could impact on the safe delivery of services.

(2)These changes are often identified by the service provider using business processes, which will be used to identify changes planned for the medium and long term. Such processes can include:

(i)annual business plans;

(ii)strategic safety boards;

(iii)equipment replacement projects;

(iv)airspace reorganisation plans;

(v)introduction of new operational concepts, e.g. Free Flight;

(vi)accident and incident investigation reports; and

(vii)safety monitoring and safety surveys.

(b)Identification of external circumstances The service provider should have processes in place to react appropriately to notifications received from those service providers that supply services to them. In addition, changes to the context that can impact on the service provided and are not under the managerial control of the service provider should be identified and treated as potential triggers. Furthermore, the service provider should negotiate contracts with unregulated service providers in accordance with ATM/ANS.OR.B.015 ‘Contracted activities’ that place a responsibility on such organisations to inform them of planned changes to their services.

ASSESSMENT OF THE MANAGEMENT SYSTEM

(a)Senior management should assess the service provider’s management system, at planned intervals, to ensure its continuing suitability, adequacy and effectiveness.

(b)The review should include assessing opportunities for improvement and the need for changes to the management system, including the policy and objectives.

(c)Records from management assessments should be maintained.

TRAINING AND COMPETENCY A service provider should:

(a)determine the necessary competence for personnel performing activities supporting services provision;

(b)where applicable, provide training or take other actions to achieve the necessary competence;

(c)evaluate the effectiveness of the actions taken;

(d)ensure that personnel are aware of the relevance and importance of their activities and how they contribute to the achievement of the objectives; and

(e)maintain appropriate records of education, training, skills and experience.

TRAINING AND COMPETENCIES— MET PROVIDERS Information and guidance concerning the qualifications, competencies, education and training of meteorological personnel in aeronautical meteorology are given in the Technical Regulations (WMO No 49), Volume I General Meteorological Standards and Recommended Practices, Part V Qualifications and Competencies of Personnel Involved in the Provision of Meteorological (Weather and Climate) and Hydrological Services; Part VI Education and Training of Meteorological Personnel, Appendix A Basic Instruction Packages, WMO 1083 Guide to the Implementation of Education and Training Standards in Meteorology and Hydrology, Volume I, and WMO 1205 Guide to Competency.

COMMUNICATION RESPONSIBILITIES The senior management should ensure that appropriate communication processes are established within the service provider and that communication takes place regarding the effectiveness of the management system.

COMPLIANCE PROCEDURE FOR THE ISSUE OF A STATEMENT OF COMPLIANCE The ATM/ANS provider should establish a compliance procedure for making a statement of compliance in accordance with Article 6 of Delegated Regulation (EU) 2023/1768 as part of its management system. The compliance procedure should encompass all compliance activities for demonstrating with sufficient confidence the compliance of the design of ATM/ANS equipment with the applicable DSs established in accordance with Article 6(1) of Delegated Regulation (EU) 2023/1768.

STAFF INVOLVED IN THE COMPLIANCE PROCEDURE The compliance procedure referred to in AMC1 ATM/ANS.OR.B.005(a)(8) should encompass:

(a)the training, knowledge and competence for the personnel involved in the deployment process; and

(b)the necessary measures to prevent any situation of conflict of interest as regards the demonstration of compliance of the design of ATM/ANS equipment, in particular regarding the staff who should evaluate the results of the deployment checks in an impartial and objective manner.

COMPLIANCE PROCEDURE FOR THE ISSUE OF A STATEMENT OF COMPLIANCE When classifying the change to the ATM/ANS equipment subject to Article 6 of Regulation (EU) 2023/1768 as minor or major in accordance with AMC1 Article 6 of the said Regulation, the ATM/ANS provider may establish a compliance procedure for each type of change as part of the change management procedures in accordance with AMC1 ATM/ANS.OR.B.010(a).

COMPLIANCE PROCEDURE FOR THE ISSUE OF A STATEMENT OF COMPLIANCE | COMPLIANCE ACTIVITIES Compliance activities that may be conducted as part of a compliance procedure may include the following:

(a)record the justification of compliance within compliance documents;

(b)perform testing and inspections, as necessary;

(c)ensure and record the conformity of the test of ATM/ANS equipment and ensure that the test specimen conforms, as applicable, to the:

(1)specifications,

(2)drawings,

(3)manufacturing processes,

(4)software development standards,

(5)construction, and

(6)assembly means;

(d)ensure that the test and measuring equipment to be used for testing is adequate for testing and appropriately calibrated;

(e)carry out testing and inspections, as necessary, in accordance with the methods for such testing and inspections, to determine whether the ATM/ANS equipment complies with the applicable detailed specifications.

SERVICE PROVIDER’S MANAGEMENT SYSTEM DOCUMENTATION A service provider’s management system documentation should at least include the following information:

(a)a statement signed by the accountable manager to confirm that the service provider will continuously work in accordance with the applicable requirements and the service provider’s documentation as required by this Part and other applicable Parts;

(b)the service provider’s scope of activities;

(c)the titles and names of nominated postholders referred to in ATM/ANS.OR.B.020(b);

(d)the service provider’s chart showing the lines of responsibility between the persons referred to in ATM/ANS.OR.B.020(b);

(e)a general description and location of the facilities referred to in ATM/ANS.OR.B.025;

(f)procedures describing the function and specifying how the service provider monitors and ensures compliance with the applicable requirements referred to in ATM/ANS.OR.B.005(c); and

(g)the amendment procedure for the service provider’s management system documentation.

SERVICE PROVIDER’S MANAGEMENT SYSTEM DOCUMENTATION

(a)It is not required to duplicate information in several manuals. The information may be contained in the service provider’s manuals (e.g. operations manual, training manual), which may also be combined.

(b)A service provider may also choose to document some of the information required to be documented in separate documents (e.g. procedures). In this case, it should ensure that manuals contain adequate references to any document kept separately. Any such documents are then to be considered an integral part of the service provider’s management system documentation.

(c)A service provider’s management system documentation may be included in a separate manual or in (one of) the manual(s) as required by the applicable subpart(s). A cross reference should be included.

COMPLIANCE MONITORING — GENERAL FOR COMPLEX SERVICE PROVIDERS

(a)Compliance monitoring The implementation and use of a compliance monitoring function should enable the service provider to monitor compliance with the relevant requirements of this Part and other applicable Parts.

(1)A service provider should specify the basic structure of the compliance monitoring function applicable to the activities conducted.

(2)The compliance monitoring function should be structured according to the size of the service provider and the complexity of the activities to be monitored, including those which have been subcontracted.

(b)A service provider should monitor compliance with the procedures they have designed to ensure that services are provided with the required safety levels and quality, as applicable. In doing so, they should as a minimum, and where appropriate, monitor:

(1)manuals, logs, and records;

(2)training standards; and

(3)management system procedures.

(c)Organisational set-up

(1)A person should be responsible for compliance monitoring to ensure that the service provider continues to meet the requirements of this Part and other applicable Parts. The accountable manager should ensure that sufficient resources are allocated for compliance monitoring.

(2)Personnel involved in the compliance monitoring should have access to all parts of service provider and, as necessary, any contracted organisation.

(3)In the case the person responsible for compliance monitoring acts also as safety manager, the accountable manager, with regard to his or her direct accountability for safety, should ensure that sufficient resources are allocated to both functions, taking into account the size of the service provider and the nature and complexity of its activities.

(4)The independence of the compliance monitoring function should be established by ensuring that audits and inspections are carried out by personnel not directly involved in the activity being audited.

(d)Compliance monitoring documentation

(1)Relevant documentation should include relevant part(s) of the service provider’s management system documentation.

(2)In addition, relevant documentation should also include:

(i)terminology;

(ii)specified activity standards;

(iii)a description of the service provider;

(iv)allocation of duties and responsibilities;

(v)procedures to ensure compliance;

(vi)the compliance monitoring programme, reflecting:

(A)the schedule of the monitoring programme;

(B)audit procedures;

(C)reporting procedures;

(D)follow-up and corrective action procedures; and

(E)the record-keeping system;

(vii)the training syllabus referred to in (e)(2); and

(viii)document control.

(e)Training

(1)Correct and thorough training is essential to optimise compliance in every service provider. In order to achieve significant outcomes of such training, the service provider should ensure that all personnel understand the objectives as laid down in the service provider’s management system documentation.

(2)Those responsible for managing the compliance monitoring function should receive training on this task. Such training should cover the requirements of compliance monitoring, manuals and procedures related to the task, audit techniques, reporting and recording.

(3)Time should be provided to train all personnel involved in compliance management and for briefing the remainder of the personnel.

(4)The allocation of time and resources should be governed by the volume and complexity of the activities concerned.

COMPLIANCE MONITORING ORGANISATIONAL SET-UP

(a)The role of the compliance monitoring may be performed by a compliance monitoring manager to ensure that the activities of the service provider are monitored for compliance with the applicable regulatory requirements and any additional requirements established by the service provider, and that these activities are being carried out properly under the supervision of other relevant nominated postholders and line managers.

(b)The compliance monitoring manager should:

(1)be responsible for ensuring that the compliance monitoring programme is properly implemented, maintained, and continually reviewed and improved;

(2)have direct access to the accountable manager;

(3)not be one of the line managers; and

(4)be able to demonstrate relevant knowledge, background and appropriate experience related to the activities of the service provider, including knowledge and experience in compliance monitoring.

(c)The compliance monitoring manager may perform all audits and inspections himself/herself or appoint one or more auditors by choosing personnel having the related competence as defined in point (b)(iii), either from within or outside the service provider.

(d)Regardless of the option chosen, it needs to be ensured that the independence of the audit function is not affected, in particular in cases where those performing the audit or inspection are also responsible for other activities within the service provider.

(e)In case external personnel are used to perform compliance audits or inspections:

(1)any such audits or inspections are performed under the responsibility of the compliance monitoring manager; and

(2)the compliance monitoring manager remains responsible for ensuring that the external personnel has relevant knowledge, background and experience as appropriate to the activities being audited or inspected, including knowledge and experience in compliance monitoring.

(f)A service provider retains the ultimate responsibility for the effectiveness of the compliance monitoring function, in particular for the effective implementation and follow-up of all corrective actions.

REACTION TO UNDERPERFORMANCE OF FUNCTIONAL SYSTEMS If the cause of the underperformance is found to be:

(a)a flaw in the functional system, the service provider should initiate a change to the functional system either to remove the flaw or mitigate its effects;

(b)a flawed argument associated with a change to that functional system, the service provider should either:

(1)provide a valid argument; or

(2)where the service provider considers it more feasible, initiate a change to the functional system.

MONITORING This behaviour could be understood as performance of the service(s) delivered by the functional system of the ATM/ANS provider (e.g. specification such as function, accuracy, availability, continuity, timeliness, reliability, integrity, etc.). When the monitoring activity identifies underperformance of the service provided with respect to the specification of the service, the ATM/ANS provider should introduce mitigation measures. For example, the ATC provider should monitor the quality of communication services and verify the conformance with the level of performance required for the operational environment under its responsibility with regard to the provision of ATC with data link services.

SIZE, NATURE AND COMPLEXITY OF THE ACTIVITY

(a)An air traffic services provider should be considered as complex unless it is eligible to apply for a limited certificate and fulfils the criteria set out in ATM/ANS.OR.A.010(a).

(b)An air navigation services provider, other than an air traffic services provider, should be considered as complex unless it is eligible to apply for a limited certificate and fulfils the criteria set out in ATM/ANS.OR.A.010(b)(1).

(c)An aerodrome flight information services provider should be considered as complex unless it is eligible to apply for a limited certificate and fulfils the criteria set out in ATM/ANS.OR.A.010(b)(2).

(d)A service provider, other than an air navigation services provider, should be considered as complex when it has a workforce of more than 20 full-time equivalents (FTEs) involved in the activity subject to Regulation (EC) No 216/2008 and its implementing rules.

SIZE, NATURE AND COMPLEXITY OF THE ACTIVITY

(a)In consideration of the EUR 1 000 000 gross annual turnover referred to in ATM/ANS.OR.A.010(b)(1), this is assessed against the income the air navigation services provider generates in the provision of the services specified in Annex Vb to Regulation (EC) No 216/2008 and does not include any income generated by the air navigation services provider who undertakes other commercial activity that generates income.

(b)In consideration of operating regularly not more than one working position at any aerodrome referred to in ATM/ANS.OR.A.010(b)(2), this means that for the majority (i.e. greater than 50 %) of time an aerodrome is operational, only one working position is used.

(c)Table 3 below illustrates the circumstances under which the service provider could be considered as non-complex.

Table 3: Non-complex service provider

FORMAL INTERFACES — ATS PROVIDERS Where data link communications are used, the ATS provider should make appropriate arrangements with a communication services provider to ensure that data exchanges can be established with all aircraft flying in the airspace under their responsibility and having data link capability in accordance with the applicable requirements, with due regard to possible coverage limitations inherent in the communication technology used.

GENERAL Within the scope of this Regulation, only the air traffic services provider can identify hazards, assess the associated risks and mitigate or propose mitigating measures where necessary. This requirement implies that all service providers (air traffic services and non-air traffic services) establish formal interfaces (e.g. service level agreements, letters of understanding, memorandum of cooperation) between the relevant services providers themselves or between the service providers and other aviation undertakings (e.g. aerodrome operators) so as to ensure that hazards associated with the use of the services they provide are identified and the risks assessed and whenever needed mitigated. It does not imply that this has to be done by the service providers themselves (e.g. MET or AIS providers cannot do this by themselves) as only the air traffic services provider can, but they need to establish the interfaces with those service providers (ATS providers) or other aviation undertaking (e.g. aerodrome operators) who are able to do so. The formal interfaces could address the mitigation means put on the different providers (e.g. via requirements in a service level agreement).

LOCAL RUNWAY SAFETY TEAM The service provider should participate in the local runway safety team (LRST) established by the aerodrome operator in accordance with AMC1 ADR.OR.D.027 and GM2 ADR.OR.D.027.