Commission Implementing Regulation (EU) 2017/373 of 1 March 2017 laying down common requirements for providers of air traffic management/air navigation services and other air traffic management network functions and their oversight, repealing Regulation (EC) No 482/2008, Implementing Regulations (EU) No 1034/2011, (EU) No 1035/2011 and (EU) 2016/1377 and amending Regulation (EU) No 677/2011 (Text with EEA relevance. )

• (174) ‘distress phase’ means a situation wherein there is reasonable certainty that an aircraft and its occupants are threatened by grave and imminent danger or require immediate assistance;

• (175) ‘downstream clearance’ means a clearance issued to an aircraft by an air traffic control unit that is not the current controlling authority of that aircraft;

• (176) ‘essential traffic’ means controlled traffic to which the provision of separation by air traffic control service is applicable, but which, in relation to a particular controlled flight is not, or will not be, separated from other controlled traffic by the appropriate separation minimum;

• (177) ‘essential local traffic’ means any aircraft, vehicle or personnel on or near the manoeuvring area, or traffic in the take-off and climb-out area or the final approach area, which may constitute a hazard to the aircraft concerned;

• (178) ‘estimated time of arrival’ means:
• (a) for IFR flights, the time at which it is estimated that the aircraft will arrive over a designated point, defined by reference to navigation aids, from which it is intended that an instrument approach procedure will be commenced, or, if no navigation aid is associated with the aerodrome, the time at which the aircraft will arrive over the aerodrome;
• (b) for visual flight rules (VFR) flights, the time at which it is estimated that the aircraft will arrive over the aerodrome;

• (179) ‘feature’ means an abstraction of real world phenomena;

• (180) ‘feature attribute’ means a characteristic of a feature that has a name, a data type and a value domain associated with it;

• (181) ‘feature type’ means a class of real world phenomena with common properties, which forms the basic level of classification in a feature catalogue;

• (182) ‘final approach’ means that part of an instrument approach procedure which:
• (a) commences at the specified fix or point, or, where such a fix or point is not specified, at either of the following places:
• (i) at the end of the last procedure turn, base turn or inbound turn of a racetrack procedure, if specified;
• (ii) at the point of interception of the last track specified in the approach procedure,
• (b) ends at a point in the vicinity of an aerodrome from which a landing can be made or a missed approach procedure is initiated;

• (183) ‘flight information zone’ means an airspace of defined dimension within which aerodrome flight information service and alerting service for aerodrome traffic are provided;

• (184) ‘flight procedure design services’ means services for the design, documentation, validation, maintenance and periodic review of flight procedures necessary for the safety, regularity and efficiency of air navigation;

• (185) ‘flight procedure designer’ means a qualified person who performs design, documentation, validation, continuous maintenance, and periodic review of flight procedures;

• (186) ‘flight procedure’ means a set of predetermined flight manoeuvres intended to be followed by a pilot, published by electronic, printed or digital means, or both. Flight procedure is conducted either in accordance with instrument flight rules (IFR) or visual flight rules (VFR);

• (187) ‘flight plan’ means specified information provided to air traffic services units, relative to an intended flight or portion of a flight of an aircraft;

• (188) ‘flight visibility’ means the visibility forward from the cockpit of an aircraft in flight;

• (189) ‘format’ means, in relation to data, a structure of data items, records and files arranged to meet standards, specifications or data quality requirements;

• (190) ‘geoid’ means the equipotential surface in the gravity field of the Earth which coincides with the undisturbed mean sea level (MSL) extended continuously through the continents;

• (191) ‘geoid undulation’ means the distance of the geoid above (positive) or below (negative) the mathematical reference ellipsoid;

• (192) ‘glide path’ means a descent profile determined for vertical guidance during a final approach;

• (193) ‘ground visibility’ means the visibility at an aerodrome, as reported by an accredited observer or by automatic systems;

• (194) ‘heading’ means the direction in which the longitudinal axis of an aircraft is pointed, usually expressed in degrees from North (true, magnetic, compass or grid);

• (195) ‘heliport’ means an aerodrome or a defined area on a structure intended to be used wholly or in part for the arrival, departure and surface movement of helicopters;

• (196) ‘integrity classification’ means, in relation to aeronautical data, a classification based upon the potential risk resulting from the use of corrupted data, defining routine, essential and critical data;

• (197) ‘international NOTAM office (NOF)’ means an office designated by a Member State for the exchange of NOTAM internationally;

• (198) ‘holding fix’ means a geographical location that serves as a reference for a holding procedure;

• (199) ‘holding procedure’ means a predetermined manoeuvre which keeps an aircraft within a specified airspace while awaiting further clearance;

• (200) ‘identification’ means the situation which exists when the position indication of a particular aircraft is seen on a situation display and positively identified;

• (201) ‘instrument flight rules’ are rules which allow an aircraft which is equipped with suitable navigation equipment appropriate to the route to be flown in accordance with the applicable requirements on air operations.

• (202) ‘INCERFA’ is the code word used to designate an uncertainty phase;

• (203) ‘instrument approach operations’ means an approach and landing using instruments for navigation guidance based on an instrument approach procedure. There are two methods for executing instrument approach operations:
• (a) a two-dimensional (2D) instrument approach operation, using lateral navigation guidance only;
• (b) a three-dimensional (3D) instrument approach operation, using both lateral and vertical navigation guidance;

• (204) ‘instrument approach procedure (IAP)’ means a series of predetermined manoeuvres by reference to flight instruments with specified protection from obstacles from the initial approach fix, or where applicable, from the beginning of a defined arrival route to a point from which a landing can be completed and thereafter, if a landing is not completed, to a position at which holding or en-route obstacle clearance criteria apply. Instrument approach procedures are classified as follows:
• (a) ‘non-precision approach (NPA) procedure’ means an instrument approach procedure designed for 2D instrument approach operations Type A.
• (b) ‘approach procedure with vertical guidance (APV)’ means a performance-based navigation (PBN) instrument approach procedure designed for 3D instrument approach operations Type A.
• (c) ‘precision approach (PA) procedure’ means an instrument approach procedure based on navigation systems (ILS, MLS, GLS and SBAS Cat I) designed for 3D instrument approach operations Type A or B;]

• (205) ‘instrument meteorological conditions (IMC)’ means meteorological conditions expressed in terms of visibility, distance from cloud, and ceiling, less than the minima specified for visual meteorological conditions;

• (206) ‘low-visibility operations (LVOs)’ means approach or take-off operations on a runway with a runway visual range (RVR) of less than 550 m or with a decision height (DH) of less than 200 ft;

• (206a) ‘low-visibility procedures’ means procedures applied at an aerodrome for the purpose of ensuring safety during low-visibility operations;

• (207) ‘manoeuvring area’ means that part of an aerodrome to be used for the take-off, landing and taxiing of aircraft, excluding aprons;

• (208) ‘metadata’ means data about data;

• (209) ‘movement area’ means that part of an aerodrome to be used for the take-off, landing and taxiing of aircraft, consisting of the manoeuvring area and the apron;

• (210) ‘navigation aid’ means a facility or system external to the aircraft, which generates electro-magnetic signals to be used by aircraft navigation systems for position determination or flight path guidance;

• (211) ‘mode Secondary Surveillance Radar (SSR)’ means the conventional identifier related to specific functions of the interrogation signals transmitted by an SSR interrogator. There are four modes specified in ICAO Annex 10: A, C, S and intermode;

• (212) ‘near-parallel runways’ means non-intersecting runways whose extended centre lines have an angle of convergence/divergence of 15 degrees or less;

• (212a) ‘operation with operational credits’ means an operation using specific aircraft or ground equipment, or a combination of aircraft and ground equipment which allows any of the following elements:
• (a) the application of lower-than-standard aerodrome operating minima for a particular classification of operation;
• (b) visibility requirements can be satisfied or reduced;
• (c) fewer ground facilities are required;

• (213) ‘pilot-in-command’ means the pilot designated by the operator, or in the case of General Aviation, the owner, as being in command and charged with the safe conduct of a flight;

• (214) ‘position’ means, in a geographical context, a set of coordinates (latitude and longitude) referenced to the mathematical reference ellipsoid, which define the position of a point on the surface of the Earth;

• (215) ‘position indication’ means the visual indication, in non-symbolic or symbolic form, or both, on a situation display, of the position of an aircraft, aerodrome vehicle or other object;

• (216) ‘pressure-altitude’ means an atmospheric pressure expressed in terms of altitude which corresponds to that pressure in the Standard Atmosphere;

• (217) ‘primary radar’ means a radar system which uses reflected radio signals;

• (218) ‘printed communications’ means communications which automatically provide a permanent printed record at each terminal of a circuit of all messages which pass over such circuit;

• (219) ‘prohibited area’ means an airspace of defined dimensions, above the land areas or territorial waters of a Member State, within which the flight of aircraft is prohibited;

• (220) ‘radio navigation service’ means a service providing guidance information or position data for the efficient and safe operation of aircraft supported by one or more radio navigation aids;

• (221) ‘radiotelephony’ means a form of radio communication primarily intended for the exchange of information in the form of speech;

• (222) ‘required communication performance specification’ or ‘RCP specification’ means a set of requirements for air traffic service provision and associated ground equipment, aircraft capability, and operations needed to support performance-based communication;

• (223) ‘required surveillance performance specification’ or ‘RSP specification’ means a set of requirements for air traffic service provision and associated ground equipment, aircraft capability, and operations needed to support performance-based surveillance;

• (224) ‘resolution’ means, in relation to data, a number of units or digits to which a measured or calculated value is expressed and used;

• (225) ‘restricted area’ means an airspace of defined dimensions, above the land areas or territorial waters of a Member State, within which the flight of aircraft is restricted in accordance with certain specified conditions;

• (226) ‘route stage’ means a route or portion of a route flown without an intermediate landing;

• (227) ‘runway-in-use’ means the runway or runways that, at a particular time, are considered by the air traffic services unit to be the most suitable for use by the types of aircraft expected to land or take off at the aerodrome. Separate or multiple runways may be designated runway-in-use for arriving aircraft and departing aircraft;

• (228) ‘secondary radar’ means a radar system wherein a radio signal transmitted from the radar station initiates the transmission of a radio signal from another station;

• (229) ‘secondary surveillance radar (SSR)’ means a surveillance radar system which uses transmitters and receivers (interrogators) and transponders;

• (230) ‘sensitive area’ means an area extending beyond the critical area where the parking or movement of aircraft or vehicles will affect the guidance signal to the extent that it may be rendered as an unacceptable disturbance to aircraft using the signal;

• (231) ‘SNOWTAM’ means a special series NOTAM given in a standard format, which provides a surface condition report notifying the presence or cessation of hazardous conditions due to snow, ice, slush, frost, standing water or water associated with snow, slush, ice, or frost on the movement area;

• (232) ‘significant point’ means a specified geographical location used in defining an ATS route or the flight path of an aircraft and for other navigation and air traffic services purposes;

• (233) ‘situation display’ means an electronic display depicting the position and movement of aircraft and other information as required;

• (234) ‘standard instrument arrival (STAR)’ means a designated IFR arrival route that links a significant point, normally on an ATS route, with a point from which a published instrument approach procedure can be commenced;

• (235) ‘standard instrument departure (SID)’ means a designated IFR departure route that links the aerodrome or a specified runway of the aerodrome with a specified significant point, normally on a designated ATS route, at which the en-route phase of a flight commences;

• (236) ‘special VFR flight’ means a VFR flight cleared by ATC to operate within a control zone in meteorological conditions below VMC;

• (237) ‘taxiing’ means movement of an aircraft on the surface of an aerodrome or an operating site under its own power, excluding take-off and landing;

• (238) ‘taxiway’ means a defined path on a land aerodrome established for the taxiing of aircraft and intended to provide a link between one part of the aerodrome and another;

• (239) ‘terminal control area (TMA)’ means a control area normally established at the confluence of ATS routes in the vicinity of one or more major aerodromes;

• (240) ‘timeliness’ means, in relation to data, the degree of confidence that the data is applicable to the period of its intended use;

• (241) ‘traceability’ means, in relation to data, the degree to which a system or a data product can provide a record of the changes made to that product and thereby enable an audit trail to be followed from the end-user to the party originating data;

• (242) ‘track’ means the projection on the Earth’s surface of the path of an aircraft, the direction of which path at any point is usually expressed in degrees from North (true, magnetic or grid);

• (243) ‘traffic information’ means information issued by an air traffic services unit to alert a pilot to other known or observed air traffic which may be in proximity to the position or intended route of flight and to help the pilot avoid a collision;

• (244) ‘transfer of control point’ means a defined point located along the flight path of an aircraft, at which the responsibility for providing air traffic control service to the aircraft is transferred from one control unit or control position to the next;

• (245) ‘transferring unit’ means air traffic control unit in the process of transferring the responsibility for providing air traffic control service to an aircraft to the next air traffic control unit or air traffic controller along the route of flight;

• (246) ‘transition altitude’ means the altitude at or below which the vertical position of an aircraft is controlled by reference to altitudes;

• (247) ‘transition layer’ means the airspace between the transition altitude and the transition level;

• (248) ‘transition level’ means the lowest flight level available for use above the transition altitude;

• (249) ‘validation’ means, in relation to data, the process of ensuring that data meets the requirements for the specified application or intended use;

• (250) ‘verification’ means, in relation to data, the evaluation of the output of an aeronautical data process to ensure correctness and consistency with respect to the inputs and applicable data standards, rules and conventions used in that process;

• (251) ‘uncertainty phase’ means a situation wherein uncertainty exists as to the safety of an aircraft and its occupants;

• (252) ‘unmanned free balloon’ means a non-power-driven, unmanned, lighter-than-air aircraft in free flight;

• (253) ‘vectoring’ means the provision of navigational guidance to aircraft in the form of specific headings, based on the use of an ATS surveillance system;

• (254) ‘visual flight rules flight’ or ‘VFR flight’ means a flight conducted in accordance with the visual flight rules;

• (255) ‘visual approach’ means an approach by an IFR flight when either part or all of an instrument approach procedure is not completed and the approach is executed in visual reference to terrain;

• (256) ‘visual meteorological conditions (VMC)’ means meteorological conditions expressed in terms of visibility, distance from cloud, and ceiling, equal to or better than specified minima;

• (257) ‘VOLMET’ means meteorological information for aircraft in flight;

• (258) ‘VOLMET broadcast’ means the provision, as appropriate, of current METAR, SPECI, TAF and SIGMET by means of continuous and repetitive voice broadcasts;

• (259) ‘waypoint’ means a specified geographical location used to define an area navigation route or the flight path of an aircraft employing area navigation. Waypoints are identified as either:
• (a) fly-by waypoint – a waypoint which requires turn anticipation to allow tangential interception of the next segment of a route or procedure, or
• (b) fly-over waypoint – a waypoint at which a turn is initiated in order to join the next segment of a route or procedure;

• (260) ‘U-space airspace’ means a UAS geographical zone designated by Member States, where UAS operations are only allowed to take place with the support of U-space services;

• (261) ‘U-space service’ means a service relying on digital services and automation of functions designed to support safe, secure and efficient access to U-space airspace for a large number of UAS;

• (262) ‘common information service’ means a service consisting in dissemination of static and dynamic data to enable the provision of U-space services for the management of traffic of unmanned aircraft;

• (263) ‘dynamic airspace reconfiguration’ means the temporary modification of the U-space airspace in order to accommodate short-term changes in manned traffic demand, by adjusting the geographical limits of that U-space airspace;

• (264) ‘volcano observatory’ means a provider, selected by the competent authority, which observes the activity of a volcano or a group of volcanoes and makes these observations available to an agreed list of aviation recipients;

• (265) ‘Geography Markup Language (GML)’ means an encoding standard of the Open Geospatial Consortium (OGC);

• (266) ‘space weather centre (SWXC)’ means a centre designated to monitor and provide advisory information on space weather phenomena expected to affect high-frequency radio communications, communications via satellite, GNSS-based navigation and surveillance systems and/or pose a radiation risk to aircraft occupants.

ANNEX II

REQUIREMENTS FOR COMPETENT AUTHORITIES — OVERSIGHT OF SERVICES AND OTHER ATM NETWORK FUNCTIONS

(Part-ATM/ANS.AR)

SUBPART A — GENERAL REQUIREMENTS

ATM/ANS.AR.A.001 Scope

This Annex establishes the requirements for the administration and management systems of the competent authorities responsible for certification, oversight and enforcement in respect of the application of the requirements set out in Annexes III to XIII by the service providers in accordance with Article 6.

ATM/ANS.AR.A.005 Certification, oversight and enforcement tasks

• (a) The competent authority shall exercise certification, oversight and enforcement tasks in respect of the application of the requirements applicable to service providers, monitor the safe provision of their services and verify that the applicable requirements are met.

• (b) The competent authorities shall identify and exercise the responsibilities for certification, oversight and enforcement in a manner which ensures that:
• (1) specific points of responsibility exist to implement each provision of this Regulation;
• (2) they are aware of the safety oversight mechanisms and their results;
• (3) relevant information exchange is ensured between competent authorities. The competent authorities concerned shall regularly review the agreement on the supervision of the service providers providing air navigation services in functional airspace blocks (FABs) that extend across the airspace falling under the responsibility of more than one Member States referred to in Article 2(3) of Regulation (EC) No 550/2004 and, in the case of cross-border provision of air navigation services, the agreement on the mutual recognition of supervisory tasks referred to in Article 2(5) of Regulation (EC) No 550/2004, as well as the practical implementation of those agreements, in particular in the light of achieved safety performance of the service providers under their supervision.

• (c) The competent authority shall establish coordination arrangements with other competent authorities for notified changes to functional systems involving service providers under the oversight of the other competent authorities. Those coordination arrangements shall ensure the effective selection and review of those notified changes, in accordance with point ATM/ANS.AR.C.025.

ATM/ANS.AR.A.010 Certification, oversight and enforcement documentation

The competent authority shall make available the relevant legislative acts, standards, rules, technical publications and related documents to its personnel in order to perform their tasks and to discharge their responsibilities.

ATM/ANS.AR.A.015 Means of compliance

• (a) The Agency shall develop acceptable means of compliance (AMC) that may be used to establish compliance with the requirements of this Regulation. When AMC are complied with, the applicable requirements of this Regulation shall be deemed to have been met.

• (b) Alternative means of compliance (AltMOC) may be used to establish compliance with the requirements of this Regulation.

• (c) The competent authority shall establish a system to consistently evaluate that all AltMOC used by itself or by the service providers under its oversight allow the establishment of compliance with the requirements of this Regulation.

• (d) The competent authority shall evaluate all AltMOC proposed by a service provider in accordance with point ATM/ANS.OR.A.020 by analysing the documentation provided and, if considered necessary, conducting an inspection of the service provider. When the competent authority finds that the AltMOC are sufficient to ensure compliance with the applicable requirements of this Regulation it shall without undue delay:
• (1) notify the applicant that the AltMOC may be implemented and, if applicable, amend the certificate of the applicant accordingly;
• (2) notify the Agency of their content, including copies of all relevant documentation;
• (3) inform other Member States about the AltMOC that were accepted.

• (e) When the competent authority itself uses AltMOC to achieve compliance with the applicable requirements of this Regulation, it shall:
• (1) make them available to all service providers under its oversight;
• (2) notify the Agency without undue delay. The competent authority shall provide the Agency with a full description of the AltMOC, including any revisions to procedures that may be relevant, as well as an assessment demonstrating that the applicable requirements of this Regulation are met.

ATM/ANS.AR.A.020 Information to the Agency

• (a) The competent authority shall without undue delay notify the Agency in case of any significant problems with the implementation of the relevant provisions of Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on its basis or of Regulations (EC) No 549/2004, (EC) No 550/2004 and (EC) No 551/2004 applicable to service providers.

• (b) Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the Council ([^E0006]) and its delegated and implementing acts, the competent authority shall provide the Agency with safety-significant information stemming from the occurrence reports stored in its national database in accordance with Article 6(6) of Regulation (EU) No 376/2014, as soon as possible.

• (c) The competent authority of the Member State shall provide the Agency as soon as possible with safety-significant information stemming from the information security reports it has received pursuant to point IS.I.OR.230 of Annex II (Part-IS.I.OR) to Implementing Regulation (EU) 2023/203.

ATM/ANS.AR.A.025 Immediate reaction to safety problem

• (a) Without prejudice to Regulation (EU) No 376/2014, the competent authority shall implement a system to appropriately collect, analyse, and disseminate safety information.

• (b) The Agency shall implement a system to appropriately analyse any relevant safety information received from the competent authorities and without undue delay provide to Member States and the Commission, as appropriate, any information, including recommendations or corrective actions to be taken, necessary for them to react in a timely manner to a safety problem involving the service providers.

• (c) Upon receiving the information referred to in points (a) and (b), the competent authority shall take adequate measures to address the safety problem, including the issuing of safety directives in accordance with point ATM/ANS.AR.A.030.

• (d) Measures taken under point (c) shall immediately be notified to the service providers concerned to comply with them, in accordance with point ATM/ANS.OR.A.060. The competent authority shall also notify those measures to the Agency and, when combined action is required, the other competent authorities concerned.

ATM/ANS.AR.A.025A Immediate reaction to an information security incident or vulnerability with an impact on aviation safety

• (a) The competent authority shall implement a system to appropriately collect, analyse, and disseminate information related to information security incidents and vulnerabilities with a potential impact on aviation safety that are reported by organisations. This shall be done in coordination with any other relevant authorities responsible for information security or cybersecurity within the Member State to increase the coordination and compatibility of reporting schemes.

• (b) The Agency shall implement a system to appropriately analyse any relevant safety-significant information received in accordance with point ATM/ANS.AR.A.020(c), and without undue delay provide the Member States and the Commission with any information, including recommendations or corrective actions to be taken, necessary for them to react in a timely manner to an information security incident or vulnerability with a potential impact on aviation safety involving products, parts, non-installed equipment, persons or organisations subject to Regulation (EU) 2018/1139 and its delegated and implementing acts.

• (c) Upon receiving the information referred to in points (a) and (b), the competent authority shall take adequate measures to address the potential impact on aviation safety of the information security incident or vulnerability.

• (d) Measures taken in accordance with point (c) shall immediately be notified to all persons or organisations that shall comply with them under Regulation (EU) 2018/1139 and its delegated and implementing acts. The competent authority of the Member State shall also notify those measures to the Agency and, when combined action is required, the competent authorities of the other Member States concerned.

ATM/ANS.AR.A.030 Safety directives

• (a) The competent authority shall issue a safety directive when it has determined the existence of any of the following:
• (1) an unsafe condition in a functional system requiring immediate action;
• (2) an unsafe, insecure, underperformance or non-interoperability condition in the equipment subject to the statement of compliance in accordance with Article 6 of Delegated Regulation (EU) 2023/1768 and this condition is likely to exist or develop in other ATM/ANS equipment.

• (b) The safety directive shall be forwarded to the ATM/ANS providers concerned and contain, as a minimum, the following information:
• (1) the identification of the unsafe condition;
• (2) the identification of the affected functional system;
• (3) the actions required and their rationale;
• (4) the time limit for completing the actions required;
• (5) its date of entry into force.

• (c) The competent authority shall forward a copy of the safety directive to the Agency and any other competent authorities concerned within one month from its issuance.

• (d) The competent authority shall verify the compliance of the ATM/ANS providers with the safety directives and with the ATM/ANS equipment directives, as applicable.

SUBPART B — MANAGEMENT (ATM/ANS.AR.B)

ATM/ANS.AR.B.001 Management system

• (a) The competent authority shall establish and maintain a management system, including, as a minimum, the following elements:
• (1) documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof, as necessary, for the exercise of its certification, oversight and enforcement tasks. The procedures shall be kept up to date and serve as the basic working documents within that competent authority for all related tasks;
• (2) a sufficient number of personnel, including inspectors, to perform its tasks and discharge its responsibilities under this Regulation. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial, on-the-job and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all related tasks;
• (3) adequate facilities and office accommodation to perform those allocated tasks;
• (4) a process to monitor compliance of the management system with the relevant requirements and adequacy of the procedures, including the establishment of an internal audit process and a safety risk management process. Compliance monitoring shall include a feedback system of audit findings to the senior management of the competent authority to ensure implementation of corrective actions as necessary;
• (5) a person or group of persons ultimately responsible to the senior management of the competent authority for the compliance monitoring function.

• (b) The competent authority shall, for each field of activity included in the management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s).

• (c) The competent authority shall establish procedures for the participation in a mutual exchange of all necessary information and assistance with other competent authorities concerned, whether from within the Member State or in other Member States, including the following information:
• (1) the relevant findings raised and follow-up actions taken as a result of oversight of ATM/ANS providers exercising activities in the territory of a Member State, but certified by the competent authority of another Member State or the Agency; and
• (2) stemming from mandatory and voluntary occurrence reporting as required by point ATM/ANS.OR.A.065.

• (d) A copy of the procedures related to the management system and their amendments shall be made available to the Agency for the purpose of standardisation.

• (e) In addition to the requirements contained in point (a), the management system established and maintained by the competent authority shall comply with Annex I (Part-IS.AR) of Implementing Regulation (EU) 2023/203 in order to ensure the proper management of information security risks which may have an impact on aviation safety.

ATM/ANS.AR.B.005 Allocation of tasks

• (a) The competent authority may allocate its tasks related to the certification or oversight of service providers under this Regulation, other than the issuance of certificates themselves, to qualified entities. When allocating such tasks, the competent authority shall ensure that it has:
• (1) a system in place to initially and continuously assess that the qualified entity complies with Annex V to Regulation (EC) No 216/2008. This system and the results of the assessments shall be documented; and
• (2) established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:
• (i) the tasks to be performed;
• (ii) the declarations, reports and records to be provided;
• (iii) the technical conditions to be met when performing such tasks;
• (iv) the related liability coverage;
• (v) the protection given to information acquired when carrying out such tasks.

• (b) The competent authority shall ensure that the internal audit process and the safety risk management process required by point ATM/ANS.AR.B.001(a)(4) cover all tasks performed on its behalf by the qualified entity.

• (c) With regard to the certification and oversight of the organisation’s compliance with point ATM/ANS.OR.B.005A, the competent authority may allocate tasks to qualified entities in accordance with point (a), or to any relevant authority responsible for information security or cybersecurity within the Member State. When allocating tasks, the competent authority shall ensure that:
• (1) all aspects related to aviation safety are coordinated and taken into account by the qualified entity or relevant authority;
• (2) the results of the certification and oversight activities performed by the qualified entity or relevant authority are integrated in the overall certification and oversight files of the organisation;
• (3) its own information security management system established in accordance with point ATM/ANS.AR.B.001(e) covers all the certification and continuing oversight tasks performed on its behalf.

ATM/ANS.AR.B.010 Changes in the management system

• (a) The competent authority shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities under Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof. This system shall enable it to take action, as appropriate, to ensure that the management system remains adequate and effective.

• (b) The competent authority shall update its management system to reflect any changes to Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof, in a timely manner, so as to ensure the effective implementation of its management system.

• (c) The competent authority shall notify the Agency of changes affecting its capability to perform its tasks and discharge its responsibilities under Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof.

ATM/ANS.AR.B.015 Record-keeping

• (a) The competent authority shall establish a system of record-keeping providing for adequate storage, accessibility, and reliable traceability of:
• (1) the management system's documented policies and procedures;
• (2) training, qualification, and authorisation of personnel as required by point ATM/ANS.AR.B.001(a)(2);
• (3) the allocation of tasks, covering the elements required by point ATM/ANS.AR.B.005, as well as the details of tasks allocated;
• (4) certification and/or declaration processes;
• (5) designations of air traffic services and meteorological services providers, as appropriate;
• (6) certification and oversight of service providers exercising activities within the territory of the Member State, but certified by the competent authority of another Member State or the Agency, as agreed between those authorities;
• (7) the evaluation and notification to the Agency of AltMOC proposed by service providers and the assessment of AltMOC used by the competent authority itself;
• (8) compliance of service providers with the applicable requirements of this Regulation after the issuance of the certificate or, where relevant, submission of a declaration, including the reports of all audits, covering findings, corrective actions, and date of action closure, and observations as well as other safety-related records;
• (9) enforcement measures taken;
• (10) safety information, safety directives and follow-up measures;
• (11) the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

• (b) The competent authority shall maintain a list of all service provider certificates issued and declarations received.

• (c) All records shall be kept for a minimum period of 5 years after the certificate ceases to be valid or the declaration is withdrawn, subject to the applicable data protection law.

SUBPART C — OVERSIGHT, CERTIFICATION AND ENFORCEMENT (ATM/ANS.AR.C)

ATM/ANS.AR.C.001 Monitoring of safety performance

• (a) The competent authorities shall regularly monitor and assess the safety performance of the service providers under their oversight.

• (b) The competent authorities shall use the results of the monitoring of safety performance in particular within their risk-based oversight.

ATM/ANS.AR.C.005 Certification, declaration, and verification of service providers' compliance with the requirements

• (a) Within the scope of point ATM/ANS.AR.B.001(a)(1), the competent authority shall establish a process in order to verify:
• (1) service providers’ compliance with the applicable requirements set out in Annexes III to XIII, and any applicable conditions attached to the certificate before the issue of that certificate. The certificate shall be issued in accordance with Appendix 1 to this Annex;
• (2) the compliance with any safety-related obligations in the designation act issued in accordance with Article 8 of Regulation (EC) No 550/2004;
• (3) the continued compliance with the applicable requirements of the service providers under its oversight;
• (4) the implementation of safety, security and interoperability objectives, applicable requirements and other conditions identified in the statement of compliance for ATM/ANS equipment; technical and performance limitations and conditions identified in ATM/ANS equipment certificates and/or ATM/ANS equipment declarations; and of safety measures, including ATM/ANS equipment directives mandated by the Agency in accordance with point ATM/ANS.EQMT.AR.A.030 of Annex I to Delegated Regulation (EU) 2023/1768;
• (5) the implementation of safety directives, corrective actions and enforcement measures.

• (b) The process referred to in point (a) shall:
• (1) be based on documented procedures;
• (2) be supported by documentation specifically intended to provide its personnel with guidance to perform their tasks related to certification, oversight and enforcement;
• (3) provide the organisation concerned with an indication of the results of the certification, oversight and enforcement activity;
• (4) be based on audits, reviews and inspections conducted by the competent authority;
• (5) with regard to certified service providers, provide the competent authority with the evidence needed to support further action, including measures referred to in Article 9 of Regulation (EC) No 549/2004, Article 7(7) of Regulation (EC) No 550/2004, and by Articles 10, 25, and 68 of Regulation (EC) No 216/2008 in situations where requirements are not complied with;
• (6) with regard to service providers making declarations, provide the competent authority with the evidence to take, if appropriate, remedial action which may include enforcement actions, including, where appropriate, under national law.

ATM/ANS.AR.C.010 Oversight

• (a) The competent authority, or qualified entities acting on its behalf, shall conduct audits, in accordance with Article 5.

• (b) The audits referred to in point (a) shall:
• (1) provide the competent authority with evidence of compliance with the applicable requirements and with the implementing arrangements;
• (2) be independent of any internal auditing activities undertaken by the service provider;
• (3) cover complete implementing arrangements or elements thereof, and processes or services;
• (4) determine whether:
• (i) the implementing arrangements comply with the applicable requirements;
• (ii) the actions taken comply with the implementing arrangements and the applicable requirements;
• (iii) the results of actions taken match the results expected from the implementing arrangements.

• (c) The competent authority shall, on the basis of the evidence at its disposal, monitor the continuous compliance with the applicable requirements of this Regulation of the service providers under its oversight.

• (d) With regard to the certification and oversight of the organisation’s compliance with point ATM/ANS.OR.B.005A, in addition to complying with points (a) to (c) of this point, the competent authority shall review any approval granted under point IS.I.OR.200(e) of Annex II to Implementing Regulation (EU) 2023/203 following the applicable oversight audit cycle and whenever changes are implemented in the scope of work of the organisation.

ATM/ANS.AR.C.015 Oversight programme

• (a) The competent authority shall establish and update annually an oversight programme taking into account the specific nature of the service providers, the complexity of their activities, the results of past certification and/or oversight activities and shall be based on the assessment of associated risks. It shall include audits, which shall:
• (1) cover all the areas of potential safety concern, with a focus on those areas where problems have been identified;
• (2) cover all the service providers under the supervision of the competent authority;
• (3) cover the means implemented by the service provider to ensure the competency of personnel;
• (4) ensure that audits are conducted in a manner commensurate with the level of the risk posed by the service provider operations and services provided; and
• (5) ensure that for service providers under its supervision, an oversight planning cycle not exceeding 24 months is applied. The oversight planning cycle may be reduced if there is evidence that the safety performance of the service provider has decreased. For a service provider certified by the competent authority, the oversight planning cycle may be extended to a maximum of 36 months if the competent authority has established that, during the previous 24 months:
• (i) the service provider has demonstrated an effective identification of aviation safety hazards and management of associated risks;
• (ii) the service provider has continuously demonstrated compliance with the change management requirements under points ATM/ANS.OR.A.040 and ATM/ANS.OR.A.045;
• (iii) no level 1 findings have been issued;
• (iv) all corrective actions have been implemented within the time period accepted or extended by the competent authority as defined in point ATM/ANS.AR.C.050. If, in addition to the above, the service provider has established an effective continuous reporting system to the competent authority on the safety performance and regulatory compliance of the service provider, which has been approved by the competent authority, the oversight planning cycle may be extended to a maximum of 48 months;
• (6) ensure follow-up of the implementation of corrective actions;
• (7) be subject to consultation with the service providers concerned and notification thereafter;
• (8) indicate the envisaged interval of the inspections of the different sites, if any.

• (b) The competent authority may decide to modify the objectives and the scope of pre-planned audits, including documentary reviews and additional audits, wherever that need arises.

• (c) The competent authority shall decide which arrangements, elements, services, functions, physical locations, and activities are to be audited within a specified time frame.

• (d) Audit observations and findings issued in accordance with point ATM/ANS.AR.C.050 shall be documented. The latter shall be supported by evidence, and identified in terms of the applicable requirements and their implementing arrangements against which the audit has been conducted.

• (e) An audit report, including the details of the findings and observations, shall be drawn up and communicated to the service provider concerned.

ATM/ANS.AR.C.020 Issue of certificates

• (a) Following the process laid down in point ATM/ANS.AR.C.005(a), upon receiving an application for the issuance of a certificate to a service provider, the competent authority shall verify the service provider's compliance with the applicable requirements of this Regulation.

• (b) The competent authority may require any audits, inspections or assessments it finds necessary before issuing the certificate.

• (c) The certificate shall be issued for an unlimited duration. The privileges of the activities that the service provider is approved to conduct shall be specified in the service provision conditions attached to the certificate.

• (d) The certificate shall not be issued where a level 1 finding remains open. In exceptional circumstances, finding(s), other than level 1, shall be assessed and mitigated as necessary by the service provider and a corrective action plan for closing the finding(s) shall be approved by the competent authority prior to the certificate being issued.

ATM/ANS.AR.C.025 Changes

• (a) Upon receiving a notification for a change in accordance with point ATM/ANS.OR.A.045, the competent authority shall comply with points ATM/ANS.AR.C.030, ATM/ANS.AR.C.035 and ATM/ANS.AR.C.040.

• (b) Upon receiving a notification for a change in accordance with point ATM/ANS.OR.A.040(a)(2) that requires prior approval, the competent authority shall:
• (1) verify the service provider's compliance with the applicable requirements before issuing the change approval;
• (2) take immediate appropriate action, without prejudice to any additional enforcement measures, when the service provider implements changes requiring prior approval without having received competent authority approval referred to in point (1).

• (c) To enable a service provider to implement changes to its management system and/or safety management system, as applicable, without prior approval in accordance with point ATM/ANS.OR.A.040 (b), the competent authority shall approve a procedure defining the scope of such changes and describing how such changes will be notified and managed. In the continuous oversight process, the competent authority shall assess the information provided in the notification to verify whether the actions taken comply with the approved procedures and applicable requirements. In case of any non-compliance, the competent authority shall:
• (1) notify the service provider of the non-compliance and request further changes;
• (2) in case of level 1 and level 2 findings, act in accordance with point ATM/ANS.AR.C.050.

ATM/ANS.AR.C.025A Changes to the information security management system

• (a) For changes managed and notified to the competent authority in accordance with the procedure set out in point IS.I.OR.255(a) of Annex II (Part-IS.I.OR) to Implementing Regulation (EU) 2023/203, the competent authority shall include the review of such changes in its continuing oversight in accordance with the principles laid down in point ATM/ANS.AR.C.010. If any non-compliance is found, the competent authority shall notify the organisation thereof, request further changes and act in accordance with point ATM/ANS.AR.C.050.

• (b) With regard to other changes requiring an application for approval in accordance with point IS.I.OR.255(b) of Annex II (Part-IS.I.OR) to Implementing Regulation (EU) 2023/203:
• (1) upon receiving the application for the change, the competent authority shall check the organisation’s compliance with the applicable requirements before issuing the approval;
• (2) the competent authority shall establish the conditions under which the organisation may operate during the implementation of the change;
• (3) if it is satisfied that the organisation complies with the applicable requirements, the competent authority shall approve the change.

ATM/ANS.AR.C.030 Approval of change management procedures for functional systems

• (a) The competent authority shall review:
• (1) change management procedures for functional systems or any material modification to those procedures submitted by the service provider in accordance with point ATM/ANS.OR.B.010(b);
• (2) any deviation from the procedures referred to in point (1) for a particular change, when requested by a service provider in accordance with point ATM/ANS.OR.B.010(c)(1).

• (b) The competent authority shall approve the procedures, modifications and deviations referred to in point (a) when it has determined that they are necessary and sufficient for the service provider to demonstrate compliance with points ATM/ANS.OR.A.045, ATM/ANS.OR.C.005, ATS.OR.205, and ATS.OR.210, as applicable.

ATM/ANS.AR.C.035 Decision to review a notified change to the functional system

• (a) Upon receipt of a notification in accordance with point ATM/ANS.OR.A.045(a)(1), or upon receipt of modified information in accordance with point ATM/ANS.OR.A.045(b), the competent authority shall make a decision on whether to review the change or not. The competent authority shall request any additional information needed from the service provider to support this decision.

• (b) The competent authority shall determine the need for a review based on specific, valid and documented criteria that, as a minimum, ensure that the notified change is reviewed if the combination of the likelihood of the argument being complex or unfamiliar to the service provider and the severity of the possible consequences of the change is significant.

• (c) When the competent authority decides the need for a review based on other risk based criteria in addition to point (b), these criteria shall be specific, valid and documented.

• (d) The competent authority shall inform the service provider of its decision to review a notified change to a functional system and provide the associated rationale to the service provider upon request.

ATM/ANS.AR.C.040 Review of a notified change to the functional system

• (a) When the competent authority reviews the argument for a notified change, it shall:
• (1) assess the validity of the argument presented with respect to point ATM/ANS.OR.C.005(a)(2) or ATS.OR.205(a)(2);
• (2) coordinate its activities with other competent authorities whenever necessary.

• (b) The competent authority shall, alternatively:
• (1) approve the argument referred to in point (a)(1), with conditions where applicable, when it is shown to be valid and so inform the service provider,
• (2) reject the argument referred to in point (a)(1) and inform the service provider together with a supporting rationale.

ATM/ANS.AR.C.045 Declarations of flight information services providers

• (a) Upon receiving a declaration from a provider of flight information services intending to provide such services, the competent authority shall verify that the declaration contains all the information required by point ATM/ANS.OR.A.015 and shall acknowledge receipt of the declaration to that service provider.

• (b) If the declaration does not contain the required information, or contains information that indicates non-compliance with the applicable requirements, the competent authority shall notify the provider of flight information services concerned about the non-compliance and request further information. If necessary, the competent authority shall carry out an audit of the provider of flight information services. If the non-compliance is confirmed, the competent authority shall take action provided for in point ATM/ANS.AR.C.050.

• (c) The competent authority shall keep a register of the declarations of providers of flight information services which were made to it in accordance with this Regulation.

ATM/ANS.AR.C.050 Findings, corrective actions, and enforcement measures

• (a) The competent authority shall have a system to analyse findings for their safety significance and decide on enforcement measures on the basis of the safety risk posed by the service provider's non-compliance.

• (b) In circumstances where no or very low additional safety risk would be present with immediate appropriate mitigation measures, the competent authority may accept the provision of services to ensure continuity of service whilst corrective actions are being taken.

• (c) A level 1 finding shall be issued by the competent authority when any serious non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on its basis as well as Regulations (EC) No 549/2004, (EC) No 550/2004 and (EC) No 551/2004 and their implementing rules, with the ATM/ANS provider’s procedures and manuals, with the terms and conditions of the certificate, with the designation act, if applicable, or with the content of a declaration which poses a significant risk to flight safety or otherwise calls into question the service provider’s capability to continue operations. Level 1 findings shall include but are not limited to:
• (1) the promulgation of operational procedures and/or provision of a service in a way which introduces a significant risk to flight safety;
• (2) the obtainment or maintenance of the validity of the service provider’s certificate through the submission of falsified documentary evidence;
• (3) evidence of malpractice or fraudulent use of the service provider’s certificate;
• (4) the lack of an accountable manager.

• (d) A level 2 finding shall be issued by the competent authority when any other non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on its basis, as well as Regulations (EC) No 549/2004, (EC) No 550/2004 and (EC) No 551/2004 and their implementing rules, with the ATM/ANS provider’s procedures and manuals or with the terms and conditions of the certificate, or with the content of the declaration.

• (e) When a finding is detected, during oversight or by any other means, the competent authority shall, without prejudice to any additional action required by Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on its basis, as well as Regulations (EC) No 549/2004, (EC) No 550/2004, and (EC) No 551/2004 and their implementing rules, communicate the finding to the service provider in writing and require corrective action to address the non-compliance(s) identified.
• (1) In the case of level 1 findings, the competent authority shall take immediate and appropriate action, and may, if appropriate, limit, suspend or revoke in whole or in part the certificate while ensuring the continuity of services provided that safety is not compromised, and in the case of the Network Manager, it shall inform the Commission. The measures taken shall depend upon the extent of the finding and shall remain in force until successful corrective action has been taken by the ATM/ANS provider.
• (2) In the case of level 2 findings, the competent authority shall:
• (i) grant the service provider a corrective action implementation period included in an action plan appropriate to the nature of the finding;
• (ii) assess the corrective action and implementation plan proposed by the service provider, and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept them.
• (3) In the case of level 2 findings, where the service provider fails to submit a corrective action plan that is acceptable to the competent authority in the light of the finding, or where the service provider fails to perform the corrective action within the time period accepted or extended by the competent authority, the finding may be raised to a level 1 finding, and action shall be taken as laid down in point (1).

• (f) Where the competent authority detects that the ATM/ANS provider integrates ATM/ANS equipment into its functional system without ensuring compliance with point ATM/ANS.OR.A.045(g), it shall, with due regard to the need to ensure the safety and continuity of operations, take all measures necessary to restrict the area of application of the ATM/ANS equipment concerned or prohibit its use by the ATM/ANS providers under its oversight.

• (g) For those cases that do not require level 1 and 2 findings, the competent authority may issue observations.

Appendix 1

CERTIFICATE FOR SERVICE PROVIDER

EUROPEAN UNION

COMPETENT AUTHORITY

SERVICE PROVIDER CERTIFICATE

[CERTIFICATE NUMBER/ISSUE No]

Pursuant to Implementing Regulation (EU) 2017/373 and subject to the conditions specified below, the [competent authority] hereby certifies

[NAME OF THE SERVICE PROVIDER]

[ADDRESS OF THE SERVICE PROVIDER]

as a service provider with the privileges, as listed in the attached service provision conditions.

CONDITIONS:

This certificate is issued subject to the conditions and the scope of providing services and functions as listed in the attached service provision conditions.

This certificate is valid whilst the certified service provider remains in compliance with Implementing Regulation (EU) 2017/373 and the other applicable regulations and, when relevant, with the procedures in the service provider's documentation.

Subject to compliance with the foregoing conditions, this certificate shall remain valid unless the certificate has been surrendered, limited, suspended or revoked.

Date of issue:

Signed:

[Competent authority]

EASA Form 157 Issue 1 — Page 1/4

SERVICE PROVIDER

CERTIFICATE

SERVICE PROVISION CONDITIONS

Attachment to service provider's certificate:

[CERTIFICATE NUMBER/ISSUE No]

[NAME OF THE SERVICE PROVIDER]

has obtained the privileges to provide the following scope of services/functions:

(Delete lines as appropriate)

Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Air traffic services (ATS) [^E0010]	Air traffic control (ATC)	Area control service
Air traffic services (ATS) [^E0010]	Air traffic control (ATC)	Approach control service
Air traffic services (ATS) [^E0010]	Air traffic control (ATC)	Aerodrome control service
Air traffic services (ATS) [^E0010]	Flight information service (FIS)	Aerodrome flight information service (AFIS)
Air traffic services (ATS) [^E0010]	Flight information service (FIS)	En-route flight information service (En-route FIS)
Air traffic services (ATS) [^E0010]	Advisory service	n/a
Air traffic flow management (ATFM)	ATFM	Provision of the local ATFM
Airspace management (ASM)	ASM	Provision of the local ASM (tactical/ASM Level 3) service
Conditions [^E0008]
Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Air traffic services (ATS) for flight test [^E0009] [^E0010]	Air traffic control (ATC)	Area control service
Air traffic services (ATS) for flight test [^E0009] [^E0010]	Air traffic control (ATC)	Approach control service
Air traffic services (ATS) for flight test [^E0009] [^E0010]	Air traffic control (ATC)	Aerodrome control service
Air traffic services (ATS) for flight test [^E0009] [^E0010]	Flight information service (FIS)	Aerodrome flight information service (AFIS)
Air traffic services (ATS) for flight test [^E0009] [^E0010]	Flight information service (FIS)	En-route flight information service (En-route FIS)
Air traffic services (ATS) for flight test [^E0009] [^E0010]	Advisory service	n/a
Conditions [^E0008]
Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Communication, navigation or surveillance services (CNS)	Communications (C)	Aeronautical mobile service (air-ground communication)
Communication, navigation or surveillance services (CNS)	Communications (C)	Aeronautical fixed service (ground-ground communications)
Communication, navigation or surveillance services (CNS)	Communications (C)	Aeronautical mobile satellite service (AMSS)
Communication, navigation or surveillance services (CNS)	Navigation (N)	Provision of NDB signal in space
Communication, navigation or surveillance services (CNS)	Navigation (N)	Provision of VOR signal in space
Communication, navigation or surveillance services (CNS)	Navigation (N)	Provision of DME signal in space
Communication, navigation or surveillance services (CNS)	Navigation (N)	Provision of ILS signal in space
Communication, navigation or surveillance services (CNS)	Navigation (N)	Provision of MLS signal in space
Communication, navigation or surveillance services (CNS)	Navigation (N)	Provision of GNSS signal in space
Communication, navigation or surveillance services (CNS)	Surveillance (S)	Provision of data from primary surveillance (PS)
Communication, navigation or surveillance services (CNS)	Surveillance (S)	Provision of data from secondary surveillance (SS)
Communication, navigation or surveillance services (CNS)	Surveillance (S)	Provision of automatic dependent surveillance (ADS) Data
Conditions [^E0008]
Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	Aeronautical information publication (AIP)
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	Aeronautical information circular (AIC)
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	NOTAM
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	AIP data set
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	Obstacle data sets
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	Aerodrome mapping data sets
Aeronautical Information Services (AIS)	Aeronautical information products (including distribution services)	Instrument flight procedure data sets
Aeronautical Information Services (AIS)	Preflight information services	n/a
Conditions [^E0008]
Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Data services (DAT)	Type 1	Provision of Type 1DAT authorises the supply of aeronautical databases in the following formats: [list of the generic data formats] Provision of Type 1 DAT does not authorise the supply of aeronautical databases directly to end-users/aircraft operators.
Data services (DAT)	Type 2	Provision of Type 2 DAT authorises the supply of aeronautical databases to end-users/aircraft operators for the following airborne application/ equipment, for which compatibility has been demonstrated: [Manufacturer] Certified Application/Equipment model [XXX], Part No [YYY]
Conditions [^E0008]
Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Meteorological services (MET)	MET	Meteorological watch office
Meteorological services (MET)	MET	Aerodrome meteorological offices
Meteorological services (MET)	MET	Aeronautical meteorological stations
Meteorological services (MET)	MET	VAAC
Meteorological services (MET)	MET	WAFC
Meteorological services (MET)	MET	TCAC
Conditions [^E0008]
Services/Functions	Type of Service/Function	Scope of Service/Function	Limitations [^E0007]
Flight procedure design (FPD)	Design, documentation and validation of flight procedures [^E0011]	n/a
Flight procedure design (FPD)
Flight procedure design (FPD)
Conditions [^E0008]
Services/Functions	Type of Service/Functions	Scope of Service/Function	Limitations [^E0007]
ATM network functions	Design of ERN	n/a
ATM network functions	Scarce resources	Radio frequency
ATM network functions	Scarce resources	Transponder code
ATM network functions	ATFM	Provision of the central ATFM
Conditions [^E0008]

As prescribed by the competent authority.

Where necessary.

If the competent authority considers it necessary to establish additional requirements.

ATS covers alerting service.

Design, documentation and validation of flight procedures includes maintenance and periodic review activities.

Date of issue:

Signed: [Competent authority]

For the Member State/EASA

EASA Form 157 Issue 1 — Page 4/4

ANNEX III

COMMON REQUIREMENTS FOR ATM/ANS PROVIDERS

(Part-ATM/ANS.OR)

SUBPART A — GENERAL REQUIREMENTS (ATM/ANS.OR.A)

ATM/ANS.OR.A.001 Scope

In accordance with Article 6, this Annex establishes the requirements to be met by the service providers.

ATM/ANS.OR.A.005 Application for a service provider certificate

• (a) Application for a service provider certificate or an amendment to an existing certificate shall be made in a form and manner established by the competent authority, taking into account the applicable requirements of this Regulation.

• (b) In accordance with Article 6, in order to obtain the certificate, the service provider shall comply with:
• (1) the requirements referred to in Article 8b(1) of Regulation (EU) No 216/2008;
• (2) the common requirements set out in this Annex;
• (3) the specific requirements set out in Annexes IV to XIII, where those requirements are applicable in light of the services that the service provider provides or plans to provide.

ATM/ANS.OR.A.010 Application for a limited certificate

• (a) Notwithstanding point (b), the air traffic services provider may apply for a certificate limited to the provision of services in the airspace under the responsibility of the Member State where its principal place of operation or, if any, registered office is located, when it provides or plans to provide services only with respect to one or more of the following categories:
• (1) aerial work;
• (2) general aviation;
• (3) commercial air transport limited to aircraft with less than 10 tonnes of maximum take-off mass or less than 20 passenger seats;
• (4) commercial air transport with less than 10 000 movements per year, regardless of the maximum take-off mass and the number of passenger seats; for the purposes of this provision, ‘movements’ means, in a given year, the average over the previous three years of the total number of take-offs and landings.

• (b) In addition, the following air navigation service providers may also apply for a limited certificate:
• (1) an air navigation service provider, other than a provider of air traffic services, with a gross annual turnover of EUR 1 000 000 or less in relation to the services they provide or plan to provide;
• (2) an air navigation service provider providing aerodrome flight information services by operating regularly not more than one working position at any aerodrome.

• (c) As determined by the competent authority, an air navigation service provider applying for a limited certificate in accordance with points (a) or (b)(1) shall comply, as a minimum, with the following requirements set out in:
• (1) point ATM/ANS.OR.B.001 Technical and operational competence and capability;
• (2) point ATM/ANS.OR.B.005 Management system;
• (3) point ATM/ANS.OR.B.020 Personnel requirements;
• (4) point ATM/ANS.OR.A.075 Open and transparent provision of services;
• (5) Annexes IV, V, VI and VIII, where those requirements are applicable in light of the services that the service provider provides or plans to provide, in accordance with Article 6.

• (d) As determined by the competent authority, the air navigation service provider applying for a limited certificate in accordance with point (b)(2) shall comply, as a minimum, with the requirements set out in points (c)(1) to (c)(4) and with the specific requirements set out in Annex IV.

• (e) An applicant for a limited certificate shall submit an application to the competent authority in a form and manner established by the competent authority.

ATM/ANS.OR.A.015 Declaration by flight information services providers