Information day on EUROCONTROL Guidance Material on the application of Common Requirements for Servi

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Information day on EUROCONTROL Guidance Material
on the application of Common Requirements for
Service Provision

• CERTIFICATION PROCESS
• Peter Stastny, Head of Safety Regulation Unit

European Organisation for the Safety of Air
Navigation
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Certification Process

• It is usually considered that the establishment
  of a level playing field may require
  consideration of three key aspects
• Common Rules (weve got the CRs!)
• Harmonised Criteria to assess compliance with the
  common rules
• Harmonised Procedures to articulate that
  assessment into a process leading to an overall
  judgment

THE HOW IS REALLY IMPORTANT
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Certification Process

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

SESIS provides guidance on a model process
capable of doing the job
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MODEL PROCESS
NSAs actions and their sequence (the procedure)
INPUT (ANSP application)
OUTPUT (Certificate)
The INPUT/OUTPUT is as important as the ACTIONS
SESIS proposes an approach to support the
harmonisation of the three elements
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MODEL PROCESS
NSAs actions and their sequence (the procedure)
INPUT (ANSP application)
OUTPUT (Certificate)
TABLE DEFINING THE SCOPE OF SERVICES to identify
the services for which certification is asked by
the ANSP to identify the services for which
certification is granted by the NSA
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These are basic features addressed in the SESIS
guidance for NSAs

• Establishment of Procedure
• Dealing with Applications
• Allocation of Tasks
• Investigations for initial oversight
• Dealing with non-conformities
• Issue of the Certificate
• Validity of the Certificate
• Ongoing oversight
• Possible Derogations
• Confidentiality of Documents

MODEL FORM
MODEL FORM
Organisation Exposition
Certificate
TABLE DEFINING THE SCOPE OF SERVICES to identify
the services for which certification is asked by
the ANSP to identify the services for which
certification is granted by the NSA
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• ROLES AND RESPONSIBILITIES
• (IN THE NSA)
• Applications Management Function
• (APMF)
• Certification Team
• Certification Team Leader (CTL)
• Certification Team Members (CTMs)
• (Possible) Panels of Experts to provide
• NSA and with not binding technical
• opinions
• Use of recognised organisations

CERTIFICATION MODEL PROCESS
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CERTIFICATION MODEL PROCESS

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

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• INVESTIGATIONS FOR INITIAL OVERSIGHT
• There will always be a review of
• Documentation
• and three routes in the procedure
• depending on the common requirement
• being considered

CERTIFICATION MODEL PROCESS


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

SESIS provides guidance to support the
identification of the route applicable to each
requirement
CERTIFICATION MODEL PROCESS


Documentation Review
Auditing in accordance with ESARR 1
Auditing
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• RESOLUTION OF NON-CONFORMITIES
• Classical ISO approach
• Non- conformities are raised by the NSA
• Corrective Actions proposed by the ANSP
• are accepted by the NSA
• Once accepted, they are implemented by the
• ANSP
• ISSUE OF CERTIFICATE
• Certificate to be harmonised in accordance
• with model defined in SESIS
• Final decision to be made by person(s) not
• involved in the investigations

CERTIFICATION MODEL PROCESS
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• THE CERTIFICATE VALIDITY PERIOD
• Period associated with a number of ongoing
• oversight cycles to review compliance with
• the applicable CRs
• For safety, a full review of requirements
• should take 24 months
• According with ESARR 1.
• Ultimate rationale for the even figure
• Non-safety requirements may be reviewed

CERTIFICATION MODEL PROCESS

• 2, 4 or 6 years depending upon the case and to
• decided by the NSA on a case to case basis

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(No Transcript)
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• WHY LIMITED VALIDITY ?
• WHY A MAXIMUM OF 6 YEARS?
• 6 years is ideal to encompass
• 3 ESARR 1 cycles
• 2 ISO cycles (recertification of
• management
• systems, if ISO is used for quality)
• Other cycles (1 to 6 years to review
• other non safety-related requirements)

CERTIFICATION MODEL PROCESS
A maximum validity is needed to make sure that
the results of the ongoing oversight activity are
seriously taken into consideration
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• WHAT ABOUT NEWLY ESTABLISHED ANSPs?
• Approach proposed similar to case of airlines

CERTIFICATION MODEL PROCESS
VERIFICATION OF EFFECTIVE IMPLEMENTATION CAN ONLY
TAKE PLACE AFTER ALLOWING A PERIOD OF OPERATIONS

• NSA may allow a period for confirming the
  assessment under which the certificate was
  granted.
• That period should not be longer that one year of
  operations.
• If that verification is successful, the process
  should lead to a certificate with validity
  defined in accordance with general approach

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MODEL FORMS
MODEL FORMS
Application Form Model Form 1
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MODEL FORMS
MODEL FORMS
Certificate Model Form 2
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THE TABLE FORMAT IS COMMON
MODEL FORMS

• Used by the applicant to identify the services
  for which certification is requested
• Used by the NSA to identify (in the Certificate)
  the services for which certification is granted

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SUMMARY

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

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SUMMARY

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