MINISTRY OF TRANSPORT

Transcription

1 All the legal terms included in the Royal Decree 931/2010 are to be interpreted under the exclusive jurisdiction of the Spanish Courts. If there were to be any discrepancy between the English and the Spanish version, the latter shall prevail. MINISTRY OF TRANSPORT Royal Decree 931/2010, of 23 July, by which it is regulated the procedure for the certification of air navigation service providers and their regulatory oversight The Single European Sky is an initiative of the European Union aiming to improve the global efficiency of the air navigation system in Europe, without compromising safety. With that purpose, it has been established a new community regulatory framework, in which stand out, among other measures, Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10th March 2004 laying down the framework for the creation of the Single European Sky, and Regulation (EC) No 550/2004 of the European Parliament and of the Council of 10th March 2004 on the provision of air navigation services in the single European sky, which establish the air navigation service providers certificate and assign to the national supervisory authority its issuance after verifying that the air navigation service provider complies with the common requirements developed in Commission Regulation (EC) No 2096/2005 of 20th December 2005 laying down common requirements for the provision of air navigation services. In this context, Regulation (EC) No 1070/2009 of the European Parliament and of the Council of 21 st October 2009 amending Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004 and (EC) No 552/2004 are issued in order to improve the performance and sustainability of the European aviation system. Finally, Regulation (EC) No. 1108/2009 of the European Parliament and of the Council of 21 st October 2009 amending Regulation (EC) No 216/2008 in the field of aerodromes, air traffic management and air navigation services and repealing Directive 2006/23/EC, strengthens the independence of the national supervisory authorities, responsible for the providers certification, and assign to the European Aviation Safety Agency powers related with air traffic management and air navigation services. Within the national legislation scope, Law 9/2010, of April 14 th, that regulates the provision of air traffic services, establishes the obligations of the civil providers of such services and lays down certain working conditions for the civil air traffic controllers. Said Law 9/2010 assigns to the Ministry of Transport the designation, at the request of the airport services provider, and, within the specific airspace blocks,

2 of air traffic service providers duly certified by a national supervisory authority of the European Union. In accordance with it, the objective of this Royal Decree is to establish the procedure for issuance, renewal and amendment of the air traffic service provider certificate required to provide such services under the applicable community regulation and to regulate the oversight of the air traffic service providers subjected to inspection by the Air Safety State Agency. This Royal Decree also envisages those cases in which the certificate is revoked. It is the Air Safety State Agency duty the issuance, renewal, amendment or revocation of the certificate and the supervision of the air traffic providers, according to Royal Decree 184/2008 of February 8 th approving the legal statute of the Air Safety Agency. Out of the scope of this Royal Decree stay the air traffic services attached to the national defence as well as meteorological services for air navigation which are competence of the Ministry of Defence and the Ministry of the Environment, and Rural and Marine Affairs respectively, according to articles 2.2 and 7 of Law 21/2003, of July 7 th, of Civil Aviation Safety. This Royal Decree also establishes the conditions for the start up of operations by the new air navigations services providers and for the substitution of assigned providers, in order to grant the continuity and safety in the air navigation service provision, as well as the procedure to authorize any amendment affecting the conditions to designate the air navigation service provider or to designate the airspace associated to the aerodrome. Finally, this Royal Decree abides by the regulation related to air traffic services, including high safety standards of Annex 11 of the Convention on International Civil Aviation (Chicago 1944), whose standards and international recommended methods have been incorporated to our jurisdictional system by community regulation. In the negotiation of this Royal Decree a hearing has been conducted among the most representative organizations in aviation and the Council of Consumers and Users. By virtue of, at Minister of Transport initiative, with the prior approval of the Minister of the Presidency, according with the State Council and prior deliberation of the Council of Ministers at its meeting on 23 of July of 2010, Article 1. Objective. WHEREAS: CHAPTER I General

3 The objective of this Royal Decree is to establish the procedure to obtain, renew and amend the air navigation service provider certificate, to determine the cases where its revocation may take place and to regulate the continued regulatory oversight of the providers included in its scope. Article 2. Scope. 1. The procedure of issuance, renewal, and amendment of the air navigation service provider certificate established in this Royal Decree and provisions related to its revocation are applied to the air navigation service providers listed below, irrespective whether they have resigned or not to provide cross-border services and the mutual recognition under the Single European Sky Framework: a) Providers who are based in Spain and, if necessary, have their head office in Spain. b) Providers whose certification concerns to the Air Safety State Agency by virtue of the agreements for the establishment of functional airspace blocks underwritten in accordance to the current national and community standards. 2. The continued regulatory control regulated in this Royal Decree applies to: a) Air navigation service providers certified by the Air Safety State Agency. b) Air navigation service providers certified by a national supervisory authority of another Member State of the European Union who provides services into the Spanish airspace or into the functional airspace blocks whose oversight concerns to the Air Safety State Agency. In this case the control shall be conducted as provided in this Royal Decree and in the agreements reached with the national supervisory authority in charge of the certification. These agreements will be developed in accordance with the current principles of the European framework of cooperation and collaboration and of the policies of the sector. Article 3. Exception. This Royal Decree does not apply to meteorological services providers assigned to air navigation nor the air navigation systems, services, activities and facilities assigned to national defence, as well as its personnel, who will follow, in both cases, their specific standards. Article 4. Competence. 1. The Air Safety State Agency, as a national supervisory authority, is the competent body to grant, renew, amend or revoke the air navigation service provider certificate and to carry out the continued regulatory control of the air navigation service providers under the terms envisaged in this Royal Decree. 2. Certification or regulatory oversight activities not provided in article 2 of this Royal Decree and carried out by the Air Safety State Agency by agreement with other supervision, state or supranational organisations, shall be adapted under the

4 applicable principles in the European framework of cooperation and collaboration and in accordance to the policies of the sector. Article 5. Definitions. 1. For the purpose of this Royal Decree the following definitions shall apply: a) Non-compliance: any deficiency, irregularity or unfulfilment related to the applicable safety regulatory requirements and the corresponding applicable standards. b) Note: any comment about the way the applicable standard is fulfilled and does not constitute a non-compliance. c) Correctives actions: actions that the service provider shall take to eliminate the cause of a non-compliance detected, defining the period for its application. 2. The rest of the concepts used in this Royal Decree shall apply the definitions included in: a) Article 2 of Regulation (EC) No 549/2004 of the European Parliament and of the Council, of 10 th March 2004, laying down the framework for the creation of the single European sky. b) Article 2 of Commission Regulation (EC) No 2096/2005, of 20 th December 2005, laying down common requirements for the provision of air navigation services. c) Article 3 of Regulation (EC) No 216/2008 of the European Parliament and of the Council, of 20 th February 2008, on common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and repealing Council Directive 91/670/EEC, Regulation (EC) No 1592/2002 and Directive 2004/36/EC. Article 6. Applicable regime. CHAPTER II Certification procedure The procedure for issuing the air navigation service provider certificate, its renewal, amendment or revocation shall be adapted under the provisions of this Royal Decree and, if not provided, under provisions of Law 30/1992, of November 26 th, of the legal system of the public administrations and of the common administrative procedure and of Law/11/2007, of June 22 nd, on citizen s electronic access to public services. Article 7. Application forms. 1. Those interested in obtaining, amending or renewing the air navigation service provider certificate shall formalize their application through the official application form in Annex I, in which they shall list in detail all the air navigation

5 services, choosing among the ones listed in Annex III, for what the certification is applied for, and hold, if needed, the type of exemptions requested. The standard application form in Annex I and the classification of the air navigation services in Annex III will be available at the Air Safety State Agency website. 2. The applications, forwarded to the Air Safety State Agency, shall be sent electronically or be submitted to any of the places stated in article 38.4 of Law 30/1992, of November 26 th. Article 8. Documentation. Along with the application form to obtain the issuance, renewal or amendment of the certificate, the following documentation shall be submitted: a) The minimum documentation foreseen in Annex II and in the same order. b) Accrediting documentation of compliance with the general requirements to provide air navigation services as established in Annex I of Regulation (EC) No 2096/2005, in cases not provided in point a). c) Accrediting documentation of compliance with the general requirements to provide air traffic services established, respectively, in Annexes II, IV and V of Regulation (EC) No 2096/2005, in what is relevant to the air navigation service for which the issuance, renewal or amendment of the certificate is requested. Article 9. Acceptable means for accrediting the compliance of the requirements. 1. The Air Safety State Agency shall consider the following means as acceptable to demonstrate the compliance of the requirements established to obtain, renew or amend the certificate, among others: a) Internal procedures or manuals of the air navigation service provider. b) Forms or particular records to follow procedures of point a), if applicable. c) Documentary proofs of compliance with the corresponding Eurocontrol guide. d) Regarding the accreditation of the safety requirements for the analysis and risk mitigation, the implementation of the methodology approved by Eurocontrol. e) Documents regarding the analysis of compliance with the corresponding Annexes of the Convention on International Civil Aviation. 2. The air navigation service provider may propose, in addition, another documents accrediting the compliance with the applicable requirements. The transcription of the national or international standards shall not be considered an acceptable mean of compliance for the procedures of the applicant. Article 10. Verification of the compliance with requirements 1. The Air Safety State Agency shall achieve as much actions as considered appropriate to supervise the compliance with the conditions required to obtain, renew or amend the certificate of air navigation service provider, in accordance with

6 the aeronautical inspection Regulation, approved in Royal Decree 98/2009, of February 6 th. 2. Aeronautical oversight inspections shall be made to each one of the interested parties which apply for the issuance, renewal or amendment of the certificate, using sampling criteria regarding the documentation, working methods, procedures, departments or facilities to be supervised. 3. While supervising air navigation service providers which provide services in another Member State airspace, the work of supervision carried out by the national supervisory authority of such States shall be recognized, in accordance with the agreements arranged among them and adapted to article 2.2, point b). The supervision report issued by the national supervisory authority of another State shall be considered as a technical report in accordance to article 27.1, point b) of the aeronautical inspection Regulation, approved by Royal Decree 98/2009, of February 6 th. Article 11. Resolution of the certification procedure 1. At the end of the oversight process regarding the compliance with the demanded requirements to obtain, renew or amend the certificate and taking into account the content of the corresponding technical reports issued, the Air Safety State Agency Director, shall dictate the appropriate justified resolution within six months from the application form reception. This resolution ends the administrative proceedings. The resolutions can be appealed optionally under the same body, within a month, in accordance to articles 116 and 117 of Law 30/1992, of November 26 th, or be challenged directly into Dispute Administrative Proceedings. 2. The Air Safety State Agency will not issue the certificate, its amendment or its renewal if the non-compliances detected in the verification of the requirements compliance have not been corrected or, in the renewal or amendment cases, in the inspections of regulatory control. 3. When the resolution is positive, the Air Safety State Agency shall issue the air navigation service provider certificate or its renewal or amendment, as appropriate. The certificate of air navigation service provider, its renewal or amendment shall be issued using the model of Annex IV, indicating the number of pages included duly numbered. Among the additional conditions attached to the certificate it shall be included the operational specifications related to the type of services certificated, in accordance with Annex II of Regulation (CE) No 550/2004 of the European Parliament and of the Council, of 10 March 2004, on the provision of air navigation services in the single European sky and, when appropriate, the derogations granted in accordance with Regulation (EC) No 2096/2005. In the case of derogations granted, the additional conditions attached to the certificate shall specify its nature, scope and legal basis.

7 4. The granting of certificates, their renewal or amendment, shall be published in the «Official Journal of Spain» and in the Air Safety State Agency Website and it shall be notified to the European Commission. 5. In the case of expiration of the term to resolve with no resolution being pronounced, the administrative silence will have the effect of dismissing the application pursuant to the exception of transference to the applicant of the faculties regarding public dominion or public service considered in article 43.2 of Law 30/1992, of November 26 th. Article 12. Certificate validity. 1. The initial certifications and the amendments of the certificates that enable for the provision of a new service shall be valid for one year. In subsequent renewals, the certificate shall be valid for five years. 2. A certificate with exemptions shall have the same validity as in the previous paragraph. 3. In any case, the maintenance of the validity of the certificate is subjected to the continuous compliance with the requirements demanded to obtain, renew or amend it and, when appropriate, to the conditions in which the derogation is based. Article 13. Effectiveness. 1. The effectiveness of the certificate shall expire automatically if the service provider does not provide the air navigation services to which it has been certified within one year from the initial certification or within two years in the subsequent renewals. Likewise the effectiveness of the certificate shall expire if, after the entry into service, the provider ceases to provide the services for a period of more than two years. 2. The Airport Safety and Air Navigation Director, after a hearing with the air navigation service provider, shall resolve on the ineffectiveness of the certificate. This resolution does not end the administrative proceedings and can be appealed optionally, as envisaged in article 114 of Law 30/1992, of November 26 th, under the Air Safety State Agency Director within a month. Article 14. Certification of a set of services. 1. Along with the air traffic service provider certificate application, the training provider certification foreseen in article 29.5 of Royal Decree 1516/2009, of October 2nd, on Community air traffic controller license may be requested. The type of training and the type of air navigation service shall be certified together. 2. The air traffic control training service provider certification shall be subjected to the compliance with the requirements and to the procedure provided in Royal Decree 15/16/2009, of October 2 nd, and its implementing standards.

8 CHAPTER III Specific provisions for renewal or amendment of the certification Article 15. Certificate renewal. 1. The renewal of the certification shall be requested for, at least, six months prior to the end of its validity. 2. Inspection activities of oversight related to the expected renewals of certificates in force shall be included in the aeronautical inspection plans of the Air Safety State Agency. Article 16. Amendment of the certificate scope 1. Any provider may apply for an extension or restriction of its certificate considering the type of services it intends to offer. 2. The providers certified by the Air Safety State Agency with the exemption of article 4.1 of Regulation (EC) No 2096/2005, may request an extension of such certificate that allows them to provide services in another State airspace within the European Economic Space. 3. Along with the application it shall be submitted, when appropriate, a memorandum specifying the adjustments made to comply with the requirements demanded for the new scope of the certificate and demonstrate the continuity of the compliance with the other requirements. Likewise, in the documentation to be submitted according to articles 8 and 9, it shall be indicated the new accrediting documents or the amendments made, regarding the documentation already incorporated in the original certificate or its renewal. 4. The Air Safety State Agency shall determine the appropriate supervision actions to verify the compliance with the applicable requirements in the annexes of Regulation (EC) No 2096/2005.

9 CHAPTER IV Continued regulatory control Article 17. Continued regulatory control. 1. The Air Safety State Agency shall inspect on a continuous basis, each air navigation service provider included in the scope of this Royal Decree. Regulatory control inspection activities shall be regulated by the aeronautical inspection Regulation, approved by Royal Decree 98/2009, of February 6 th. 2. Regulatory inspection activities shall be based on sampling criteria ensuring, in any case, that, during the validity of the certificate, inspection activities on each provider subjected to supervision shall be carried out in accordance with article 6 of Commission Regulation (EC) No 1315/2007, of 8 November 2007, on safety oversight in air traffic management and amending Regulation (EC) No 2096/2005. For that purpose the Air Safety State Agency shall achieve, at least, one inspection activity on each type of unit, facility or department within the service provider organisation. 3. For the air navigation service providers regulatory oversight that provide services in another Member State airspace, the inspection activities achieved by the national supervisory authority with powers in such State shall be recognized in accordance with the agreements held with it and which will be adapted to article 2.2, point b). In this case, the inspection report issued by the national supervisory authority of another State shall be considered inspection acts in accordance with article 27.1, point a) of the aeronautical inspection Regulation, approved by Royal Decree 98/2009 of February 6 th. Article 18. Regulatory control inspection program. 1. The Air Safety State Agency shall include annually for each air navigation service provider, as a part of its aeronautical inspection plans, a regulatory control inspection program model covering all the certified services. 2. The Regulatory control inspection program: a) Shall be based on the generic inspection plan in Annex V. b) Shall be developed taking into account the assessment of the risks associated to the different operations included in the certified services provided. c) Shall indicate the provided intervals for the different unit inspections, departments and facilities.

10 3. The Air Safety State Agency shall notify the regulatory control inspection program to the concerned air navigation service providers within a period not lower than a month before its beginning, unless for emergency reasons duly justified, this notification is conducted in an lower period. Article 19. Changes affecting safety. 1. Aeronautical information service providers and aerodrome flight information services, qualified for the derogation in article 4.3 of Regulation (EC) No 2096/2005, shall use only procedures approved by the national supervisory authority who issued their certificate in order to decide the implementation of a new change that affects the safety of their functional systems. 2. The Air Safety State Agency shall approve the changes in the cases provided in article 9.1 of Regulation (EC) No 1315/2007 The request for approval shall be conducted through the application form in Annex VI, attaching the documentation detailed in Annex VII. The Air Safety State Agency shall resolve within three months. In case of administrative silence it will be dismissed, as provided in article 9.3 of Regulation (EC) 1315/2007. When, depending on the nature of the changes requested, the competent person of the Air Safety State Agency is its Director; the resolutions assumed will end the administrative proceedings. The resolutions can be appealed optionally under the same body, within a month, or be challenged directly into Dispute Administrative Proceedings. When, the competent body to resolve about the amendments is any of the operative directions of the Air Safety State Agency, their resolutions will not put an end to the administrative proceedings and they will be able to be appealed under the Agency Director within a month as envisaged in article 115 of Law 30/1992, of November 26 th. 3. The changes by which the assessment of the severity, achieved in accordance with Annex II, part 3.2.4, of Regulation (EC) No 2096/2005, determines a severity class of 3 or 4 for all the worst credible potential effects of identified hazards along its implementation, provided that its put into practice does not require introducing new aviation standards, shall be notified to the Air Safety State Agency, using the form in annex VIII, attaching the documentation detailed in Annex IX. These changes may be implemented after 30 working days from the day following the entry of the notification in the Air Safety State Agency register, unless within such term the Agency notifies the provider that it is going to undertake a review of the change. The Air Safety State Agency shall notify the provider the result of such review within the given period and within the provisions in part 2. In the period of 30 days stated in the previous paragraph, the Air Safety State Agency may request the provider additional documentation. In this case the period to notify the review of the change shall be suspended until the submission of the requested documentation. 4. The rest of the changes will not be subjected to approval or notification.

11 Article 20. Measures in case of uncompliance. 1. In case of uncompliance by the air navigation service providers of the requirements demanded in Regulation (EC) No 2096/2005 or the conditions implemented in the certificate, the Air Safety State Agency shall resolve demanding the provider to take corrective actions within a month. If such corrective actions are not applied, the Air Safety State Agency shall adopt the measures provided in article 5.4, last paragraph, of Regulation (EC) 2096/2005, including the revocation of the air navigation service provider certificate, taking into account the necessity of granting the continuity of services. 2. In addition, the Air Safety State Agency Director may adopt the extraordinary measures provided in article 30 of Law 21/2003, of July 7 th, on Air Safety, the moment they find irregularities affecting air safety in a certain, serious and immediate way. Article 21. Penalty system. The uncompliance of the provisions in this Royal Decree may lead to comply with administrative responsibilities in accordance with Law 21/2003, of July 7 th, in Air Safety. First Additional Provision. Entry into service the provision of air navigation services by the assigned provider and changing of the provider assigned for the provision of such services. 1. The issuance of the favourable report by the Air Safety State Agency for the effective provision of services by the air traffic services provider assigned, shall be subjected to the compliance with the technical and operative requirements established in the resolution for assigning and to the application of the transitional plan, under the supervision of the Air Safety State Agency. 2. The air navigation service provider assigned shall establish a transitional plan that includes measurable criteria either to monitor its evolution or to finish up with the transitional phase and begin the ordinary service provision. Among these criteria, defined by the assigned provider, it shall be included those related to personnel training, elimination of flow management measurements in case it has been necessary to regulate the volume of traffic during the transitional phase, or the entire reduction in the quantity of technical or operational incidents associated to the entry into service phase. 3. The transitional plan shall be carried out in accordance with the methodology approved by Eurocontrol for the analysis and mitigation of risks, or any other acceptable methodology of compliance, approved by the Air Safety Agency, and it shall document: a) The definition phase of the new service with the detailed safety objectives. b) The design phase of change with the detailed safety requirements. c) The entry into service phase with the assessment and demonstration of the compliance with the criteria established to conclude with this phase, objectives and safety requirements established in definition and design phases and that could be

12 checked in this phase, and an argumentation that demonstrates that the risk is acceptable during this phase. d) The operational service phase as well as the operational safety management system used by the service provider shall carry out the assessment and demonstration of the compliance with the objectives and safety requirements established in definition and design phases and shall argument that the risk is acceptable during this phase. 4. In the case of change in provider assigned and until the effective air navigation traffic service provision by the new provider assigned, the provider to be replaced is the responsible body for a safe, efficient, continued and economic and financially sustainable provision of such services according to Law 9/2010, of April 14 th, by which the provision of air traffic services is regulated, establishes the obligations of the civil providers of such services and lays down certain working conditions for the civil air traffic controllers, and for the compliance with the rest of the applicable provisions. Likewise, the air traffic services provider to be replaced shall be responsible for: a) Agreeing with the new provider a transitional plan covering the appropriate requirements so that this one may prepare the effective service provision, in particular, its personnel training and installation or disposal of equipment, if necessary. b) Agreeing and allowing access to the facilities to the provider who will substitute to carry out the tasks detailed in the transitional plan in order to comply with the requirements. c) Providing the service provider who will substitute with detailed information about the facilities and equipments transferred. d) Providing the service provider who will substitute the documentation that could affect the safety of the operations after the replacement considering relevant, at least, the maintenance documentation, manuals relating to equipment transferred and the documentation associated to safety incidents occurred in the last six months of operation. Second Additional Provision. Change of the provider for the air navigation service provision not subjected to designation. In the case of change of air navigation service provider not subjected to designation and until the effective provision of the new provider, the provider to be substitute is the responsible of the safe, efficient and continued provision of such services, for which it shall, at least: a) Agree with the provider who is going to substitute a transitional plan covering the necessary requirements so that this one may prepare the effective provision of the service, in particular, its personnel training and the installation or disposal of equipment, if necessary. b) Agree and allow access to the facilities to the provider who is going to substitute to carry out the tasks itemized in the transitional plan with the objective of complying with the requirements detailed in it. c) Provide the service provider who is going to substitute with detailed information about the facilities and equipment transferred.

13 d) Provide the service provider who is going to substitute with the documentation that could affect the safety of the service after the substitution of this service, considering relevant to these effects, at least, the maintenance documentation, the manuals related to the equipment transferred and the documentation associated to the safety incidents occurred in the last six months of operations. Third Additional Provision. Airspace associated to the aerodrome. In the case a designated provider for the aerodrome air traffic service provision and in the airspace associated, indicates the necessity of introducing amendments in the technical and operational requirements of the designation resolution or in the designation of the airspace associated to the aerodrome, this provider shall inform the aerodrome manager who shall request the authorization for the amendment before the Spanish Civil Aviation Authority. The Spanish Civil Aviation Authority, prior report, within its respective powers, from the Defense and Transport Interministerial Commission (CIDEFO) and from the Air Safety State Agency, as well as, when appropriate, from the public entity Spanish Airports and Air Navigation (AENA), when the application affects to the powers of this entity, shall resolve what proceeds within six months from the submission of the request. In case of administrative silence, it will be negative, pursuant to the exception of the concession of public service considered in article 43.2 of Law 30/1992, of November 26 th. Single Transitional Provision. Transitional standards. The current air navigation service provider certificates issued by the Spanish Civil Aviation Authority or by the Air Safety State Agency before the entry into force of this Royal Decree shall maintain their validity until the date provided for its renewal. First Final Provision. Competence title. This Royal Decree is dictated under the exclusive power that article ª of the Constitution attributes to the State, regarding airspace control, traffic and air transportation. Second Final Provision. Regulatory development. The Ministry of Transport shall dictate as much provisions as it deems necessary for the development of this Royal Decree. Third Final Provision. Regulatory rate of secondary and technical character The Director of the Civil Aviation may approve through aeronautical circulars, according to procedure and requirements established in article 8 of Law 21/2003, of

14 July 7 th, those provisions of secondary and technical character in order to complete, precise and assure the most efficient application in this Royal Decree. Likewise and under the provisions of article 8 of Law 21/2003, of July 7 th, the Director of the Spanish Civil Aviation Authority may implement through aeronautical circulars as much amendments of technical character as it deems appropriate for adapting the annexes to the technical development of the air navigation system. Fourth final provision. Enforcement and application. The Air Safety State Agency shall adopt the necessary measures for enforcement and application of this Royal Decree. In particular, the Agency shall define the table model of documentary evidences in annex II to accredit the compliance with the necessary requirements for obtaining the air navigation service provider certificate and the guide on the acceptable means of compliance in article 9. Fifth final provision. Entry into force. This Royal Decree shall enter into force on the first day following its publication in the «Official Journal of Spain». Done in Madrid, 23 July JUAN CARLOS R. Minister of Fostering, JOSÉ BLANCO LÓPEZ

15 ANNEX I Application form APPLICATION FOR THE CERTIFICATION OF AIR NAVIGATION SERVICE PROVIDER ORGANIZATION Application for Initial Certification Renewal of Certification Application for Change (tick as appropriate) 1. Registered Name of Applicant 2. Trading Name (if different) 3. Address 4. Contact details Name Telf. Fax

16 5. Scope of services for which certification is requested in accordance with the provisions of Regulation (EC) 550/2004 of the European Parliament and of the Council, of 10 March 2004 ATS CNS AIS (for detailed description, please refer to page 5 of this application form) 6. Name of Chief Executive Officer (or equivalent position within the organisation) 7. Signature of Chief Executive Officer (or equivalent position within the organisation) 8. Place and date (Place) (Date) 9. Organisation Exposition (tick as appropriate) Application for Initial Certification. A copy of the organisation exposition is forwarded together with this application form Application for Change A copy of the pages modified in the previous organisation exposition is forwarded together with this application form

17 10. Questionnaires (tick if appropriate) Questionnaires defined in the National Supervisory Authority certification procedures are forwarded together with this application form (Only applicable whenever required by the Air Safety State Agency in the case of initial certification)) 11. Derogations (if applicable) To fill up only if the organisation applies for specific derogations in accordance with article 4 of Commission Regulation (EC) No 2096/2005 of 20 December of 2005, as well as the derogations determined as appropriate by the National Supervisory Authority. (tick as appropriate) the applicant is aware that, according to article 4, the certificate shall not allow the provision of cross-border services and shall not obtain any benefit from the mutual recognition rights within the Single European Sky. the applicant intends to provide ATS services only regarding one or more of the following categories: general aviation aerial work commercial air transport limited to aircraft with less than 10 tonnes of maximum take-off mass or less than 20 passenger seats commercial air transportation with less than movements per year, regardless of the maximum take-off mass and the number of passenger seats, movements being counted as the sum of take-offs and landings and calculated as an average over the previous three years. the applicant is an air navigation service provider other than a provider of air traffic services and has a gross annual turnover of EUR or less in relation to the services it provides or plans to provide. the applicant provides, or plans to provide, AFIS services by operating regularly not more than one working position at any aerodrome where this service is provided.

18 the applicant has documented all the relevant evidences detailed above in its organisation exposition. 12. Detail and description of the scope of services for which certification or changes are requested. a) Use as many attached pages as necessary to complete the table. b) Use the type of services, their parts and subparts as they appear in the table provided by the NSA to describe the scope of services for which certification can be requested/granted. c) The conditions proposed by the applicant must include every conditions and limitations identified by the organisation regarding the services which certification is required. The proposed conditions shall be clear and be supported by categories of possible conditions to be added to certificates according to annex II of Regulation (EC) 550/2004 of the European Parliament and of the Council, of 10 March d) Where necessary, the conditions may be described through references to documents added to this application form or to another relevant documentation.

19 Services Type of service to be provided Part of the service to be provided Sub-part of the service to be provided Conditions proposed by the applicant ATS CNS AIS

20 ANNEX II Minimum documentation that must accompanied the application form The application form must be accompanied, at least, by the following documentation duly numbered: a) Main operational place and head office of the applicant, together with the contact data, in order to address notifications, and type of certificate applied for (document 1). b) A statement signed by the Chief Executive Officer, manager or equivalent position relating to the organisation adaptation and all the documentation detailed (document 2). c) The Organisation s safety policy in order to comply with the safety requirements in annex II, section of Commission Regulation (EC) No 2096/2005, of 20 December 2005, when such annex is applicable to the organisation (document 3). d) The positions and names of the directors of the organisation in accordance with annex I, section 2.1 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 4). e) The duties and responsibilities of such directors regarding the achievement of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 5). In particular, this description shall include: 1.º A complete description of the operational safety management function which is responsible within the organisation for the development and maintenance of the safety management system, in accordance with annex II, section of the Commission Regulation (EC) No 2096/2005, of 20 December 2005, when such annex is applicable in the organisation. 2º Duties, responsibilities and agreements established to grant that the organisation direction is actively involved in the operational safety management in accordance with annex II, section of Commission Regulation (EC) No 2096/2005, of 20 December 2005, when such annex is applicable to the organisation. f) An organisation diagram showing the chain of responsibility in covered areas in accordance with annex I, section 2 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 6). g) A general description of human resources in accordance with annex I, section 5 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 7). h) A description of the organisation s facilities and departments (document 8)

21 i) A detailed description on the scope of the organisation work regarding the certificate applied for (document 9). J)? k) The procedure for notifying to the Air Safety State Agency the changes that may affect the compliance of the common requirements or the conditions to attach to the certificate, regarding to article 5, paragraph 2, of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 10). l) The procedure to amend the information provided in the application form (document 11). m) A complete description of the means and agreements established by the organisation to comply with the Commission Regulation (EC) No2096/2005, of 20 December The table in the fourth final provision shall be included; this table shall detail the documentary evidences provided for each one of the applicable requirements (document 12). n) An overview on its safety management system (personnel security) in accordance to annex I, section 4 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 13). ñ) An overview on its financial strength in accordance with annex I, section 6 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 14). o) An overview on its insurance cover and liabilities in accordance with annex I, section 7 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 15). p) An overview on the quality of its services in accordance with annex I, section 8 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 16). q) An overview on the compliance with the requirements on reporting in accordance with annex I, section 9 of Commission Regulation (EC) No 2096/2005, of 20 December 2005 (document 17).

22 ANNEX III Classification of air navigation services SERVICES TYPE OF SERVICE PART OF THE SERVICE SUB-PART OF THE SERVICE Area Control Service Air Traffic Control (ATC) Approach Control Service Air Traffic Services(ATS) Flight Information System (FIS) Alerting Service (AL) Advisory Service Aerodrome Flight Information Service (AFIS) (FIS combined with AL at aerodromes with no ATC services) Aerodrome Control Service HF Operational Flight Information Service (OFIS) VHF Operational Flight Information Service (OFIS) Voice Automatic Terminal Information Service, (voice-atis) Digital Automatic Terminal Information Service (D-ATIS) Full AL Service Full Advisory Service Full AFIS Service

23 SERVICES Communication, Navigation and Surveillance (CNS) Aeronautical Information Service (AIS) Navigation (N) TYPE OF SERVICE Communication (C) (definition SES: navigation services involve those departments/facilities and services providing position and temporal information to aircrafts) (Note: the service includes the creation of the aeronautical radio navigation signal, and its distribution and processing until it is delivered to the aircraft for its usage) Surveillance (S) (definition SES: surveillance services involve those departments/facilities and services used to determine the respective positions of the aircrafts in order to allow safe separation) (Note: the service involves the creation of surveillance data through sensors, as well as its distribution and processing until it its delivered for its usage in ATM operations) AIS PART OF THE SERVICE Aeronautical Mobile Service (air/ground communications) Aeronautical Fixed Service ( ground/ground communications) Aeronautical Mobile Satellite Service (AMSS) Provision of NDB signalin-space Provision of VOR signalin-space Provision of DME signalin-space Provision of ILS signal-inspace Provision of MLS signalin-space Provision of GNNS signal-in-space Data provision from Primary Surveillance Radar (PSR) Data provision from Secondary Surveillance Radar (SSR) Data provision from Automatic Dependent Surveillance (ADS) Data provision from Surface Movement Radar (SMR) Provision of full AIS service pursuant to Annex 15 of ICAO SUB-PART OF THE SERVICE Flight Information Service Area Control Service Approach Control Service Aerodrome Control Service CAT I CAT II CAT III a CAT III b CAT III c CAT I CAT II CAT III a CAT III b CAT III c Main Service GNNS (GALILEO) Satellite Based Augmentation System (SBAS) Ground Based Augmentation System (GBAS) Mode A/C Mode S ADS-C ADS-B

24 ANNEX IV Modelo de certificado Certificate Form Agencia Estatal de Seguridad Aérea- Ministerio de Fomento Air Safety State Agency/ Ministry of Fostering (Transport and Public Works) AUTORIDAD NACIONAL DE SUPERVISIÓN DE ESPAÑA, UNIÓN EUROPEA National Supervisory Authority of Spain, European Union CERTIFICADO CERTIFICATE Referencia: [Number of certificate assigned by ANS] Reference Conforme al Reglamento (CE) nº 550/2004 del Parlamento Europeo y del Consejo, de 10 de marzo de 2004, y al Reglamento de la Comisión (CE) nº 2096/2005 de la Comisión, de 20 de diciembre de 2005, actualmente vigente y sujeto a las condiciones especificadas en este certificado, la Agencia Estatal de Seguridad Aérea por la presente certifica a: Pursuant to Regulation (EC) 550/2004 of the European Parliament and of the Council and Commission Regulation (EC) 2096/2005 for the time being in force and subject to the conditions specified in this certificate, the Air Safety State Agency of Spain hereby certifies [Name of the organisation] como organización proveedora de servicios de navegación aérea que cumple con los requisitos del Reglamento (CE) nº 2096/2005 de la Comisión, de 20 de diciembre de 2005, aplicables a los servicios listados en la tabla adjunta y, por consiguiente, capaz de proveerlos. As an air service provider organization compliant with Commission Regulation (EC) Nº 2096/2005 of 20 December 2005, applicable to the bundle of services listed in the attached schedule, and therefore capable of providing them

25 General Conditions 1. Este certificado requiere conformidad con los procedimientos y otros acuerdos especificados en la descripción de la organización, This certificate requires compliance with the procedures and other arrangements specified in the organization exposition. 2. Este certificado es válido mientras la organización mantenga conformidad con los requisitos del Reglamento (CE) nº 2096/2005 de la Comisión, de 20 de diciembre de 2005; y con las condiciones específicas identificadas por los servicios incluidos en la tabla del certificado. This certificate is valid whilst the organization remains compliant with the applicable requirements of Commission Regulation (EC) Nº 2096/2005 of 20 December 2005, and the specific conditions identified for the services included in the certificate schedule. 3. Sujeto al continuo cumplimiento de las condiciones anteriores, que pueden ser verificadas por la autoridad nacional de supervisión en cualquier momento, este certificado tendrá una eficacia de (..) años y será renovado bajo petición del poseedor del certificado, con seis (6) meses de antelación a la finalización de la vigencia del certificado. Subject to continuous compliance with the foregoing conditions, which may be verified by the NSA at any time, this certificate shall remain valid for six (6) years and be renewed if requested by the organization six months before the end of that period. Lugar y fecha del asunto:, de de 20 Place & date of issue Firmado: Signed [firma del Director de la Agencia Estatal de Seguridad Aérea] [Director of Air safety State Agency]

26 TABLA DEL CERTIFICADO Certificate Table Nombre de la Organización: [Nombre de la organización solicitante] Organisation Referencia: [Número del certificado asignado por la ANS] Reference Services Tipo de servicio a proveer Type of service to be provided Parte del servicio a proveer Part of the service to be provided Subparte del servicio a proveer Sub-part of the service to be provided Condiciones adicionales Identified conditions ATS CNS AIS Fecha del asunto:, de de 20 Date of issue Firmado: Signed Por la Autoridad Nacional de Supervisión By the National Supervisory Authority

27 ISSUANCE OF THE SERVICE PROVIDER WHEN DEROGATIONS ARE APPLIED In the case the certificate is issued with derogations included in article 4 of Commission Regulation (EC) No 2096/2005, of 20 December 2005, the national supervisory authority shall specify the nature and scope of the derogation in the conditions attached to the certificate specifying its legal basis. In this case the certificate form shall be accompanied of the following General Conditions : 1. This certificate has been issued under the provisions of article 4 of Commission Regulation (EC) No 2096/2005, of 20 December 2005, and, therefore, does not allow the owner of the certificate to provide cross-border services or to benefit from the mutual recognition rights within the Single European Sky. 2. This certificate requires compliance with the procedures and other agreements specified in the organisation exposition. 3. This certificate is valid whilst the organization remains compliant with: a. The requirements of Commission Regulation (EC) No 2096/2005, of 20 December of 2005, applicable to the organisation within the scope defined by the derogations identified in the certification program. b. Qualifying criteria to be certify under the provisions of article 4 of Commission Regulation (EC) No 2096/2005. c. The specific conditions identified in the certification program. 4. This certificate shall have a validity of... (..) years being subjected to the continuous compliance with the previous conditions which may be verified by the national supervisory authority at any time. Likewise, the certificate may be renewed if requested by owner within the six months prior to the end of its validity and the request is accompanied with the relevant information demonstrating that the organisation is still qualified for derogations.