Chapter 14 - Single European Sky Annual Report

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2 Chapter 14 - Single European Sky Annual Report 14.1 SA SA Establishment & Responsibilities Three SAs been established and/or nominated in Spain, as follows: [Reg. (EC) 549/2004] ame of the SA: Legal Basis: Separation from ASP: Relationship with State Civil Aviation Regulator (CAA/DGCA): Areas of Responsibility [Reg. (EC) 550/2004, Art. 2(1)] Other Areas of Responsibility ATCO Licensing [Reg. (EU) o 805/2011f] Engineering & Tech. Staff [Reg. (EC) 2096/2005, Art. 8] Access ASPs accounts [Reg. (EC) 2096/2005, Annex I] Interoperability [Reg. (EC) 552/2004] Performance [Reg. (EU) 691/2010, Art. 4(3)] Changes since previous AR: Agencia Estatal de Seguridad Aérea (Air Safety State Agency) Law 28/2006, of 18 July, on state agencies for public services improvements. Royal Decree 184/2008, of 8 February, through which the remit and organisation of the Air Safety State Agency was approved. Organisational. Air Safety State Agency is attached to the General Directorate of Civil Aviation (DGAC) but its organization is independent from it. CIV MIL Additional Information ATS CS AIS AFIS AFIS provision has been regulated in Spain by the Royal Decree 1133/2010. AFIS was established in two airports ( La Gomera and El Hierro ) in 2010 and two more ( Burgos and Huesca ) in MET The MET provision has it own SA (Secretary of State for Climate Change) CIV MIL Additional Information otified to EC/EASA Date of correspondence SES Annual Report 2011 Currently there are not licences for these personnel. SES Annual Report 2009 SES Annual Report 2009 AESA (civil SA) coordinates ational Performance Plan AFIS, already introduced in Spain in 2010, has been extended to two new airports * this year. n/a n/a SES Annual Report 2010 ame of the SA: Legal Basis: Separation from ASP: Relationship with State Civil Aviation Regulator (CAA/DGCA): Areas of Responsibility [Reg. (EC) 550/2004, Art. 2(1)] Deputy Chief Air Force Staff Directive 12/2007, from Chief Air Force Staff, on the SES regulations implementation in the Spanish Air Force. Functional SA-MIL is institutionally separated from the CAA/DGCA. CIV MIL Additional Information ATS CS AIS AFIS LSSIP ear 2011 Spain Part III - Chapter 14-2 Released Issue

3 Other Areas of Responsibility ATCO Licensing [Reg. (EU) o 805/2011f] MET The MET provision has it own SA (Secretary of State for Climate Change) CIV MIL Additional Information otified to EC/EASA It was a misunderstanding of the regulation. It will be done during Date of correspondence /A Engineering & Tech. Staff [Reg. (EC) 2096/2005, Art. 8] Access ASPs accounts [Reg. (EC) 2096/2005, Annex I] Interoperability [Reg. (EC) 552/2004] Performance [Reg. (EU) 691/2010, Art. 4(3)] Changes since previous AR: /A /A SES Annual Report 2010 SES Annual Report 2010 AESA is the coordinator SA for performance. SA-MIL provides military dimension to the plan. /A /A /A ame of the SA: Legal Basis: Separation from ASP: Relationship with State Civil Aviation Regulator (CAA/DGCA): Areas of Responsibility [Reg. (EC) 550/2004, Art. 2(1)] Other Areas of Responsibility ATCO Licensing [Reg. (EU) o 805/2011f] Engineering & Tech. Staff [Reg. (EC) 2096/2005, Art. 8] Access ASPs accounts [Reg. (EC) 2096/2005, Annex I] Interoperability [Reg. (EC) 552/2004] Performance [Reg. (EU) 691/2010, Art. 4(3)] Changes since previous AR: Secretary of State for Climate Change Real Decreto 1443/2010 por el que se desarrolla la estructura orgánica básica del Ministerio de Medio Ambiente, y Medio Rural y Marino. (Royal Decree 1443/2010, laying down the basic structure of the Ministry of the Environment, and Rural and Marine Affairs) Institutional SA-MET is institutionally separated from the CAA/DGCA. CIV MIL Additional Information ATS - CS - AIS - AFIS - MET MET services provided by the certified MET provider (AEMET), both in Civil airports and Military bases open to civil traffic. CIV MIL Additional Information otified to EC/EASA Date of correspondence - /A /A - /A /A Only applicable to the current Spanish certified MET Provider (AEMET) SES Annual Report 2009 See Interoperability chapter /A /A AESA is the coordination SA for performance. SES Annual Report 2010 o formal changes. Only clarification statements or corrections of mistakes are included in this AR if compared with former ones The table below shows the list of Qualified Entities in Spain: ame: Period of validity of the recognition LSSIP ear 2011 Spain Part III - Chapter 14-3 Released Issue

4 [Reg. (EC) 550/2004, Annex I] From: To: one - - Has any SA delegated any inspections & surveys to Qualified Entities (QEs) during this reporting period? If es, indicate below the tasks delegated: [Reg. (EC) 550/2004; Art.3 ] Audits and inspections tasks are provided through a contract with a State owned company (SEASA), SEASA is not a formal QE but is a legally qualified State instruments for certain services. If a QE was delegated to carry out safety regulatory audits, the SA: [Reg. (EC) 1315/2007, Art.10.1] [Reg. (EC) 1315/2007, Art.10.1] Has applied the additional criteria as per Art. 10.1? n/a [Reg. (EC) 1315/2007, Art.10.3] Maintains record of the appointments? n/a SA Resources [Reg. (EC) 549/2004, Art. 4; Reg. (EC) 550/2004, Art. 2; Reg. (EC) 1315/2007, Art. 9 &11; Reg. (EU) o 805/2011f, Chapter V; Reg. (EC) 2096/2005, Art. 8 & Annex II, Part 3(3); Reg. (EU) 691/2010, Art. 4] The table below indicates the number of FTE (Full-time equivalent personnel) used by the SA(s) to fulfil its tasks in 2011 (SA s own personnel + seconded or subcontracted personnel from other organisations excluding Qualified Entities). If convenient, the figures for seconded/ subcontracted personnel can be indicated in man/days or man/months (if different from FTE, specify the measurement unit) Air Safety State Agency ame of the SA: SA Tasks with respect to: SA Headquarters Agencia Estatal de Seguridad Aérea (Air Safety State Agency) Seconded or Subcontracted Regional Offices (if applicable) Certification and Ongoing Compliance: 13,5 10 n/a ATCO licensing, ratings and rating endorsements & Certification of training provider(s) and material: 2 - n/a Supervision of engineering and technical personnel: 0 - n/a Safety Oversight in ATM: 5 10 n/a Interoperability: 1 - n/a Performance: 1 - n/a Administrative staff (management + support): 7 - n/a Others: 5 3 n/a Total: 34,5 23 n/a umber of qualified safety auditors/inspectors (as per the requirements of the safety oversight Regulation): [Reg. (EC) 1315/2007, Art. 11(3)(c)] Has the SA established specific qualification criteria for safety auditors/inspectors? If es, provide brief information on the specific qualification criteria for safety auditors/ inspectors (education, training, experience, etc.) and the relevant references [Reg. (EC) 1315/2007, Art. 11(3)(c)] AESA has carried out an update in the Competence Management System which was defined in This system encompasses technical competences, personal skills and on the job training (OJT). It is defined by the procedures detailed below and implemented through a specific software application: - Procedure of Qualification Management (P-DEA-Q&T-01-v-1.0) and its Annexes: o Qualification Profile: Knowledge and experience (A-CA-Q&T-01 Ed/Rev 1.0 DSAA/CSA) o DSAA/CSA Allocation of profiles to technical staff (A-CA-Q&T-02 Ed/Rev 1.0) - OJT Procedure for DSAA inspectors (DOA-11-PES ) - Personal Skills Definition Manual (DOA 10-MA ) - AESA Training Catalogue Ed./Rev. 1.2 (A-DEA-FOR3-01) In particular, the requirements are the following: A) Essential requirements for qualification as safety auditor/inspector (minimum requirements) - MSc in Aeronautical Engineering + Public Competitive Examination to become a member of the State 21 LSSIP ear 2011 Spain Part III - Chapter 14-4 Released Issue

5 Administration Body of Aeronautical Engineers + Selective course; - Technical Competence: Regulation + Audit Techniques + SSP (State Safety Program); and - OJT: 4 audits in the first year with the support of qualified inspectors or at least 1 year of experience B) Additional requirements (to achieve within three years) - Further technical competence in other areas; and - Personal skills development C) Continuation Training Requirements - Refreshment of courses every 4 and 8 years; and - OJT (specific number of audits per year) Has the SA conducted an assessment of its human resources with regards to: - Safety oversight [Reg. (EC) 1315/2007, Art. 11(2)] - Other SA tasks [Reg. (EC) 549/2004, Art. 4(4)] AESA, in its role as SA and in order to comply with article 11 of Regulation (EC) nº 1315/2007 (now Regulation (EU) nº 1034/2011), developed a workload assessment in the second half of 2009 to evaluate the additional staffing needs for safety oversight. This assessment was finally endorsed in May As a result of this analysis it was highlighted that the current resources were insufficient for the respective tasks and that a considerable increase of Full Time Equivalents (FTEs) is required if the SA is to undertake these tasks. If es, please specify measures/plans by the State to ensure that the SA has the necessary capability required for the oversight of all organisations operating under their supervision? [Reg. (EC) 549/2004, Art. 4(4); Reg. (EC) 1315/2007, Art. 11(2)] This need was fully reported and a plan to incorporate these additional FTEs was developed. As a result of this plan, 9 FTEs have been recruited in the SA in April Additional recruitments for the SA have been recently approved though this is now dependant on the possible changes in the public sector policies. A new workload assessment to evaluate the incidence of this new staff and the current regulatory and operative framework is planned for It will take into account the Agreed considerations on what is adequate in Safety Oversight from the Pre-meeting to the 10 th EASA/AA Partnership Meeting which was held in April AESA has actively participated in the Working Group on Human Resources and Cooperation within the SA Coordination Platform, where AESA s methodology for the workload assessment and the results obtained therefrom have been shared with the rest of the SAs. Additional information: Chart figures and workload assessment contemplate neither security oversight staff (1 inhouse FTE and 1 subcontracted FTE) nor economic supervision staff (2,5 in-house FTE and 2 subcontracted FTE), although they are both integrated within AESA Deputy Chief Air Force Staff ame of the SA: SA Tasks with respect to: Deputy Chief Air Force Staff SA Headquarters Seconded or Subcontracted Certification and Ongoing Compliance: ATCO licensing, ratings and rating endorsements & Certification of training provider(s) and material: Supervision of engineering and technical personnel: Safety Oversight in ATM: Interoperability: Performance: Administrative staff (management + support): Others: Total: Regional Offices (if applicable) umber of qualified safety auditors/inspectors (as per the requirements of the safety oversight Regulation): [Reg. (EC) 1315/2007, Art. 11(3)(c)] Has the SA established specific qualification criteria for safety auditors/inspectors? If es, provide brief information on the specific qualification criteria for safety auditors/ inspectors (education, training, experience, etc.) and the relevant references [Reg. (EC) 1315/2007, Art. 11(3)(c)] 12 LSSIP ear 2011 Spain Part III - Chapter 14-5 Released Issue

6 The qualification criteria are described in the Directive 39/09 from Chief of Air Force Staff and in the annual Supervision Plans. During 2011 specific document has been developed, titled Instrucción de la Autoridad acional de supervisión militar sobre los criterios para la cualificación de auditores/inspectores de seguridad. The qualification criteria are: Common requirements: o Officer or non commissioned officer from the Air Force. o Personnel currently working for the Ministry of Defence. o Personnel with recognized experience in one or several of the supervision areas. Technical requirements: o Wide knowledge in the applicable legislation (European, national and military) and of the document Military SA guidelines for supervision. o Professional experience in audit techniques. o To have performed, at least, two supervisions supporting a qualified inspector. Additional specific requirements: o Depending on the level of implication in the supervision. Moreover, to complement the current training, there are plans to send some personnel to Eurocontrol SA training courses during Has the SA conducted an assessment of its human resources with regards to: - Safety oversight [Reg. (EC) 1315/2007, Art. 11(2)] - Other SA tasks [Reg. (EC) 549/2004, Art. 4(4)] There is a document updated, bi-annually, at least, where the assessment is described: Evaluación de recursos humanos de la Autoridad acional de supervision military Año 2011 The last assessment was conducted in ovember 2011 for two years. As a result, approximately 12 persons are needed, per year, to cover the identified tasks, both for oversight and for the rest of the SA tasks. If es, please specify measures/plans by the State to ensure that the SA has the necessary capability required for the oversight of all organisations operating under their supervision? [Reg. (EC) 549/2004, Art. 4(4); Reg. (EC) 1315/2007, Art. 11(2)] Currently the available personnel cover all the SA tasks but if necessary, the Deputy Chief Air Force Staff (SA) recruit personnel from other areas for the Military SA. Additional information: Secretary of State for Climate Change ame of the SA: SA Tasks with respect to: Secretary of State for Climate Change SA Headquarters Seconded or Subcontracted Certification and Ongoing Compliance: 1,5 3,29 /A ATCO licensing, ratings and rating endorsements & Certification of training provider(s) and material: /A /A /A Supervision of engineering and technical personnel: /A /A /A Safety Oversight in ATM: Interoperability: See additional information. See additional information. See additional information. See additional information. Regional Offices (if applicable) /A /A Performance: 0,5 0,0 /A Administrative staff (management + support): 0,5 0,5 /A Others: 0 0 /A Total: 2,5 3,79 /A umber of qualified safety auditors/inspectors (as per the requirements of the safety oversight Regulation): [Reg. (EC) 1315/2007, Art. 11(3)(c)] Has the SA established specific qualification criteria for safety auditors/inspectors? If es, provide brief information on the specific qualification criteria for safety auditors/ inspectors (education, training, experience, etc.) and the relevant references [Reg. (EC) 1315/2007, Art. 11(3)(c)] 6 LSSIP ear 2011 Spain Part III - Chapter 14-6 Released Issue

7 University degree in Science/Engineering. Relevant experience in meteorology applied to air navigation. Knowledge of audit techniques and specific training. The requirements are contained in the internal procedures of the SA-MET and are granted by the contract with the auditing subcontractors. The auditing company subcontracted has implemented a competence scheme, including definition of education, training and experience, in addition to a yearly assessment, required for their staff. Has the SA conducted an assessment of its human resources with regards to: - Safety oversight [Reg. (EC) 1315/2007, Art. 11(2)] - Other SA tasks [Reg. (EC) 549/2004, Art. 4(4)] Enough resources to perform the current and foreseen tasks in short/medium term. If es, please specify measures/plans by the State to ensure that the SA has the necessary capability required for the oversight of all organisations operating under their supervision? [Reg. (EC) 549/2004, Art. 4(4); Reg. (EC) 1315/2007, Art. 11(2)] Allocation of budget for subcontracting audits in State Budget for 2012 and budget projections for following years. Training of permanent staff (2 civil servants) in audit methodology: IAS SA training programme and other courses. Additional information: Safety oversight of MET services, according to applicable requirements in Reg (1034) is performed simultaneously with common requirements compliance in Reg (1035), in particular in its Annex I req Interoperability requirements are not overseen in MET provider owned systems, according to current developments and decisions in SA Coordination WG on Interoperability ASP Certification, Designation & Cross-Border ATS Provision Certification [Reg. (EC) 550/2004, Art. 7; Reg. (EC) 2096/2005, Art. 3 & 4)] All ASPs certified by the State s SAs as reported in the previous reporting period are listed at the following address: The changes to the certification status with respect to the previous reporting period are reported in Annex I to this document. Additional Information Ineco has renewed the certificate as ATC and AFIS Aerodrome service provider. Five (5) new companies have been certified as ATS providers. Four (4) companies have applied for certification as ATS providers and they are currently undergoing the certification process. Military ASP is not certified according to article 7.5 of Reg. 550/ Designation [Reg. (EC) 550/2004, Art. 8 & 9] The status of designation of ATS and MET Providers by Spain, including providers certified in another State, can be accessed at the following address: The changes to designation status with respect to the previous reporting period are reported in Annex I to this document. Additional Information In accordance with the Law 9/2010, we are now in the process of designating new ATC providers in 13 towers (A Coruña, Alicante, Fuerteventura, Ibiza, Jerez de la Frontera, La Palma, Lanzarote, Madrid-Cuatro Vientos, Melilla, Sabadell, Sevilla, Valencia and Vigo). These designations are expected to be finalised during Arrangements for Cross-Border provision of Air Traffic Services The following tables present the cross-border provision of Air Traffic Services involving Spain: LSSIP ear 2011 Spain Part III - Chapter 14-7 Released Issue

8 In airspace falling under the responsibility of Spain: CAR/CAB # ESPT CAR/CAB # # 58 AB where ATS is provided cross-border: Airspace under the responsibility of: ATS Provider: ATS Provider certified/based in: Portions of U975, UL14, U870, U873, U979 Spain AV Portugal Portugal Arrangement between the SAs concerned for the supervision of the ATS Provider On February 25 th 2010, Spanish and Portuguese civil aviation authorities (Instituto acional de Aviação Civil - Portugal and Agencia Estatal para la Seguridad Aérea - Spain) signed a Cooperation Agreement establishing the formal framework for cooperation between the Spanish civil SA and the Portuguese civil SA. The competent SA and the counterpart SA must sign a report with the findings and corrective actions derived from an inspection in the State of the competent SA. Both SAs must accept the reports from the other as documented evidence with full validity and without further verification. Legal framework under which the cross-border ATS provision is taking place Case C: ATSP designated in the reporting State availing itself of services provided by an ATSP certified by another Member State [Reg. (EC) 550/2004, Art. 10] Agreement between the ASPs concerned Letter of Agreement between Area Control Centre of Madrid (MADRID ACC) and Area Control Centre of Lisbon (LISBOA ACC) dated 22nd October otification to the SAs concerned - Approval by the States concerned A new agreement on the delegation of air traffic services at State level is being developed under the umbrella of the State FAB Agreement. Changes since, corrections to, the previous - Annual Report: CAR/CAB # ESMR CAR/CAB # # 59 AB where ATS is provided cross-border: Within the portion of airspace bounded by an arc of a circle 60 M radius centred on VOR/DME PE ( W) joining the Canarias FIR limits at W and W, from 900 m AGL-AMSL up to FL 245 as vertical limits. Airspace under the responsibility of: Spain ATS Provider: ouadhibou APP ATS Provider certified/based in: Mauritania Arrangement between the SAs concerned for the supervision of the ATS Provider Legal framework under which the cross-border ATS provision is taking place (*) Letter of Agreement between Canarias Area Control Centre (Canarias ACC) and ouadhibou Approach Control Office (ouadhibou APP), formulated in Las Palmas on the 23 rd September ATS provided in the airspace falling under the responsibility of another State by an ATSP certified by Spain: CAR/CAB # PTES CAR/CAB # # 53 AB where ATS is provided cross-border: Airspace under the responsibility of: ATS Provider: ATS Provider certified/based in: W106/UW106 from RALUS to MOSE: Lateral limits: 10 M width; Vertical limits: FL460/FL105 Portugal Aena Spain Arrangement between the SAs concerned for the supervision of the ATS Provider LSSIP ear 2011 Spain Part III - Chapter 14-8 Released Issue

9 On February 25 th 2010, Spanish and Portuguese civil aviation authorities (Instituto acional de Aviação Civil Portugal and Agencia Estatal para la Seguridad Aérea - Spain) signed a Cooperation Agreement establishing the formal framework for cooperation between the Spanish civil SA and the Portuguese civil SA. The competent SA and the counterpart SA must sign a report with the findings and corrective actions derived from an inspection in the state of the competent SA. Both SAs must accept the reports from the other as documented evidence with full validity and without further verification. Legal framework under which the cross-border ATS provision is taking place Case C: ATSP designated in another State availing itself of services provided by an ATSP certified by the reporting State [Reg. (EC) 550/2004, Art. 10] Agreement between the ASPs concerned Letter of Agreement between Area Control Centre of Madrid (MADRID ACC) and Area Control Centre of Lisbon (LISBOA ACC) dated 22 nd October otification to the SAs concerned - Approval by the States concerned A new agreement on the delegation of air traffic services at State level is being developed under the umbrella of the State FAB Agreement. Changes since, corrections to, the previous - Annual Report: 14.3 Ongoing Compliance year 2011 [Reg. (EC) 2096/2005; Art. 7] Air Safety State Agency ame of the SA: Agencia Estatal de Seguridad Aérea (Air Safety State Agency) The SA has established an annual Inspection Programme, containing also the programme for safety regulatory audits (as per Art. 7 of Regulation (EC) º 2096/2005): n/a The annual Inspection Programme: a) covers all providers certified by the SAs b) is based on an assessment of the risks associated to the different operations constituting the provided services AESA has developed a procedure for the planning of inspections within the Air avigation area ( Procedure for inspections planning in DSAA (DOA-10-PGR )). According to this procedure, the elaboration of the Annual Inspection Plan will take into account up to 15 factors (e.g. incidents and accidents reports, non-conformities from audits in last 3 years, corrective actions, conclusions of analysis of the SA about the ASP systems, analysis of SMS oversight, information about changes oversight, analysis of reports and complaints). These 15 factors make up the columns of an assessment matrix and are weighted in accordance to their importance, agreed by consensus. The rows of the matrix are made of the totality of the facilities of the ASP subject to inspection. The elements of the matrix, properly weighted, represent the priority for each facility to be audited. Finally, these results are assessed taking into account the workload that can be assumed by the staff currently available. The SA consulted all the ASPs it has certified before establishing the annual Inspection Programme By ordinary mail. Where necessary the SA consulted other SAs concerned before establishing the Inspection Programme Although, arrangements were concluded in 2010 with the Portuguese SA and with the French SA are still ongoing, this year there has been no necessity to consult other SAs. Which ASPs were checked for ongoing compliance and for what Common Requirements (Add as many rows as necessary) Aena Ineco All Common Requirements except the ones related with MET services All Common Requirements except the ones related with MET services In particular with respect to the requirement on Security, has the SA verified that as per Annex I, Article 4 the security management system of the ASPs: a) ensures the security of facilities and personnel n/a LSSIP ear 2011 Spain Part III - Chapter 14-9 Released Issue

10 n/a b) ensures the security of operational data c) defines the procedures for risk assessment and mitigation, monitoring, reviews and lesson dissemination d) defines the means to detect breaches and to send alerts e) defines the means to contain effects of breaches, to identify corrective actions and mitigation procedures and to prevent re-occurrence Has the SA verified that the ASPs have ensured the security clearance of its personnel? Has the SA identified any non-compliances of the ASPs with the requirement for the implementation and management of a security management system? In accordance with the Spanish Regulation for Aeronautical Audits and Inspections (Royal Decree 98/2009), the ASP submits to the SA the corrective action plan to comply with the requirement abovementioned whenever non-compliance with these is identified in the course of an inspection Deputy Chief Air Force Staff ame of the SA: Deputy Chief Air Force Staff The SA has established an annual Inspection Programme, containing also the programme for safety regulatory audits (as per Art. 7 of Regulation (EC) º 2096/2005): The annual Inspection Programme: a) covers all providers certified by the SAs /A b) is based on an assessment of the risks associated to the different operations constituting the provided services a) o certified ASP in the Spanish Air Force; however the ASPs are reviewed. b) Annual supervision plans are based on an assessment of the risks. The SA consulted all the ASPs it has certified before establishing the annual Inspection Programme o certified ASP in the Spanish Air Force. Where necessary the SA consulted other SAs concerned before establishing the Inspection Programme There is no need to do it because the three Spanish SAs have independent areas of competence. Which ASPs were checked for ongoing compliance and for what Common Requirements (Add as many rows as necessary) Spanish Air Force ATS, CS In particular with respect to the requirement on Security, has the SA verified that as per Annex I, Article 4 the security management system of the ASPs: a) ensures the security of facilities and personnel b) ensures the security of operational data c) defines the procedures for risk assessment and mitigation, monitoring, reviews and lesson dissemination d) defines the means to detect breaches and to send alerts e) defines the means to contain effects of breaches, to identify corrective actions and mitigation procedures and to prevent re-occurrence /A Has the SA verified that the ASPs have ensured the security clearance of its personnel? Has the SA identified any non-compliances of the ASPs with the requirement for the implementation and management of a security management system? The detected non-compliances are included, when necessary, in the annual revision of the Air Force Bases Security Plan SA-MET (Secretary of State for Climate Change) ame of the SA: SA-MET (Secretary of State for Climate Change) LSSIP ear 2011 Spain Part III - Chapter Released Issue

11 The SA has established an annual Inspection Programme, containing also the programme for safety regulatory audits (as per Art. 7 of Regulation (EC) º 2096/2005): The annual Inspection Programme: a) covers all providers certified by the SAs b) is based on an assessment of the risks associated to the different operations constituting the provided services umber of previous years non-compliances, both in offices or requirements, volume of traffic, special meteorological conditions at a particular airport. The SA consulted all the ASPs it has certified before establishing the annual Inspection Programme Exchange of communications prior to the final Inspection Programme Definition to agree on relevant aspects (methodology, audits, dates, etc,) Where necessary the SA consulted other SAs concerned before establishing the Inspection Programme ational Civil and MIL SAs for details of national Inspection Programme. Other SAs in Europe through SA Coordination Platform and MET regulators Forum to clarify specific aspects of inspections Which ASPs were checked for ongoing compliance and for what Common Requirements (Add as many rows as necessary) AEMET All applicable in Reg 2096 (Annexes I and III) In particular with respect to the requirement on Security, has the SA verified that as per Annex I, Article 4 the security management system of the ASPs: a) ensures the security of facilities and personnel b) ensures the security of operational data c) defines the procedures for risk assessment and mitigation, monitoring, reviews and lesson dissemination d) defines the means to detect breaches and to send alerts e) defines the means to contain effects of breaches, to identify corrective actions and mitigation procedures and to prevent re-occurrence Has the SA verified that the ASPs have ensured the security clearance of its personnel? Has the SA identified any non-compliances of the ASPs with the requirement for the implementation and management of a security management system? Corrective plan agreed with provider for identified non compliances Safety Requirements Safety Oversight [Reg. (EC) 1315/2007] The information provided in this section does not cover comprehensively the safety oversight Regulation as some of the requirements are covered by ESSIP Objectives SRC-AUDI, CHG, OVCA and SLRD, and also by relevant information reported in Part I of the LSSIP document. The information reported in this section is considered complemented through the above mentioned information Agencia Estatal de Seguridad Aérea (Air Safety State Agency) Processes, procedures and documentation ame of the SA: Agencia Estatal de Seguridad Aérea (Air Safety State Agency) Has the SA established a process to verify: [Art. 5(1), 5(2)] Compliance with applicable safety regulatory requirements prior to the issue or renewal of the ASPs certificates (including compliance with safety-related conditions attached to the certificate) Compliance with any safety-related obligations in the designation act Ongoing compliance of the ASPs LSSIP ear 2011 Spain Part III - Chapter Released Issue

12 Implementation of safety directives Implementation of safety objectives, safety requirements and other safety-related conditions identified in: - - EC declarations of verification of systems - EC declaration of conformity or suitability for use of constituents of systems - Risk assessment and mitigation procedures required by safety regulatory requirements applicable to AS, ATFM and ASM The process established for verification of compliance with safety regulatory requirements: [Art. 5(2)] is based on documented procedures provides the organisation concerned with an indication of the results of the safety oversight activity is based on safety regulatory audits and reviews conducted in accordance with Article 6, 8 and 9 of Regulation (EC) o 1315/2007 provides to the SA the evidence needed to support further action, including measures foreseen by Article 9 of Reg. (EC) o 549/2004 and by Article 7(7) of Reg. (EC) o 550/2004 in situations where safety regulatory requirements are not being complied with The inspection procedure for airports and air navigation was adopted on 4 th December 2009 (ISP/09/PGR/002/0.1). This procedure is related to the oversight of the corrective actions to be taken by ASPs as inspections results for airports and air navigation (ISP/09/PES/003/0.2). Does this established process refer to the specific verification of: AS ATFM ASM In relation to ATFM, AS (ATS) inspections carried out in the frame of the Common Requirements (regulation (EU) nº 1035/2011 as of 7 th ovember 2011) include to requirements related to the oversight of the ability of the service providers to provide services consistent with any reasonable level of overall demand for a given airspace (Annex I.1). Further to this, a specific ATFM expert profile has been defined and assigned to a new person within AESA. Finally, full access to the data produced and collected by the CFMU with DM at Eurocontrol will be requested. In relation to ASM, AESA reviews the procedures related to airspace as part of the PA (Ponencia de avegación Aérea) and in preparation of the final discussion and agreement of any airspace management issues at the plenary session of CIDEFO (Comisión Interministerial entre Defensa y Fomento), the inter-ministerial commission made up of representatives of the Departments of Defence and Transport that undertakes co-ordination and advises to both Departments and the Government, in relation with airspace policy, Flexible Use of Airspace, regulation of AS/ATM, CS, air bases open to civil use and safety safeguarding of airports surroundings. To that end, AESA procedure for the oversight of the airspace structure and flight procedures (EA-10-PES ) has been developed. Has the SA accepted the procedures put in place by the organisations concerned 1 for the introduction of safety-related changes to their functional systems? [Art. 8(1)] es, since these procedures are integrated within the SMS system, which is audited according to the Inspection Plan. Has the SAs established a review procedure of the proposed changes in compliance with all the requirements of Article 9(2)(c)-(i) of Regulation (EC) o 1315/2007? The safety regulatory audits conducted by the SA or by the QE as delegated by the SA: [Art. 6(1), 6(2), 6(5), 7] provide evidence of compliance with applicable safety regulatory requirements and with implementing arrangements by evaluating the need for improvement or corrective action are independent of internal auditing activities undertaken by the organisation concerned as part of its safety or quality management systems apply to complete implementing arrangements or elements thereof, and to processes, products or services 1 All ASPs or ASM or ATFM entities providing services and/or functions within the airspace of the State. LSSIP ear 2011 Spain Part III - Chapter Released Issue

13 lead to the correction of any identified non-conformities in accordance with Article 7 are carried out pursuant to a SA decision specifying which arrangements, elements, services, products, physical locations and activities are to be audited within specified timeframes n/a Indicate the relevant parts/chapters/pages of the documented procedures that relate to: [Art. 5(1), 5(2)] certification process; Royal Decree 931/2010, Chapter II on-going oversight process; Royal Decree 98/2009 and DSAA Procedure ISP/09/PGR/002/0.1 safety directive process; - monitoring of safety performance; - the safety regulatory audits; Royal Decree 98/2009 and DSAA Procedure ISP/09/PGR/002/0.1 corrective action process; DSAA Procedure ISP/09/PES/003/0.2 annual programme of safety regulatory audits, DSAA Procedure DOA-10-PGR oversight of changes; - Royal Decree 931/2010 stating national procedures for ASP certification and, - AESA procedure for the revision of safety arguments of ATM functional changes (SEOP-10-PES ) use of recognised organisations; - safety oversight reporting. Royal Decree 98/2009 and DSAA Procedure ISP/09/PGR/002/ Exercise of safety oversight year 2011 ame of the SA: Agencia Estatal de Seguridad Aérea (Air Safety State Agency) The SA produced an annual safety oversight report for year 2010 [Art. 4] The report for Informe de Supervisión de la Seguridad Operacional para el año 2009 (REG (CE) nº 1315/2007)- which was still pending, has also been finalised. The SA exercised safety oversight of: [Art. 3(1)] AS ATFM ASM In relation to ATFM, the oversight exercised is as AS (ATS) inspections (audits) carried out in the frame of the Common Requirements (Annex I.1). In relation to ASM, AESA reviews the procedures (desktop audits) related to airspace as part of the PA and in preparation of the final discussion and agreement of any airspace management issues at the plenary session of CIDEFO. Please, specify the number of audits performed in the year 2011 regarding: AS ATFM ASM [Art. 3(1), 6] Please, indicate the average number of total man/hours dedicated to an audit (including the stages of preparation, on-site audit and report writing) [Art. 6] 352 umber of notifications of safety-related changes to functional systems received by the SA? 36 Please specify the number of reviews performed with regards to the following changes: [Art. 9] when severity assessment determined a severity class 1 or 2 for the potential effects of the hazards identified 0 when the implementation of changes required the introduction of new aviation standards 0 any other situation than those referred above 36 Has the SA issued any safety directive as per Art. 12(1) of Reg. (EC) o 1315/2007? If, were the contents of the safety directive in compliance with Art. 12(2) of Reg. (EC) o 1315/2007? n/a LSSIP ear 2011 Spain Part III - Chapter Released Issue

14 If, has the SA forwarded, as far as appropriate, a copy of the safety directive(s) to other SAs concerned, and to the European Commission, EASA and EUROCOTROL? [Art. 12(3)] Provide relevant details in support of your answer, e.g. a brief explanation of the context and rationale. If directives were issued, has the SA verified compliance with them? [Art. 12(4)] n/a n/a Deputy Chief Air Force Staff Processes, procedures and documentation ame of the SA: Deputy Chief Air Force Staff Has the SA established a process to verify: [Art. 5(1), 5(2)] Compliance with applicable safety regulatory requirements prior to the issue or renewal of the ASPs certificates (including compliance with safety-related conditions attached to the certificate) Compliance with any safety-related obligations in the designation act /A Ongoing compliance of the ASPs Implementation of safety directives Implementation of safety objectives, safety requirements and other safety-related conditions identified in: - EC declarations of verification of systems - EC declaration of conformity or suitability for use of constituents of systems - Risk assessment and mitigation procedures required by safety regulatory requirements applicable to AS, ATFM and ASM Regarding interoperability, the implemented systems are the civil ASP. /A The process established for verification of compliance with safety regulatory requirements: [Art. 5(2)] is based on documented procedures provides the organisation concerned with an indication of the results of the safety oversight activity is based on safety regulatory audits and reviews conducted in accordance with Article 6, 8 and 9 of Regulation (EC) o 1315/2007 provides to the SA the evidence needed to support further action, including measures foreseen by Article 9 of Reg. (EC) o 549/2004 and by Article 7(7) of Reg. (EC) o 550/2004 in situations where safety regulatory requirements are not being complied with Directive 39/09 from Chief of Air Force Staff. Does this established process refer to the specific verification of: Annual Supervision Plans (chapter 4) and OPGEA/CIDEFO (including its PA) AS ATFM ASM Has the SA accepted the procedures put in place by the organisations concerned 2 for the introduction of safety-related changes to their functional systems? [Art. 8(1)] Has the SAs established a review procedure of the proposed changes in compliance with all the requirements of Article 9(2)(c)-(i) of Regulation (EC) o 1315/2007? During 2011 a specific procedure has been developed, titled Procedimiento de la SA militar para la supervisión de los cambios que afectan a la seguridad. The safety regulatory audits conducted by the SA or by the QE as delegated by the SA: [Art. 6(1), 6(2), 6(5), 7] provide evidence of compliance with applicable safety regulatory requirements and with implementing arrangements by evaluating the need for improvement or corrective action 2 All ASPs or ASM or ATFM entities providing services and/or functions within the airspace of the State. LSSIP ear 2011 Spain Part III - Chapter Released Issue

15 are independent of internal auditing activities undertaken by the organisation concerned as part of its safety or quality management systems apply to complete implementing arrangements or elements thereof, and to processes, products or services lead to the correction of any identified non-conformities in accordance with Article 7 are carried out pursuant to a SA decision specifying which arrangements, elements, services, products, physical locations and activities are to be audited within specified timeframes - Indicate the relevant parts/chapters/pages of the documented procedures that relate to: [Art. 5(1), 5(2)] certification process; n/a on-going oversight process; Section 6 & Annual Supervision Plans safety directive process; Section 6 monitoring of safety performance; Annex 3 the safety regulatory audits; Section 6 corrective action process; Section 6 annual programme of safety regulatory audits, oversight of changes; Section 6 Section 6 & Annual Supervision Plans use of recognised organisations; safety oversight reporting. n/a Section 6 & Annual Supervision Plans Exercise of safety oversight year 2011 ame of the SA: Deputy Chief Air Force Staff The SA produced an annual safety oversight report for year 2010 [Art. 4] It is foreseen to produce, for the first time, an annual report of this year (2011) The SA exercised safety oversight of: [Art. 3(1)] AS ATFM ASM Audit. Please, specify the number of audits performed in the year 2011 regarding: AS ATFM ASM [Art. 3(1), 6] Please, indicate the average number of total man/hours dedicated to an audit (including the stages of preparation, on-site audit and report writing) [Art. 6] 490 This figure includes the preparation phase, the on-site audit and the post phase (report preparation and follow-on of corrective actions). The supervisions are carried out to a complete unit, covering all the areas that are involved in the provision of all the services provided to the civil aviation by the Unit. umber of notifications of safety-related changes to functional systems received by the SA? 0 Please specify the number of reviews performed with regards to the following changes: [Art. 9] when severity assessment determined a severity class 1 or 2 for the potential effects of the hazards identified /A when the implementation of changes required the introduction of new aviation standards /A any other situation than those referred above /A Has the SA issued any safety directive as per Art. 12(1) of Reg. (EC) o 1315/2007? If, were the contents of the safety directive in compliance with Art. 12(2) of Reg. (EC) o 1315/2007? If, has the SA forwarded, as far as appropriate, a copy of the safety directive(s) to other SAs concerned, and to the European Commission, EASA and EUROCOTROL? [Art. 12(3)] /A /A If directives were issued, has the SA verified compliance with them? [Art. 12(4)] /A LSSIP ear 2011 Spain Part III - Chapter Released Issue

16 Secretary of State for Climate Change Processes, procedures and documentation ame of the SA: Secretary of State for Climate Change Has the SA established a process to verify: [Art. 5(1), 5(2)] Compliance with applicable safety regulatory requirements prior to the issue or renewal of the ASPs certificates (including compliance with safety-related conditions attached to the certificate) Compliance with any safety-related obligations in the designation act Ongoing compliance of the ASPs Implementation of safety directives Implementation of safety objectives, safety requirements and other safety-related conditions identified in: - EC declarations of verification of systems - EC declaration of conformity or suitability for use of constituents of systems - Risk assessment and mitigation procedures required by safety regulatory requirements applicable to AS, ATFM and ASM Though MET services are affected by Regulation (EC) o 1315/2007 this Regulation extends the scope of ESARR 3 without required modifications to take into account new services affected, such as MET or AIS. There are evidences in this sense, as references to CE 2096/2005 Annex II and severity indexes or the need of a formal SMS are inapplicable to MET Services. evertheless, SA-MET performs some safety oversight functions: those required both by ICAO USOAP framework and by art. 3.1 Reg. (EC) 2096/2005 and also is compliant with the 1315 requirements applicable to SA itself. The process established for verification of compliance with safety regulatory requirements: [Art. 5(2)] is based on documented procedures provides the organisation concerned with an indication of the results of the safety oversight activity is based on safety regulatory audits and reviews conducted in accordance with Article 6, 8 and 9 of Regulation (EC) o 1315/2007 provides to the SA the evidence needed to support further action, including measures foreseen by Article 9 of Reg. (EC) o 549/2004 and by Article 7(7) of Reg. (EC) o 550/2004 in situations where safety regulatory requirements are not being complied with Internal procedures M-000; PC010, PC020, PG030, PG040, PG050, PS060, PS070, PG090, Does this established process refer to the specific verification of: Only applicable requirements for MET. AS ATFM ASM n/a n/a Has the SA accepted the procedures put in place by the organisations concerned 3 for the introduction of safety-related changes to their functional systems? [Art. 8(1)] o procedure put in place yet by the ASP. Has the SAs established a review procedure of the proposed changes in compliance with all the requirements of Article 9(2)(c)-(i) of Regulation (EC) o 1315/2007? PG040 The safety regulatory audits conducted by the SA or by the QE as delegated by the SA: [Art. 6(1), 6(2), 6(5), 7] provide evidence of compliance with applicable safety regulatory requirements and with implementing arrangements by evaluating the need for improvement or corrective action are independent of internal auditing activities undertaken by the organisation concerned as part of its safety or quality management systems 3 All ASPs or ASM or ATFM entities providing services and/or functions within the airspace of the State. LSSIP ear 2011 Spain Part III - Chapter Released Issue

17 apply to complete implementing arrangements or elements thereof, and to processes, products or services lead to the correction of any identified non-conformities in accordance with Article 7 are carried out pursuant to a SA decision specifying which arrangements, elements, services, products, physical locations and activities are to be audited within specified timeframes - Indicate the relevant parts/chapters/pages of the documented procedures that relate to: [Art. 5(1), 5(2)] certification process; M000, PC010 on-going oversight process; M000, PS060 safety directive process; n/a monitoring of safety performance; n/a the safety regulatory audits; PS060 (included in Reg 2096 compliance audits) corrective action process; PG030 annual programme of safety regulatory audits, M000, PS060 oversight of changes; PG040 (notification of changes by provider is covered) use of recognised organisations; n/a safety oversight reporting. PG Exercise of safety oversight year 2011 ame of the SA: Secretary of State for Climate Change The SA produced an annual safety oversight report for year 2010 [Art. 4] ASMET Safety Oversight report for ot available on line The SA exercised safety oversight of: [Art. 3(1)] AS ATFM ASM Oversight based on audits and desktop audits. /a /a Please, specify the number of audits performed in the year 2011 regarding: AS ATFM ASM [Art. 3(1), 6] Please, indicate the average number of total man/hours dedicated to an audit (including the stages of preparation, on-site audit and report writing) [Art. 6] 176 The value of man/hours includes the simultaneous supervision of the Regulations (EC) 1034/2011 and Regulation (EC) 1035/2011. These audits are carried out by two auditors. umber of notifications of safety-related changes to functional systems received by the SA? 1 Please specify the number of reviews performed with regards to the following changes: [Art. 9] when severity assessment determined a severity class 1 or 2 for the potential effects of the hazards identified /a when the implementation of changes required the introduction of new aviation standards /a any other situation than those referred above - Has the SA issued any safety directive as per Art. 12(1) of Reg. (EC) o 1315/2007? ot needed in 2011 If, were the contents of the safety directive in compliance with Art. 12(2) of Reg. (EC) o 1315/2007? - If, has the SA forwarded, as far as appropriate, a copy of the safety directive(s) to other SAs concerned, and to the European Commission, EASA and EUROCOTROL? [Art. 12(3)] - If directives were issued, has the SA verified compliance with them? [Art. 12(4)] - LSSIP ear 2011 Spain Part III - Chapter Released Issue

18 Safety Software Assurance [Reg. (EC) 482/2008] Has each organisation 4, as part of its SMS, defined and implemented a software safety assurance system to deal with EATM software related aspects in accordance with Art. 3, 4 & 5? AEA has implemented an Integrated Management System that incorporates all the aspects related to quality, environment and safety [including compliance with Reg (EC) 482/2008]. As part of this Integrated Management System, document A111b-06-PES-001 describes in its Annex A the activities forming part of the Software Safety Assurance System implemented. IECO and Military ASP use the SW developed by AEA. Have the requirements been applied for new software or for changes to existing software by any of the organisations under the supervision of the SA during 2011? If yes, have the organisations made available the required assurances to the SA demonstrating that the requirements have been satisfied? ATCO Licensing [Reg. (EU) 805/2011] Has the Competent Authority established procedures for the application and issue, renewal and revalidation of licenses, associated ratings, endorsements and medical certificates? [Art. 13.2] Procedures for the renewal of ATCO licences have published in AESA website ( which include the following cases: renewal of unit endorsement, new unit endorsement, renewal of language endorsement, new language endorsement, new OJTI endorsement and renewal of OJTI endorsement. For the military Competent Authority the following legislation has been issued to comply with Regulation (EU) 805/2011: Royal Decree 1516/2009 on the community licence for ATCOs. Ministerial Order 72/2010 on the community licence for military ATCOs. Resolution 700/18832/2010 from the Chief of the Air Force on licence recognition procedure. Order 23/2011 on medical competence assessment. Has the State decided to apply this Regulation to their military personnel providing services to the public? [Art. 2.4] If o, has the State taken measures to ensure that services provided or made available by military personnel to the public offer a level of safety that is at least equivalent to the essential requirements of Annex Vb of Regulation (EC) o 216/2008? [Art. 2.3] /A Has the State decided to impose local language requirements? [Art. 13.2] Local language requirements are included in Royal Decree 1516/2009 (Article 16) transposing Directive 2006/23/CE, as well as in Order FOM/896/2010 of 6 th April 2010, published in the Official Journal on 13 th April The required level of English and local language (Spanish) is at least an operational level (level four) of language proficiency. Has the State implemented the provisions of Chapter III of the Regulation regarding medical certification? [Chapter III] The medical certificates are issued by: [Art. 15.2] (A competent body of) the Competent Authority (CA) Aero medical examiners (approved by the CA) Aero medical centre(s) (approved by the CA) In the following link a detailed list of aero medical centres can be found: Has the State decided to apply derogations as provided for in Article 31 of the Regulation? If es, has this been notified to EASA and the Commission? [Art. 31.3] n/a /A Licenses under the supervision of the CA: [Art. 22] Licenses issued by the CA* [Art. 22] CIV MIL CIV MIL 4 Definition in Art. 2.5 of Regulation 482/2008 LSSIP ear 2011 Spain Part III - Chapter Released Issue