NATIONAL SUPERVISORY AUTHORITY HANDBOOK FOR ATM/ANS REPUBLIC OF BULGARIA. Part I - General

DIRECTORATE GENERAL CIVIL AVIATION ADMINISTRATION BULGARIA NATIONAL SUPERVISORY AUTHORITY HANDBOOK FOR ATM/ANS REPUBLIC OF BULGARIA Part I - General Edition Number : 3.0 Edition Date : 16 April 2015 Status : Released Intended for : Public

DOCUMENT CHARACTERISTICS Publications Reference: TITLE NSA HANDBOOK FOR ATM/ANS REPUBLIC OF BULGARIA ISBN Number: Document Identifier Edition Number: 3.0 DGCAA_BG_HNDBK_NSA_ATM/ANS Edition Date: 16 April 2015 Abstract This Handbook pertains to the whole activities of the Bulgarian NSA steaming from the European and National legislation and is destined to support the everyday work and planning of the DGCAA/NSA of the Republic of Bulgaria. It is a master document developed into two parts. The general information about the NSA is given in the first part while the detailed process description and procedures are provided in the second part. Keywords Handbook NSA Certification Supervision Process Matrix Oversight SES legislation Authors Mariana Anguelova Kalin Raychev Laszlo Petrik Contact(s) Person Tel Unit Kalin Raychev 00359 2 937 1043 ANS Department, DG CAA NSA Handbook Part I, ed.3/2015 1

STATUS, AUDIENCE AND ACCESSIBILITY Status Intended for Accessible via Working Draft General Public Intranet Draft Stakeholders Extranet Proposed Issue Restricted Audience Internet caa@caa.bg www.eurocontrol.int Released Issue DOCUMENT APPROVAL The following table identifies all management authorities who have successively approved the present issue of this document. AUTHORITY NAME AND SIGNATURE DATE Director General DG CAA Mintcho Tzvetkov Airports, Aviation Security and Air Navigation Services Director Lyudmil Manasiev Administrative, Legal Servicesand Financial Director Dimitar Tarlev Head of Aircraft Airworthiness Department Ivan Ivanov Head of Certification and Air Navigation Services Department Valentin Valkov Head of Legal Services Department Ralica Peeva NSA Handbook Part I, ed.3/2015 2

DOCUMENT CHANGE RECORD The following table records the complete history of the successive editions of the present document. EDITION NUMBER EDITION DATE REASON FOR CHANGE PAGES AFFECTED 1.0 20/06/2012 1 st edition All 2.0 16/10/2012 2 nd edition All 3.0 14/04/2015 3 th edition All NSA Handbook Part I, ed.3/2015 3

TABLE OF CONTENTS DOCUMENT CHARACTERISTICS... 1 DOCUMENT APPROVAL... 2 DOCUMENT CHANGE RECORD... 3 TABLE OF CONTENTS... 4 Foreword... 6 Introduction... 8 Objectives... 8 Scope... 8 Target Audience... 8 Document maintenance... 9 Part I General... 11 Chapter 1 State Context... 12 1.1 National Stakeholders... 12 1.2 DANUBE FAB... 15 Chapter 2 - Legislative Framework... 16 2.1 International legislation... 16 SES II+ Package expected in present moment and is to be further developed.... 17 2.2 National Legislation... 17 Chapter 3 - NSA Policies and Strategic Planning... 19 3.1 Mission... 19 3.2 Vision... 19 3.3 Strategy... 19 Chapter 4 NSA Functions... 21 4.1 Management... 21 4.2 Oversight.... 22 4.2.1 Certification of ANSP.... 23 4.2.3 On-going oversight of the ANSP... 24 4.2.3 Training Organisations - Certification and Oversight... 26 4.2.4 Designation of ANSP... 27 4.2.5 Qualified Entities (QE)... 28 4.2.6 Performance Plans (PP)... 28 4.3 Supportive functions... 31 4.3.1 Administrative and legal support.... 31 4.3.2 Financial support.... 31 NSA Handbook Part I, ed.3/2015 4

4.3.3 Human resources (HR).... 31 4.3.4 External relations.... 32 4.3.5 Guidelines and support to rule-making.... 32 Chapter 5 - Organisational Structure, responsibilities and tasks... 33 5.1 DGCAA/NSA organisational Structure... 33 5.2 Main tasks of DGCAA as NSA... 34 5.2.1 Management... 34 5.2.2 Airports, Aviation Security and Air Navigation Services Directorate safety related functions... 35 5.2.3 ANS department - tasks and responsibilities:... 35 5.2.4 Aviation Security Department (AVSEC) -tasks and responsibilities:... 36 5.2.5 Administrative, Legal Services and Financial Department Directorate supportive functions... 36 Chapter 6 - Workforce management and Facilities Management... 38 6.1 Workforce Management... 38 6.1.1 Shared values... 38 6.1.2 Personal files... 38 6.1.3 Qualifications and training requirements... 39 6.1.3.1 Entry requirements... 39 6.1.3.3 Continuation training of DGCAA Aeronautical Inspectors... 39 6.1.3.4 Training Records... 39 6.2 Facilities Management... 39 6.2.1 Physical and Financial Capital... 39 ANNEXES... 41 ANNEX 1 Abbreviations... 42 ANNEX 2 Definitions... 47 ANNEX 3 ICAO Provisions, EC, and National Legislation... 79 3.1. ICAO provisions... 79 3.1.1 Annexes to the Convention on International Civil Aviation... 79 3.1.2 ICAO Manuals... 81 3.2. EC legislation... 83 3.2.1 EC legal instruments... 83 3.2.2 Single European Sky regulatory framework... 83 3.3 National Legislation... 92 ANNEX 4 Relevant documents... 95 NSA Handbook Part I, ed.3/2015 5

Foreword The Directorate General Civil Aviation Administration (DGCAA) is the national supervisory authority with regard to the safe and effective operation of air navigation services in the Republic of Bulgaria. DGCAA as the nominated Bulgarian National Supervisory Authority (NSA) for ATM/ANS has recognized the need for a manual/handbook which helps for the understanding NSA s obligations, provides up-to-date direction for aligning operations with the DGCAA/NSA s strategic vision, guidance and assistance in the daily business. The handbook aims to be a single reference document with basic information on fundamental aspects of the DGCAA/NSA but does not cover every aspect of it. It provides a user-friendly foundation and context for understanding NSA processes. Its main purpose is to help its personnel to fulfil the organisation s mission, vision, strategic objectives and to deliver high-quality products and services through uniform operations. NSAs operate in a changing environment. Improvements occur when decision making and solid operational practices are conducted at every level of the organisation. The handbook consequently serves as a consistent source of up-to-date information on the DGCAA s latest operations and practices. The Handbook use documents. contain detailed administrative procedures, forms and other internal The construction of this handbook is based on the EUROCONTROL Guidelines for the NSA Handbook Development. NSA Handbook Part I, ed.3/2015 6

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Introduction Objectives This handbook aims to provide basic information on how the Directorate General Civil Aviation Administration (DGCAA) should fulfil its responsibilities as the Bulgarian NSA. In addition it gives information about the legal environment and organisational structure by which the DGCAA supports NSA related functions and provides guidance regarding the way the Bulgarian NSA runs its daily business. It is intended as a single reference document for internal and external stakeholders by providing transparency of the NSA processes. Equally, this handbook gives appropriate information to assist NSA team members and new employees in order to strengthen their understanding of the different aspects of the daily work. Scope The information offered covers both the European and the Bulgarian legal framework in which the NSA operates, its organisational aspects, the different functions the NSA performs, the processes and procedures which the NSA executes and the roles and responsibilities of the NSA. Detailed descriptions of the processes and procedures are provided as guidelines for the proper and accurate executions of the related NSA tasks. Part I of the NSA Handbook provides both employees and stakeholders with fundamental knowledge about How the NSA team operates. Part II of this Handbook contains guidance material intended to assist Air Navigation Services Inspector(s) at DG CAA/NSA in carrying out their regulatory responsibilities with regard to Supervision and Safety Oversight processes. Part III of the NSA Handbook contains additional duties, functions and responsibilities with regard to SO functions. Inspectors are expected to use their good judgment in matters where specific guidance is not provided. Target Audience A non-exhaustive list of the target audience is as follows: DG CAA/NSA Staff; State individuals involved in associated responsibilities; ANSPs; Airport Operators; Joint Civil-Military units; Airspace users; NSA Handbook Part I, ed.3/2015 8

Ministry of Transport, Information Technology and Communications; European Commission; EUROCONTROL; Other NSAs; EASA; ICAO. Document maintenance Changes in different areas of the business might require modification of the content of this handbook. Therefore a procedure for maintenance was set up: Periodic maintenance by yearly reviewing the document to adapt and correct the content as necessary; Ad hoc maintenance triggered by specific events like change in the strategy or identified failures in the content The process for maintaining and adapting the existing content of this Handbook is called the change procedure. The change has been envisaged to be of three types i.e. Create new text if and as necessary by adding to the text of existing processes or adding new processes; Adapt existing text by modifying respectively text are and if required after due identification and justification of the need; Remove text i.e. remove completely text that has become obsolete or unnecessary. A change may include any combination of change types mentioned above. Handbook maintenance, renewal and adaptation: Periodic maintenance The Handbook documentation should be reviewed yearly per document for the purpose to launch maintenance tasks in the form of processes. Ad hoc maintenance Ad hoc maintenance can be trigger by: Experts applying guidelines and identifying drawbacks and dysfunctions Failures in the process application reported by auditors Changes in strategy, regulation Any other event that may act as a trigger to necessitate action Ad hoc maintenance may therefore focus only to specific parts of the Handbook. Renewal and adaptations NSA Handbook Part I, ed.3/2015 9

The Handbook should undergo a renewal and adaptation phase. This can be the result of a major periodic maintenance activity or as a result of lesser than expected results. The review should be starting from the identified weaknesses. If deviations and inefficiencies are detected then corrective actions should be designed and executed leading to updates of the Handbook. Description of the update process: The Document Change Record is inserted in a table after the process description for registering the maintenance actions. The table records the complete history of the successive editions of the Handbook. NSA Handbook Part I, ed.3/2015 10

Part I General NSA Handbook Part I, ed.3/2015 11

Chapter 1 State Context In the Republic of Bulgaria the regulatory functions in the field of aviation are provided by the Directorate General of Civil Aviation Administration (DGCAA). The DGCAA is a legal entity within the Ministry of Transport, Information Technology and Communication (MTITC) and is designated by the National law as the National Supervisory authority (NSA) of the Republic of Bulgaria in the field of ATM/ANS. (Civil Aviation Act, Article 16c). Currently there is only one Air Navigation Services provider in the Republic of Bulgaria. It is Bulgarian Air Traffic Services Authority (BULATSA). BULATSA holds valid certificates for the following services: Air traffic Services (ATS); Aeronautical information Services (AIS); Meteorological services (MET); Communication Navigation and Surveillance Services (CNS). Copies of the Certificates issued can be found in the Registry & Statistics department and in ANS department, Airports, Aviation Security and ANS Directorate, DG CAA. 1.1 National Stakeholders The main National stakeholders involved in ATM in Bulgaria are the following: Ministry of Transport, IT and Communications; Directorate General of Civil Aviation Administration; Bulgarian Air Traffic Services Authority; Ministry of Defence/Military Authorities; Airport Operators; Aircraft Accident Investigation Unit. The flowchart on Figure 1 below illustrates the interrelations between national stakeholders. Figure 1. National Stakeholders NSA Handbook Part I, ed.3/2015 12

1.1.1 The Minister of Transport, IT and Communications The Minister of Transport, IT and Communications is responsible for the management and supervision of civil aviation, civil aircraft and aeronautical facilities and equipment within the Republic of Bulgaria. The Minister of Transport, IT and Communications exercises his functions through the Directorate General Civil Aviation Administration (DGCAA). 1.1.2 DGCAA The DGCAA as NSA is responsible for the supervision of the safety of ANS in the national airspace, certification of ANSPs, certification and licensing of ATM personnel and the certification of ATM training centres. DGCAA carries out the assigned function in accordance with the European regulations in the field of Air Transport, the Civil Aviation Act, the related regulations and Ministerial decrees. The DGCAA Structural Regulation (Official Gazette 29/2000, amended 56/2012) sets down the state administration responsibilities and functions. DGCAA is managed and represented by the Director General, who is authorized of promulgation of administrative acts and mandatory directives in accordance with the enforced legislation. 1.1.3 Air Traffic Services Authority of Bulgaria (BULATSA) Bulgarian Air Traffic Services Authority is a 100% state-owned State Enterprise. The following services are provided: Service Remark Location ATS Area Approach at Common National Air Traffic Control Centre in Sofia since February 2008 at Sofia, Varna and Burgas airports; AIS Aerodrome at Sofia, Varna, Burgas, Plovdiv and Gorna Oryahovitza airports; BULATSA Headquarters for all 5 aerodromes and En-route; CNS All CNS facilities are operated by BULATSA MET At all 5 airports. MET Office at Sofia serves the EN-Route NSA Handbook Part I, ed.3/2015 13

1.1.4 Military Authorities The Military Air Traffic Services Authorities in Bulgaria are composed of: MATSA as section within Air Force Command and Operational base Communication, control, surveillance Service Remark Location ATS Area Approach Sofia Military Control, at Graf Ignatievo, Dolna Mitropolia, Bezmer, Krumovo airfields Aerodrome Graf Ignatievo, Dolna Mitropolia, Bezmer, Krumovo airfields AIS CNS MET Others Operational base Communication, control, surveillance Operational base Communication, control, surveillance Operational base Communication, control, surveillance Operational centre Trud, Operational centre Radishevo Command and report centre/air Sovereignty Operation Centre The Military air traffic services authorities report Bulgarian Air Force. The military authorities in Bulgaria have no responsibility concerning the ATS provision to General Air Traffic (GAT). 1.1.5 Airports The following airports in Bulgaria operate for public services: Sofia Airport- Airport operator Letishte Sofia EAD; Varna Airport Airport Operator - Fraport Twin Star Airport Management; Burgas Airport Airport Operator - Fraport Twin Star Airport Management; Plovdiv Airport Airport Operator - Plovdiv Airport - Sole Owned Stock Company; Gorna Oryahovitza Airport Airport Operator Plovdiv Airport Sole Owned Stock Company. 1.1.6 Aircraft Accident Investigation Unit (AAIU) - Incidents and accidents investigations, collection, evaluation and processing of data. The ATM accident and serious incident investigations are the responsibility of Aircraft Accident Investigation Unit (AAIU) under the supervision of the Ministry of Transport, Information Technology and Communications. This specialised unit is directly responsible infront of the Minister of Transport, IT and Communications and is organisationally and functionally separated from DGCAA in accordance with the Article 16d of Civil Aviation Act. NSA Handbook Part I, ed.3/2015 14

1.2 DANUBE FAB On 26 February 2010 Republic of Bulgaria and Romania signed a Memorandum of Understanding on cooperation in Air Navigation Services provision matters and for the establishment of a Functional Airspace Block, comprising the national airspace of the Republic of Bulgaria, the national airspace of Romania and the airspace included in the scope of the international legal obligations of the Republic of Bulgaria and Romania (DANUBE FAB). The following Agreements are developed for the establishment and operation of DANUBE FAB: It was terminated on 16 November 2012 with the entry into force of Agreement on the establishment of the DANUBE FAB between the Republic of Bulgaria and Romania State level Agreement. According to it the main bodies in the structure of the FAB are Governing Council, NSA Board and ANSP Board. NSA-NSA Cooperation Agreement signed on 16.11.2012 - arrangements between the national supervisory authorities in the functional airspace block; ANSPs Agreement signed on 15.11.2012 - the arrangements between the air traffic service providers in the functional airspace block; 1.2.1 Basic objectives of the DANUBE FAB Project The basic objectives of the Project are: Harmonisation of rules and procedures for air navigation services in the airspace of Bulgaria and Romania; Establishment of joint airspace organisation regardless of national borders, based on the interoperability of automated air traffic management systems, communications, navigation and surveillance. Implementation of a single concept for civil-military coordination for the flexible use of airspace, aiming to optimise Special Use Area utilisation and to ensure maximum airspace capacity. This concept shall ensure where deemed feasible an establishment of cross-border areas to be used jointly by the Armed Forces of both States. 1.2.2 Stages of the DANUBE FAB Project Phase 1 Feasibility Study Phase (consisting of two stages), completed Phase 2 Preliminary Design Phase (2009-2010) Phase 3 Detailed Design and Pre-Implementation Phase (2011-2012) Phase 4 Implementation Phase (2012+) NSA Handbook Part I, ed.3/2015 15

Chapter 2 - Legislative Framework The NSA Handbook takes into consideration the Bulgarian national legislation, the provisions of the Chicago Convention and the relevant Annexes to the Convention, the EU Single European Sky (SES) regulations and Common Requirements and other relevant EU legislation, and associated advisory and/or guidance material. 2.1 International legislation 2.1.1 ICAO Provisions The Convention on International Civil Aviation (commonly known as the Chicago Convention) was signed at Chicago on 07 December 1944 by 52 States setting up the International Civil Aviation Organisation. This convention has been ratified by Republic of Bulgaria since June 8 th 1968. In application of Article 28 of the Chicago Convention, the Contracting States are responsible for the provision of air navigation facilities and services in accordance with the international Standards and Recommended Practices (SARPs) set for international civil aviation. These SARPs are provided in 18 Annexes to the Convention. (See Annex 3 to Part I to this handbook) 2.1.2 EU legislation European Union (EU) law created under the TFEU (Treaty for functioning of the European Union) sets up the EU Single European Sky (SES) legislation - SES I and SES II and SES II + packages. SES I package - with the adoption of SES I, the EU assumed exclusive competence in ATM/ANS aiming at optimum use of European airspace, with beneficial consequences as regards air traffic delays and growth, improved and reinforced safety and with airspace being designed on the basis of traffic flows instead of national frontiers. SES I consists of 4 (EC) Regulations, into force in April 2004, commonly considered as the basic regulations for the creation of the Single European Sky. EC Regulation No 549/2004 laying down the framework for the creation of the single European sky (the framework Regulation); EC Regulation No 550/2004 on the provision of air navigation services in the single European sky (the service provision Regulation); EC Regulation No 551/2004 on the organisation and use of the airspace in the single European sky (the airspace Regulation); EC Regulation No 552/2004 on the interoperability of the European Air Traffic Management network (the interoperability Regulation). The general regulatory framework of the Single European Sky is completed by more specific and detailed implementing rules (IRs). SES package II -adopted by the European Parliament and the Council in October 2009 has amended all four of the basic regulations. The amendment has given the European Air Safety Agency (EASA) the responsibility for rule preparation and to a certain extent for certification and safety oversight as well as for standardisation inspections and directs the implementation of new technologies in ATM/ANS. In addition it NSA Handbook Part I, ed.3/2015 16

established a Performance scheme for the SES. The Performance scheme aims to contribute to the sustainable development of the air transport system and to improve the overall performance of air traffic management (ATM) and air navigation services (ANS) for general air traffic in Europe, with a view to meeting the requirements of all airspace users Figure 2. Regulatory timeline SES II+ Package expected in present moment and is to be further developed. 2.2 National Legislation Civil Aviation Act This Act governs all public relations pertaining to civil air navigation in the Republic of Bulgaria as well as to ensuring its safety and security. Article 8 (1) of the Civil Aviation Act empowers the Minister of Transport (MoT) with the management and control of civil aviation, civil aircraft and aeronautical facilities within the Republic of Bulgaria, while Article 16 (a) details the Minister s duties. Article 8 (2) empowers the Directorate General Civil Aviation Administration (DGCAA) as the authority to fulfil the Minister s tasks. Articles 16 (b) - (k) detail the DGCAA duties, including the roles and responsibilities for supervision of the civil aviation system as the NSA. NSA Handbook Part I, ed.3/2015 17

Article 16c (1) The Directorate General Civil Aviation Administration is a national supervising authority with regard to the safe and effective operation of air navigation services providers. In performing its functions, the national authority shall be independent from the air navigation services providers. Chapter 13 Administrative and Penal Provisions. Consequently, the Directorate General Civil Aviation Administration (DGCAA) of the Republic of Bulgaria has been designated by Law as the National Supervisory Authority of Air Navigation Services of the Republic of Bulgaria. This ensures that the provisions in Article 4 of the EC Regulation 549/2004 are fulfilled. A detailed list of the related International and Bulgarian national regulatory framework is given in Annex 3 to Part I of this handbook. NSA Handbook Part I, ed.3/2015 18

Chapter 3 - NSA Policies and Strategic Planning 3.1 Mission Basic task of DGCAA as NSA is to ensure an adequate environment for the safe and secure provision of air traffic management in the Republic of Bulgaria. This task is accomplished by applying the necessary safety regulations in accordance with ICAO, EU and EASA international standards and performing safety oversight over application of defined regulatory standards. The Bulgarian NSA is committed to developing, implementing, maintaining and constantly improving strategies and processes to ensure that all aviation activities that take place under its oversight will achieve the highest level of all key performance areas, while meeting both national and international standards. NSA acts as public services to all stakeholders in aviation who enforces, assists and enables all involved entities to fulfil required standards of operation, and consequently to increase the level of safety standard in flight operations. NSA actively participates and cooperates in international organisations and bodies, taking into account national interests of Bulgaria, its companies and citizens, having in mind that safety of civil aviation is first and foremost. 3.2 Vision NSA carries its responsibilities consistently and effectively. Within the Civil Aviation community, DGCAA aims to be a reliable and trustworthy National Supervisory Authority promoting and assuring aviation safety and security in the region. NSA will be learning organisation that constantly changes and improves its performance. All available resources and technologies will be utilised to optimise internal processes and increase quality of its services. Special attention and care will be given to professional growth of NSA employees. Each NSA employee shall be given proper work environment and will be continuously trained adequately to perform his/her duties. 3.3 Strategy In order to fulfil its mission and to reach its vision, DGCAA will continuously apply the following strategies to be developed in details: Continuous and systematic training of DGCAA employees to ensure adequate proficiency in each employee s area of work. Cooperation with other authorities, especially on FAB level, in order to standardise DGCAA procedures and achieve synergy effects. Employment of the highest quality personnel that is available on the market. Maintaining of quality management system is foundation on which DGCAA is building its operation. Listening to the Industry needs and provision of seamless service to the Industry to foster efforts towards improvement of flight safety. 3.3.1 Strategic and secondary (medium level) objectives. NSA Handbook Part I, ed.3/2015 19

The DGCAA must conduct all its business in a manner which is impartial and seen to be impartial: Establish an agreed set of ethical principles for the conduct of the Administration's business Promote and maintain confidence and trust in the Administration. Prevent the development or acceptance of unethical practices in the Administration. 3.3.2 Safety policy Within the DGCAA safety has the highest priority. Safety is afforded the highest priority over commercial, operational, environmental or social pressures. The Bulgarian DGCAA is committed to developing, implementing, maintaining and constantly improving strategies and processes to ensure that all aviation activities that take place under its oversight will achieve the highest level of safety performance, while meeting both national and international standards. The DGCAA commits to implementing and maintaining an effective, formal and proactive Safety Management System in accordance with requirements dictated by the international aviation standards. Our aspiration now is to comply with all applicable safety regulatory requirements and to strive, whenever practical, to go beyond compliance and ensure that we operate to the highest international safety standards. 3.3.3 Quality Policy Statement Bulgarian DGCAA is committed to deliver high quality service to the aviation stakeholders and by this, providing full compliance with prescribed aviation safety regulations according to ISO 9001:2008. It is responsibility of every employee of DGCAA, including management, at all times, to perform her/his duty in full compliance with documented procedures set in this and subordinated manuals and in full compliance with applicable regulations. No employee of DGCAA should ever be content and satisfied with level of quality achieved. Things can always be done better. Changes shall not be treated as occasional challenge; they should be the way of living. Risk awareness and proper systematic risk assessment are cornerstones of making Safety promoting decisions. All documented procedures should be developed utilizing risk management techniques. 3.3.4 Other domain strategies DG CAA contributes to the international development of airspace arrangements and ensures national policies and plans are consistent with EC and ICAO and other international programmes to which Bulgaria is committed, wherever appropriate. NSA Handbook Part I, ed.3/2015 20

Chapter 4 NSA Functions The NSA functions are the supervision of SESI/SES II and SES II + requirements applicable to the supervision of ATM/ANS to general air traffic. The NSA is a set of supervision functions which as described below the Bulgarian NSA is carrying out. Following the EUROCONTROL Guidelines for the Handbook Development the functions are grouped into three main categories: Management; Oversight; Support. 4.1 Management Figure 6. NSA Functions 4.1.1 The Management responsibilities The Management functions are well structured with the development of the NSA Handbook which is a life document and should be updated regularly. NSA Handbook Part I, ed.3/2015 21

The Managerial tasks of the Bulgarian NSA are given in detail in Chapter 5 to this Handbook. 4.1.2 Development of NSA business plan. By means of the strategic business plan the NSA is able to plan and manage its objectives, to allocate optimally its often scarce resources and to secure budget and funding sources to address operations, future needs and strategies. The NSA is able as well to understand and evaluate better the Business Plan of the ANSP as part of the supervision process. 4.1.3 High level management performance. Establishment of an efficient quality management and control, employee culture, quality policies, good environment for staff improvement, management review. An established Quality Management System (QMS) by the DG CAA is effectively working. 4.1.4 Efficient Project management. This concerns the internal NSA projects for planning, monitoring, control of projects and reporting. 4.2 Oversight. The oversight functions apply to the following processes: ANSP certification ANSP on going oversight Training organisation certification and oversight ANSP designation support actions Qualified entities management Peer reviews Performance plan OVERSIGHT FUNCTION RESULTING NSA TASKS NSA Handbook Part I, ed.3/2015 22

4.2.1 Certification of ANSP. DGCAA/NSA has developed and implemented a documented procedure to be followed during the certification of a service provider. The procedure is based on the EUROCONTROL Guidelines for Certification Process and adapted to the Bulgarian certification practice. The ANSP Certification process stages are: Application and preparation for initial certificate, renewal or changes to the certificate; Assessment and compliance; Certification. The ANSP certification includes an initial oversight of the ANSP against the Common requirements and other particular requirements coming from associated EC regulations. According to the EC regulation No 550/2004 1, Article 7 concerning certification of ANSPs: 1. The provision of all air navigation services within the Community shall be subject to certification by Member States. 2. Applications for certification shall be submitted to the national supervisory authority of the Member State where the applicant has its principal place of operation and, if any, its registered office. 3. National supervisory authorities shall issue certificates to air navigation service providers where they comply with the common requirements referred to in Article 6. Certificates may be issued individually for each type of air navigation service as defined in Article 2 of the framework Regulation, or for a bundle of such services, inter alia, where a provider of air traffic services, whatever its legal status, operates and maintains its own communication, navigation and surveillance systems. The certificates shall be checked on a regular basis. 4. Certificates shall specify the rights and obligations of air navigation service providers, including non-discriminatory access to services for airspace users, with particular regard to safety. Certification may be subject only to the conditions set out in Annex 2 to this Regulation. Such conditions shall be objectively justified, non-discriminatory, proportionate and transparent. 5. Notwithstanding paragraph 1, Member States may allow the provision of air navigation services in all or part of the airspace under their responsibility without certification in cases where the provider of such services offers them primarily to aircraft movements other than general air traffic. In those cases, the Member State concerned shall inform the Commission and the other Member States of its decision and of the measures taken to ensure maximum compliance with the common requirements. 1 As amended by EC No 1070/2009 NSA Handbook Part I, ed.3/2015 23

6. Without prejudice to Articles 8 and 9, the issue of certificates shall confer on air navigation service providers the possibility of offering their services to Member States, other air navigation service providers, airspace users and airports within the Community. 7. National supervisory authorities shall monitor compliance with the common requirements and with the conditions attached to the certificates. Details of such monitoring shall be included in the annual reports to be submitted by Member States pursuant to Article 12(1) of the framework Regulation. If a national supervisory authority finds that the holder of a certificate no longer satisfies such requirements or conditions, it shall take appropriate measures while ensuring continuity of services on condition that safety is not compromised. Such measures may include the revocation of the certificate. 8. A Member State shall recognise any certificate issued in another Member State in accordance with this Article. Full description of the Certification process performed by the DGCAA/NSA is given in Chapter 1, Part II. 4.2.3 On-going oversight of the ANSP The core activities of the NSA. The ANSP oversight functions cover the nine 9 areas of the Common requirements (CR) as well as the five 5 domains: ASM, ATFM, IOP, performance, training organisations as described in the following figure. Technical and operational competence and capacity Organisational structure and management Safety and quality management Security Human resources Airspace (2150/2005) Flow Management (255/2010) Performance (691/10) Financial strenght Quality of services Liability and insurance cover Interoperability (552/2004) Training organisations certification and oversight (805/2011) Reporting requirements COMMON REQUIREMENTS FOR SERVICE PROVISION (1035/2011) OTHER AREAS BY REGULATIONS AREAS OF ANSP OVERSIGHT BY THE NSA NSA Handbook Part I, ed.3/2015 24

ANSP s Common requirements (CRs) The EC Regulation No 1035/2011 laying down common requirements for the provision of air navigation services specifies in detail the conditions and quality of services to be provides by all ANSPs (ATS, MET, AIS, CNS). The provision of air navigation services within the Community are subject to certification by Member States. Air navigation service providers which comply with the common requirements receive a certificate in accordance with Article 7 of Regulation (EC) No 550/2004. Those air navigation service providers which may operate without a certificate should endeavour to ensure maximum compliance with the common requirements as far as their legal status allows. The different types of air navigation services are not necessarily subject to the same requirements. Therefore the common requirements are adjusted to the special features of each type of service. According to the 1035/2011 Art. 5.1, a national supervisory authority may grant specific derogations to applicants who fulfil the criteria of paragraph 1, commensurately with their contribution to air traffic management in the airspace under the responsibility of the Member State. Also in line with 1035/2011 Art. 6, the national supervisory authority shall require the ANSP to take corrective action and check that the corrective action has been implemented before notifying its approval to the relevant air navigation service provider. Where the national supervisory authority considers that corrective action has not been properly implemented within the agreed timetable, it shall take appropriate enforcement measures in accordance with Article 7(7) of Regulation (EC) No 550/2004 and Article 9 of Regulation (EC) No 549/2004 while taking into account the need to ensure the continuity of services and the provisions of the Civil Aviation Act. Reg. 1035/2011 Art. 6 provides empowerment to NSA personnel to perform the following acts: to examine the relevant records, data, procedures and any other material relevant to the provision of air navigation services; to take copies of or extracts from such records, data, procedures and other material; to ask for an oral explanation on site; to enter relevant premises, lands or means of transport. According to 1035/2011 Art. 8, the national supervisory authority shall establish and update annually an indicative inspection plan covering all the providers it has certified and based on an assessment of the risks associated with the different operations constituting the services provided. It shall consult the air navigation service providers concerned as well as any other national supervisory authority concerned, if appropriate, before establishing such a programme. NSA Handbook Part I, ed.3/2015 25

4.2.3 Training Organisations - Certification and Oversight According to the EC Reg. 2015/340 laying down technical requirements and administrative procedures relating to air traffic controllers' licences and certificates pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council, amending Commission Implementing Regulation (EU) No 923/2012 and repealing Commission Regulation (EU) No 805/2011: 1. Applications for training organisation certification shall be submitted to DGCAA/NSA in accordance with the procedure established by DGCAA. 2. Training organisations shall demonstrate by evidence that they are adequately staffed and equipped and operate in an environment suitable for the provision of the training necessary to obtain or maintain student air traffic controller licences and air traffic controller licences. 3. Training organisations shall grant access to any person authorised by the competent authority to the relevant premises in order to examine the relevant records, data, procedures and any other material relevant to the execution of the tasks of the competent authority. 4. In order to ensure the levels of competence indispensable for air traffic controllers in order for them to perform their work to high safety standards, the competent authorities shall supervise and monitor their training. 5. The tasks of the competent authorities shall include (2015/340 Annex II ATCO.AR.A.010): (1) the issue, suspension and revocation of licences, ratings, endorsements and of medical certificates; (2) the issue of temporary OJTI authorisations according to ATCO.C.025; (3) the issue of temporary assessor authorisations according to ATCO.C.065; (4)the revalidation and renewal of endorsements; (5)the revalidation, renewal and limitation of medical certificates following referral by the AME or AeMC; (6)the issue, revalidation, renewal, suspension, revocation, limitation and change of aero-medical examiner certificates; (7)the issue, suspension, revocation and limitation of training organisation certificates and of the certificates of aero-medical centres; (8)the approval of training courses, plans and unit competence schemes, as well as assessment methods; NSA Handbook Part I, ed.3/2015 26

(9)the approval of the assessment method for the demonstration of language proficiency and the establishment of requirements applicable to language assessment bodies according to ATCO.B.040; (10)the approval of the need for the extended level (level five) language proficiency in accordance with ATCO.B.030(d); (11)the monitoring of training organisations, including their training courses and plans; (12)the approval and monitoring of the unit competence schemes; (13)the establishment of appropriate appeal procedures and notification mechanisms; (14)facilitating the recognition and exchange of licences, including the transfer of the records of air traffic controllers and return of the old licence to the issuing competent authority according to ATCO.A.010; (15)facilitating the recognition of training organisation certificates and course approvals. Annex II 2015/340 REQUIREMENTS FOR COMPETENT AUTHORITIES fully dedicated for the role and responsibilities of the competent authority, here NSA. is 4.2.4 Designation of ANSP According to the EC regulation No 550/2004, Article 8 concerning the designation of air navigation service provider. There are three major players in the process of designation: 1. The Member State obliged to designate at least one ATSP in the airspace of its responsibility; 2. The NSA to support the Member State and 3. The applicant ANSP or METSP. The Designation is responsibility of the State, not the NSA. Member States shall ensure the provision of air traffic services on an exclusive basis within specific airspace blocks in respect of the airspace under their responsibility. For this purpose, Member States shall designate an air traffic service provider holding a valid certificate in the Community. The role and responsibility of the NSA is to assist the State during the designation process of a certified ANSP (ATS, MET) in: setting the process to apply the Member State s promulgated procedure regarding designation; securing resources and scheduling the necessary tasks; NSA Handbook Part I, ed.3/2015 27

determining the appropriate rights, obligations and conditions governing the designation; advising, informing and reporting to the Member State s competent authority throughout the process of designation; proposing means of supervision and ensuring on-going compliance of the designated service provider. The Bulgarian NSA is using the promulgated procedure fully in line with the provisions of Reg. (EC) No 1070/2009 of the European Parliament and of the Council of 21 October 2009, which amends Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004 and (EC) No 552/2004. Full description of the Designation process and the role of the DGCAA/NSA is given in Chapter 2, Part II. 4.2.5 Qualified Entities (QE) According to the EC Reg. No.550/2004-SPR, Article 3 is concerning qualified entities to assist in performing inspections and surveys of certified ANSP and Training organisation: 1. NSAs may decide to delegate in full or in part the inspections and surveys referred to in Article 2(2) to qualified entities that fulfil the requirements set out in Annex I.2 of SPR. 2. Such a delegation granted by a NSA shall be valid within the Community for a renewable period of three years. NSAs may instruct any of the qualified entities located in the Community to undertake these inspections and surveys. The NSA makes assessment of those organisations for initial and continues compliance with the applicable requirements. The QE process stages are: Application and preparation; Application handling; Assessment of compliance; Resolution of non-conformities; Issue of recognition; Maintenance of records, changes needed for recognition. None of the NSA tasks are delegated by DGCAA to QEs. 4.2.6 Performance Plans (PP) Commission Implementing Regulation (EU) No 390/2013 of 3 May 2013 laying down a performance scheme for air navigation services and network functions requires: NSA Handbook Part I, ed.3/2015 28

The national supervisory authorities shall be responsible for the drawing up of the performance plans, the performance oversight and the monitoring of performance plans and targets. In carrying out these tasks, they shall act impartially, independently and transparently. Article 4(1) of this regulation. Accorging to Article 11 of (EU) No 390/2013 1.The national supervisory authorities, at functional airspace block level, shall draw up performance plans containing targets consistent with the Union-wide performance targets and the assessment criteria set out in Annex IV. Without prejudice to the template set out in Annex II, the performance plan may include different sections relating to the local level, namely functional airspace block, national, charging zone and airport. 2. To support the preparation of the performance plans national supervisory authorities shall ensure that: (a) air navigation service providers submit their business plans to the national supervisory authorities; (b) stakeholders are consulted on the performance plan and targets in accordance with Article 10 of Regulation (EC) No 549/2004. Adequate information shall be provided to stakeholders at least three weeks prior to the consultation meeting. 3. The performance plans shall contain, in particular: (a) the traffic forecast, expressed in service units, to be provided for each year of the reference period, at functional airspace block level and for each charging zone in the functional airspace block, with a justification of the figures used; (b) the determined costs for air navigation services for each year of the reference period and for each charging zone in accordance with the provisions of Article 15(2)(a) and (b) of Regulation (EC) No 550/2004; (c) a description of investment, including that necessary to achieve the performance targets, detailing their relevance in relation with the European ATM Master Plan, the Network Strategy Plan and the common projects referred to in Article 15a(3) of Regulation (EC) No 550/2004. This description shall highlight the benefits and synergies achieved at functional airspace block level; (d) performance targets in each relevant key performance area, set by reference to each key performance indicator, for the entire reference period, with annual values to be used for monitoring and incentive purposes; (e) consideration of the interdependencies between key performance areas, including an evaluation of the impact on safety of the performance plan with any mitigation required to maintain safety assurance; NSA Handbook Part I, ed.3/2015 29

(f) a description of the civil-military dimension of the plan describing the performance of flexible use of airspace (FUA) application in order to increase capacity with due regard to military mission effectiveness, and, if deemed appropriate, relevant performance indicators and targets in consistency with other indicators and targets of the performance plan; (g) a description and justification of how the performance targets referred to in point (d) reconcile with and contribute to the Union-wide performance targets and the performance of the European ATM network; (h) an identification of each air navigation service provider concerned and its specific contribution to meeting the targets, monitored for reasons of transparency at the most appropriate level as referred to in Article 5(2)(c)(ii); (i) a description of the incentive mechanisms to be applied on the air navigation service providers concerned to encourage achievement of the targets over the reference period; (j) the measures taken by the national supervisory authorities to monitor achievement of the performance targets; (k) a description of the outcome of the stakeholder consul tation, including the issues raised by the participants and the actions agreed upon. 4. The performance plans shall be based on the template set out in Annex II and may, if the Member States so decide in application of Article 9(6), contain additional indicators with associated targets. 5. The NSAs, at national or functional airspace block level, and the Commission shall monitor the implementation of the performance plans. If during the reference period targets are not met, the NSAs shall apply the appropriate measures defined in the performance plan with a view to rectifying the situation. For this purpose the annual values in the performance plan shall be used. 6. Where the Commission witnesses a significant and persistent drop in performance in a Member State or a functional airspace block, affecting other States parties to the single European sky and/or the entire European airspace, it may request the Member States concerned and national or functional airspace block supervisory authority or body concerned to define, apply and communicate to the Commission appropriate measures to achieve the targets set in their performance plan. 7. The Member States shall report to the Commission on the monitoring by their national or functional airspace block supervisory authorities of the performance plans and targets at least on an annual basis and when performance targets risk not being achieved. The Commission shall report to the Single Sky Committee on the achievement of performance targets at least on an annual basis. NSA oversight processes and procedures are described in details in Part II. NSA Handbook Part I, ed.3/2015 30

4.3 Supportive functions 4.3.1 Administrative and legal support. The administrative and legal support function includes the following activities, but not limited to: Secretarial; Statistics; Documentation management; Public relations; Legal support; Agreements; Internal and external reporting; IT support; Facilities management etc. 4.3.2 Financial support. The financial support includes the following activities, but not limited to: Budgeting; Accounting Charges and fees; Financial record and Invoicing; Contracts with suppliers; Payments Business plans etc. 4.3.3 Human resources (HR). The human resources sub-function covers the following activities, but not limited to: Manpower planning; Job analysis; Recruitment and selection; Training and career development; Improvement systems; Performance management; Compensations and benefits Employee relations; Retention and motivation; Equality and diversity; Culture, change and OB etc. NSA Handbook Part I, ed.3/2015 31

4.3.4 External relations. The external relations are covered by, not limited: participation in international or national forums; cooperation with other NSAs; FAB activities; Coordination with International organisations; Coordination with military authorities; Communications with stakeholders etc. 4.3.5 Guidelines and support to rule-making. The NSA activities to support rule-making is in the following domains, not limited: Supports the State in drafting related national legislation; New EC or national legislation study and take appropriate actions; Guidelines NSA draft Guidelines applicable by the ANSP; Safety directives NSA develop and issue Directives etc. NSA Handbook Part I, ed.3/2015 32

Chapter 5 - Organisational Structure, responsibilities and tasks 5.1 DGCAA/NSA organisational Structure The activity of the DGCAA is realized in accordance with the requirements of the international agreements in the field of civil aviation to which the Republic of Bulgaria is a party, the CA Act and the secondary legislation connected with it and the acts of the Minister of Transport, IT and Communications. The competency of the DGCAA extends over: the civil aviation and airspace of the Republic of Bulgaria including over its internal and territorial waters; the civil aircraft registered in the Republic of Bulgaria and their crews; all physical and legal entities performing activities in the field of civil aviation regulated by the Civil Aviation Act and the acts for its application, including abroad. DGCAA is organised in three directorates and has regional centres located at the international airports. The Directorates are: Aviation Safety Directorate Airports, Aviation Security and Air Navigation Services Directorate Administrative, Legal Services and Financial Directorate The structure of DGCAA and the divisions in the directorates are given below. Figure 3.Organisational Structure of DGCAA/NSA NSA Handbook Part I, ed.3/2015 33