HELLENIC AIR NAVIGATION SUPERVISORY AUTHORITY

Configuration Management And Document Control Process

Edition Number Edition Date Status

: 2.0 : 24 April 2012 : Approved

DOCUMENT IDENTIFICATION SHEET

DOCUMENT DESCRIPTION Document Title

HANSA
Configuration Management And Document Control Process
PROGRAMME REFERENCE INDEX: EDITION: EDITION DATE: Abstract The HANSA requires a Configuration Management System to be put in place that efficiently controls the documentation produced or received by the HANSA as part of its functioning. This process defines the steps to be followed by personnel of the National Supervisory Authority when reviewing configuration items (CIs), either produced by the HANSA or received from a third party (for example as part of an application for certification). Keywords 2.0 24 April 2012

CONTACT PERSON:

M.Panagiotopoulos

TEL: 210 8984 101

UNIT:HANSA SECTION C Planning, Legal support & International Relations

DOCUMENT STATUS AND TYPE STATUS Working Draft Draft Proposed Issue Released Issue General Public EATMP Restricted CLASSIFICATION

ELECTRONIC BACKUP INTERNAL REFERENCE NAME: HOST SYSTEM Type: Media Identification: MEDIA SOFTWARE MS WORD 2007

Configuration Management And Document Control Process

DOCUMENT APPROVAL The following table identifies the persons who have developed the document as well as all authorities who have successively approved the present issue of this document.

AUTHORITY

NAME AND SIGNATURE

DATE

HANSA DIRECTOR

Michael Panagiotopoulos

24 April 2012

AUTHOR OF THE PROCESS Head of the Certification and Service Provision oversight for Air Traffic, Meteorology & Aeronautical Information Section

Evangelos Malikoutis

24 April 2012

Configuration Management And Document Control Process

TABLE OF CONTENTS
Introduction 5 1.1 Purpose ....................................................................................................................................................5 1.2 Intended Audience ...................................................................................................................................5 1.3 Document Structure.................................................................................................................................5 2 Scope 5 3 Context 6 3.1 Mission Statement ...................................................................................................................................6 3.2 Overall View .............................................................................................................................................6 3.3 Relation to other processes .....................................................................................................................6 3.4 Terminology .............................................................................................................................................7 3.5 Roles.........................................................................................................................................................8 4 Configuration management PROCESSES 8 4.1 Triggers.....................................................................................................................................................8 The need to develop or formally review a configuration item produced within the HANSA or sent to the HANSA by a third party........................................................................................................................................8 4.2 Activities-Steps.........................................................................................................................................8 4.2.1 Responsibilities.................................................................................................................................8 4.2.2 Configuration Management Processes and Practices .................................................................10 4.2.3 Configuration Management Government Requirements ...........................................................12 4.2.4 Document Review Process .............................................................................................................12 4.2.5 Review Internal HANSA documentation .....................................................................................12 4.2.6 Review Third party documentation.............................................................................................13 4.2.7 Document Review Form.................................................................................................................14 4.2.8 Identification, versioning and labelling ..........................................................................................15 4.2.9 Exemptions.....................................................................................................................................19 4.2.10 Implementation..........................................................................................................................19 1

REFERENCE DOCUMENTS GLOSSARY 22 CHANGE RECORD 23 ANNEX 1 24

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1.1

Introduction
Purpose

The purpose of this process is to define the steps to be followed when performing a formal review of a configuration item produced within the HANSA or sent to the HANSA by a third party. The process shall ensure that the HANSA documents in a systematic and consistent manner and establishes a consistent trace of how review comments have been resolved. This process shall apply to any configuration item subject to formal HANSA review. The HANSA quality manager allocated in the SQS Oversight Section is responsible for auditing the application of this process. Furthermore, the HANSA quality manager shall monitor the need for updating the process in order to avoid recurring problems, to correct misleading or inaccurate descriptions etc. The Head of the Planning, Legal Support and International Relations section is responsible for the process being introduced into the HANSA organization and making sure it is applied throughout the different management levels of the HANSA.

1.2 Intended Audience The audience of this document is potentially the HANSA and the HCAA ANSP staff. 1.3 Document Structure

This document is structured as follows: 1. Introduction; 2. Scope; 3. Context; 4. Configuration Management Process Reference Docs; Glossary; Change record; Annexes

Scope

The proper functioning of the HANSA is based on a well-established set of regulations and processes. As the impact of such regulations on external organisations can have paramount importance for their continued existence, the HANSA is obliged to implement a strict configuration management system which ensures that the necessary approval is obtained prior to the release of any documentation and that subsequent changes are controlled with equal care. The HANSA shall be able to produce in all cases the latest, approved version of any official document, together with a trace of the revision history.

Configuration Management And Document Control Process

For this purpose the HANSA has established a set of configuration management processes and practices the configuration management system, which shall be applied for the production, release and control of documentation related to its work, internal or external. This document, among others, includes a general introduction to the configuration management system implemented in the HANSA and gives applicable references to associated processes and instructions.

3
3.1

Context
Mission Statement This process defines the steps to be followed when performing a formal review of a configuration item produced within the HANSA or sent to the HANSA by a third party.

3.2 Overall View The Configuration Management System (CMS) includes three main components:
1. Configuration management processes and practices describing the day-to-day practical aspects of configuration management within the HANSA. This includes for example processes related to: a. Identification, versioning and labelling of documentation; b. Documentation archiving and retrieval; c. Classification of documentation handling of commercially sensitive information; d. Document Review. 2. Configuration Management tools, specifying which manual or automated tools are to be used when producing configuration items to be controlled. This includes for example tools related to: a. Establishing a text document, spreadsheets, sending and received mails or other tools for office automation; b. Control of data for licenses, certificates, etc.; c. Control of archives, including documents in hard copy or soft copy;

3. Processes and practices to be applied by the HANSA. Tools which have been authorised for use within the HANSA are defined in the following sub-process: Configuration Management Tools and their Use. This document also describes which tools are to be used for each type of work. 3.3 Relation to other processes

All processes.

Configuration Management And Document Control Process

3.4
ANS

Terminology
Air Navigation Services means air traffic services (ATS), communication, navigation & surveillance services (CNS), aeronautical information services (AIS) and meteorological services for air navigation (MET) Air Navigation Service Provider. means any public or private entity providing air navigation services for general air traffic AirSpace Management. A planning function with the primary objective of maximising the utilisation of available airspace by dynamic time-sharing and, at times, the segregation of airspace among various categories of airspace users on the basis of short-term needs Air Traffic Control (ATC) service means Area Control service (ACC), Approach control service (APP) or aerodrome control service (TWR) Air Traffic Flow Management. A function established with the objective of contributing to a safe, orderly and expeditious flow of air traffic by ensuring that ATC capacity is utilised to the maximum extent possible, and that the traffic volume is compatible with the capacities declared by the appropriate air traffic service providers Air Traffic Management. The aggregation of the airborne and ground-based functions (Air Traffic Services (ATS), AirSpace Management (ASM) function and Air Traffic Flow Management (ATFM) function) required to ensure the safe and efficient movement of aircraft during all phases of operations The part of the ANS/ATM system composed of a ground based ATM component and an airborne ATM component. The ATM system includes human, technical systems and processes, ATS, ASM & ATFM Air Traffic Services. A generic term meaning variously, Air Traffic Control (ATC) service, Flight Information Service (FIS), Air Traffic Advisory Service, Alerting service A document issued by a Member State in any form complying with national law, which confirms that an ATM service provider meets the requirements for providing a specific service. Action to eliminate or, at least, mitigate- the cause of a detected non-conformity or other undesirable situation. Configuration Item Configuration Manager Configuration Management System The process by which States designate ANSPs to provide Air Traffic Services within specific airspace blocks in respect of the airspace under their responsibility. National Supervisory Authority. A body nominated or established by States, independent of service providers -at least at functional level= and according to the existing regulatory framework, certifying the providers and supervising the implementation of requirements applicable to the provision of ATM/ANS.
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ANSP

ASM

ATC

ATFM

ATM

ATM system

ATS

Constituents

Corrective action CI CM CMS Designation

NSA

Configuration Management And Document Control Process

Process Regulation System Technical system Verification

A set of interrelated or interacting activities which transforms inputs into outputs. The adoption, enactment and implementation of rules for the achievement of stated objectives by those to whom the regulatory process applies. A combination of technical systems, processes and human resources organised to perform a function. The aggregation of airborne and ground-based constituents, as well as space-based equipment that provides support for ATM services for all phases of flight. Confirmation through the provision of objective evidence that specified requirements have been fulfilled.

3.5

Roles Role Description

Responsible for the process being introduced into the HANSA organization and making sure it is applied throughout the different management levels of the HANSA.

Allocated Staff
The Head of the Planning, Legal Support and International Relations section

Responsible for the process being introduced into the HANSA

Responsible for auditing the application of this process .

The HANSA quality manager allocated in the SQS Section

4
4.1

Configuration management PROCESSES

Triggers

The need to develop or formally review a configuration item produced within the HANSA or sent to the HANSA by a third party. 4.2 Activities-Steps

4.2.1 Responsibilities
The configuration management system is established, maintained and supervised by the Planning, Legal Support and International Relations section under the responsibility of the Head of this unit. The Head of this section will act as the project Configuration Manager and has the overall responsibility for the configuration management performed within the HANSA, including: Planning the implementation of an efficient Configuration Management System, including processes and practices to be applied by the HANSA and the manual or automated tools to be used.

Configuration Management And Document Control Process

Monitoring the application of the configuration management system and its processes and practices within the HANSA, identifying the need for additional processes or practices or changes/adjustments to existing processes. Monitoring the efficiency of the operations manual or automated tools used. Plan and prepare the transfer of authority for configuration items from the HANSA to the relevant authorities (e.g. Ministry) in such cases where the documentation was produced by the HANSA but issued by another authority. Planning for the necessary coordination of processes and practices between HANSA and external entities (for example in respect to EC Declaration of Verification of Systems). The Head of the section has the authority to direct the efforts of the configuration management organisation to such activities deemed necessary for fulfilling the configuration management requirements. Also, the Head of the section has the authority to perform the necessary audits and inspections to verify the application of configuration management within the HANSA and issue such directives or instructions necessary to ensure the proper management of any configuration item. When using his authority, the Head of the administrative section shall ensure the necessary coordination with the Head of the HANSA and the Heads of other sections. The responsibility for the day-to-day configuration control will be placed upon the secretariat of the administrative section. These responsibilities include: Only allowing documents that fulfil the configuration management requirements to be introduced into the configuration management system and/or released from such. Maintaining management of the central and/or local libraries (hard or soft), including release of documentation when revisions are to be made by the different sections. Maintaining systems for security related to sensitive documents (including personal details, commercially sensitive information etc.) and which access to such documentation is restricted to authorised personnel only. A system is put in place to train new personnel in the configuration management system and to provide refresher training of/information to existing staff in case of changes to existing processes and practices. Further responsibilities are defined in the specific processes and practices, but will include normal secretarial functions such as: Archiving Copying Filing Security Destruction Release notices etc. The Head of each section is responsible for ensuring that personnel in their section are applying the configuration management system and respecting processes and practices that are to be followed.

Configuration Management And Document Control Process

4.2.2 Configuration Management Processes and Practices

Processes and practices within configuration management consist of a set of rules to be followed when producing and maintaining documentation for the functions in the HANSA. These processes and practices can be divided into two main groups: Processes, which are applicable to all personnel working in the HANSA. These processes define documents identified labelling, versioning, specific layout of the documents review and approval processes, security label of documents, etc.

Processes, which are applicable to personnel performing specific tasks. These processes define documents archiving, retrieval from archives for modifications etc. The main aspects of these processes are described below.

The HANSA will manage many different types of configuration items and there is an initial need for defining which of these items are subject to formal configuration management.
The process lists, which items are to be placed under configuration control. In general, this covers: Formal documentation issued by the HANSA as part of the function and to be used by or provide information to external entities. This covers documentation such as regulations, directives, formal letters, audit plans, audit reports, annual reports, minutes of meetings, certificates, external queries and some of the HANSA processes. Special attention shall be put on Safety Oversight Records as defined in the process. Internal documentation issued by the HANSA as part of the function but for internal purposes only. This covers documentation such as memorandums, formal notices or briefs from the management, minutes of internal meetings, job descriptions, business plans etc. Electronic mails, including attachments, in so far as these items are not already covered by 1 or 2 above. While most mails will not be subject to configuration control, mails which express the views of the HANSA on any subject matter shall be subject to configuration control (also approval and classification). Software, which is used within the HANSA e.g. various software applications for office automation, Windows, software for managing licenses and certificates, etc. The management will mainly ensure that all authorised software is registered together with the license document, documentation packs, configuration files (set-up files as applicable) etc. Hardware used within the HANSA to support different types of software provided to different posts in the HANSA and for administrative purposes. The configuration management will mainly ensure that any piece of hardware is registered as official HANSA property together with equipment numbers, part numbers, etc.

Excluded from the configuration management system are working papers, notes and sketches produced for use within the HANSA only and without substance for the functioning of the HANSA. This also includes internal and external mail communication unless it includes official views, opinions, agreements or other aspects binding for the HANSA. In case of uncertainty regarding whether a particular configuration item shall be controlled, the Head of the administrative section should be consulted. This process defines precisely how different types of documentation shall be designed in respect to layout etc. This mainly covers documentation, which is intended for external use (such as regulations, letters, minutes of meetings, plans and reports etc.) or which is part of the process to be used by the HANSA and which therefore has a formal status.

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The layouts may be extended with an explanation about which sections a document should include and which information should be included in the different sections (skeleton documents). When using office automation tools, the configuration management function will provide the necessary layouts and skeletons in soft copy for use in the different authorised tools. A key feature in any configuration management system is the correct and consistent identification, labelling and versioning of documentation, so documents can be fully recognised and the official status of the document can be seen from the document itself (draft or formally issued document) The identification requires any document, and any page of a document, to clearly state what the particular document covers e.g. a certain regulation, a certain process etc. The process includes a specification of the different types of documentation that can be produced. The identification also includes rules for the naming of soft copies in order to identify the document and its constituents (such as embedded figures, lists etc.). The labelling specifies how the information defining the document shall be presented - partly in the document, partly on any soft copy media - for formal distribution. This also covers how document classification shall be presented in the document and likewise. Versioning includes requirements for the identification of the document; a draft or issue and the sequence of the document in its history. For example versioning works with a format like xx.yy, where xx defines the issue, and yy defines the draft. Version 02.00 is thus the second formal issue of the document, while 02.04 is the fourth draft of an update of the document based on issue 02. This process is the core of a configuration management system and has to be strictly applied throughout the organisation. Use of the standard layouts and skeletons should ensure that this process is applied. The HANSA could obtain information from external sources which includes personal or company confidential information and which may be misused if made available to unauthorised personnel or external entities. For this purpose, a process has been defined for regulating how documentation shall be classified. The classification scheme covers the following groups in general: Public, which means that the document is intended for access from the general public and may even have been produced with the purpose of general distribution for a wider external audience. Unclassified, which means that there is no restriction on the access to the document from within the HANSA, but does not mean that the document is for the general public. It will typically be an internal HANSA document to be used by HANSA personnel for conducting their work. Commercially sensitive, this means that the document includes sensitive information about a commercial enterprise (for example a service provider) and the distribution of the document must be limited. Access to such document is restricted to a certain group of people, even within the HANSA, on a need to know basis. Personal sensitive, which means that the document includes sensitive information about an individual person (for example an air traffic controller) and the distribution of the document shall be limited. Access to such a document is restricted to a very limited group of people, even within the HANSA, and on a need to know basis.

Further details and the exact classification scheme are included in the process.

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Whenever a formal review of a document has to be performed by the HANSA staff the review has to be documented in a formal manner, in a way, which provides not only the original review comment, but also provides the trace of how a review comment has been resolved.

4.2.3 Configuration Management Government Requirements

As a public administration operating under the laws of the Republic of Greece, the HANSA will have to comply with government requirements in respect to official documentation. The requirements have been taken into consideration when designing the HANSA configuration management processes and practices and do not require special attention from personnel (other than the personnel responsible for keeping the configuration management system updated to reflect changes in such government requirements).

4.2.4 Document Review Process Scope

This part describes in detail how configuration items shall be formally reviewed, and how traces are established to document how review comments have been resolved.

Purpose The process of formal review can be initiated in several ways:

The configuration item (regulation, process, etc.) can have been produced within the HANSA and a review has to be performed before it becomes final and ready for approval and formal review. The configuration item (notification of change, including attached documentation, application for certification, including attached documentation) can have been produced by a third party and sent to the NSA with the purpose of having HANSA evaluation, assessment and/or conclusion. Whenever a configuration item is received from a third party, it will be entered into the configuration management system, and sent to the section responsible for the subject matter. Whenever a configuration item is produced within the HANSA and is ready for formal review, it will be sent to the configuration manager for registration. In parallel, the document will be sent by the section responsible for the subject matter to those other sections or staff member who shall review the configuration item, with a request to perform a formal review. The underlying standard for the production of documents, drawings etc. within the HANSA shall be as defined in .., which aims to ensure that the identification, versioning and labelling of the documents are performed.

4.2.5 Review Internal HANSA documentation Whenever a HANSA document is to be subject for formal review, the following steps will apply:
The Author (for HANSA documentation) forwards the configuration item to the Configuration Management function together with a Document Review Form (with the appropriate fields filled in), noting who shall review the configuration item and the deadline for provision of comments. The Author includes a description of the focus of the review, e.g. a review instructions, which also shall guide the reviewers in respect to important matters to be considered, other relevant documentation that should be considered when reviewing the document, etc.

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The Configuration Manager distributes the draft document to assigned reviewers within HANSA together with the Document Review Form, noting the deadline for provision of comments to the draft document. Each reviewer fills in a Document Review Form and returns the Document Review Form to the Configuration Management function before the deadline. Only written comments included in the Document Review Form will be taken into consideration. The Configuration Management function sends all Document Review Forms (one from each reviewer) to the Author for commenting. Prior to sending the Document Review Forms to the HANSA the section may coordinate comments internally, remove duplicate comments, clarify comments, which are ambiguous, inconsistent, incorrect, etc. so that only relevant comments are passed on to the Author. The Author will combine the Document Review Forms into one document including all comments raised against a draft document. The Author will - comment by comment - reply in the Document Review Form noting whether the comment is accepted or rejected (and why). In parallel an updated draft document will be produced to show corrections made. In the event that a comment cannot be accepted, the Author will contact the reviewer and discuss the comment and the reason for its rejection to reach a preliminary agreement. The fill-in Document Review Form and the updated draft document will be sent to the Configuration Management function, who will distribute the documents to the reviewers. Each reviewer will check the Authors reply and the associated updates in the document, and approve or reject the change. In case of rejection it shall be noted why a proposed change is rejected. It may be decided to perform the check on a joint meeting to speed up the process. Once the check has been completed, the Document Review Form will be sent via the Configuration Management function to the Author. The Author shall address any change, which has been rejected and adjust the change in the draft document accordingly. This process will continue until the Author has satisfactorily addressed all comments. Once the changes associated with all the comments have been approved, then the document is ready for approval. The Configuration Management function will send the document to the approving manager for formal approval (signature). Once the approval is returned to the Configuration Management function, the Configuration Management system will be updated, noting for formal approval of the document.

4.2.6 Review Third party documentation Whenever the subject to be reviewed has been prepared by a third party (e.g. a service provider), the following steps will apply:
The Configuration Management function will, upon receipt of the document, register the document in the Configuration Management system, and send the document to the section responsible for the subject matter. The section responsible will prepare a document review form and provide this to the reviewers together with the document. The section will combine the Document Review Forms into one document including all comments raised against a draft document. The section shall coordinate comments internally, remove duplicate comments, clarify comments which are ambiguous, inconsistent and incorrect etc., so only relevant comments are retained. The fill-in Document Review Form will be sent to the Configuration Management function, which includes the document in the Configuration Management system as the formal HANSA response to the particular document.

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The Document Review Form may be sent to the third party for commenting or may be used internally within the HANSA to keep trace of the HANSA view on the document.

4.2.7 Document Review Form

The Document Review Form is presented in Annex 2. The Form consists of three main parts: Revision History, Document Information and Review Comments.

Revision History
The Revision History shall be filled in / updated each time the document is updated. The fields shall be used as follows: The column [Rev] states revision no. of the DRF in any state of the review process, e.g. 00.01. The column [Review date] states date for which the work of the review process was done, e.g. 1995-06-28. The column [Reviewer] contains a concatenation of companys initials, reviewers name and in brackets reviewers initials, e.g. HCAA/REV. The column [Information] contains information for work performed for this revision of the DRF, e.g. First draft, more DRF items added or Response given. The column [Filename] contains filename of the DRF at the appropriate revision of the DRF, e.g. DRF19016.DOC.

Document Information
The Document Information part will normally have been filled in by the party who forwards a document for review. The fields shall be used as follows: The field [Document title] contains the title of the document being under review, e.g. Project Management Plan. If only a part of the document is under review, the field [Volume/Chapter/pages] contains which volume, chapter or pages are being under review, e.g. Volume 1, Chapter 3.2, pages 11-16, 18-44 or n/a. The field [Document no.] contains document number or identifier, e.g. PMP SRFCYP (113). The field [Issue no.] contains the issue number of the document being under review, e.g. 01.01 or draft 2b. The field [Issue date] contains the date of issue for the document being under review in the form of YYYY-MM-DD, alternatively MMM YYYY (e.g. 2010-03-25, alternatively MAR 2010). The field [Filename(s)] contains the filename of document being under review, where such is known.

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Review Comments
This part shall include the actual review comments to the document being reviewed. The fields shall be used as follows: The column [Item no] is a unique number for each DRF item (or row), which is sequential, starting with 1. The column [Reference] contains a description of, which part of the text the comment relates, e.g. - General applies generally for the entire document - 3.2 (1) - 5 (general) - page 4, lines 7-9 - 6.3 (figure) - A1340332311BS - Header applies for chapter 3.2, section 1 applies generally for chapter 5 applies for lines 7 to 9 on page 4 applies for figure in chapter 6.3 applies for a requirement applies for the Header

The column [Reviewer] contains the reviewers initials, as stated in the revision history (see chapter 4.1). The column [Reviewer comments] contains as clearly as possible the statement for the reviewed text. To the extent possible, the reviewer shall state what action should be performed in order to satisfy the reviewer, e.g. This section shall include .... The more imprecise the comment, the more difficult it is to address the comment in an adequate manner. The above four columns are the mandatory information (as for DRF items) required at the first stage of reviewing a document. The remaining three columns are used for updating purposes, tracing which action has been taken on a specific comment. The column [incl. (Y/N)] indicates whether or not the given statement is implemented/taken care of in the updated document. If the Author implements/ takes care of the statement provided, this field would contain a Y, otherwise the field will include a N. The column [Authors response] contains the Authors response to the statement of each DRF item. In case a N has been included in the column before, this column will include the explanation as for why the comment should not be taken into consideration. The column [Reviewers check] indicates the reviewer response to the Authors response. If the reviewer accepts the response given by the Author, this field would contain a YYYY-MM-DD: OK, otherwise the field shall include a statement describing the disagreement. This field will, together with the [Author response], document the discussions held on a particular item. E.g. if the reviewer disagrees with the Author the reviewer will note in his field: YYYY-MM-DD: Statement. If the Author continues to wish to discuss the issue, he will note in his field: YYYY-MM-DD: Statement. This process may continue until an agreement has been achieved1.

4.2.8 Identification, versioning and labelling

This paragraph describes in detail how documents shall be identified, how the version numbering scheme shall be used and how the documents shall be labelled. Identification The identification of a document includes the following attributes: a) b)
1

Document (document type) Document Id

It is recommended, that if an agreement is not achieved in the first round, then a meeting will be held to agree the way forward on remaining comments as the process otherwise may take a considerable amount of time.

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c) File name d) Author e) Approved by f) Date g) Revision nr (version) h) Reference i) Classification The use of these attributes is defined in the following sections.

Document type
The type of the document shall be taken from the list of allowed document types.

Document id
All documents, drawings, plans, schedules etc. produced by HANSA staff, which are not entirely for personal use only, shall be numbered according to HANSA requirements as follows: The format of the identification shall be: <org> <HANSA><number>.<xx>.<tool>. <org> shall be the unit within the project organisation to which the staff member belongs to. The following possibilities exist: MGT HANSA Management OPS Function for Operational Oversight TEC Function for Technical Oversight LEG Function for Legal support and International Relations PER Function for Personnel Licensing, Finance & Training Oversight SQS Function for Safety, Quality and Security Oversight IOP Function for Interoperability Oversight ADM Function for Administrative Support All documents shall start the identification with HANSA, followed by a sequence number which is drawn from the document registry (running number starting with 00001 to 99999). If a document is embedded in a main document, the document shall carry the identification of the main document, with a subordinate number <xx> added, running from 01 to 99, which identifies the embedded document (e.g. a drawing included in the main document). <xx> for the main document will always be <00>. <tool> shall be one of the following acronyms: DOC (Words for Windows) DRW (Designer drawings) MPP (Microsoft Project) MSA (Microsoft Access) PDF (Acrobat reader format) PS (PostScript file, for printing only) PPT (Microsoft Power Point) XLS (Excel) The tools to be used are defined in the associated reference.

File name
The file name of the document shall consist of the following fields from the document identity: <HANSA><number>.<xx>.<tool>.

Author
Author shall include the first and last name of the author responsible for the document, together with the phone number (including the country code) and the e-mail(s) where the author can be reached in case of any problems.

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Approved by
Approved by shall include the staff member who has approved the release of the document. This will normally be one of the following: H/HANSA (Head of HANSA); H/ATS (Head of A Section, Certification & Service Provision Oversight for ATS, AIS & MET); H/CNS (Head of B Section, Certification & Service Provision Oversight for CNS); H/PLI (Head of C Section, Planning, Legal Support & International Relations); H/PLI (Head of D Section, Safety, Quality & Security Oversight); H/HRF (Head of E Section, Human Resources & Financial Oversight); H/IOP (Head of ST Section, Oversight for Interoperability of Systems & Procedures); For documents with only the authors approval, this field shall be left empty. Note: even though there is a review function for any official document being issued, and all formal documentation must be approved by the quality manager in order for it to be officially released by the HANSA, the QM shall not be included in this field. It must be the person with the responsibility for the area in which the document is produced.

Date
Date shall be given in ISO format as YYYY-MM-DD, e.g. 1994-12-24.

Revision
This field shall include the number of the revision.

Reference
This field shall include the document reference, e.g. which segment of the HANSA work the document relates to e.g.: REG for Regulation PRO for Process DIR for Directive CER for Certification APP for Approval ADO for Adoption MEM for Memo REP for Report MIN for Minutes of Meeting AGE for Agenta INV for Invitation MEE for Meeting PLA for Plan REQ for Requirement SPE for Specification

Classification
This field shall state the classification of the document.possible classifications: Commercially Sensitive Personally Sensitive Public Unclassified.

Versioning

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Versioning of documents shall consist of two numbers - the issue number and the draft number - in the format <xx>.<yy>. <xx> is the issue number, which only goes up when a document has been formally approved and released by the HANSA. The issue number starts with 00 and goes up to 99. <yy> is the draft number, which goes up each time the document is updated. The draft number starts with 01 and goes up to 99. When an issue is final and is to be forwarded for approval and release, the author shall change the version number to e.g. 01.00. When a final issue is updated, the first draft version of the document shall be given version number e.g. 01.01 and when released again a new number e.g. 02.00.

Labelling
Labeling relates to media, paper and discs.

Paper
Standard labeling of documents shall be ensured by the use of standard document layouts. This covers the following types of documents: Large documents, with front page, revision history, distribution list, list of contents etc. Small documents, with title and revision history only Letters Faxes Minutes of Meetings Announcements of meetings Document review forms Problem reports Handover notes (for QAR only) Rejection notes (for QAR only) Registration Notes (for QAR only)

Document archive front sheet (for Administration only) Most of the standard documents exist in different versions, depending of the classification of the document e.g. Public. The use hereof is mandatory. Disc or removable storage Discs used for soft copies of formal project documentation shall be labelled with a marker and include the following information: a) Disc number, which shall be in the format <HANSA><org><number> where: b) <org> is the name of the organisation owning the discs, e.g. OPS, TEC, etc. c) <number> is the sequence number of the discs d) Title, which shall give an indication of the content of the discs and may state document type e) Responsible, which shall be the person responsible for the discs (initial only) f) Creation data, which shall be the date of the oldest file on the disc g) Classification, which shall indicate the highest classification of any document stored on the discs Note: classified documents may have specific restrictions as to storage on media other than paper. Document types When selecting the name for the document, the following document types shall be used:
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1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. 17. 18. 19. 20.

Budget Clarification Contract Directive Drawing Handbook Information Instruction List Memo (Memorandum) Minutes (Meeting minutes) Notice Plan (Plan of any kind, e.g. Audit Plan) Process Regulation Report Request Schedule Specification Requirement

4.2.9 Exemptions
The Head of HANSA can grant exemptions from this process. Exemptions will be very limited.

4.2.10 Implementation
This section shall define when the process becomes effective and includes a definition of any transitional arrangements. This process comes into force on the 24 April 2012.

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REFERENCE DOCUMENTS
[1] [2] [3] [4] [5] [6] [7] [8] [9] [10] [11] [12] [13] [14] [15] [16] [17] [18] ESARR 1 Regulation on National ATM Safety Regulatory Framework, by EUROCONTROL EAM 3/GUI 1 ESARR 3 Guidance to ATM Safety Regulators Explanatory Material on ESARR 3 Requirements, issued by EUROCONTROL EAM 3/GUI 2 ESARR 3 Guidance to ATM Safety Regulators Safety Regulatory Aspects of the ESARR 3 Implementation in Small Organisations, issued by EUROCONTROL EAM 3/GUI 3 ESARR 3 Guidance to ATM Safety Regulators ESARR 3 and Related Safety Oversight, issued by EUROCONTROL SRC Policy Doc 3, EUROCONTROL ESARR 3 Use of Safety Management Systems by ATM Services Providers, issued by EUROCONTROL ESARR 2 Safety Regulatory Requirements: Reporting and Assessment of Safety Occurrences in ATM, issued by EUROCONTROL ESARR 4 Risk Assessment and Mitigation in ATM, issued by EUROCONTROL ESARR 5 Safety Regulatory Requirements for ATM Services Providers, issued by EUROCONTROL ESARR 6 Safety Regulatory Requirements for Software ATM, issued by EUROCONTROL EAM 3/AMC Acceptable Means of Compliance with ESARR 3, issued by EUROCONTROL EAM 3/ICAO Consistency between ESARR 3 and ICAO SARPs, issued by EUROCONTROL REGULATION (EC) No 549/2004, The framework Regulation, 10/3/2004 REGULATION (EC) No 550/2004, The service provision Regulation, 10/3/2004 REGULATION (EC) No 551/2004, The airspace regulation, 10/3/2004 REGULATION (EC) No 552/2004, The interoperability Regulation, 10/3/2004 REGULATION (EC) No 2096/2005, Common Requirements for the provision of air navigation services, 20 December 2005 Commission Regulation (EC) 2042/2003 of 20 November 2003 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in those tasks (notably the drafting has considered Annex II, Part-145) EASA Organisations Certification Process, adopted on 3 February 2004 by means of the EASA Management Board Decision 3-2004 concerning the general principles related to certification processes to be applied by the EASA Agency for issuing certificates for organisations. IAF Guidance on the Application of ISO/IEC Guide 66, Issue 2, Dec. 2001 EUROCONTROL EAM 1/GUI 1, Edition 1.0 EUROCONTROL EAM 1/GUI 3, Edition 0.1 EUROCONTROL ESARR 2, Edition 2.0 EUROCONTROL EAM 2/GUI 1, Edition 1.0 EUROCONTROL EAM 2/GUI 4, Edition 1.0 EUROCONTROL EAM 2/GUI 5, Edition 1.0
20

[19]

[20] [21] [22] [23] [24] [25] [26]

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[27] [28] [29] [30] [31] [32] [33] [34] [35] [36]

EUROCONTROL EAM 2/COD 1, Edition 3.0 EUROCONTROL EAM2/COD 2, Edition 2.0 EUROCONTROL EAM 4/GUI 1, Edition 1.1 (Draft) EUROCONTROL EAM 4/GUI 2, Edition 2.0 EUROCONTROL EAM 4/GUI 4, Edition 1.0 EUROCONTROL EAM 5/GUI 1, Edition 1.0 EUROCONTROL EAM 5/GUI 3, Edition 1.0 EUROCONTROL EAM 5/GUI 4, Edition 1.0 EU Council Directive 94/56/EC, 21 November 1994 EU Directive 2003/42/EC of the European Parliament and of the Council 13 June 2003

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GLOSSARY
AAND ACC AFIS AIP ANS ANSP ASM ATC ATCO ATFM ATM ATS ATSEP CM CMS DG EFQM FAA GDAN HANSA HCAA HQ NSA SES SLA SMM SMS SQS Area Air Navigation Department Area Control Centre Aerodrome Flight Information Service Aeronautical Information Publication. Air Navigation Services Air Navigation Service Provider AirSpace Management Air Traffic Control Air Traffic Controller Air Traffic Flow Management Air Traffic Management Air Traffic Services Air Traffic Safety Engineering Personnel Configuration Manager Configuration Management System Director General European Foundation for Quality Management Federal Aviation Administration General Director of Air Navigation Hellenic Air Navigation Supervisory Authority Hellenic Civil Aviation Authority Headquarter National Supervisory Authority Single European Sky Service Level Agreement Safety Management Manual Safety Management System Safety-Quality-Security

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CHANGE RECORD

EditionRevision

Revision Date

Pages/Sections Affected

Remarks

1.0 2.0

01/02/2007 24/04/2012

All All

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ANNEX 1 PROCESSES AND PRACTICES

This section lists all processes and instructions that are to be used by the HANSA in discharging their responsibilities. The list includes document id, title, revision and date of issue of the valid document. HANSA PROCESSES Doc. ID 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. Title
HANSA_Air Navigation Service Providers Certification HANSA_Air Navigation Service Providers Designation HANSA_ ATM/ANS Training Organisations/ Providers Certification HANSA_ ANSP_ATM/ANS Safety Oversight HANSA_ ANSP_ATM/ANS Quality Oversight HANSA_ANSP_ATM/ANS Security Oversight HANSA_ANSP_Interoperability Oversight HANSA_ANSP_Financial Oversight HANSA_ANSP_Human Resources & ATM/ANS Personnel Oversight HANSA_ANSP_ASM/ATFM Oversight HANSA_Management of Air Traffic Controllers Licences HANSA_Configuration Management & Document Control

Rev 3.0 1.0 1.0 2.0 1.0 1.0 1.0 2.0 2.0 1.0 1.0 2.0

Date 15 May 2012 1 Feb. 2007 4 Apr. 2012 1 Feb. 2010 15 Jan. 2010 16 May 2012 15 Jan. 2010 12 Apr. 2012 17 Apr. 2012 7 May 2012 5 Jan. 2012 16 May 2012

OTHER SUPPORTING DOCUMENTATION Doc. ID Title Rev Date

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