www.caa.co.uk
April 2010
CAP 779
Civil Aviation Authority 2010 All rights reserved. Copies of this publication may be reproduced for personal use, or for use within a company or organisation, but may not otherwise be reproduced for publication. To use or reference CAA publications for any other purpose, for example within training material for students, please contact the CAA at the address below for formal agreement. ISBN 978 0 11792 397 3 First published April 2008 Issue 2, April 2010
Enquiries regarding the content of this publication should be addressed to: Aeronautical Information Management Regulation, Directorate of Airspace Policy, CAA House, 45-59 Kingsway, London WC2B 6TE The latest version of this document is available in electronic format at www.caa.co.uk/publications, where you may also register for e-mail notification of amendments. Published by TSO (The Stationery Office) on behalf of the UK Civil Aviation Authority. Printed copy available from: TSO, PO Box 29, Norwich NR3 1GN Telephone orders/General enquiries: 0844 477 7300 Fax orders: 0870 600 5533
CAP 779
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Contents
Chapter 2
Chapter 3
Chapter 4
Regulation Policy
Regulatory Oversight Mechanism Regulated Areas ICAO Compliance Methods of Implementing the Regulatory Oversight Mechanism Contact Persons Bi-Annual Interface Meetings Other Meetings Annual Audits User Forum Customer Feedback Stakeholder Feedback 1 1 1 2 2 2 2 2 3 3 3
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Contents
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CAP 779
Chapter 5
SES Certification
Certification Process Initial Certification Compliance Monitoring 1 1 2
Annex A Annex B
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Contents
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Revision History
Issue 1 April 2008
CAP 779 is introduced to meet the requirement for the Directorate of Airspace Policy (DAP) to carry out the CAAs functions given by the Secretary of State under Section 66 (1) of the Transport Act 2000, in respect of AIS provision, and how the Aeronautical Information Management Regulation Section (AIMR) undertakes this function on behalf of DAP.
Issue 2
April 2010
CAP 779 is revised to reflect the transfer of the aeronautical chart production and data management tasks from within the Directorate of Airspace Policy of the CAA to NATS/AIM. Other minor amendments are also included.
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Revision History
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Glossary
AIRAC AIM AIMR AIMWG AIP AIS AFI ANSP ATS CAA CNS CPG CR DAP DfT EASA ERG EC EU EUR IAIP ICAO IR MAP NATMAC NERL NOTAM NSA NSL SARP SES SRG UK Aeronautical Information Regulation and Control Aeronautical Information Management (AIS, MAP, Aeronautical Data Management) Aeronautical Information Management Regulation Aeronautical Information Management Working Group Aeronautical Information Publication Aeronautical Information Service African-Indian Ocean Region Air Navigation Service provider Air Traffic Services Civil Aviation Authority Communications, Navigation and Surveillance Consumer Protection Group Common Requirements Directorate of Airspace Policy Department for Transport European Aviation Safety Agency Economic Regulation Group The European Commission The European Union Europe Integrated Aeronautical Information Package International Civil Aviation Organisation Implementing Rule Aeronautical Maps and Charts National Air Traffic Management Advisory Committee NATS (En-Route) plc Notices To Airmen National Supervisory Authority NATS Services Limited Standards and Recommended Practices Single European Sky Safety Regulation Group United Kingdom
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Glossary
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Chapter 1 Introduction
1
1.1
State Obligations
The Civil Aviation Authority (CAA) is responsible, under the directions given by the Secretary of State under Section 66 (1) of the Transport Act 2000, ("the Directions")1, for the form and content of the UK Aeronautical Information Publication (AIP) and to ensure that an Aeronautical Information Service (AIS) is provided in accordance with international obligations and any additional requirements the CAA may determine. The Secretary of State for Transport has additionally given the CAA the Civil Aviation Authority (Chicago Convention) Directions 2007, in order to ensure that the CAA, when exercising its statutory functions, acts consistently with the obligations placed on the United Kingdom under the Chicago Convention (1944). The CAA's Directorate of Airspace Policy (DAP) carries out the CAA's functions under the Directions, and the Head of the Aeronautical Information Management Regulation Section (AIMR) undertakes this function in respect of AIS on behalf of DAP. The Secretary of State has granted a licence to NATS (En Route) plc under Section 6(1) of the Transport Act 2000 authorising NATS to provide Air Traffic Services (ATS) in the United Kingdom and certain other international airspace, including the Shanwick Oceanic area. These services include the provision of the UK AIS. The object of the AIS is to ensure the flow of accurate aeronautical information necessary for the safety, regularity and efficiency of international air navigation. This is achieved by the publication and distribution of the Integrated Aeronautical Information Package (IAIP), the elements of which originate from the requirements specified in: a) ICAO Annex 15 Standards and Recommended Practices for Aeronautical Information Services, and: b) ICAO Annex 4 Standards and Recommended practices for Aeronautical Charts.
1.2
1.3
1.4
1.5
1.
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1.6
Organisational Structure
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GOVERNMENT
DIRECTIONS
DFT
ATS LICENCE
CAA
DAP
AIMR
NSL
REGULATION
Chapter 1
Figure 1
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2
2.1
3
3.1
4
4.1
4.2
4.3
4.4
4.5
1. Regulation (EC) No 550/2004 on the provision of air navigation services in the Single European Sky. 2. The Single European Sky (National Supervisory Authority) Regulations 2004. 3. Commission Regulation (EC) No. 2096/2005 laying down common requirements for the provision of air navigation services. 4. The Commission has suggested, in an informal Position Paper on the scope of ANSP certification (8 September 2006) that any future review of SES legation might examine the need for an improved SES definition of an AIS provider, which for now is effectively limited to "State" or public authority provision of the service.
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5
5.1
5.2
6
6.1
6.2
EASA are currently drafting Implementing Rules (IR) and, as appropriate, the necessary acceptable means of compliance (AMC), certification specification (CS) and guidance material (GM) for the implementation of the amended EASA Basic Regulation. These will include requirements for the origination, processing, formatting and delivering data for the purpose of air navigation, building on ICAO Standards and Recommended Practices and, where relevant, including the requirements established by Regulation (EC) No 2096/2005. It is anticipated that the European Commission will adopt these measures before the end of 2012. EASA currently operates a voluntary audit system for commercial Navigation Database suppliers who provide data sets for use within onboard Flight Managements Systems (FMS).
6.3
1. Reg (EC) 1108/2009, Article 1, paragraph 1. 2. Reg (EC) 1108/2009, Annex Vb (2).
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Chapter 1
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General
CAP 779 defines the scope of services provided by the regulated State provider of AIS, and explains how the regulatory process is implemented. This document describes the UK regulatory requirements and those elements of the EC certification process that fall under the AIM Regulator's responsibilities.
Reference Documents
a) Civil Aviation Act 1982. b) Transport Act 2000. c) The Civil Aviation Authority (Air Navigation) Directions 2001. d) The Civil Aviation Authority (Chicago Convention) Directions 2007. e) The NATS (En Route) PLC (NERL) Licence. f) AIS Licence/Operational Specification. g) Agreement for the transfer of AC&D between CAA and NATS. h) Aeronautical Data Specification. i) Aeronautical Charts Operational Specification. j) The Civil Aviation Authority, Directorate of Airspace Policy - Directorate Manual. k) The United Kingdom Aeronautical Information Publication, CAP 32. l) ICAO Annex 15 - Aeronautical Information Service. m) ICAO Annex 4 - Aeronautical Charts. n) ICAO Document 8126-AN/872 (Aeronautical Information Services Manual). o) ICAO Document 8697 (Aeronautical Chart Manual). p) EC Regulation No 2096/2005, laying down Common Requirements for the Provision of Air Navigation Services. q) EC Regulation No 550/2004, service provision regulation on the provision of air navigation services in the Single European Sky. r) EC Regulation 1108/2009, amending the EASA 'Basic Regulation'. s) SES Charging Regulation, EC 1794/2006.
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Chapter 2
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Scope of AIS
Under Condition 2(1)(b) of the NATS licence, NATS are required to provide the "Specified Services" referred to in Schedule 4 to the Licence. These services include the "UK Aeronautical Information Service". This is defined as "the preparation and dissemination of the United Kingdom Aeronautical Information Publication, Notices to Airmen (NOTAM), Aeronautical Information Circulars (AICs), other civil aeronautical information and production of aeronautical charts (MAP), to meet: a) Relevant international requirements; b) UK regulatory requirements as described in the AIP as at the date of the coming into effect of the Licence; and c) An operational specification produced by the Licensee (Chapter 2, paragraph 2 f)) and approved by the CAA, governing the methods and standards (including the measurement and control of those standards) to be adopted for the collection and verification of the information."
1.2 1.3
Section 3 of the NATS AIM Operational Specification describes the technical requirements of UK AIM at the date of the licence coming into effect. In accordance with the commercial agreement (refer Chapter 1, paragraph 3.1), an Aeronautical Charts Operational Specification and an Aeronautical Data Specification describes the technical requirements for the provision of maps and data contained within the IAIP. In addition to charts defined in ICAO Annex 4, NATS produce a number of other aeronautical charts deemed to be of value to the aviation community. Some of these charts are included within the AIP while others are available separately.
1.4
2
2.1
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3
3.1
3.2
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1.2
2
2.1
Regulated Areas
Regulated areas fall into four main categories, these being data management, the construction of the individual elements of the IAIP, publication and distribution. Within this categorisation the following aspects will be examined: a) Conformity to ICAO Annex 15 ensuring that the Standards and Recommended Practices (SARP) in Annex 15 are being followed. b) Conformity to ICAO Annex 4 ensuring that the Standards and Recommended Practices in Annex 4 are being followed. c) Quality management the systems in place, which must be capable of supporting all aspects of the AIS operation. d) Adherence to Publication Programme agreed in advance with CAA. e) Charging in accordance with ICAO Annex 15 and subject to an annual review. f) Adherence to the AIRAC cycle requiring the publication and distribution of information 56 days before its AIRAC effective date. g) Customer satisfaction addressing the quality and relevance of the service to the customer. h) SES Compliance with the Annex 4 of EC Regulation No 2096/2005 (Common Requirements).
3
3.1
ICAO Compliance
CAA regulatory policy is to ensure compliance with each ICAO SARP. Where UK arrangements for the provision of the AIS or the presentation of aeronautical data differ from ICAO, these 'differences' will be notified by the CAA to ICAO and published within CAP 32, the UK AIP. AIMR will direct the service providers to address the UK 'differences' filed against ICAO Annex 4 and 15, to enable the UK to eradicate them wherever possible. All 'differences' notified to ICAO against Annex 4 and Annex 15, will be agreed between the service provider and the CAA.
3.2 3.3
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4
4.1
5
5.1
Contact Persons
The AIS licensee (NATS) and the CAA Directorate of Airspace Policy will each nominate a contact person to be responsible for ongoing liaison and discussions. Current nominations are: CAA Head of AIMR NATS AIM Customer Account Manager
6
6.1
7
7.1
Other Meetings
Other ad-hoc formal meetings may be arranged between the Head of AIMR and the AIM service provider, if either party deems it necessary, and, with adequate notice and reasonable justification given. The outcome of any such meetings will be documented.
8
8.1
Annual Audits
The audit of the service provider will be carried out on an annual basis in addition to the activities described in paragraphs 6 and 7. The audit will be held on predetermined dates agreed in advance and reasonable notice will be given to the service provider. A more frequent audit may be instigated as determined by AIMR. A template for annual reports is shown in Annex A and items to be addressed during the audit will, where appropriate, include the following; a) Outstanding Audit Items b) Staff Issues c) Coordination with sponsors d) Traceability of Information e) Service Availability f) Timeliness/Compliance with AIRAC procedures. g) Publication Schedule Effectiveness h) AIS Information Distribution Process i) Efficiency and Cost Effectiveness j) NOTAM Specific Measures
8.2
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k) Safety and Regularity of Information l) User Consultation m) Compliance with Quality Management system n) Uniformity o) SES Certification Compliance Monitoring p) Other Areas 8.3 From the list in 8.2, AIMR will select subjects to be evaluated during each audit. necessity, some subjects will be evaluated during every audit, while others will chosen based on their significance during the period under review. Subjects to evaluated will be notified to the service provider in advance and each will addressed at least once every two years. Of be be be
9
9.1
User Forum
The service provider will be expected to hold an annual forum with its users in order to present an overview of the service provided. AIMR will determine if users requirements are being met.
10
10.1
Customer Feedback
The service provider is expected to address and respond to all customer feedback. Customers will have the right to address the CAA (Head of AIMR) on issues when a resolution cannot be found through the processes described above.
11
11.1
Stakeholder Feedback
Feedback from stakeholders of the UK AIM domain is provided through the Aeronautical Information Management Working Group (AIMWG). The AIMWG is a sub group of the National Air Traffic Management Advisory Committee, which is the principal consultation forum on Air Navigation matters between the CAA and airspace users.
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Certification Process
Certification of ANSPs in accordance with the EC CRs is mandatory under European law, and the CAA has in place a certification process to capture the specific requirements laid down in the regulations. The full details of the certification process can be obtained online at www.caa.co.uk or by contacting the CAA ANSP Certification Section (see 2.3). Some of the obligations that appear in the CRs are also found in the Licence granted to NATS (En Route) plc for the provision of AIS (see Chapter 3, paragraph 1.1). However, the CRs may be applied beyond the State AIS provider, and thus include additional regulatory requirements as outlined later in this chapter. Annex IV of the ANSP certification questionnaire describes the specific requirements for the provision of AIS and applies equally to those commercial providers voluntarily applying for certification, as well as recognised State AIS providers.
1.2
1.3
2
2.1
Initial Certification
Applicants for certification under the EC CRs for ANSPs (Chapter 1, paragraph 4.2) are required to submit to the CAA a completed certification application questionnaire. The questionnaire consists of the following subject areas: Section 1 Section 2 Eligibility for Derogations. Categories of Services to be provided.
2.2
Section 2 includes questionnaires on the categories of services to be provided as follows; Annex I General Requirements for the Provision of Air Navigation Services, including: Technical and Operational Competence and Capability, Organisational Structure, Safety and quality management, Security, Human Resources, Financial Strength, Liability and Insurance cover, Quality of Services, Contingency Plans and Reporting Requirements. (Applicable to all ANSP). Specific Requirements for the Provision of Air Traffic Services. Specific Requirements for the Provision of Meteorological Services. Specific Requirements for the Provision of Aeronautical Information Services. Specific Requirements for the provision of Communications, Navigation and Surveillance Services.
Annex II
A template for the Annex IV Compliance Matrix can be found at Annex B of this CAP and the complete questionnaire is available from the ANSP Oversight and Coordination Section at: Air Traffic Standards Division CAA Safety Regulation Group Aviation House Gatwick Airport South West Sussex RH6 0YR
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Chapter 5
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2.4
Applicants for certification will be subject to an audit by the CAA in order to assess compliance with the CRs. The ANSP Oversight Coordination Section, within the CAA Safety Regulation Group (SRG), manages the application process, and will arrange for the issue of certificates at the appropriate time. The CAA Certification and Designation Sub-Group is comprised of members of the ANSP Oversight Coordination Section and other certification specialists from within the CAA Legal Branch, Economic Regulation Group (ERG), Consumer Protection Group (CPG) and the Directorate of Airspace Policy (for MET and AIMR). This SubGroup will grant approvals for ANSP certification once all requirements have been met. The CAA AIM Regulation section, in conjunction with colleagues at SRG, will assess all responses to Annex IV, of Section 2, of the questionnaire. All other sections of the questionnaire will be assessed by the relevant CAA departments and collated by the Certification and Oversight Support Section.
2.5
2.6
3
3.1
Compliance Monitoring
The Certification and Designation Sub-Group will monitor ANSPs continued compliance with the regulations. Members of the Sub-Group will ensure continuing eligibility for Derogations, and compliance with Annex I of the certification questionnaire, as well as any other Annex relevant to the specific ANSP. DAPs Head of AIMR will oversee compliance monitoring of Annex IV of the questionnaire. For State providers, a review of Annex IV of the questionnaire will take place during the annual audit (see Chapter 4 paragraph 8), the report of which will be delivered to the Certification and Designation Sub-Group. SES Certification may also be raised at the Bi-Annual Interface Meetings (see Chapter 4, paragraph 6), and any issues identified here will be reported back to the Sub-Group. For non-State providers, an annual review of Annex IV will take place at a date agreed in advance and with appropriate notice given. This review will be conducted in conjunction with any compliance monitoring review schedule set out by the Certification and Designation Sub-Group.
3.2
3.3
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Annex A
Formal Audit of xxxx Date: Reference documents (As appropriate for NATS AIM) Introduction (Text Summary) 1. Outstanding Audit Items (Text Summary) Recommendations; Target Date for Resolution Observations; (Repeat format for all other audit Items)
Staff issues Coordination with sponsors Traceability of Information Service Availability Timeliness/Compliance with AIRAC procedures. Publication Schedule Effectiveness AIS Information Distribution Process Efficiency and Cost Effectiveness NOTAM Specific Measures Safety and Regularity of Information User Consultation Compliance with Quality Management system Uniformity SES Certification Compliance Monitoring Other Areas
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Annex A
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Attachment A
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Audit Date
Audit Item
Recommendation
Resolved
Resolved
Resolved
Resolved
Annex A
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Resolved
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Annex B
ANSP Compliance Matrix Annex IV SPECIFIC REQUIREMENTS FOR THE PROVISION OF AERONAUTICAL INFORMATION SERVICE
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Additional Comments
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