Regulation 2017/373, the “Air Traffic Management Common Requirements Implementing Regulation” (ATM IR), entered into EU law on 1 March 2017. The regulation lays down common requirements for ATM service providers and the oversight of ATM/air navigation services (ANS) and other air traffic management network functions.
When Regulation 2017/373 takes effect on 2 January 2020 it will replace Commission Implementing Regulations (EU) 1034/2011, 1035/2011 and 482/2008. The ATM IR is based on ATM-related ICAO Standards, Recommended Practices (SARPs) and Procedures for Air Navigation Services (PANS).
In addition, Regulation (EU) 482/2008 (Air Navigation Service Provider (ANSP) software assurance regulation) and certain elements of Regulation (EU) 677/2011 (Network Manager function) will be integrated into 2017/373 as Acceptable Means of Compliance (AMC) and Guidance Material (GM). Regulation (EU) 482/2008 is repealed as a consequence. EASA has recently launched Notice of Proposed Amendment 2017-10 ‘Software assurance level requirements for safety assessment of changes to air traffic management / air navigation services functional systems’ in order to begin this process.
As the regulation affects all UK ANSPs and their personnel, it is necessary for all involved in ANS provision to understand how it will affect them and the CAA’s plans for implementation.
The ATM IR consists of a ‘cover regulation’ and thirteen supporting Annexes (known as ‘Parts’):
This addresses basic principles of the regulation, its scope and the applicability of the thirteen supporting Annexes.
These definitions apply to all parts of the regulation. Annex I will be progressively amended through the incorporation of additional definitions arising from ongoing development of Parts ATS, AIS and FPD.
This establishes the requirements for the administration and management systems of the competent authorities responsible for certification, oversight and enforcement in respect of the requirements set out in Annexes III to XIII by those service providers within the scope of the Regulation. In the UK's case the competent authority is the CAA.
When implementing Regulation (EU) 2017/373, service providers need to be aware of the differences between the requirements of Regulation (EU) 1034/2011 and Part-ATM/ANS.AR, which are summarised here.
More information concerning SRG1430 Notification of a Proposed Change by an Air Navigation Service Provider (Regulation (EU) 1035/2011) or ATCO Training Organisation (Regulation (EU) 2015/340), ATM-related change management and the change notification process can be found here.
Further information concerning air traffic service provider certification can be found here.
Annex III establishes the requirements to be met by the service providers within the scope of the Regulation. Service providers are required to ensure they are able to provide services in a safe, efficient, continuous and sustainable manner, consistent with any foreseen level of overall demand for a given airspace.
Part-ATS updates elements of Commission Implementing Regulation (EU) 1035/2011 (particularly that Regulation's Annex II) and introduces additional organisation requirements for providers of air traffic services concerning ATCO stress, fatigue, rostering and problematic use of psychoactive substances.
Meanwhile, Annex IV's technical requirements remain under development. The proposed additional content is derived from ICAO Annex 10 (Aeronautical Telecommunications), Annex 11 (Air Traffic Services) and Doc 4444 (PANS-ATM). Once adopted, the material will additionally amend Regulation (EU) 923/2012 (Standardised European Rules of the Air).
EASA's proposals can be found in Opinion No 03/2018 'Requirements for air traffic services'.
Annex V consists of additional organisation and technical requirements for providers of meteorological services, and is derived from ICAO Annex 3 (Meteorological Service for International Air Navigation).
Annex V is currently subject to a number of updates - see Opinion No 02/2018 on 'Specific requirements for providers of MET, AIS/AIM and FPD; common rules for airspace structure design'.
Part-AIS consists of additional organisation and technical requirements for providers of aeronautical information services.
Meanwhile, Annex VI's requirements remain under development. Meanwhile, Annex VI's requirements remain under development. It is expected that proposed amendments to Regulation 2017/373 including new Annex VI will be adopted by the European Commission in Q4 2018. Applicability date will remain the same (2nd January 2020) unless decided otherwise by the European Commission. Proposed requirements are derived from ICAO Annex 15 Aeronautical Information Services (including Amendment 40). 'New' Part-AIS will repeal Regulation 73/2010 (the aeronautical data quality (ADQ) regulation) and additionally amend Regulation (EU) 139/2014 (the aerodrome regulation).
Member States have been urged by EASA, the European Commission and Eurocontrol, to continue implementation of the ADQ Regulation. Although Regulation 73/2010 will be repealed in the future, an optimum implementation of ADQ will be the best starting point for the 'new' Part-AIS, which would introduce stringent transition arrangements and improved oversight requirements.
The CAA and NATS (through their 'parenting' of the UK Aeronautical Information Service) fare working collaboratively with all stakeholders to support the implementation of the ADQ Regulation in the United Kingdom. EASA's change proposals can be found in Opinion No 02/2018 on 'Specific requirements for providers of MET, AIS/AIM and FPD; common rules for airspace structure design'.
More information on the UK's ADQ Regulation implementation project (including presentations from CAA ADQ workshops) can be found here.
Part-DAT consists of additional organisation and technical requirements for data services providers. From 1 January 2019 all navigation databases intended for use on certified equipment/applications and used for primary navigation purposes as required by law for operations in a designated airspace or procedure, shall be provided by a certified data services provider (certified by EASA or equivalent).
Databases not loaded into certified aircraft applications nor used for primary navigation, or are for use in VFR-only circumstances, are not required to be provided by certified DAT providers.
EASA is the designated competent authority for pan-European DAT providers (Regulation (EU) 2017/373 Article 4) rather than the CAA. More information is available from EASA's website.
This Annex requires CNS service providers to ensure the availability, continuity, accuracy and integrity of their services, confirm the quality level of the services they are providing, and shall demonstrate that their equipment is regularly maintained and, where required, calibrated. Annex VIII compliance requirements are aligned to the Requirements of ICAO Annex 10.
Further information concerning the CAA's communication, navigation and surveillance regulatory requirements can be found here.
Part-ATFM requires air traffic flow management providers to demonstrate continued compliance with Regulations (EU) 255/2010 (the air traffic flow management regulation) and (EU) 677/2011 as relevant to their services.
Under Part-ASM, airspace management providers are required to demonstrate continued compliance with Regulations (EC) 2150/2005 (the flexible use of airspace regulation) and (EU) 677/2011 as relevant to their services.
Formerly Part-ASD and still under development, this Part addresses requirements concerning airspace and flight procedure design. EASA's proposals can be found in Opinion No 02/2018 on 'Specific requirements for providers of MET, AIS/AIM and FPD; common rules for airspace structure design'.
Annex XII requires the EUROCONTROL Network Manager to demonstrate continued compliance with other EU legislation, in particular Regulation (EU) 255/2010 and 677/2011 as relevant to its services. EASA is the competent authority for the Network Manager.
The requirements to be met by the service provider with respect to the training and the competence assessment of Air Traffic Safety Electronics Personnel (ATSEP) are laid out in Part-PERS.
As the regulation will apply from 2nd January 2020 and Air Navigation Service Providers (ANSPs) should begin considering how they intend to comply with the requirements. Specific CAA requirements and guidance will be published ahead of 2 January 2020, however an initial overview of these follows to help industry prepare for the necessary changes.
The regulation will apply to all ANSPs currently certified under Regulation (EC) No 550/2004. Two types of certification will apply under Regulation (EU) 2017/373: 'Service Provider Certificate' and 'Limited Certificate', the latter being the equivalent of the current 'derogated' ANSP certificate under Regulation (EC) No 550/2004.
Service Provider Certificate holders will be required to comply with the regulation in full. The minimum requirements to be met by those providers applying for a Limited Certificate will be determined by the CAA and described in the CAP, however the overall framework will still apply and all ASNPs should therefore familiarise themselves with the fundamental training and competence requirements of the regulation.
An ATSEP is defined in Regulation (EU) 2017/373 Annex I(20) as 'any authorised personnel who are competent to operate, maintain, release from, and return into operations equipment of the functional system' See also GM1 and GM2 to Annex I(20).
The overall framework is summarised below. For full details ANSPs should refer to the regulation, applicable EASA Acceptable Means of Compliance and Guidance Material, and/or EASA's consolidated Easy Access Rules for ATM-ANS (Regulation (EU) 2017/373). Note however that the 'easy access rules' are intended to provide its stakeholders with a single, easy-to-read publication. However, this is not an official publication and EASA accepts no liability for damage of any kind resulting from the risks inherent in the use of this document.
Regulation (EU) 2017/373 applies to all ANSPs but introduces the ability to have tailored training and competency assessment requirements for Limited Certificate holders.
The regulation requires production of a Training and Competence Assessment Programme, which is essentially an overarching document describing the ANSP's ATSEP training and competency scheme.
Where contracted ATSEP services are utilised, it is the ANSP's responsibility to ensure that the contracted organisation have applicable training and competency arrangements 'equivalent' to Annex XIII - Part-PERS.
The regulation requires records to be kept by ANSPs and provides information as to whom and for what purpose the records can be made available.
Service providers must ensure that individuals have the language skills necessary to perform their duties.
This section of the regulation introduces the training types (Basic, Qualification, System/Equipment / Continuation) that the ATSEP must have successfully completed.
Basic training comprises two syllabi; 'Shared' and 'Streams'. The general concept is that all subjects within the 'Shared' syllabus are covered, whilst only subjects relevant to the ANSP's activities are required from the 'Streams' syllabus. Where the candidate ATSEP can provide evidence of prior experience, training, responsibility etc the regulation allows for a tailored approach to the training syllabus. This includes removal or addition of subjects as appropriate.
The 'Shared' syllabus includes general 'induction' subjects such as health and safety, safety management systems, ICAO SARPS, etc. The 'Streams' syllabus covers fundamental ATS systems such as communications, navigational aids, surveillance, data communications etc, to an introductory level.
The full Basic training syllabus is contained within Appendix 1 & 2 of Annex XIII - Part-PERS.
Qualification training also comprises 'Shared' and 'Streams' syllabi as explained above. The regulation requires at least one subject from the 'Streams' syllabus to be covered. Qualification training covers training of subjects similar to those covered in Basic training, to a greater level of detail and depth
The full Qualification training syllabus is contained within Appendixes 3 and 4 of the regulation.
System and equipment training includes theoretical, practical and on the job training and encompasses both the equipment and the operational environment within which it is used. The regulation does not specify specific equipment/systems, subjects or level of detail to be delivered, so this can be determined according to an ANSP's infrastructure and activities.
The regulation requires continuation training to be conducted, including refresher, equipment / system upgrades and modifications, and/or emergency training. Again, the regulation does not specify specific equipment / systems, subjects or level of detail to be delivered so this can be determined as appropriate to the ANSP's infrastructure and activities. The regulation also allows the frequency and duration of continuation training to be determined by the ANSP.
The regulation requires initial and on-going competence assessments to be conducted. As well as technical competence, the regulation requires assessment of attributes such as behaviour, skills and attitude. The initial competence assessment is required following completion of the associated basic, qualification and system and equipment training, prior to issue of an equipment rating.
The regulation does not specify the frequency and duration of on-going competency assessments so it is expected that these will be determined as appropriate to the ANSP's infrastructure and activities. The frequency of on-going assessments should be suitable and achievable.
The regulation does not specify who is to conduct training and in-house and / or external training providers can therefore be considered. Manufacturer training can also be considered for system and equipment rating training. Training instructors delivering on-the job training must have completed an OJTI course.
The regulation requires technical skills assessors to have successfully completed an assessor course and be suitably experienced.
The regulation is supported by appropriate EASA AMC and GM published on 8 March 2017. EASA has recently published Easy Access Rules for ATM-ANS (Regulation (EU) 2017/373) - includes AMC/GM to Regulation 2017/373 and Certification Specifications for Airborne Communications, Navigation and Surveillance.
With the exception of Annex VII (Part-DAT), which takes effect on 1 January 2019, Regulation 2017/373 takes effect on 2 January 2020. Parts AIS, ATS and FPD remain under development and effective dates for each have yet to be proposed.
Consideration will be given to amending the Air Navigation Order 2016 and/or the Single European Sky (national Supervisory Authority) Regulations 2013 in order to designate the CAA as the UK’s competent authority for the ATM IR. Development of Part-ATS will generate amendments to the Standardised European Rules of the Air, which may in turn require amendment of The Rules of the Air Regulations 2015 and/or the permissions and general exemptions that support both. The need for further UK legislative change has yet to be identified.
The CAA publishes a consolidation of the Air Navigation Order, the Rules of the Air regulations and other legislation in CAP393 Air Navigation: The Order and Regulations
In terms of non-legislative ATM regulatory material, it will be necessary for the CAA to review its ATM-related CAPs and amend these to reflect the ATM IR’s requirements.
Initial engagement with industry regarding CAA implementation plans has been through its ATM IR Implementation Consultative Group. Various additional means of engagement are being identified and communications will be developed accordingly. These are expected to include NATMAC, GA Partnership, FASIIG, FASVIG, representative organisations or any combination of these. Focused consultation with interested stakeholders may be considered, as will more general public consultations.
The ATM IR presents opportunities to evolve UK ATM arrangements on a sustainable basis; it also presents a number of challenges. In moving forward we would wish to do so in close collaboration with industry.
The purpose of this focus group is to:
The group's membership can be expected to evolve according to implementation activities and priorities.
The CAA will update its ATM IR web pages to reflect progress with both the rule’s development and the UK’s implementation of it. Industry will be notified of any such changes by means of ‘Skywise’ alerts (skywise.caa.co.uk).
More detail concerning the
work that the CAA is undertaking in relation to EU withdrawal can be found here.
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