Regulation (EU) 2017/373
This Subpart establishes the requirements to be met by air navigation services (ANS) and air traffic flow management (ATFM) providers and the Network Manager, in addition to the requirements set out in Subparts A, B and C.
ATM/ANS.OR.D.005 Business, annual, and performance plans
Regulation (EU) 2017/373
(a) Business plan
(1) Air navigation services and air traffic flow management providers shall produce a business plan covering a minimum period of five years. The business plan shall:
(i) set out the overall aims and goals of the air navigation services and of the air traffic flow management providers, and their strategy towards achieving them in consistency with any overall longer-term plan of the air navigation services provider or of the air traffic flow management provider and with the relevant requirements of Union law for the development of infrastructure or other technology;
(ii) contain performance targets in terms of safety, capacity, environment and cost-efficiency, as may be applicable pursuant to Commission Implementing Regulation (EU) No 390/201333 Commission Implementing Regulation (EU) No 390/2013 of 3 May 2013 laying down a performance scheme for air navigation services and network functions (OJ L 128, 9.5.2013, p. 1)..
(2) The information listed in points (i) and (ii) of point (1) shall be aligned with the performance plan referred to in Article 11 of Regulation (EC) No 549/2004 and, as far as safety data is concerned, it shall be consistent with the state safety programme referred to in Standard 3.1.1 of Annex 19 to the Chicago Convention in its first edition of July 2013.
(3) Air navigation services and air traffic flow management providers shall provide safety and business justifications for major investment projects including, where relevant, the estimated impact on the appropriate performance targets referred to in point (1)(ii) and identifying investments stemming from the legal requirements associated with the implementation of the Single European Sky ATM Research Programme (SESAR).
(b) Annual plan
(1) Air navigation services and air traffic flow management providers shall produce an annual plan covering the forthcoming year which shall further specify the features of the business plan and describe any changes to it as compared to the previous plan.
(2) The annual plan shall cover the following provisions on the level and quality of service, such as the expected level of capacity, safety, environment and cost-efficiency:
(i) information on the implementation of new infrastructure or other developments, and a statement on how they will contribute to improving the performance of the air navigation services provider or of the air traffic flow management provider, including level and quality of services;
(ii) performance indicators, as may be applicable, consistent with the performance plan referred to in Article 11 of Regulation (EC) No 549/2004, against which the performance level and quality of service may be reasonably assessed;
(iii) information on the measures foreseen to mitigate the safety risks identified by the air navigation services and air traffic flow management provider, including safety indicators to monitor safety risk and, where appropriate, the estimated cost of mitigation measures;
(iv) the air navigation services and air traffic flow management providers' expected short-term financial position as well as any changes to or impacts on the business plan.
(c) Performance part of the plans
The air navigation services and the air traffic flow management providers shall make the content of the performance part of their business plans and of their annual plans available to the Commission on its request, under the conditions set by the competent authority in accordance with national law.
ATM/ANS.OR.D.010 Security management
Regulation (EU) 2017/373
(a) Air navigation services and air traffic flow management providers and the Network Manager shall, as an integral part of their management system as required in point ATM/ANS.OR.B.005, establish a security management system to ensure:
(1) the security of their facilities and personnel so as to prevent unlawful interference with the provision of services;
(2) the security of operational data they receive, or produce, or otherwise employ, so that access to it is restricted only to those authorised.
(b) The security management system shall define:
(1) the procedures relating to security risk assessment and mitigation, security monitoring and improvement, security reviews and lesson dissemination;
(2) the means designed to detect security breaches and to alert personnel with appropriate security warnings;
(3) the means of controlling the effects of security breaches and to identify recovery action and mitigation procedures to prevent re-occurrence.
(c) Air navigation services and air traffic flow management providers and the Network Manager shall ensure the security clearance of their personnel, if appropriate, and coordinate with the relevant civil and military authorities to ensure the security of their facilities, personnel and data.
(d) Air navigation services and air traffic flow management providers and the Network Manager shall take the necessary measures to protect their systems, constituents in use and data and prevent compromising the network against information and cyber security threats which may have an unlawful interference with the provision of their service.
GM1 ATM/ANS.OR.D.010(d) Security management
ED Decision 2017/001/R
Information security threat may be any circumstance or event with the potential to adversely impact the operation, systems and/or constituents due to human action (accidental, casual or purposeful, intentional or unintentional, mistaken) resulting from unauthorised access, use, disclosure, denial, disruption, modification, or destruction of information and/or information system interfaces. This should include malware and the effects of external systems on dependent systems, but does not include physical threats.
ATM/ANS.OR.D.015 Financial strength — economic and financial capacity
Regulation (EU) 2017/373
Air navigation services and air traffic flow management providers shall be able to meet their financial obligations, such as fixed and variable costs of operation or capital investment costs. They shall use an appropriate cost-accounting system. They shall demonstrate their ability through the annual plan as referred to in point ATM/ANS.OR.D.005(b), as well as through balance sheets and accounts, as applicable under their legal statute, and regularly undergo an independent financial audit.
ATM/ANS.OR.D.020 Liability and insurance cover
Regulation (EU) 2017/373
(a) Air navigation services and air traffic flow management providers and the Network Manager shall have in place arrangements to cover liabilities related to the execution of their tasks in accordance with the applicable law.
(b) The method employed to provide the cover shall be appropriate to the potential loss and damage in question, taking into account the legal status of the providers concerned and the Network Manager and the level of commercial insurance cover available.
(c) Air navigation services and air traffic flow management providers and the Network Manager which avail themselves of services of another service provider shall ensure that the agreements that they conclude to that effect specify the allocation of liability between them.
ATM/ANS.OR.D.025 Reporting requirements
Regulation (EU) 2017/373
(a) Air navigation services and air traffic flow management providers shall provide an annual report of their activities to the competent authority.
(b) For air navigation services and air traffic flow management providers, the annual report shall cover their financial results, without prejudice to Article 12 of Regulation (EC) No 550/2004, as well as their operational performance and any other significant activities and developments in particular in the area of safety.
(c) The Network Manager shall, in accordance with Article 20 of Regulation (EU) No 677/2011, provide an annual report of its activities to the Commission and the Agency. This report shall cover its operational performance, as well as significant activities and developments in particular in the area of safety.
(d) The annual reports referred to in points (a) and (c) shall include as a minimum:
(1) an assessment of the level of performance of services provided;
(2) for air navigation services and air traffic flow management providers, their performance compared to the performance targets established in the business plan referred to in point ATM/ANS.OR.D.005(a), comparing actual performance against the performance set out in the annual plan by using the indicators of performance established in the annual plan;
(3) for the Network Manager, its performance compared to the performance objectives established in the Network Strategy Plan referred to in Article 2(24) of Regulation (EU) No 677/2011, comparing actual performance against the performance set out in the Network Operational Plan referred to in Article 2(23) of that Regulation by using the indicators of performance established in the Network Operational Plan;
(4)an explanation for differences with the relevant targets and objectives and an identification of the measures required to address any gaps between the plans and actual performance, during the reference period referred to in Article 11 of Regulation (EC) No 549/2004;
(5) developments in operations and infrastructure;
(6) the financial results, where they are not published separately in accordance with Article 12(1) of Regulation (EC) No 550/2004;
(7) information about the formal consultation process with the users of its services;
(8) information about the human resources policy.
(e) Air navigation services and air traffic flow management providers and the Network Manager shall make their annual reports available to the Commission and the Agency on their request. They shall also make those reports available to the public, under the conditions set by the competent authority in accordance with Union and national law.