• Change Management

    All ANSP/TO and ITOs must have a documented Change Management System which has been approved by the CAA.

    The change management system must contain a process for determining those changes that can be implemented without prior approval from the CAA.

    The change management system must contain a process for implementing all changes and assessing the risks associated with changes.
    All changes must be notified to the CAA.

  • All changes, whether they require prior approval or not, must be notified to the CAA and submitted to the CAA by email to asddocs@caa.co.uk.

    Where the change requires prior approval, the relevant documents should accompany the ATM change notification form SRG 1430.

    Where the change is a Supplementary Instruction (SI) the SI is to accompany the ATM change notification form SRG 1430.

    The exception to this requirement are Temporary Operating Instructions (TOIs), which do not require ATM change notification form SRG 1430 to be completed.

    Air Navigation Service Providers (ANSP)

    Changes to the functional system require prior approval as follows:

    The functional system is defined as 'a combination of procedures, human resources and equipment including hardware and software organised to perform a function within the context of Air Traffic Management/Air Navigational Services (ATM/ANS) and other ATM network functions' and can be broken down as follows:

    • changes to the way the components of the functional system are used;
    • changes to equipment, either hardware or software;
    • changes to roles and responsibilities of operational personnel;
    • changes to operating procedures;
    • changes to system configuration, excluding changes during maintenance, repair and alternative operations that are already part of the accepted operational envelope;
    • changes that are necessary as a result of changing circumstances to the operational context under the managerial control of the provider that can impact the service, e.g. provision of service under new conditions;
    • changes that are necessary as a result of changing circumstances to the local physical (operational) environment of the functional system; and
    • changes to the working hours and/or shift patterns of key personnel which could impact on the safe delivery of services.
    • Changes to the approved Change Management Procedure.

    Training Organisations (TO) and Initial Training Organisations (ITO)

    The following require prior approval before implementation?

    • Changes to the types of training provided.
    • Changes to training courses.
    • Changes to the training facilities.
    • Changes to the Unit Training Plan and Unit Endorsement Courses.
    • Changes to the Unit Competency Scheme and refresher training.
    • Changes to the change management procedure.


    All service providers ANSP, TO and ITO

    • A change to the provision of service, the service provider's management system and/or safety management system that does not affect the functional system or the change management system.
    • Changes to the accountable manager and the management personnel in charge of safety, quality, security, finance and human resources-related functions as applicable.
    • Supplementary Instructions
    • Temporary Operating Instructions
    • Changes of ATCOs, ATSAs, FISO, OJTIs, STDIs and Assessors.
    • Change of the accountable manager and/or the head of the training organisation.
    • Changes in management staff, course designers and training planners.

    The following changes must also be notified to the CAA as this type of change will require either the issue of a new certificate or the amendment of an existing certificate.

    •  A change in the name of the service provider or training organisation.
    • A change of legal entity i.e. a change of service provider or training organisation.
    • A change in the service provider or training organisations principle place of operation.
    • Providing air navigational services or training organisation services at a new or additional location.

    SIs are changes to operating procedures, MATS pt2 or MAFIS, and as such they are changes to the functional system.

    Due to the sheer volume of SIs received by the CAA, and as they are generally of a minor nature, they have been classed as changes that do not require prior approval.

    However all SIs, and the accompanying ATM change notification form SRG 1430, will be assessed by the CAA to decide if the SI is indicating a significant change to the functional system which will require review and formal approval.

    To allow time for this assessment SIs are not to be implemented until 30 days after the notification of the change has been submitted to the CAA.

    In exceptional circumstances where it may be necessary to implement the SI before the completion of the 30 day period contact your CAA Regional Office.

    Temporary Operating Instruction (TOI) are produced and implemented as a result of an imposed change that impacts on normal operations. The purpose of the TOI is to return operations to normal or as near to normal as possible to alleviate the problem caused by the imposed change and are therefore not considered to be a change to a functional system.

    TOIs must be submitted to the CAA but do not need to be accompanied by an ATM change notification form SRG 1430.

    The CAA will assess the change from the information provided on the change notification form and decide which of the following options is applicable:

    Changes to the functional system or changes that affect the functional system will be assessed to decide if a review is required and actioned as follows:

    • Where a review is not required the CAA will advise the notifier of such, and approve the change. (Completed within 30 days of the receipt of the notification).
    • Where a review is required the CAA will inform the notifier, (within 30 days), that the change cannot be implemented until the review is completed and the change approved.
    • Where there is insufficient information to allow a review decision to be made the CAA will ask for further information.

    Changes to change management procedure or system will be reviewed and approved or rejected. (Completed within 30 days of the receipt of the notification).

    Changes with severity levels 1 or 2, as defined in regulation 1035/2011 Annex II, will be subject to review.

    For changes identified by the notifier as a change that does not require prior approval the CAA will assess the notified change and either:

    • Agree with the notifier's assessment that the change does not require prior approval and take no further action.
    • Disagree with the notifier's assessment that the change does not require prior approval, inform the notifier that the change will require approval and must not be implemented until this is received. 

    Where the certified air navigational service provider is also the aerodrome certificate holder, regulation 139/2014, regulation 2015/340 and the forthcoming regulation 2017/373 requires that there should only be one management system.

    This adds some complication in that the regulations differ in their approach to change management and notification.

    In this situation the certificate holder's management system must reflect the different processes for change management and for notifying changes to the CAA.