ANSP Certification - the economic and financial requirements

Requirements for Air Navigation Service Providers (ANSPs)

All Air Navigation Service Providers (ANSPs) applying for Certification and not eligible for derogation must submit to the CAA their five-year Business Plan, Annual Plan, and audited accounts. ANSPs that elect not to provide cross-border services and waive the right to mutual recognition within the Single European Sky (SES) may apply to be derogated. ANSPs eligible for derogation are those which provide services or plan to provide them only with respect to one or more of the following:

  • Aerial work;
  • General Aviation;
  • Commercial Air Transport limited to aircraft with less than 10 tonnes of maximum take-off mass or less than 20 passenger seats; and
  • Commercial Air Transport with less than 10,000 movements per year, regardless of the maximum take-off mass and the number of passenger seats, movements being the sum of take-offs and landings averaged over the previous three years.

ANSPs applying to be derogated, other than a provider of air traffic services, must have a gross annual turnover of 1m Euros or less in relation to the services it provides or plans to provide.

In addition, ANSPs must submit a written declaration that they will produce, and send to the CAA, an Annual Report at the end of their reporting period and that this report will be made available to users as part of the consultation process (Reference: Commission Implementing Regulation (EU) No 1035/2011 of 17 October 2011 laying down common requirements for the provision of air navigation services.)

Business Plan

(Annex 1 para 2.2)

 

The Business Plan should cover a minimum period of five years and set out:

  • the overall aims and goals of the ANSP and its strategy towards achieving them in consistency with any overall longer term plan of the provider and with relevant Union requirements relevant for the development of infrastructure or other technology;
  • appropriate performance targets in terms of safety, capacity, environment and cost-efficiency, as may be applicable.

A Business Plan proforma is available to aid providers, especially those who may be producing such a document for the first time.

 

Annual Plan

(Annex 1 para 2.2)

 

The Annual Plan should specify further the features of the Business Plan and describe any changes to it.  The annual plan shall cover the following provisions on the level and quality of service such as the expected level of capacity, safety, environmental and cost-efficiency, as may be applicable:

  • Information on the implementation of new infrastructure or other developments and a statement how they will contribute to improving the performance of the ANSP, including level and quality of services;
  • Performance indicators consistent with the national of FAB performance plan referred to in Article 1 of Regulation (EC) No 594/2004 against which the level and quality of service may be reasonably assessed;
  • Information on the measures foreseen to mitigate the safety risks identified in the safety plan of the ANSP, including safety indicators to monitor safety risk and, where appropriate, the estimated cost of mitigation measures; and
  • The ANSP's expected short-term financial position as well as any changes to or impacts on the business plan.

An Annual Plan proforma is available to aid providers, especially those who may be producing such a document for the first time.

 

Independent Audit

(Annex 1 para 6.2)

 

In accordance with article 12(2) of Regulation (EC) No 550/2004, an ANSP shall demonstrate that it is undergoing an independent audit of its financial accounts on a regular basis.

 

Ability to meet Financial Obligations

(Annex 1 para 6.1)

 

The CAA has determined that an ANSP’s ability to meet its financial obligations will best be demonstrated by the ANSP undergoing an independent financial audit and receiving a positive auditor’s statement.   If an ANSP is deemed no longer to be a ‘going concern’ then the auditor will be compelled to make a statement to this effect as part of the overall auditor’s statement on the accounts.

 

Annual Report

(Annex 1 para 9)

 

The Annual Report shall include as a minimum:

  • an assessment of the level of performance of air navigation services generated;
  • the performance of the ANSP compared to the performance targets established in the Business Plan, reconciling actual performance against the Annual Plan by using the indicators of performance established in the Annual Plan;
  • an explanation for differences with the targets, and identify measures for closing any gaps during the reference period referred to in Article 11 of Regulation (EC) No 549/2004;
  • developments in operations and infrastructure;
  • the financial results, as long as they are not separately published in accordance with article 12(1) of the Regulation (EC) No 550/2004; 
  • information about the formal consultation process with the users of its services; and
  • information about the human resources policy.

Note: if you are part of a wider organisation, the CAA will accept consolidated plans and reports, so long as these identify separately the activities at each of the airports where the organisation operates. Consolidated group audited accounts will be acceptable, these do not have to identify the different areas where the organisation operates. 

 

The CAA's policies on the implementation of the economic and financial aspects of the Common Requirements regulation are set out in the outcome of the consultation published in December 2005.