Change management and change notification process

Changes that may require review and/or prior approval, must be notified to the CAA and submitted to the CAA via e mail to asddocs@caa.co.uk.

Where the change may require review and/or 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 will require prior approval before implementation and may be subject to review:

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; Supplementary Instructions, (see more information on SIs below).
• 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.

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

Changes to the types of training provided as follows:

• Where a training organisation intends to provide a new type of training e.g. INITIAL, UNIT, CONTINUATION (Conversion and Refresher), OJTI and ASSESSOR.
• Changes to training courses as follows:
  • Changes to documentation that impact on the methodology, delivery and / or course structure.
  • Changes to the timetable which increases or decreases the course by more than a 10% of course duration.
  • Topics and sub topics removed from the plan which result in non-compliance of content.
  • Extraneous content which affects course length.
  • Change in simulator platform. (i.e. a new simulator or any changes to the criteria defined in regulation 2015/340 AMC1 ATCO.OR.C.15(b)).
  • Change in assessment process or examination style.
  • Change in summative exercises.
• Changes to the training facilities. (A new location or changes to classrooms and practical training areas).
• Changes to the Unit Training Plan and Unit Endorsement Courses.
• Changes to the Unit Competency Scheme and refresher training.
• Modifications to the approved change management procedure.

Air Navigation Service Providers (ANSP)

• Modifications to the approved change management procedure.

Air Navigation Service Providers (ANSP)

• A change to the service provider's management system and/or safety management system that does not impact on the functional system or the change management process.
• Change of accountable manager and the management personnel in charge of safety, quality, security, finance and human resources-related functions as applicable.

NOTE: Although the above changes do not require approval they are to be notified to the CAA to ensure that the CAA maintains a current record of the ANSP documentation and management organisation.

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

Change of the accountable manager and/or the head of the training organisation.

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.

The list below indicates the type of minor changes that do not require notification to the CAA. Such minor changes are to be implemented in accordance with local safety assurance procedures.

• Equipment faults that result in the changing of components that do not affect the operating parameters.
• Changes to maintenance routines, except those that impact on service provision.
• Equipment modifications/manufacture's upgrades that do not affect the operating parameters.
• Document changes, typos, formats etc that do not impact on the content of management systems, change management systems, training courses or service provision

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

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

SIs are generally of a minor nature and the majority will not require review and approval.

Due to the volume of SIs received by the CAA the CAA will not provide the results of their assessment to the notifier unless it has been selected for review.

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 SRG 1430 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 issue an approval. (Within 30 days of receipt of the notification).
• Where a review is required the CAA will inform the notifier, (Within 30 days of receipt of the notification), 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.

Modifications to change management procedures require mandatory prior approval and therefore subject to review and cannot be implemented until approval is received.

Changes notified by Training Organisations that require mandatory prior approval will be subject to review and cannot be implemented until approval is received.

It should be noted that when a change is selected for review or where it is mandatory to carry out a review there is no set time limit for the completion of the review. The time taken for the completion of a review will be dependant on the complexity of the notified change.

For changes that fall into the category of not requiring approval the CAA will record the notified change and take no further action.

Note: This last type of change is to be implemented by the service provider in accordance with their approved change management procedure and may be reviewed as part on the CAA's ongoing oversight process.

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.