2 Scope
The 'APP' documents in Section 1 ATS Certification, Designation and Approval cover the gaining and maintenance of SES Certification and Designation, Approval of an ATCU and approval (if appropriate) of maintenance arrangements.
The 'ATC' documents in Section 2 Air Traffic Control cover the areas of temporary ATCUs, support systems and facilities, documentation and emergency or contingency facilities.
The documents in Section 3 Systems Engineering provide regulatory objectives for safety assurance for ATS systems and ATS equipment comprising hardware and software elements.
The 'GEN' documents in Section 4 General cover a number of miscellaneous subjects comprising guidance on the safeguarding of ATS operations including possible degradation of radio signals due to the presence of windfarms (wind powered turbine generators), the technical safeguarding of radio sites consisting of the two processes of physical protection and radio spectrum protection and operational trials.
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Part B, Section 1, ATS Approval - Documents
APP 01 Safety Management Systems
1  Introduction
1.1  International standards and regulations (ICAO, Eurocontrol and European Union) applicable to the UK require the UK CAA to ensure that a Safety Management System (SMS) is used at all ATS units. ATS is defined in Regulation (EU) No 549/2004 The Framework Regulation in article 2.1
1.2  The SES Regulations also apply in this regard to Communications, Navigation or Surveillance Service Providers. This includes units operating navigational aids such as Non-Directional Beacons (NDBs).
1.3  Where approval under the ANO is required, it is the responsibility of the Service Provider to satisfy the CAA that the system under consideration will be safe for use by aircraft and satisfies all appropriate requirements throughout its lifecycle.
1.4  This applies both to initial approval and any subsequent changes to the approved system.
1.5  The following sections provide the requirements and guidance that can be used by Service Providers when constructing and maintaining a Safety Management System. It contains examples of typical components of an SMS and includes the requirements contained within the European Commission Regulation (EC) No 2096/2005 Common Requirements for the Provision of Air Navigation Services.2
1.6  In accordance with Regulation (EC) No 550/2004, the European Commission adopted the relevant provisions of Eurocontrol Safety Regulatory Requirement (ESARR) 3 on the use of Safety Management Systems. This section makes use of text from ESARR 3 and where this is done the text is printed in bold. Additional recommendations and explanatory text are provided. These provide further reasoning for the requirement itself. They are provided to assist Service Providers in understanding the particular issue that the requirement addresses.

2  Scope / Applicability
The terms of ESARR 3 had applied to Air Traffic Management (ATM) Service Providers from 16 July 2003. In the UK, this requirement had applied only to Air Traffic Control Service Providers from that date. Other ATS Service Providers were to be advised in due course of the date by when they would be required to comply. Attention is now drawn to the Single European Sky Common Requirements (which include elements of ESARR 3) for ANSPs, the scope of which Requirements extend beyond Air Traffic Control Providers. Further information can be obtained from the Single European Sky CAA web site (see Directory, page 2).
1.
http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2004:096:0001:0008:EN:PDF

2.
http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=OJ:L:2005:335:0013:0030:EN:PDF

3  Rationale
3.1  The prime responsibility for the safety of an ATM service rests with the Service Provider. Within the overall management of the service, the Service Provider has a responsibility to ensure that all relevant safety issues have been satisfactorily dealt with, and to provide assurance that this has been done.
　
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