An Agency of the European Union
Your safety is our mission.
Iraia Irazabal
Aerodrome Certification
Bangkok, Thailand, 20 to 24 of January 2020
Change Management
EU-South East Asia Aviation Partnership Project (EU-SEA APP)
This project is funded by the European Union and implemented
by the European Union Aviation Safety Agency - EASA
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Change management
→ Documentation of reference
→ Introduction
→ Requirements stablished in the European regulation
→ Change Management Procedure
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Change management
Documentation of reference
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Change management
Documentation of reference
PANS – ADR 9981
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Change management
Documentation of reference
PANS – ADR 9981
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Change management
Documentation of reference
• Regulation (EC) No 2018/1139 (basic regulation).
• Regulation (EU) No 139/2014 (implementing rule).
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Change management
Introduction
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Change management
Change
Management
Continuous
Oversight
Airport
Certification
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Change management
Requirements stablished in the European
regulation
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Change management
Requirements stablished in the European regulation
Authority requirements
The change management procedure (of the aerodrome operator) must be
approved by the Competent Authority.
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Change management
Requirements stablished in the European regulation
Authority requirements
The authority must develop a
procedure to assess the changes
proposed by the aerodrome operator.
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Change management
Requirements stablished in the European regulation
Changes not
requiring prior
approval from CAA
Changes
requiring prior
approval from CAA
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Change management
Requirements stablished in the European regulation
Authority requirements
Notifications to the
aerodrome operator
Changes
requiring prior
approval from CAA
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Change management
Requirements stablished in the European regulation
Authority requirements
The conditions under which the
aerodrome operator shall operate during
the change must be approved by
the Competent Authority
Update the terms of the certificate?
Changes
requiring prior
approval from CAA
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Change management
Requirements stablished in the European regulation
Authority
requirements
Changes
Which certification specifications
shall apply?
Issue 2
Issue 3
Issue 4
Changes requiring
prior approval from CAA
Changes not requiring
prior approval from CAA
Notification of
the change
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Change management
Requirements stablished in the European regulation
Authority
requirements
Specific requirements for
the authority
(assessment of the change)
Changes requiring
prior approval from CAA
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Change management
Requirements stablished in the European regulation
Authority
requirements
Changes requiring
prior approval from CAA
Specific requirements for
the authority
(assessment of the change)
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Change management
Requirements stablished in the European regulation
Authority
requirements
Changes in nominated persons
Assessment of the
nominees
Possible interviews
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Change management
Requirements stablished in the European regulation
Authority
requirements
Conduct an
audit?
Changes requiring
prior approval from CAA
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Change management
Requirements stablished in the European regulation
Aerodrome requirements
Which changes?
When can they be
implemented?
Changes requiring
prior approval from CAA
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Change management
Requirements stablished in the European regulation
Aerodrome requirements
Changes requiring prior approval: list of items
which should be granted prior approval
Changes
requiring prior
approval from CAA
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Change management
Requirements stablished in the European regulation
Aerodrome
requirements
Documentation to be provided
by the aerodrome operator
Changes requiring
prior approval from CAA
Elements affected
by the change
CS affected
AM procedures
affected
Safety assessment
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Change management
Requirements stablished in the European regulation
Aerodrome requirements
Changes not requiring prior
approval from CAA
All changes, even the ones that don’t require prior
approval, have to be notified to the CAA
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Change management
Requirements stablished in the European regulation
Authority requirements
Review:
any non-compliances?
Changes not requiring
prior approval from CAA
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Change management
Requirements stablished in the European regulation
Changes not requiring
prior approval from CAA
Changes requiring
prior approval from CAA
Reg 139 does not establish when does the change have to be notified to the CAA
(before?, after?, with how much time in advance?)
Is common Sense that the changes requiring prior approval have to be notified
BEFORE. But, appart from that, the CAA is to decide.
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Change management
Change Management Procedure
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Change management
Change Management Procedure
During the certification processes that ended in December 2017, all
the Change management procedures of the aerodrome operators
were approved.
Prior to the certification processes regarding the
European regulation, a similar procedure was
already implemented, developed according to
Spanish national certification regulation.
Stablishes:
References and acceptable
means,
Notifications to be made by
the aerodrome operators,
Deadlines
Specific guidance material for the
aerodrome operators was developed:
“Technical instruction for airport
change management”
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Change management
Change Management Procedure
OBJETIVE
To describe the methodology to be followed to manage changes at the
airport, from their planning to the entry into service, defining its registration
and control, and the responsibilities of each player regarding the actions to be
performed.
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Change management
Change Management Procedure
ANALYSIS OF CHANGE - DEFINITION OF CHANGE
According to the General Technical Instruction for Airport Change Management, "change"
is defined as any planned action in the organization, infrastructures or equipment, including
the introduction of new procedures and modifications of existing procedures, or the entry
into force of new regulations which:
- Affect the safety of the airport (above a minimum level) and
- its management is not established in advance in the day to day operation of the airport
operator.
Minor changes ("amendments or corrections") will not be considered changes in this regard.
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Change management
Change Management Procedure
TALKING ABOUT CHANGES…
Changes where the final
configuration is different from
the initial configuration
Changes where the initial and the final
configurations are the same, but the works in
between require temporary operative conditions
which differ from the ones in the certificate
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Change management
Change Management Procedure
TALKING ABOUT CHANGES…
Somentimes, the initial and the final configurations
are the same, but the works in between require
temporary operative conditions which differ from
the ones in the certificate
… Change on the
declared distances
… Change of the type of
approaches allowed
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Change management
Change Management Procedure
4 types of changes are defined, taking into account:
• If the change requires prior approval from the authority.
• The evaluation of the impact of the change.
• The risk assessment of the change.
Changes that require prior
approval
Changes that do not require
prior approval
Type 1 – Full approval procedure
Type 1A – Abbreviated approval procedure
Type 2 – Pre-implementation notification
Type 3 – They don’t require notification prior to
their implementation. Annual notification.
Types of changes
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Change management
Change Management Procedure
1
st
STEP:
Does the change
require prior
approval?
2nd STEP:
Evaluation of the
impact and risk
assessment of the
change
3
rd
STEP:
Type of change
How is the type of change stablished?
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Change management
Change Management Procedure
Changes to Safety-Critical Equipment.
1
st
step: does the change require prior approval?
To stablish if the change requires prior approval, the “Technical instruction
for airport change management” provides forms that the aerodrome
operator must check, in order to assess if the change affects any of the
elements that would require prior approval:
Changes in the terms of the certificate.
Changes in the certification basis.
Changes to the SMS elements.
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Change management
Change Management Procedure
1
st
step: does the change require prior approval?
To stablish if the change requires prior approval, the “Technical instruction
for airport change management” provides forms that the aerodrome
operator must check, in order to assess if the change affects any of the
elements that would require prior approval:
Changes to the Low Visibility Procedure.
Changes in other requirements that require prior
approval.
Changes in the Aerodrome Emergency Plan.
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Change management
Change Management Procedure
2
nd
step: evaluation of the impact and risk assessment of
the change.
Once it is stablished if the change requires or not prior approval, how it is defined
the type of the change (1, 1A, 2 or 3)?
The aerodrome operator must carry on, in addition to the assessment of the need
of approval, the following tasks:
- The evaluation of the impact of the change.
- The risk assessment of the change.
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Change management
Change Management Procedure
2
nd
step:
- The evaluation of the impact of the change.
Forms to evaluate the
impact
( ∑ )
OUTPUT: Numerical value (N)
Evaluation of the impact of the
change
Low N < N1
Middle N1 < N < N2
High N > N2
(*) N1 and N2 must be defined for each airport
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Change management
Change Management Procedure
2
nd
step:
The evaluation of the impact of the change.
Stablishing N1 and N2
N1 and N2 were approved during the
certification processes.
Those values were defined based on the
experience acquired during the
certification processes under the
national regulation.
Ops>100.000 100.000>Ops>15.000 Ops<15.000
Complex
configuration
AD1 AD2 AD3
Simple
configuration
AD2 AD3 AD3
Basic
configuration
AD2 AD3 AD3
Complexity
Ops
Example
AD1
N1 = 13; N2 = 27
AD3
N1 = 11; N2 = 25
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Change management
Change Management Procedure
- The risk assessment of the change (According to the risk management
procedure of the airport SMS).
The assessment must have into consideration both the implementation of the change
(including the transition period while the works related to the change are being carried
out, and the afterwards adaptation period until the regular operation is reached) and
the regular operation once the change has been implemented.
2
nd
step:
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Change management
Change Management Procedure
2
nd
step: The risk assessment of the change
4 areas are
defined
Area 1: Acceptable Risk with Low Severity (minor, insignificant)
Area 2: Tolerable Risk with Low Severity
Area 3: Acceptable Risk with Medium-High Severity (Important,
Dangerous)
Area 4: Tolerable Risk with Medium-High Severity
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Change management
Change Management Procedure
2
nd
step: The risk assessment of the change
The risk assessment must take into consideration each of the
phases of the change:
Transition period for the
implementation
Adjustment period, after the
entry in service of the change
Final estate, with the change
already implemented
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Change management
Change Management Procedure
2
nd
step: evaluation of the impact and risk assessment of the change.
Evaluation of the change
Evaluation of the impact of the change
Low N < N1
Middle N1 < N < N2
High N > N2
Risk assessment of the change
OUTPUT:
Negligible (non significant), Moderate
or Significant change
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Change management
Change Management Procedure
3
rd
step: type of change
NO PRIOR APPROVAL
REQUIRED
REQUIRES PRIOR
APPROVAL
NEGLIGIBLE / NON SIGNIFICANT TYPE 3 TYPE 1A
MODERATE
TYPE 2 TYPE 1
SIGNIFICANT
Requires prior approval?
YES / NO
1
st
step
2
nd
step
Negligible, Moderate or Significant
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Change management
Change Management Procedure
1
ST
STEP:
Does the change
require prior
approval?
2
nd
STEP:
Evaluation of the impact
and risk assessment of the
change
Evaluation of the
impact
Low
Middle
High
Risk assessment of the
change
3
rd
STEP:
Type of change
NO PRIOR
APPROVAL
REQUIRED
REQUIRES
PRIOR
APPROVAL
NEGLIGIBLE /
NON
SIGNIFICANT
TYPE 3 TYPE 1A
MODERATE
TYPE 2 TYPE 1
SIGNIFICANT
Forms
1
st
STEP:
Does the change
require prior approval?
2nd STEP:
Evaluation of the impact and risk
assessment of the change
3
rd
STEP:
Type of change
OUTPUT:
YES / NO
OUTPUT: NON SIGNIFICANT,
MODERATE, SIGNIFICANT CHANGE
OUTPUT:
TYPE 1, 1A, 2 or 3 CHANGE
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Change management
Change Management Procedure
Changes that require
prior approval
Changes that do not
require prior approval
Type 1
Full approval procedure
Type 1A
Abbreviated approval procedure
Type 2
Pre-implementation notification
Type 3
They don’t require notification
prior their implementation.
Annual notification.
3 months prior to
implementation
30 days prior to implementation
30 days prior to implementation
Once per year
(1
st
trimester of each year)
The aerodrome operator
must notify…
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Change management
Example
Change Rescue and firefighting level of
protection
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Change management
Example
1
st
step: does the
change require
prior approval?
Form:
Changes in the terms
of the certificate.
Yes
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Change management
Example
2nd step:
evaluation of the
impact
Forms to evaluate
the impact
Middle
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Change management
Example
2nd step: risk assessment of the change
(Assessed according to the risk management
procedure of the airport SMS)
Area 3
Middle
impact
Moderate
change
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Change management
Example
3
rd
step: type of change
Requires prior
approval
Moderate
change
Type 1 change
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Change management
Statistics
Changes that require
prior approval
Changes that do not
require prior approval
Type 1
Full approval procedure
Type 1A
Abbreviated approval procedure
Type 2
Pre-implementation notification
Type 3
They don’t require notification
prior their implementation.
Annual notification.
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20
60
Notified changes : 91
(January 2018 – march 2019)
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Change management
Change Management Procedure
CHANGE LOG
1. General record of a change
2. Individual record of change
3. Application for approval (Type 1 / 1A)
4. Previous notification of changes not submitted for approval (Type 2)
5. Periodic reporting for changes that do not require prior approval or
notification (Type 3)
6. Executive summary of the description of change
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Change management
Change Management Procedure
PROCESSING OF CHANGES
• Documentation required for processing the change.
• Deadlines for sending the change documentation (if applies) to AESA.
• The Airport Operator must have all the supporting documentation
associated with the change and generated in the management process
of it.
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Change management
Change Management Procedure
PROCESSING CHANGES TYPE 1
• The communication to AESA must be made at least 3 months before
the starting date of the change.
• For changes that require modification of the certificate, if after
completing the forms and Risk Assessment it results of Type 1A, it will
be processed with the information required for Type 1A changes, but
must be communicated with the required deadline for Type 1 changes.
• Type 1 changes or those changes that require modification of the
certificate, must be requested for approval by submitting the following
documentation (next slide).
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Change management
Change Management Procedure
Logs
Prior approval
logs
Risk
management of
the Change
Changes in the
AM
CS compliance, when
applies
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Change management
Change Management Procedure
PROCESSING CHANGES TYPE 1A
• The communication of the change to AESA shall be made at least 1
month before the scheduled date of the entry into service of the
change.
• Type 1A changes, must be requested for approval by submitting the
following documentation (next slide).
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Change management
Change Management Procedure
TYPE 1A CHANGES
DOCUMENTATION TO SUBMIT PRESENTATION MODE
Application for approval
F
-GC-SAP-CÓDIGO OACI-v2014.1
General change register
F
-GC–RGS-01-CÓDIGO OACI-v2014.1
Individual change record
F
-GC–RGS-02-CÓDIGO OACI-v2014.1
Executive summary of change description
Evaluation of the impact Form
F
-GC–EPI-CÓDIGO OACI-v2014.1
Forms of prior approval need:
Changes in regulatory requirements
F
-GC–AP-BC-CÓDIGO OACI-v2014.1
Changes in safety critical equipment
F
-GC–AP-ECS-CÓDIGO OACI-v2014.1
Changes to the SMS elements
F
-GC–AP-SMS-CÓDIGO OACI-v2014.1
Changes in other requirements that require approval
F
-GC–AP-IR-CÓDIGO OACI-v2014.1
About Change Risk Management:
Risk Management / ASS
Minutes of the committee or expert meeting
Registration of participants in the risk analysis session (or corresponding
safety committee)
According to procedure PGS-01 Risk management system
Risk Management Results Paper
Minutes of meeting or expert meeting
Record of attendees to the expert session
Changes in the Manual:
Registration of amendments to the Manual.
Amendments to the Manual.
Change Sheet of the Airport Manual.
Documentation of the Airport Manual affected by the change.
Other supporting documentation Optional
In the case it is determined by the Airport that it may be necessary to modify the
certificate.
As per art. 19 from RD 862/09, of May the 14th //// Regulation (UE) 139/2014
Logs
Prior approval
logs
Risk
management of
the Change
Changes in the
AM
CS compliance, when
applies
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Change management
Change Management Procedure
PROCESSING CHANGES TYPE 2
• The communication to AESA will be made at least 1 month before the starting date
of the change.
• The implementation of the change can be started on the scheduled date after 30
days from the date of the arrival of the request to AESA by formal means, unless
during that period, an AESA’is received with some type of requirement that could
condition the date of entry into service of the change.
• Type 2 changes, which do not require prior approval, must be notified to AESA prior
to the implementation of the change by submitting the following documentation
(next slide).
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Change management
Change Management Procedure
TYPE 2 CHANGES
DOCUMENTATION TO SUBMIT PRESENTATION MODE
Prior notification
F
-GC-NOT-CÓDIGO OACI-v2014.1
General change register
F
-GC–RGS-01-CÓDIGO OACI-v2014.1
Individual change record
F
-GC–RGS-02-CÓDIGO OACI-v2014.1
Executive summary of change description
Evaluation of the impact Form
F
-GC–EPI-CÓDIGO OACI-v2014.1
About Change Risk Management:
Risk Management / ASS
Minutes of the committee or expert meeting
Registration of participants in the risk analysis session (or corresponding safety
committee)
According to procedure PGS-01 Risk management system
Risk Management Results Paper
Minutes of meeting or expert meeting
Record of attendees to the expert session
Changes in the Manual:
Registration of amendments to the Manual.
Amendments to the Manual.
Change Sheet of the Airport Manual.
Documentation of the Airport Manual affected by the change.
Other supporting documentation Optional
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Change management
Change Management Procedure
TYPE 3 CHANGES
DOCUMENTATION TO SUBMIT PRESENTATION MODE
Periodic
communication F-GC-COM-CÓDIGO OACI-v2014.1
General
change register F-GC–RGS-01-CÓDIGO OACI-v2014.1
Individual
change record F-GC–RGS-02-CÓDIGO OACI-v2014.1
PROCESSING OF TYPE 3 CHANGES
Type 3 changes that, based on the low impact on safety, do not need to be
notified in advance of their implementation, nor do they require prior
approval, will be notified by submitting the following documentation:
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Change management
Change Management Procedure
IMPLEMENTATION OF CHANGE
• Type 1 / 1A changes may not be brought into service until the Aerodrome
Operator does not receive communication of approval from AESA.
• Type 2 changes may be implemented on the scheduled date, provided
that after 30 days from the date of reception in AESA, if no express
notification of AESA is received with any type of requirement that could
condition the date of entry into service of the change.
• Type 3 changes may be implemented in accordance with the Aerodrome
Operator change management procedure.
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Change management
Change Management Procedure
