ANNEX IISupplementary provisions
ANNEX II PART ATCO.AR REQUIREMENTS FOR COMPETENT AUTHORITIES SUBPART A GENERAL REQUIREMENTS ATCO.AR.A.001 Scope This Part, set out in this Annex, establishes the administrative requirements applicable to the competent authorities with responsibility for the issue, maintenance, suspension or revocation of licences, ratings, endorsements and medical certificates for air traffic controllers and certification and oversight of training organisations and aero-medical centres. ATCO.AR.A.005 Personnel (a) Competent authorities shall produce and update every two years an assessment of the human resources needed to perform their oversight functions, based on the analysis of the processes required by this Regulation and their application. (b) Personnel authorised by the competent authority to carry out certification and/or oversight tasks shall be empowered to perform as a minimum the following tasks: (1) examine documents, including licences, certificates, records, data, procedures and any other material relevant to the execution of the required task; (2) take copies of or extracts from such records, data, procedures and other material; (3) ask for an explanation; (4) enter relevant premises and operating sites; (5) perform audits and inspections, including unannounced inspections; (6) take or initiate enforcement measures as appropriate. (c) The competent authority may authorise its personnel to conduct assessments leading to the issue, revalidation and renewal of a unit endorsement provided that they meet the requirements set out in ATCO.C.045, with the exception of point (d)(1). Familiarity with the current operational practices and procedures of the unit, where the assessment is taking place, shall however be ensured. ATCO.AR.A.010 Tasks of the competent authorities (a) The tasks of the competent authorities shall include: (1) the issue, suspension and revocation of licences, ratings, endorsements and of medical certificates; (2) the issue of temporary OJTI authorisations according to ATCO.C.025; (3) the issue of temporary assessor authorisations according to ATCO.C.065; (4) the revalidation and renewal of endorsements; (5) the revalidation, renewal and limitation of medical certificates following referral by the AME or AeMC; (6) the issue, revalidation, renewal, suspension, revocation, limitation and change of aero-medical examiner certificates; (7) the issue, suspension, revocation and limitation of training organisation certificates and of the certificates of aero-medical centres; (8) the approval of training courses, plans and unit competence schemes, as well as assessment methods; (9) the approval of the assessment method for the demonstration of language proficiency and the establishment of requirements applicable to language assessment bodies according to ATCO.B.040; (10) the approval of the need for the extended level (level five) language proficiency in accordance with ATCO.B.030(d); (11) the monitoring of training organisations, including their training courses and plans; (12) the approval and monitoring of the unit competence schemes; (13) the establishment of appropriate appeal procedures and notification mechanisms; (14) facilitating the recognition and exchange of licences, including the transfer of the records of air traffic controllers and return of the old licence to the issuing competent authority according to ATCO.A.010; (15) facilitating the recognition of training organisation certificates and course approvals. ATCO.AR.A.015 Means of compliance (a) The Agency shall develop Acceptable Means of Compliance (AMC) that may be used to establish compliance with Regulation (EC) No 216/2008 and its implementing rules. When AMC are complied with, the related requirements of the implementing rules are met. (b) Alternative means of compliance may be used to establish compliance with the implementing rules. (c) The competent authority shall establish a system to consistently evaluate that all alternative means of compliance used by itself or by organisations and persons under its oversight allow the establishment of compliance with Regulation (EC) No 216/2008 and its implementing rules. (d) The competent authority shall evaluate all alternative means of compliance proposed by an organisation in accordance with ATCO.OR.B.005 by analysing the documentation provided and, if considered necessary, conducting an inspection of the organisation. When the competent authority finds that the alternative means of compliance are in accordance with the implementing rules, it shall without undue delay: (1) notify the applicant that the alternative means of compliance may be implemented and, if applicable, amend the approval or certificate of the applicant accordingly; (2) notify the Agency of their content, including copies of all relevant documentation; and (3) inform other Member States about alternative means of compliance that were accepted. (e) When the competent authority itself uses alternative means of compliance to achieve compliance with Regulation (EC) No 216/2008 and its implementing rules it shall: (1) make them available to all organisations and persons under its oversight; and (2) notify the Agency without undue delay. The competent authority shall provide the Agency with a full description of the alternative means of compliance, including any revisions to procedures that may be relevant, as well as an assessment demonstrating that the implementing rules are met. ATCO.AR.A.020 Information to the Agency (a) The competent authority shall without undue delay notify the Agency in case of any significant problems with the implementation of Regulation (EC) No 216/2008 and this Regulation. (b) The competent authority shall provide the Agency with safety-significant information stemming from the occurrence reports it has received. ATCO.AR.A.025 Immediate reaction to a safety problem (a) Without prejudice to Regulation (EU) No 376/2014 of the European Parliament and of the Council ( 1 ) , the competent authority shall implement a system to appropriately collect, analyse and disseminate safety information. (b) The Agency shall implement a system to appropriately analyse any relevant safety information received and without undue delay provide to Member States and the Commission any information, including recommendations or corrective actions to be taken, necessary for them to react in a timely manner to a safety problem involving products, parts, appliances, persons or organisations subject to Regulation (EC) No 216/2008 and its implementing rules. (c) Upon receiving the information referred to in points (a) and (b), the competent authority shall take adequate measures to address the safety problem. (d) Measures taken in accordance with point (c) shall immediately be notified to all persons or organisations which need to comply with them under Regulation (EC) No 216/2008 and its implementing rules. The competent authority shall also notify those measures to the Agency and, when combined action is required, to the other Member States concerned. SUBPART B MANAGEMENT ATCO.AR.B.001 Management system (a) The competent authority shall establish and maintain a management system, including as a minimum: (1) documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and this Regulation. The procedures shall be kept up to date and serve as the basic working documents within that competent authority for all related tasks; (2) a sufficient number of personnel, including licensing and certification inspectors, to perform its tasks and discharge its responsibilities. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial, on-the-job and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel in order to ensure the proper completion of all related tasks; (3) adequate facilities and office accommodation to perform the allocated tasks; (4) a function to monitor compliance of the management system with the relevant requirements and adequacy of the procedures, including the establishment of an internal audit process and a safety risk management process. Compliance monitoring shall include a feedback system of audit findings to the senior management of the competent authority to ensure implementation of corrective actions as necessary; and (5) a person or group of persons ultimately responsible to the senior management of the competent authority for the compliance monitoring function. (b) The competent authority shall, for each field of activity included in the management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s). (c) The competent authority shall establish procedures for the participation in the exchange of all necessary information and assistance with other competent authorities concerned, including information exchange on all findings raised and follow-up actions taken as a result of oversight of persons and organisations exercising activities in the territory of a Member State, but certified by the competent authority of another Member State or the Agency. (d) A copy of the procedures related to the management system and their amendments shall be made available to the Agency for the purpose of standardisation. ATCO.AR.B.005 Allocation of tasks to qualified entities (a) If the competent authority allocates tasks related to the initial certification or continuous oversight of persons or organisations subject to Regulation (EC) No 216/2008 and its implementing rules, they shall only be allocated to qualified entities. When allocating tasks, the competent authority shall ensure that it has: (1) a system in place to initially and continuously assess that the qualified entity complies with Annex V to Regulation (EC) No 216/2008. This system and the results of the assessments shall be documented; (2) established a documented agreement with a qualified entity, approved by both parties at the appropriate management level, which clearly defines: (i) the tasks to be performed; (ii) the declarations, reports and records to be provided; (iii) the technical conditions to be met in performing such tasks; (iv) the related liability coverage; and (v) the protection given to information acquired in carrying out such tasks. (b) The competent authority shall ensure that the internal audit process and a safety risk management process required by ATCO.AR.B.001(a)(4) cover all certification or oversight tasks performed on its behalf. ATCO.AR.B.010 Changes to the management system (a) The competent authority shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and this Regulation. It shall enable it to take action, as appropriate, to ensure that the management system remains adequate and effective. (b) The competent authority shall update its management system to reflect any change to Regulation (EC) No 216/2008 and this Regulation in a timely manner in order to ensure effective implementation. (c) The competent authority shall notify the Agency of changes affecting its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and this Regulation. ATCO.AR.B.015 Record keeping (a) Competent authorities shall maintain a list of all organisation certificates and personnel licences and certificates they issue. (b) The competent authority shall establish a system of record keeping providing for adequate storage, accessibility and reliable traceability of: (1) the management system's documented policies and procedures; (2) training, qualification and authorisation of its personnel; (3) the allocation of tasks, covering the elements required by ATCO.AR.B.005 as well as the details of tasks allocated; (4) certification processes and continuing oversight of certified organisations; (5) details of courses provided by training organisations; (6) processes for the issue of licences, ratings, endorsements and certificates, and for the continuing oversight of the holders of those licences, ratings, endorsements and certificates; (7) continuing oversight of persons and organisations exercising activities within the territory of the Member State, but certified by the competent authority of another Member State, as agreed between these authorities; (8) findings, corrective actions and date of action closure; (9) enforcement measures taken; (10) safety information and follow-up measures; (11) the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008; and (12) the evaluation and notification to the Agency of alternative means of compliance proposed by organisations and the assessment of alternative means of compliance used by the competent authority itself. (c) Records shall be kept for a minimum period of 5 years and with regard to personnel licences for a minimum period of 10 years after the expiry of the last endorsement on the licence, subject to applicable data protection law. SUBPART C OVERSIGHT AND ENFORCEMENT ATCO.AR.C.001 Oversight (a) The competent authority shall verify: (1) compliance with requirements applicable to organisations or persons prior to the issue of an organisation certificate or personnel licence, certificate, rating or endorsement, as applicable; (2) the continued compliance with the applicable requirements and the conditions attached to the training organisation's certificate, as well as the applicable requirements for training courses, plans and schemes it has approved and requirements applicable to personnel; (3) implementation of appropriate safety measures mandated by the competent authority as defined in ATCO.AR.A.025(c) and (d). (b) This verification shall: (1) be supported by documentation specifically intended to provide guidance to the personnel responsible for safety oversight in order to perform their functions; (2) provide persons and organisations concerned with the results of the safety oversight activity; (3) be based on audits and inspections including, as appropriate, unannounced inspections; and (4) provide the competent authority with the evidence needed in case further action is required, including the measures foreseen in ATCO.AR.C.010 and ATCO.AR.E.015. (c) The scope of oversight shall be determined on the basis of the scope and results of past oversight activities and safety priorities. (d) Without prejudice to the competencies of the Member States, the scope and results of oversight of activities performed in the territory of a Member State by persons or organisations established or residing in another Member State shall be determined on the basis of the safety priorities, as well as past oversight activities. (e) Where the activity of a person or organisation involves more than one Member State, the competent authority responsible for the oversight according to points (a) to (c) may agree to specific alternative oversight arrangements with the other competent authority(ies). Any person or organisation subject to such agreement shall be informed of its existence and of its scope. ATCO.AR.C.005 Oversight programme (a) The competent authority shall establish and maintain an oversight programme covering the oversight activities required by ATCO.AR.C.001. (b) For organisations certified by the competent authority the oversight programme shall be developed taking into account the specific nature of the organisation, the complexity of its activities and past certification and/or oversight activities. It shall include within each oversight planning cycle: (1) audits and inspections, if needed, including unannounced inspections as appropriate; and (2) meetings convened between the management of the training organisation and the competent authority to ensure that both remain informed of significant issues. (c) For organisations certified by the competent authority an oversight planning cycle not exceeding 24 months shall be applied. The oversight planning cycle may be reduced if there is evidence that the safety performance of the organisation has decreased. The oversight planning cycle may be extended to a maximum of 36 months if the competent authority has established that during the previous 24 months: (1) the organisation has demonstrated an effective identification of aviation safety hazards and management of associated risks; and (2) the organisation has continuously demonstrated under ATCO.OR.B.015 that it has full control over all changes; and (3) no level 1 findings have been issued; and (4) all corrective actions have been implemented within the time period accepted or extended by the competent authority as defined in ATCO.AR.E.015. The oversight planning cycle may be further extended to a maximum of 48 months if, in addition to the above, the organisation has established, and the competent authority has approved, an effective continuous reporting system to the competent authority on the safety performance and regulatory compliance of the organisation itself. (d) The oversight programme for training organisations shall include the monitoring of training standards including the sampling of training delivery if appropriate. (e) For persons holding a licence, rating or endorsement issued by the competent authority the oversight programme shall include inspections, including unannounced inspections, if appropriate. ATCO.AR.C.010 Findings and enforcement measures for personnel (a) If during oversight or by any other means evidence is found by the competent authority responsible for the oversight in accordance with ATCO.AR.C.001 that shows non-compliance with the applicable requirements by a person holding a licence issued in accordance with this Regulation, the competent authority shall raise a finding, record it and communicate it in writing to the licence holder, as well as communicate the finding to the employing organisation, if applicable. (b) When the competent authority that raised the finding is the competent authority responsible for the issuing of the licence: (1) it may suspend or revoke the licence, rating or endorsement, as applicable, when a safety issue has been identified; and (2) it shall take any further enforcement measures necessary to prevent the continuation of the non-compliance. (c) When the competent authority that raised the finding is not the competent authority responsible for the issuing of the licence, it shall inform the competent authority that issued the licence. In this case, the competent authority that issued the licence shall take action in accordance with point (b) and inform the competent authority that raised the finding. SUBPART D ISSUE, REVALIDATION, RENEWAL, SUSPENSIONAND REVOCATION OF LICENCES, RATINGS AND ENDORSEMENTS ATCO.AR.D.001 Procedure for the issue, revalidation and renewal of licences, ratings, endorsements and authorisations (a) The competent authority shall establish procedures for the application, issue and exchange of licences, issue of ratings and endorsements, as well as the revalidation and renewal of endorsements. These procedures may include: (1) the issue of temporary OJTI authorisation and temporary assessor authorisation; and (2) if applicable, the authorisation for assessors to revalidate and renew unit endorsements in which case assessors shall submit all records, reports and any other information to the competent authority as defined in such procedures. (b) Upon receiving an application and, if relevant, any supporting documentation, the competent authority shall verify the application completeness and whether the applicant meets the requirements set out in Annex I. (c) If the applicant meets the applicable requirements, the competent authority shall issue, revalidate or renew, when appropriate, the relevant licence, rating(s) and endorsement(s) using the format for licences established in Appendix 1 of Annex II. The temporary OJTI authorisation referred to in ATCO.C.025 and the temporary assessor authorisation referred to in ATCO.C.065 shall be issued as a separate document wherein the privileges of the holder as well as the validity of the authorisation shall be specified. (d) For the purpose of reducing unnecessary administrative burden, the competent authority may establish procedures for establishing a unique date of validity for several endorsements. In any case, the validity periods of the endorsements concerned shall not be extended. (e) The competent authority shall replace the air traffic controller licence if necessary for administrative reasons and when point (XIIa) of the licence is completed and no further space remains. The date of the first issue of the ratings and rating endorsements shall be transferred to the new licence. ATCO.AR.D.005 Revocation and suspension of licences, ratings and endorsements (a) For the purpose of ATCO.A.020 the competent authority shall establish administrative procedures for the suspension and revocation of licences, ratings and endorsements. (b) The competent authority may suspend the licence in the case of provisional inability not being terminated according to the procedures referred to in ATCO.A.015(e). (c) The competent authority shall suspend or revoke a licence, rating or endorsement in accordance with ATCO.AR.C.010 in particular in the following circumstances: (1) exercising the privileges of the licence when the licence holder no longer complies with the applicable requirements of this Regulation; (2) obtaining a student air traffic controller or an air traffic controller licence, rating, endorsement or certificate by falsification of submitted documentary evidence; (3) falsification of the licence or certificate records; (4) exercising the privileges of the licence, rating(s) or endorsement(s) under the influence of psychoactive substances. (d) In cases of suspension or revocation of licences, ratings and endorsements, the competent authority shall inform the licence holder in writing of this decision and of their right of appeal in accordance with the procedures established in ATCO.AR.A.010(a)(14). The suspension or revocation of the assessor endorsement should be notified to the relevant air navigation service provider as well. (e) The competent authority shall also suspend or revoke a licence, rating or endorsement upon written request of the licence holder. SUBPART E CERTIFICATION PROCEDURE FOR AIR TRAFFIC CONTROLLER TRAINING ORGANISATIONS AND APPROVAL OF TRAINING COURSES ATCO.AR.E.001 Application and certification procedure for training organisations (a) Upon receiving an application for the issue of a training organisation certificate, the competent authority shall verify the training organisation's compliance with the requirements set out in Annex III. (b) If the applicant training organisation fulfils the applicable requirements, the competent authority shall issue a certificate using the format established in Appendix 2 of Annex II. (c) To enable an organisation to implement changes without prior competent authority's approval in accordance with ATCO.OR.B.015 and ATCO.AR.E.010(c), the competent authority shall approve the procedure submitted by the training organisation defining the scope of such changes and describing how such changes will be managed and notified. ATCO.AR.E.005 Approval of training courses and training plans (a) The competent authority shall approve training courses and training plans developed in accordance with the requirements laid down in ATCO.OR.D.001. (b) Following an exchange of a licence according to ATCO.A.010 the competent authority shall approve or reject the unit endorsement course established in accordance with ATCO.B.020(b) and (c) not later than six weeks after presentation of the application for the approval of the course, and ensure that the principles of non-discrimination and proportionality are respected. ATCO.AR.E.010 Changes to the training organisations (a) Upon receiving an application for a change that requires prior approval in accordance with ATCO.OR.B.015, the competent authority shall verify the training organisation's compliance with the requirements set out in Annex III before the issue of the approval. The competent authority shall approve the conditions under which the organisation may operate during the change, unless the competent authority determines that the change cannot be implemented. After having verified that the training organisation complies with the applicable requirements, the competent authority shall approve the change. (b) Without prejudice to any additional enforcement measures in accordance with ATCO.AR.E.015, when the organisation implements changes requiring prior approval without having received the competent authority's approval as defined in point (a), the competent authority shall take immediate and adequate action. (c) For changes not requiring prior approval, the competent authority shall approve a procedure developed by the training organisation in accordance with ATCO.OR.B.015 defining the scope of such changes and its management and notification mechanism. In the continuous oversight process the competent authority shall assess the information provided in the notification to verify whether actions taken comply with the approved procedures and applicable requirements. ATCO.AR.E.015 Findings and corrective actions (a) The competent authority shall have a system to analyse findings for their safety significance. (b) A level 1 finding shall be issued by the competent authority when any significant non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and this Regulation, with the training organisation's procedures and manuals, with the type(s) of training and/or service(s) provided or certificate(s) which lowers or seriously endangers safety and/or results in a significant degradation of the training provided. A level 1 finding shall include, but shall not be limited to: (1) failure to give the competent authority access to the training organisation's facilities as defined in ATCO.OR.B.025 during normal operating hours and after two written requests; (2) obtaining or maintaining the validity of the training organisation certificate by falsification of submitted documentary evidence; (3) evidence of malpractice or fraudulent use of the training organisation certificate; and (4) the lack of an accountable manager. (c) A level 2 finding shall be issued by the competent authority when any non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and this Regulation, with the training organisation's procedures and manuals, with the type(s) of training and/or service(s) provided or certificate(s) which could lower or endanger safety and/or could result in a degradation of the training provided. (d) When a finding is detected during oversight or by any other means, the competent authority shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and this Regulation, communicate the finding to the training organisation in writing and request corrective action to address the non-compliance(s) identified. (1) In the case of level 1 findings the competent authority shall take immediate and appropriate action to prohibit or limit activities, and if appropriate, it shall take action to revoke the certificate or to limit or suspend it in whole or in part, depending upon the extent of the finding, until successful corrective action has been taken by the training organisation. (2) In the case of level 2 findings the competent authority shall: (i) grant the training organisation a corrective action implementation period included in an action plan appropriate to the nature of the finding; and (ii) assess the corrective action and implementation plan proposed by the training organisation and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept these. (3) Where a training organisation fails to submit an acceptable corrective action plan, or to perform the corrective action within the time period accepted or extended by the competent authority, the finding shall be raised to a level 1 finding, and action shall be taken as laid down in point (d)(1). (e) The competent authority shall record all findings it has raised and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the date of action closure for findings. SUBPART F SPECIFIC REQUIREMENTS RELATING TO AERO-MEDICAL CERTIFICATION SECTION 1 General requirements ATCO.AR.F.001 Aero-medical centres and aero-medical certification By way of derogation from Subparts A, B and C, with regard to aero-medical centres (AeMCs) and aero-medical certification, the competent authority shall apply the following provisions of Annex VI to Commission Regulation (EU) No 1178/2011 (the Aircrew Regulation) ( 2 ) , with the exclusion of all references to general medical practitioners (GMPs): — Subpart ARA.GEN, — Subpart ARA.AeMC, — ARA.MED.120 Medical assessors, — ARA.MED.125 Referral to the licensing authority, — ARA.MED.150 Record keeping, — ARA.MED.200 Procedure for the issue, revalidation, renewal or change of an AME certificate, — ARA.MED.245 Continuing oversight, — ARA.MED.250 Limitation, suspension or revocation of an AME certificate, — ARA.MED.255 Enforcement measures, — ARA.MED.315 Review of examination reports, and — ARA.MED.325 Review procedure. SECTION 2 Documentation ATCO.AR.F.005 Medical certificate The medical certificate shall conform to the following specifications: (a) Content: (1) State in which the ATCO licence has been issued or applied for (I); (2) Class of medical certificate (II); (3) Certificate number commencing with the UN country code of the state in which the ATCO licence has been issued or applied for and followed by a code of numbers and/or letters in Arabic numerals and Latin script (III); (4) Name of the holder (IV); (5) Nationality of the holder (VI); (6) Date of birth of the holder (XIV); (7) Signature of the holder (VII); (8) Limitation(s) (XIII); (9) Expiry date of the class 3 medical certificate (IX); (10) Date of examination; (11) Date of last electrocardiogram; (12) Date of last audiogram; (13) Date of issue and signature of AME or medical assessor that issued the medical certificate (X); (14) Seal or stamp. (b) Material: The paper or other material used shall prevent or readily show any alterations or erasures. Any entries or deletions to the form shall be clearly authorised by the competent authority. (c) Language: Medical certificates shall be written in the national language(s) and in English and in such a language that the competent authority deems appropriate. (d) All dates on the medical certificate shall be written in a dd/mm/yyyy format. ATCO.AR.F.010 AME certificate After having verified that the AME is in compliance with the applicable requirements, the competent authority shall issue, revalidate, renew or change the AME certificate using the form established in Appendix 3 of Annex II. ATCO.AR.F.015 AeMC certificate After having verified that the AeMC is in compliance with the applicable requirements, the competent authority shall issue or change the AeMC certificate, using the form established in Appendix 4 of Annex II. ATCO.AR.F.020 Aero-medical forms The competent authority shall provide AMEs and AeMCs with the forms to be used for: (a) the application form for a medical certificate; and (b) the examination report form for class 3 applicants. ( 1 ) Regulation (EU) No 376/2014 of the European Parliament and of the Council of 3 April 2014 on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 ( OJ L 122, 24.4.2014, p. 18–43 ). ( 2 ) Commission Regulation (EU) No 1178/2011 of 3 November 2011 laying down technical requirements and administrative procedures related to civil aviation aircrew pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council ( OJ L 311, 25.11.2011, p. 1 ).