ANNEX IVSupplementary provisions
ANNEX IV SPECIFIC REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC SERVICES (Part-ATS) SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC SERVICES (ATS.OR) SECTION 1 — GENERAL REQUIREMENTS ATS.OR.100 Ownership (a) An air traffic services provider shall notify the competent authorities of: (1) its legal status, its ownership structure and any arrangements having a significant impact on control over its assets; (2) any links with organisations not involved in the provision of air navigation services, including commercial activities in which they are engaged either directly or through related undertakings, which account for more than 1 % of their expected revenue; furthermore, it shall notify any change of any single shareholding which represents 10 % or more of their total shareholding. (b) An air traffic services provider shall take all necessary measures to prevent any situation of conflict of interests that could compromise the impartial and objective provision of its services. ATS.OR.105 Open and transparent provision of service In addition to point ATM/ANS.OR.A.075 of Annex III, the air traffic service provider shall neither engage in conduct that would have as its object or effect the prevention, restriction or distortion of competition, nor shall they engage in conduct that amounts to an abuse of a dominant position, in accordance with applicable Union and national law. SECTION 2 — SAFETY OF SERVICES ATS.OR.200 Safety management system An air traffic services provider shall have in place a safety management system (SMS), which may be an integral part of the management system required in point ATM/ANS.OR.B.005, that includes the following components: (1) Safety policy and objectives (i) Management commitment and responsibility regarding safety which shall be included in the safety policy. (ii) Safety accountabilities regarding the implementation and maintenance of the SMS and the authority to make decisions regarding safety. (iii) Appointment of a safety manager who is responsible for the implementation and maintenance of an effective SMS; (iv) Coordination of an emergency response planning with other service providers and aviation undertakings that interface with the ATS provider during the provision of its services. (v) SMS documentation that describes all the elements of the SMS, the associated SMS processes and the SMS outputs. (2) Safety risk management (i) A process to identify hazards associated to its services which shall be based on a combination of reactive, proactive and predictive methods of safety data collection. (ii) A process that ensures analysis, assessment and control of the safety risks associated with identified hazards. (iii) A process to ensure that its contribution to the risk of aircraft accidents is minimised as far as is reasonably practicable. (3) Safety assurance (i) Safety performance monitoring and measurement means to verify the safety performance of the organisation and validate the effectiveness of the safety risk controls. (ii) A process to identify changes which may affect the level of safety risk associated with its service and to identify and manage the safety risks that may arise from those changes. (iii) A process to monitor and assess the effectiveness of the SMS to enable the continuous improvement of the overall performance of the SMS. (4) Safety promotion (i) Training programme that ensures that the personnel are trained and competent to perform their SMS duties. (ii) Safety communication that ensures that the personnel are aware of the SMS implementation. ATS.OR.205 Safety assessment and assurance of changes to the functional system (a) For any change notified in accordance with point ATM/ANS.OR.A.045(a)(1), the air traffic services provider shall: (1) ensure that a safety assessment is carried out covering the scope of the change, which is: (i) the equipment, procedural and human elements being changed; (ii) interfaces and interactions between the elements being changed and the remainder of the functional system; (iii) interfaces and interactions between the elements being changed and the context in which it is intended to operate; (iv) the life cycle of the change from definition to operations including transition into service; (v) planned degraded modes of operation of the functional system; and (2) provide assurance, with sufficient confidence, via a complete, documented and valid argument that the safety criteria identified via the application of point ATS.OR.210 are valid, will be satisfied and will remain satisfied. (b) An air traffic services provider shall ensure that the safety assessment referred to in point (a) comprises: (1) the identification of hazards; (2) the determination and justification of the safety criteria applicable to the change in accordance with point ATS.OR.210; (3) the risk analysis of the effects related to the change; (4) the risk evaluation and, if required, risk mitigation for the change such that it can meet the applicable safety criteria; (5) the verification that: (i) the assessment corresponds to the scope of the change as defined in point (a)(1); (ii) the change meets the safety criteria; (6) the specification of the monitoring criteria necessary to demonstrate that the service delivered by the changed functional system will continue to meet the safety criteria. ATS.OR.210 Safety criteria (a) An air traffic services provider shall determine the safety acceptability of a change to a functional system, based on the analysis of the risks posed by the introduction of the change, differentiated on basis of types of operations and stakeholder classes, as appropriate. (b) The safety acceptability of a change shall be assessed by using specific and verifiable safety criteria, where each criterion is expressed in terms of an explicit, quantitative level of safety risk or another measure that relates to safety risk. (c) An air traffic services provider shall ensure that the safety criteria: (1) are justified for the specific change, taking into account the type of change; (2) when fulfilled, predict that the functional system after the change will be as safe as it was before the change or the air traffic services provider shall provide an argument justifying that: (i) any temporary reduction in safety will be offset by future improvement in safety; or (ii) any permanent reduction in safety has other beneficial consequences; (3) when taken collectively, ensure that the change does not create an unacceptable risk to the safety of the service; (4) support the improvement of safety whenever reasonably practicable. ATS.OR.215 Licensing and medical certification requirements for air traffic controllers An air traffic services provider shall ensure that air traffic controllers are properly licensed and hold a valid medical certificate, in accordance with Regulation (EU) 2015/340. SECTION 3 — SPECIFIC HUMAN FACTORS REQUIREMENTS FOR AIR TRAFFIC CONTROL SERVICE PROVIDERS ATS.OR.300 Scope This section establishes the requirements to be met by the air traffic control service provider with regard to human performance in order to: (a) prevent and mitigate the risk that air traffic control service is provided by air traffic controllers with problematic use of psychoactive substances; (b) prevent and mitigate the negative effects of stress on air traffic controllers to ensure the safety of air traffic; (c) prevent and mitigate the negative effects of fatigue on air traffic controllers to ensure the safety of air traffic. ATS.OR.305 Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers (a) An air traffic control service provider shall develop and implement a policy, with related procedures, in order to ensure that the problematic use of psychoactive substances does not affect the provision of air traffic control service. (b) Without prejudice to provisions laid down in Directive 95/46/EC of the European Parliament and of the Council ( 1 ) and to the applicable national legislation on testing of individuals, the air traffic control service provider shall develop and implement an objective, transparent and non-discriminatory procedure for the detection of cases of problematic use of psychoactive substances by air traffic controllers. This procedure shall take into account provisions laid down in point ATCO.A.015 of Regulation (EU) 2015/340. (c) The procedure in point (b) shall be approved by the competent authority. ATS.OR.310 Stress In accordance with point ATS.OR.200, an air traffic control service provider shall: (a) develop and maintain a policy for the management of air traffic controllers' stress, including the implementation of a critical incident stress management programme; (b) provide air traffic controllers with education and information programmes on the prevention of stress, including critical incident stress, complementing human factors training provided in accordance with Sections 3 and 4 of Subpart D of Annex I to Regulation (EU) 2015/340. ATS.OR.315 Fatigue In accordance with point ATS.OR.200, an air traffic control service provider shall: (a) develop and maintain a policy for the management of air traffic controllers' fatigue; (b) provide air traffic controllers with information programmes on the prevention of fatigue, complementing human factors training provided in accordance with Sections 3 and 4 of Subpart D of Annex I to Regulation (EU) 2015/340. ATS.OR.320 Air traffic controllers' rostering system(s) (a) An air traffic control service provider shall develop, implement and monitor a rostering system in order to manage the risks of occupational fatigue of air traffic controllers through a safe alternation of duty and rest periods. Within the rostering system, the air traffic control service provider shall specify the following elements: (1) maximum consecutive working days with duty; (2) maximum hours per duty period; (3) maximum time providing air traffic control service without breaks; (4) the ratio of duty periods to breaks when providing air traffic control service; (5) minimum rest periods; (6) maximum consecutive duty periods encroaching the night time, if applicable, depending upon the operating hours of the air traffic control unit concerned; (7) minimum rest period after a duty period encroaching the night time; (8) minimum number of rest periods within a roster cycle. (b) An air traffic control services provider shall consult those air traffic controllers who will be subject to the rostering system, or, as applicable, their representatives, during its development and its application, to identify and mitigate risks concerning fatigue which could be due to the rostering system itself. SUBPART B — TECHNICAL REQUIREMENTS FOR PROVIDERS OF AIR TRAFFIC SERVICES (ATS.TR) SECTION 1 — GENERAL REQUIREMENTS ATS.TR.100 Working methods and operating procedures for providers of air traffic services (a) An air traffic services provider shall be able to demonstrate that its working methods and operating procedures are compliant with: (1) Implementing Regulation (EU) No 923/2012; and (2) the standards laid down in the following Annexes to the Chicago Convention, as far as they are relevant to the provision of air traffic services in the airspace concerned: (i) Annex 10 on aeronautical telecommunications, Volume II on communication procedures including those with PANS Status in its 6th edition of October 2001, including all amendments up to and including No 89; (ii) without prejudice to Regulation (EU) No 923/2012, Annex 11 on air traffic services in its 13th edition of July 2001, including all amendments up to and including No 49. (b) Notwithstanding point (a), for air traffic services units providing services for flight testing, the competent authority may specify additional or alternative conditions and procedures to those contained in point (a) when so required for the provision of services for flight testing. ( 1 ) Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data ( OJ L 281, 23.11.1995, p. 31 ).