ANNEX IISupplementary provisions
ANNEX II Annex II (PART ATCO.AR) to Regulation (EU) 2015/340 is amended as follows: 1. point ATCO.AR.A.005 is replaced by the following: ‘ ATCO.AR.A.005 Personnel (a) Competent authorities shall produce and update every 2 years an assessment of the human resources needed to perform their oversight functions, based on the analysis of the processes required by this Regulation. (b) Personnel authorised by the competent authority to carry out certification or oversight tasks, or both, 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.’; 2. point ATCO.AR.A.010 is replaced by the following: ‘ ATCO.AR.A.010 Tasks of the competent authorities The tasks of the competent authorities shall include: (a) the issue, suspension and revocation of licences, ratings, endorsements and of medical certificates; (b) the issue of temporary OJTI authorisations according to point ATCO.C.025; (c) the issue of temporary assessor authorisations according to point ATCO.C.065; (d) the revalidation and renewal of endorsements; (e) the revalidation, renewal and limitation of medical certificates following referral by the aero-medical examiner (AME) or aero-medical centre (AeMC); (f) the issue, revalidation, renewal, suspension, revocation, limitation and change of aero-medical examiner certificates; (g) the issue, suspension, revocation and limitation of training organisation certificates and of the certificates of aero-medical centres; (h) the approval of training courses, training plans and unit competence schemes, as well as assessment methods; (i) the approval of the assessment method for the demonstration of language proficiency and the establishment of requirements applicable to language assessment bodies according to point ATCO.B.040; (j) the approval of the need for the extended level (level five) language proficiency in accordance with point ATCO.B.030(d); (k) the oversight of training organisations, including their training courses and plans; (l) the approval and oversight of the unit competence schemes; (m) the establishment of appropriate appeal procedures and notification mechanisms; (n) 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 point ATCO.AR.D.003; (o) facilitating the recognition of training organisation certificates and course approvals, as well as the approval of the assessment method for the demonstration of language proficiency.’; 3. point ATCO.AR.A.015 is replaced by the following: ‘ 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 (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof. (b) Alternative means of compliance may be used to establish compliance with the delegated and implementing acts. (c) The competent authority shall inform the Agency of any alternative means of compliance used by organisations under their oversight or by themselves for establishing compliance with this Regulation.’; 4. point ATCO.AR.A.020 is replaced by the following: ‘ ATCO.AR.A.020 Information to the Agency (a) The competent authority shall notify the Agency in case of any significant problems with the implementation of Regulation (EU) 2018/1139 and its delegated and implementing acts within 30 days from the time the competent authority has become aware of the problems. (b) Without prejudice to Regulation (EU) No 376/2014 and its delegated and implementing acts, the competent authority shall provide the Agency with safety-significant information stemming from the occurrence reports stored in its national database in accordance with Article 6(6) of Regulation (EU) No 376/2014, as soon as possible.’; 5. point ATCO.AR.A.025 is replaced by the following: ‘ ATCO.AR.A.025 Immediate reaction to a safety problem (a) Without prejudice to Regulation (EU) No 376/2014 and its delegated and implementing acts, 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 (EU) 2018/1139 and its delegated and implementing acts. (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 (EU) 2018/1139 and its delegated and implementing acts. The competent authority shall also notify those measures to the Agency and, when combined action is required, to the other Member States concerned.’; 6. point ATCO.AR.B.001 is replaced by the following: ‘ 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 (EU) 2018/1139 and its delegated and implementing acts. 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 participation in a mutual exchange of all necessary information and assistance with other competent authorities concerned, whether from within the Member State or in other Member States, including the following information exchange on: (1) the relevant 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; and (2) information stemming from mandatory and voluntary occurrence reporting as required by point ATCO.OR.B.040. (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.’; 7. in point ATCO.AR.B.005, point (a) is replaced by the following: ‘(a) If the competent authority allocates tasks related to the initial certification or continuous oversight of persons or organisations subject to Regulation (EU) 2018/1139 and its delegated and implementing acts, 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 VI to Regulation (EU) 2018/1139. 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.’; 8. point ATCO.AR.B.010 is replaced by the following: ‘ 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 (EU) 2018/1139 and its delegated and implementing acts. 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 (EU) 2018/1139 and its delegated and implementing acts in a timely manner, so as to ensure effective implementation of its management system. (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 (EU) 2018/1139 and its delegated and implementing acts.’; 9. point ATCO.AR.B.015 is replaced by the following: ‘ 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 point 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 71 of Regulation (EU) 2018/1139; 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.’; 10. in point ATCO.AR.C.001, point (a) is replaced by the following: ‘(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, training plans and unit competence schemes it has approved, and requirements applicable to personnel; (3) implementation of appropriate safety measures mandated by the competent authority as defined in point ATCO.AR.A.025 (c) and (d).’; 11. the following point ATCO.AR.D.003 is inserted: ‘ ATCO.AR.D.003 Change of competent authority (a) Upon receiving a licence holder’s request for a change of competent authority, the receiving competent authority shall, without undue delay, request the competent authority of the licence holder to transfer, without undue delay all of the following: (1) a verification of the licence; (2) copies of the licence holder’s medical records kept by that competent authority. The medical records shall be transferred in a confidential manner in accordance with point ATCO.MED.A.015 of Annex IV (Part-ATCO.MED) and shall include a summary of the relevant medical history of the applicant, verified and signed or electronically authenticated by the medical assessor. (b) The transferring competent authority shall keep the licence holder’s original licensing and medical records. (c) The receiving competent authority shall, without undue delay, exchange the licence and medical certificate provided that it has received and processed all documents specified in point (a). Upon the exchange of the licence and medical certificate, the receiving competent authority shall immediately request the licence holder to surrender to it the licence issued by the transferring competent authority and the associated medical certificate. (d) The new licence shall include ratings, rating endorsements, licence endorsements and all valid unit endorsements in the licence, including the date of their first issue and expiry, if applicable. (e) The receiving competent authority shall immediately notify the transferring competent authority once it has exchanged the licence and medical certificate and the licence holder has surrendered the licence and medical certificate pursuant to point (c). Until such a notification is received, the transferring competent authority remains responsible for the licence and the medical certificate originally issued to that licence holder.’; 12. point ATCO.AR.D.005 is replaced by the following: ‘ ATCO.AR.D.005 Revocation and suspension of licences, ratings and endorsements (a) For the purpose of point ATCO.A.020, the competent authority shall establish administrative procedures for the revocation and suspension 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 point ATCO.A.015(e). (c) The competent authority shall suspend or revoke a licence, rating or endorsement in accordance with point 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 notify in writing the licence holder and the relevant air navigation service provider of this decision, and inform the licence holder of his or her right of appeal in accordance with the procedures established in point ATCO.AR.A.010(m). (e) The competent authority shall also suspend or revoke a licence, rating or endorsement upon written request of the licence holder.’; 13. point ATCO.AR.E.001 is replaced by the following: ‘ ATCO.AR.E.001 Certification procedure for training organisations and issue of certificate (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 applicable requirements of this Regulation. (b) The competent authority may require any audits, inspections or assessments of the training organisation it finds necessary before issuing the certificate. (c) If the applicant training organisation fulfils the applicable requirements, the competent authority shall issue a certificate using the format established in Appendix 2 to Annex II. (d) The certificate shall be issued for an unlimited duration. The activities that the training organisation is approved to conduct shall be specified in the attachment to the certificate. (e) The certificate shall not be issued where a level 1 finding remains open. In exceptional circumstances, finding(s), other than level 1, shall be assessed and mitigated as necessary by the training organisation and a corrective action plan for closing the finding(s) shall be approved by the competent authority prior to the certificate being issued. (f) To enable an organisation to implement changes without prior competent authority’s approval in accordance with points 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.’; 14. in point ATCO.AR.E.005, point (b) is replaced by the following: ‘(b) For the purposes of change of competent authority according to point ATCO.A.010, the competent authority shall approve or reject the unit endorsement course established in accordance with point ATCO.B.020 (b) and (e) not later than 6 weeks after presentation of the application for the approval of the course, and ensure that the principles of non-discrimination and proportionality are respected.’; 15. point ATCO.AR.E.015 is replaced by the following: ‘ ATCO.AR.E.015 Findings, corrective actions and enforcement measures (a) The competent authority shall have a system to analyse findings for their safety significance and decide on enforcement measures on the basis of the risk posed by the training organisation’s non-compliance. (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 (EU) 2018/1139 and this Regulation, with the certificate and/or its terms of approval and privileges, which poses a significant risk to flight safety and/or otherwise calls into question the training organisation’s capability to continue the training provision. A level 1 finding shall include, but shall not be limited to: (1) providing training in a way which introduces a significant risk to flight safety; (2) failure to give the competent authority access to the training organisation’s facilities as defined in point ATCO.OR.B.025 during normal operating hours and after two written requests; (3) obtaining or maintaining the validity of the training organisation certificate by falsification of submitted documentary evidence; (4) evidence of malpractice or fraudulent use of the training organisation certificate; and (5) the lack of an accountable manager. (c) A level 2 finding shall be issued by the competent authority when any other non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and this Regulation, with the training organisation’s procedures and manuals or with the type(s) of training provided or certificate(s). (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 (EU) 2018/1139 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. (f) For cases not requiring the issue of level 1 and 2 findings, the competent authority may issue observations.’; 16. Appendix 1 to Annex II is replaced by the following: ‘Appendix 1 to Annex II Format for licence (STUDENT) AIR TRAFFIC CONTROLLER LICENCE The (student) air traffic controller licence issued in accordance with this Regulation shall conform to the following specifications: (a) Content. The item number shall always be printed in association with the item heading. Items I to XI are the ‘permanent’ items, and items XII to XIV are the ‘variable’ items which may appear on a separate or detachable part of the main form as prescribed below. Any separate or detachable part shall be clearly identifiable as part of the licence. 1. Permanent items: (I) State of licence issue; (II) title of licence; (III) serial number of the licence with the United Nations (UN) country code of the State of licence issue and followed by ‘(Student) ATCO Licence’ and a code of numbers and/or letters in Arabic numerals and in Latin script; (IV) name of holder in full (in Latin script, even if the script of the national language(s) is other than Latin); (IVa) date of birth; (V) holder’s address, if required by the competent authority; (VI) nationality of holder; (VII) signature of holder; (VIII) competent authority; (IX) certification of validity and authorisation for the privileges granted, including the dates when they were first issued; (X) signature of officer issuing the licence and the date of such issue; (XI) seal or stamp of the competent authority. 2. Variable items: (XII) ratings and endorsements with expiry dates; (XIII) remarks: language proficiency endorsements; and (XIV) any other details required by the competent authority. (b) The licence shall be accompanied by a valid medical certificate, except when instructor or assessor privileges are exercised in a synthetic training device environment. (c) Material. First-quality paper and/or other suitable material, including plastic cards, shall be used to prevent or readily show any alterations or erasures. Any entries or deletions in the form will be clearly authorised by the competent authority. (d) Language. Licences shall be written in English and, if required by Member States, in national language(s) and other languages as deemed appropriate. Competent authority’s name and logo (English and any language(s) determined by the competent authority) Requirements ( 1 ) EUROPEAN UNION (English only) ‘European Union’ to be deleted for non-EU Member States. (STUDENT) AIR TRAFFIC CONTROLLER LICENCE [English and any language(s) determined by the competent authority] Issued in accordance with Commission Regulation (EU) 2015/340 This licence complies with the ICAO Standards [English and any language(s) determined by the competent authority] EASA Form 152 – Issue 2 The size of each page shall be one-eighth A4. I State of issue: Requirements: II Title of licence: III Serial number of the licence: The serial number of the licence will always start with the UN country code of the State of the licence issue followed by ‘(Student) ATCO Licence’. IV Name of the holder in full: IVa Date of birth: Standard date format is to be used, i.e. day/month/year in full (e.g. 31.01.2010) XIV Place of birth: V Holder’s address, if required by the competent authority: Street, town, area, postal code VI Nationality of holder: Indicated by the UN country code of the State VII Signature of holder: VIII Competent Authority: X Signature of officer issuing the licence and date of issue XI Seal or stamp of issuing competent authority IX Validity of privileges: The holder is entitled to exercise the privileges of the following rating(s) and rating endorsement(s), when validated: Requirements: English and any language(s) determined by the competent authority. The date of first issue of a rating and/or rating endorsement shall be the date of successful completion of the training relevant to that rating and/or rating endorsement. Rating(s) Date of first issue Rating endorsement(s) Date of first issue XIIa Ratings and endorsements with expiry dates The holder is entitled to exercise the privileges of the following rating(s) and rating endorsement(s) at the air traffic service unit(s) for which current unit endorsement(s) is (are) held as detailed below, only if the holder has a valid medical certificate: Unit (ICAO indicator) ( *1 ) Sector/Position ( *1 ) Rating/Endorsement Expiry date ( *1 ) Signature/stamp of the authority or licence number and signature of the assessor XIIb Other endorsements: The holder is entitled to exercise the privileges of the following endorsement(s) Requirements: N/A OJTI/STDI/Assessor endorsement Expiry date XIII Remarks: Language proficiency endorsement(s): [language(s)/level/expiry date] Language proficiency endorsement(s), level and expiry date shall be included. All additional licensing information to be entered here. Abbreviations Air traffic controller ratings Requirements: N/A ADV Aerodrome Control Visual ADC Aerodrome Control APP Approach Control Procedural APS Approach Control Surveillance ACP Area Control Procedural ACS Area Control Surveillance Rating endorsements SUR Aerodrome Control Surveillance PAR Precision Approach Radar SRA Surveillance Radar Approach OCN Oceanic Control Licence endorsements OJTI On-the-job training instructor STDI Synthetic training device instructor Assessor Assessor ’. ( 1 ) Requirements: The pages referring to the instructions on how the (Student) ATCO Licence has to be filled in are intended for use by the competent authority or the assessor specifically authorised to revalidate or renew the unit endorsements. Initial issues of ratings, rating endorsements, language endorsements, instructor and assessor endorsement will always be entered by the competent authority. Revalidation or renewal of unit endorsements will be entered by the competent authority or by the authorised assessors. ( *1 ) Not applicable for Student ATCO Licence