AMC & GM to Part ATCO.AR — Issue 1, Amendment 3

Annex II to ED Decision 2023/011/R ‘AMC and GM to Part ATCO.AR — Issue 1, Amendment 3’

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Annex II to Decision 2015/010/R of the Executive Director of the Agency of 13 March 2015 is amended as follows:

ANNEX II (PART ATCO.AR) REQUIREMENTS FOR COMPETENT AUTHORITIES

SUBPART A — GENERAL REQUIREMENTS

GM1 ATCO.AR.A.005(c) Personnel

GENERAL

When competent authority personnel is authorised to conduct assessments for the issue and renewal of a unit endorsement who: (a) do not hold the unit endorsement associated with the assessment, or (b) hold the unit endorsement associated with the assessment without an OJTI endorsement, an OJTI holding the valid unit endorsement associated with the assessment should be present to ensure supervision on the operational working position.

GM1 ATCO.AR.A.015(b) Means of compliance

ALTERNATIVE MEANS OF COMPLIANCE — GENERAL

(a) A competent authority may establish means to comply with Commission Regulation (EU) 2015/340 which are different from the acceptable means of compliance (AMC) established by EASA. (b) In that case, the competent authority is responsible for demonstrating how those alternative means of compliance (AltMoC) assist it to establish compliance with Commission Regulation (EU) 2015/340. (c) AltMoC that are used by a competent authority, or by an organisation under its oversight, may be used by other competent authorities, or by other organisations, only if they are processed by those authorities in accordance with point ATCO.AR.A.015, and by those organisations in accordance with point ATCO.OR.B.005. (d) AltMoC that are issued by the competent authority may cover the following cases: (1) AltMoC to be used by organisations under the oversight of the competent authority, and which are made available to those organisations; and (2) AltMoC to be used by the competent authority itself to discharge its responsibilities.

GM1 ATCO.AR.A.015 Means of compliance

GENERAL

Alternative means of compliance used by a competent authority or by organisations under its oversight may be used by other competent authorities or organisations only if processed again in accordance with ATCO.AR.A.015(d) and (e).

AMC1 ATCO.AR.A.015(b);(c) Means of compliance

PROCESSING OF ALTERNATIVE MEANS OF COMPLIANCE (AltMoC)

To meet the objectives of points (b) and (c) of point ATCO.AR.A.015: (a) the competent authority should establish the means to consistently evaluate over time that all the AltMoC that are used by itself or by organisations under its oversight allow for the establishment of compliance with Commission Regulation (EU) 2015/340; (b) if the competent authority issues AltMoC for itself or for the organisations under its oversight, it should: (1) make them available to all relevant organisations; and (2) notify EASA of the AltMoC as soon as it is / they are issued, including the information that is described in point (d); (c) the competent authority should evaluate the AltMoC that is/are proposed by an organisation by analysing the documentation provided and, if considered necessary, by inspecting the organisation; when the competent authority finds that the AltMoC is/are in accordance with Commission Regulation (EU) 2015/340, it should: (1) notify the applicant that the AltMoC is/are approved; (2) indicate that this/those AltMoC may be implemented, and agree when the organisation documents are to be amended accordingly; and (3) notify EASA of the AltMoC approval as soon as it is / they are approved, including the information that is described in point (d); and (d) the competent authority should provide EASA with the following information: (1) a summary of the AltMoC; (2) the content of the AltMoC; (3) a statement that compliance with Commission Regulation (EU) 2015/340 is achieved; and (4) in support of that statement, an assessment which demonstrates that the AltMoC reaches/reach an acceptable level of safety, taking into account the level of safety that is achieved by the corresponding EASA AMC.

(e) All these elements that describe the AltMoC are an integral part of the records to be kept, which are managed in accordance with point ATCO.AR.B.015.

GM1 ATCO.AR.A.015(b);(c) Means of compliance

CASES FOR WHICH THERE IS NO CORRESPONDING EASA AMC

When there is no EASA AMC to a certain requirement in Commission Regulation (EU) 2015/340, the competent authority may choose to develop national guides or other types of documents to assist the organisations under its oversight to demonstrate compliance. The competent authority may inform EASA about such national guides or other types of documents so that they may be considered later for incorporation into the AMC that EASA issues and publishes through its rulemaking procedure.

AMC1 ATCO.AR.A.020(b) Information to the Agency

PROVISION OF SAFETY-SIGNIFICANT INFORMATION TO THE AGENCY

Each competent authority should appoint a coordinator to act as the point of contact for the provision of safety-significant information to the Agency.

GM1 ATCO.AR.A.020(b) Information to the Agency

MEANING OF SAFETY-SIGNIFICANT INFORMATION STEMMING FROM OCCURRENCE REPORTS

The following should be considered safety-significant information from occurrence reports: (a) conclusive safety analyses that summarise individual occurrence data and provide an in-depth assessment of the safety issue. These safety analyses can be used for Agency rulemaking or for safety promotion activities such as the European Aviation Safety Plan; and (b) individual occurrence data where the Agency is the competent authority. Safety-significant information stemming from occurrence reports means a conclusive safety analysis that summarises individual occurrence data and provides an in-depth analysis of a safety issue, which may be relevant for the Agency’s safety action planning.

GM2 ATCO.AR.A.020(b) Information to the Agency

SAFETY-SIGNIFICANT INFORMATION STEMMING FROM OCCURRENCE REPORTS

The conclusive safety analysis based on occurrence reports should contain the following: (a) a detailed description of the safety issue, including the scenario in which the safety issue takes place; and

(b) an indication of the stakeholders affected by the safety issue, including types of operations and organisations; and, as appropriate: (c) a risk assessment establishing the severity and probability of all the possible consequences of the safety issue; (d) information about the existing safety barriers that the aviation system has in place to prevent the likely safety-issue-related consequences from occurring; (e) any mitigating actions already in place or developed to address the safety issue; (f) recommendations for future actions to control the risk; and (g) any other element(s) the competent authority considers essential for the Agency to properly assess the safety issue.

SUBPART B — MANAGEMENT

AMC1 ATCO.AR.B.001(a)(2) Management system

TRAINING PROGRAMME AND RECURRENT TRAINING

(a) The competent authority should establish a training programme for its personnel and a plan for its implementation. The training programme should include, as appropriate to the role, current knowledge, experience and skills of the personnel, at least the following: (1) organisation and structure of the aviation legislation; (2) the Chicago Convention, its relevant annexes and documents, the applicable requirements of Regulation (EC) No 216/2008(EU) 2018/1139, its Implementing Rules delegated and implementing acts and related Acceptable Means of Compliance, Certification Specifications and Guidance Material, as well as an assessment methodology of the alternative means of compliance and the applicable national legislation; (3) the applicable requirements and procedures; and (4) areas of particular interest. (b) The training programme and plan should be updated, as needed, to reflect, at least, changes in aviation legislation and industry. The training programme should also cover the specific needs of the personnel and the competent authority. (c) The competent authority should ensure that its personnel, including its ATM/ANS inspectors, receiveundergo recurrent training at regular intervals as defined by the competent authority or whenever deemed necessary, in order to be kept up to date.

GM1 ATCO.AR.B.001(c) Management system

EXCHANGE OF ALL NECESSARY INFORMATION

‘All necessary information’ refers to information that relates to the oversight of persons and organisations concerned (exercising activities within the territory of the Member State, but overseen, certified or licensed by the competent authority of another Member State or the Agency), as agreed between these competent authorities.

GM1 ATCO.AR.B.005 Allocation of tasks to qualified entities

CERTIFICATION TASKSGENERAL The competent authority may decide to allocate to qualified entities certain or all its tasks that are assigned to such competent authority under this Regulation. The tasks that may be performed by a qualified entity on behalf of the competent authority include those related to the initial certification and oversight of training organisations as defined in this Regulation, excluding: (a) the issue, suspension and revocation of licences, ratings and endorsements; (b) the issue of temporary OJTI authorisations according to ATCO.C.025; (c) the issue of temporary assessor authorisations according to ATCO.C.065; (d) the issue, renewal, suspension, revocation and limitation of training organisation certificates.

SUBPART C — OVERSIGHT AND ENFORCEMENT

AMC1 ATCO.AR.C.005 Oversight programme

AUDIT AND INSPECTION

(a) The audit and inspection of a certified training organisation should be conducted through checking of the facility for compliance, interviewing personnel and sampling relevant training courses to assess their conduct and standard. (b) Such audit and inspection should focus in addition to the items of AMC1 ATCO.AR.E.010 AMC1 ATCO.AR.E.001(a) on: (1) information on the competence of instructors and assessors; (2) evidence of sufficient funding; (3) adequacy of the facilities to the courses being conducted and to the number of persons undertaking training; (4) synthetic training devices;

(5) documentation, in particular documents related to courses, information on the updating system, training and operations manual;

(6) training records and forms.

SUBPART D — ISSUE, REVALIDATION, RENEWAL, SUSPENSION AND REVOCATION OF LICENCES, RATINGS, ENDORSEMENTS AND AUTHORISATIONS

GM1 ATCO.AR.D.001(a) Procedure for the issue, revalidation and renewal of licences, ratings, endorsements and authorisations

APPLICATION FORM FOR THE ISSUE, REVALIDATION AND RENEWAL OF LICENCES, RATINGS AND ENDORSEMENTS

APPLICATION FOR THE ISSUE/REVALIDATION/RENEWAL OF (STUDENT) AIR TRAFFIC CONTROLLER (ATCO) LICENCES, RATINGS AND ENDORSEMENTS Part A: APPLICANT’S DETAILS

Name: Permanent address:………………………………………………………………………………………………………………… Tel.:……………………………………… Mobile:………………… E-mail address:………………………………………… Nationality: ……………… Date (dd/mm/yyyy) and place of birth:……………………………………………………………………………. (STUDENT) ATCO LICENCE DETAILS (if applicable): Licence serial numberNo: …………………………………… Date of issue (dd/mm/yyyy): ……………………………… EMPLOYER’S DETAILS (if applicable): Name: Part B: APPLICATION FOR (Tick the relevant boxes) Issue of Student ATCO Llicence, rating(s) and rating endorsement(s) (Part C, E and F of this form) Language proficiency endorsement(s) (Part C, E and F of this form) Issue of ATCO Llicence, rating(s) and rating endorsement(s) (Part C, E and F of this form) Revalidation of ATCO Llicence rating(s), and rating endorsement(s) (Part C, D, E and F of this form) Renewal of ATCO Llicence rating(s), and rating endorsement(s) (Part C, D, E and F of this form)

Part C: RATING / RATING ENDORSEMENT / ATC UNIT/Sector

AMC1 ATCO.AR.D.003(a)(1) Change of competent authority

8 Nationality Country 9 Transferring competent authority Country and authority 10 Valid and non-expired unit, instructor and Endorsements Valid until assessor endorsements held (dd/mm/yyyy)

e.g. xx/xx/xxxx EDDK APS/SRA

e.g. xx/xx/xxxx OJTI STDI Assessor

11 Ratings and rating endorsements held Ratings and rating Date of first issue

endorsements (dd/mm/yyyy)

e.g. xx/xx/xxxx ADI ACS RAD PAR

12 Remarks, i.e. licence endorsements relating Language proficiency endorsements

to language proficiency level and validity

Language Level Validity

(English, others)

(dd/mm/yyyy)

13 Past or pending enforcement action*   Yes No (If yes, please provide details on a separate page.) * Item 13: Specify whether there is an ongoing investigation into the medical certificate and licence, or its suspension or revocation.

AMC1 ATCO.AR.D.003(a)(2) Change of competent authority

TRANSFER OF MEDICAL RECORDS

When transferring the summary of an applicant’s relevant medical history and copies of medical records to the receiving competent authority, the transferring competent authority should include at least all the following: (a) copy of: (1) the most recent aero-medical report containing detailed results of aero-medical examinations and assessments that are required for a class 3 medical certificate; (2) the application form, the examination form, and the medical certificate issued; 3) the most recent electrocardiogram (ECG), ophthalmological and ear-nose-throat (ENT), including audiometry, examination reports, as applicable for a class 3 medical certificate; (4) the initial medical examination or the supporting documents for the last medical-file transfer between licensing authorities; where this is not available, alternatively, a copy of the medical report from the last three aero-medical examinations should be transferred; (5) the mental health assessment, as applicable for a class 3 medical certificate; and (6) any other relevant medical documentation; and (b) the ‘Summary of medical history’ form of AMC2 ATCO.AR.D.003(a)(2), filled in and signed or electronically authenticated by the medical assessor.

AMC2 ATCO.AR.D.003(a)(2) Change of competent authority

SUMMARY OF MEDICAL HISTORY — FORM FOR THE TRANSFER OF ATCO MEDICAL RECORDS

SUMMARY OF MEDICAL HISTORY — FORM FOR THE TRANSFER OF ATCO MEDICAL RECORDS

MEDICAL CONFIDENTIALITY SHALL BE ENSURED AT ALL TIMES AS PER POINT ATCO.MED.A.015 Item Description 1 State of licence(s) issue Country

2 Title of licence and corresponding UN country code ATCO.xxx serial number of the licence(s) held (or national medical reference number) 3 Full name LAST NAME 1, LAST NAME 2, etc. (Last and first names) First name 1, First name 2, etc. 4 Date of birth (dd/mm/yyyy) dd/mm/yyyy 5 Address 6 Contact details: e.g. (a) email: (a) example@example.eu (b) phone number: (b) +(country code) xxxxxxxxxx 7 Nationality Country 8 Transferring authority Country and authority 9 Date of issue dd/mm/yyyy Initial medical certificate or the first Date of examination dd/mm/yyyy medical certificate available in the Type (European Class competent authority: 3, Part ATCO.MED, or national)

10 Dates of last three revalidation/renewal examinations (if any) 11 Limitations (if any) 12 Comments on any relevant aspect of the applicant’s medical history or examination (if appropriate, please enclose reports). Enclose as minimum the examinations and investigation results as required by AMC1 ATCO.AR.D.003 Change of competent authority, point (a). 13 Past or pending enforcement action* Yes  No  (If yes, please provide details on a separate page.) If there is insufficient space on this form for further information, please use an additional page.

Certification

I, Dr ……………………………, medical assessor of the (competent authority name)………………………., certify that the details given above and on any additional pages included are true and correct.

Date Signature Transferring authority and stamp/seal

SUBPART E — CERTIFICATION PROCEDURE FOR AIR TRAFFIC CONTROLLER TRAINING ORGANISATIONS

AMC1 ATCO.AR.E.001(a);(b) Application and cCertification procedure for training organisations and issue of certificates

VERIFICATION OF COMPLIANCE

(a) The competent authority should verify the applicant’s compliance through an audit of the organisation, including interviews of personnel and inspections carried out at the organisation’s facilities. (b) The competent authority should only conduct such audit after being satisfied that the application for a certificate complies with the applicable requirements. (c) The audit should include but should not be limited to the following areas: (1) detailed management structure, including names and qualifications of personnel required by point ATCO.OR.C.010, adequacy of the organisation and management structure; (2) adequacy of number and qualifications of personnel; (3) safety management and compliance monitoring with applicable requirements; (4) adequacy of the facilities with regard to the organisation’s scope of training; (5) documentation on the basis of which the certificate shall be granted (organisation documentation as required by Annex III (Part ATCO.OR), including manuals, training plans and course documentation). (d) In case of non-compliance, the applicant should be informed in writing of the corrections required.

AMC1 ATCO.AR.E.001(b) Application and certification procedure for training organisations

ISSUE OF A CERTIFICATE

(a) The attachment to the air traffic controller training organisation’s certificate should specify the privileges that the air traffic controller training organisation has obtained to provide and conduct the corresponding training. (b) The certificate should not be issued where a level 1 finding remains open. In exceptional circumstances, finding(s), other than level 1, should be assessed and mitigated as necessary by the air traffic controller training organisation and a corrective action plan for closing the finding(s) should be approved by the competent authority prior to the issue of the certificate.

GM1 ATCO.AR.E.001(e) Certification procedure for training organisations and issue of certificates

REMARKS TO THE CERTIFICATE

Remarks in the attachment to the ATCO training organisation certificates may, as appropriate, be related to: (a) sites where the initial training is to be provided, if different from the principal place of the operation; (b) provision of information reasonably required for the verification of the continuous compliance with the applicable requirements; (c) contracts, agreements or other arrangements concluded between the training organisation and a third party, and which concern the training to be provided; (d) any possible (legal) conditions, which are not specific to the training to be provided, etc.

AMC1 ATCO.AR.E.010(a) Changes to the training organisations

CHANGES REQUIRING PRIOR APPROVAL

(a) Upon receipt of an application for a proposed change that requires prior approval, the competent authority should, in due time: (1) assess the proposed change in relation to the training organisation’s certificate or the training approval attached or the management system of it, and the applicable requirements of Part ATCO.OR, as well as any other applicable requirements; and (2) assess the actions proposed by the training organisation in order to show compliance; and (3) notify the training organisation of its approval/rejection without delay. (b) The competent authority should, in due time, verify the compliance of the training organisation and, depending on the change, examine the need for prescribing any condition for the operation of it during the change. (c) For changes requiring prior approval, the competent authority may conduct an audit of the organisation in order to verify the training organisation’s compliance with the applicable requirements. (d) When notifying the training organisation in accordance with AMC1 ATCO.AR.E.010(c)(1), the competent authority should also inform the organisation of the right tof appeal, as provided for exists under the applicable national legislation.

AMC1 ATCO.AR.E.015(d)(2) Findings and corrective actions

CORRECTIVE ACTION IMPLEMENTATION PERIOD

The corrective action implementation period included in an action plan granted by the competent authority initially should not exceed three months. At the end of this period, and subject to the nature of the finding, the competent authority may extend the three-month period subject to a satisfactory corrective action plan agreed to by the competent authority.

GM1 ATCO.AR.E.015(d)(2) Findings and corrective actions

CORRECTIVE ACTION IMPLEMENTATION PERIOD

The three-month period should commence from the date of the communication of the finding to the training organisation in writing and requesting corrective action to address the non-compliance(s) identified in accordance with ATCO.AR.E.015(d).

APPENDIX 1 OF TO ANNEX II

FORMAT FOR LICENCE

GM1 APPENDIX 1 TO ANNEX II — Format for licence ((a)2(XII))

SIGNATURE/STAMP IN ITEM XIIa

The signature/stamp of the authority or the licence number and signature of the assessor are required in item XIIa of the licence when entries are made after the date the licence has been signed and sealed or stamped in items X and XI. Other case(s) where the signature/stamp of the authority or the licence number and signature of the assessor is to be included in item XIIa may be detailed in the procedure referred to in point ATCO.AR.D.001(a)(2).