1. Commission Regulation No. 2015/340
2014
Commission Regulation No. 2015/340
Module 06 – TRAINING ORGANISATION CERTIFICATION

2. 2014
Training Objectives
Appreciate the provisions of Commission Regulation (EU) 2015/340 of 20 February 2015 laying down technical requirements and administrative procedures relating to air traffic controllers' licences and certificates pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council, amending Commission Implementing Regulation (EU) No 923/2012 and repealing Commission Regulation (EU) No 805/2011
Appreciate comparison with 805/2011
This module will provide a description of all requirements listed within Commission Regulation 805/2011 and will help to understand the requirements and the implications they have over the CA/NSA.
This module will highlight the main aspects of the Regulation 805/2011 to create the incentive for further reading of the regulation.
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3. Annex III, Part ATCO.OR, Subpart A General requirements
2014
Annex III, Part ATCO.OR, Subpart A General requirements
Article 18
Certification of training organisations
1. Applications for training organisation certification shall be submitted to the competent authority in accordance with the procedure established by that authority.
2. Training organisations shall demonstrate by evidence that they are adequately staffed and equipped and operate in an environment suitable for the provision of the training necessary to obtain or maintain student air traffic controller licences and air traffic controller licences.
3. Training organisations shall grant access to any person authorised by the competent authority to the relevant premises in order to examine the relevant records, data, procedures and any other material relevant to the execution of the tasks of the competent authority.
It is needed to understand what training providers we have at national level.
1) For the initial training there is an Academy or Aviation school, etc. This Academies or Aviation School are usually under the responsibility of the same Ministry to which the CA/NSA report to.
As well some States use the normal university environment for such training. In this case, the schools/training organisations are under the responsibility of Ministry of Education or a different Ministry than the one to which the CA/NSA reports to. In this situation certification should take place as well. But let’s not forget that such organisations are institutions under different rules, regulated by a different body. There is a need to establish a joined team to realise the certification for only that type of training. This will give the possibility that the examinations and the awards issued to be recognised by the CA/NSA as suitable and in accordance with the European legislation.
2) For the unit and continuation training usually the ANSP is the training organisation that ensures it. However, in the case of some courses that are more related to classroom techniques not involving specific simulation or devices, the same Academy or Aviation school would play a role. In this case, the certification for the intial training will include as well the other types of training provided under continuation training.
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4. ONLY with ATC training organisations!!
2014
ATCO.OR.A.001- Scope
Establishes requirements for
ATC training organisations
Aero-medical centres
To obtain and maintain a certificate in accordance with EASA BR and this Regulation
ONLY with ATC training organisations!!
Aero-medical centres certification is dealt with in the Medical part!!
Article 18
Certification of training organisations
1. Applications for training organisation certification shall be submitted to the competent authority in accordance with the procedure established by that authority.
2. Training organisations shall demonstrate by evidence that they are adequately staffed and equipped and operate in an environment suitable for the provision of the training necessary to obtain or maintain student air traffic controller licences and air traffic controller licences.
3. Training organisations shall grant access to any person authorised by the competent authority to the relevant premises in order to examine the relevant records, data, procedures and any other material relevant to the execution of the tasks of the competent authority.
It is needed to understand what training providers we have at national level.
1) For the initial training there is an Academy or Aviation school, etc. This Academies or Aviation School are usually under the responsibility of the same Ministry to which the CA/NSA report to.
As well some States use the normal university environment for such training. In this case, the schools/training organisations are under the responsibility of Ministry of Education or a different Ministry than the one to which the CA/NSA reports to. In this situation certification should take place as well. But let’s not forget that such organisations are institutions under different rules, regulated by a different body. There is a need to establish a joined team to realise the certification for only that type of training. This will give the possibility that the examinations and the awards issued to be recognised by the CA/NSA as suitable and in accordance with the European legislation.
2) For the unit and continuation training usually the ANSP is the training organisation that ensures it. However, in the case of some courses that are more related to classroom techniques not involving specific simulation or devices, the same Academy or Aviation school would play a role. In this case, the certification for the intial training will include as well the other types of training provided under continuation training.
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5. 2014
Annex III, Part ATCO.OR, Subpart B Requirement for ATC training organisations
Article 18
Certification of training organisations
1. Applications for training organisation certification shall be submitted to the competent authority in accordance with the procedure established by that authority.
2. Training organisations shall demonstrate by evidence that they are adequately staffed and equipped and operate in an environment suitable for the provision of the training necessary to obtain or maintain student air traffic controller licences and air traffic controller licences.
3. Training organisations shall grant access to any person authorised by the competent authority to the relevant premises in order to examine the relevant records, data, procedures and any other material relevant to the execution of the tasks of the competent authority.
It is needed to understand what training providers we have at national level.
1) For the initial training there is an Academy or Aviation school, etc. This Academies or Aviation School are usually under the responsibility of the same Ministry to which the CA/NSA report to.
As well some States use the normal university environment for such training. In this case, the schools/training organisations are under the responsibility of Ministry of Education or a different Ministry than the one to which the CA/NSA reports to. In this situation certification should take place as well. But let’s not forget that such organisations are institutions under different rules, regulated by a different body. There is a need to establish a joined team to realise the certification for only that type of training. This will give the possibility that the examinations and the awards issued to be recognised by the CA/NSA as suitable and in accordance with the European legislation.
2) For the unit and continuation training usually the ANSP is the training organisation that ensures it. However, in the case of some courses that are more related to classroom techniques not involving specific simulation or devices, the same Academy or Aviation school would play a role. In this case, the certification for the intial training will include as well the other types of training provided under continuation training.
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6. ATCO.OR.B.001-Application for TO certificate
2014
ATCO.OR.B.001-Application for TO certificate
Aplication for TO certificate
Submitted to CA in due time
In accordance with the procedure established by the CA (see Annex II- Part ATCO.AR, Subpart E)
Applicants for the initial certification – compliance with EASA BR and this regulation
Information to be contained in the Application
the applicant’s name and address;
he address(es) of the place(s) of operation (including, where relevant, the list of ATC units) if different from the applicant’s address in point (a); …
Similar to the ANSP certification
Means of compliance (ATCO.OR.B.005)
Explanations about the AMC: other AMC subject to CA’s approval upon notification
Article 18
Certification of training organisations
1. Applications for training organisation certification shall be submitted to the competent authority in accordance with the procedure established by that authority.
2. Training organisations shall demonstrate by evidence that they are adequately staffed and equipped and operate in an environment suitable for the provision of the training necessary to obtain or maintain student air traffic controller licences and air traffic controller licences.
3. Training organisations shall grant access to any person authorised by the competent authority to the relevant premises in order to examine the relevant records, data, procedures and any other material relevant to the execution of the tasks of the competent authority.
It is needed to understand what training providers we have at national level.
1) For the initial training there is an Academy or Aviation school, etc. This Academies or Aviation School are usually under the responsibility of the same Ministry to which the CA/NSA report to.
As well some States use the normal university environment for such training. In this case, the schools/training organisations are under the responsibility of Ministry of Education or a different Ministry than the one to which the CA/NSA reports to. In this situation certification should take place as well. But let’s not forget that such organisations are institutions under different rules, regulated by a different body. There is a need to establish a joined team to realise the certification for only that type of training. This will give the possibility that the examinations and the awards issued to be recognised by the CA/NSA as suitable and in accordance with the European legislation.
2) For the unit and continuation training usually the ANSP is the training organisation that ensures it. However, in the case of some courses that are more related to classroom techniques not involving specific simulation or devices, the same Academy or Aviation school would play a role. In this case, the certification for the intial training will include as well the other types of training provided under continuation training.
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7. ATCO.OR.B.010- Terms of approval and privileges of TO certificate
2014
ATCO.OR.B.010- Terms of approval and privileges of TO certificate
TO comply with the scope and privileges defined in the terms of approval attached to the certificate. (What approvals?)
The privilege to provide unit and continuation training shall only be granted to TO which:
hold a certificate for the provision of the air traffic control service; or
have concluded a specific agreement with the ATC provider
Providing OJT Via an Agreement with ATC provider (GM)
Specific agreement should detail:
Issues of liability and insurance for the provision of ATC, and
Consider relevant provisions for contracted activities (ATCO.OR.C.005)
to ensure conformity of the contracted or purchased activity or part of activity.
Additionally, the agreement shall enforce the requirements
On occurrence reporting (ATCO.OR.B.040) and
On funding and insurances (ATCO.OR.C.025)
ATCO.OR.B.020- Continued validity
TO’s certification remains valid
Certificate is not being surrendered or revoked
TO remain in compliance with requirements
Certificate shall be returned to CA when revoked or cease of all activities
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8. ATCO.OR.B.015- Changes to TO Type of changes
2014
ATCO.OR.B.015- Changes to TO
Changes to the TO (AMC)
TO shall inform CA of any changes to personnel (PART.ATCO.OR) that may affect certificate or training approvals.
TO shall send to CA each management system doc. amendment. When this requires CA approval, TO shall receive it in writing.
Changes to the TO (GM)
Examples of changes affecting the certificate or the terms of approval or management system:
Name of TO (new application; when this does not affect previous documentation, this shall be sent with the previous name)
Change of legal entity
TO’s principal place of operation
TO’s type(s) of training
Additional locations of TO
Accountable manager
The facilities
TO’s documentation on safety policy and procedures
Personnel changes (see above in AMC)
Type of changes
Prior approval
Without prior approval – procedure approved by CA, notified to CA
Changes with prior approval
To the certificate or the terms of approval of TO
To any relevant element of the management systems
Additional aspects – agreed between TO and CA
Application for approval
Relevant documentation
Implemented only when approved
TO shall operate under the conditions prescribed by CA during the change
Changes due to unforeseen circumstances shall be notified to CA
Which one? (Those affecting certificate, approvals and management system)
Obtain the approval
TO shall notify CA when they cease their activities
CONTENT OF THE PROCEDURE FOR CHANGES WITHOUT PRIOR APPROVAL (GM)
Scope of the change
Its management inside TO
Notification mechanism
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9. ATCO.OR.B.025- Access to TO’s facilities and data
2014
ATCO.OR.B.025- Access to TO’s facilities and data
TO shall grant access to authorised persons (either CA or acting on behalf of CA)
Examine records, data, procedures and pertinent material to the tasks of CA
ATCO.OR.B.030- Findings
After receipt of findings, the TO shall
Identify the root cause of the finding
Define CAP
Demonstrate corrective action implementation within the timeframe agreed
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10. ATCO.OR.B.035- Immediate reaction to a safety problem
2014
ATCO.OR.B.035- Immediate reaction to a safety problem
TO shall implement any safety measures mandated by CA
ATCO.OR.B.040- Occurrence reporting
TO providing OJT shall report to CA or other organisation required by the States
Accident, serious incident and occurrence (996/2010; 376/2014) resulting from the training activity
Reports within 72 hours, unless exceptional circumstances prevent
TO produce a follow-up report with the intended actions to prevent similar occurrence in the future
Reports above have the form and content defined by CA
Information known by TO
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11. 2014
Annex III, Part ATCO.OR, Subpart C Management of ATC Training organisation
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12. ATCO.OR.C.001- Management system of TO
2014
Safety policy (AMC) should include
Endorsed by the accountable manager
Identify safety as highest priority over commercial, operational, environmental or social pressure
Include commitment to:
Improve towards highest safety standards
Comply with applicable requirements, meet applicable standards and consider best practices
Provide appropriate resources
Enforce safety as primary responsibility to managers and staff
Be communicated, with visible endorsement throughout org
Include safety reporting and just culture principles
Enhance and embed safety culture and awareness
Be periodically reviewed to ensure it remains relevant to organisation
Identification of aviation safety hazards (AMC)
For TO not providing OJT – hazard identification is limited to demonstrating that there are no hazards directly identified. The training is designed to ensure future safe operations.
Personnel trained and competent (AMC)
A TO shall demonstrate that:
A list of activities with relevant needed competence has been established
Personnel have relevant competence needed to fulfil the activities
Personnel maintain competence through appropriate training
Theoretical and practical instructors are qualified as per Regulation
Practical instructors have OJTI or STDI end./ assessors have assessor end.
STDI and assessors demonstrate knowledge and receive refresher trng,
ATCO.OR.C.001- Management system of TO
Management system includes:
Lines of responsibility and accountability, including direct safety accountability of the accountable manager
Safety policy – overall principles of the organisation regarding safety
Identification of aviation safety hazards, their evaluation and management of risks
Maintaining personnel trained and competent
Documentation of management system key processes and how is amended
A function to monitor compliance of the organisation with requirements
Management system shall be proportionate to the size and activities of the organisation, taking into account hazards and associated risks inherent in those activities
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13. Documentation of management system key processes (AMC)
2014
Documentation of management system key processes (AMC)
The TO should demonstrate that the mgt. syst.
Policies, processes and procedures are monitored ( kept current) reviewed and amended
Controls, records and track changes to all mgt. syst. policy, processes and procedures documents
Includes a master record index that list all policies, processes and procedures
MGT syst. includes as a minimum
Master record index
TO certificate
Management structure and staff roles profile (responsibilities and accountabilities)
Training manuals, plans and courses; Course design documents; Safety management manual
Instructor/assessor qualification and competence records
Change control process for documents; evidence of regulatory compliance
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14. Example of compliance monitoring syst. (GM)
2014
A function to monitor compliance of the organisation with requirements (AMC)
Implementation and use of such function – TO monitor compliance with this Regulation
TO shall specify the basic structure of the function applicable to the activities to conduct
Person designated for compliance monitoring (AMC)
Is responsible for the review and improvement of established mgt. syst. policies, processes and procedures. Can use tools that are essential in the ongoing continuous improvement process as follows:
Organisational risk profile
Risk management plan
Coherence matrix
Corrective and preventive action reports
Inspection and audit reports
Example of compliance monitoring syst. (GM)
TO may monitor compliance with procedures they put in place, as such they could monitor:
Organisational structure; plans and objectives; manuals, logs, records; mgt syst, etc.
Organisational set-up
Person resp. for compliance monitoring designated with roles, respons. – like Safety Manager
Compliance monitoring documentation
Relevant parts of mgt. syst.; plus compliance monitoring programme, duties and respons, etc.
Training
Everybody is trained, but as well those working in the function
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15. Size, nature and complexity of the activity (AMC)
2014
Size, nature and complexity of the activity (AMC)
What is complex? How big should be the TO?
TO should considered COMPLEX – when the workforce > 20 FTE involved in EASA BR and its implementing rules
TO with <= 20 FTE may also be considered COMPLEX based on assessment of the following factors: .
Extent and scope of contracted activities subject to certificate, in terms of complexity
Different types of training provided, in terms of risk criteria
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16. ATCO.OR.C.005- Contracted activities
2014
Contracted activities (AMC and GM)
Written agreement btwn TO and contracted org defining the contracted activities and applicable requirements
Contracted safety-related activities from the agreement – TO compliance monitoring programme including hazard identification and risk management
TO shall ensure that contracted org has authorisation or approval when required and commands the resources and competence to undertake tasks.
Contracted org is certified – TO shall monitor that approvals cover activities and are still valid
ATCO.OR.C.005- Contracted activities
TO when contracting or purchasing any parts of their activities
That contracted activities conform with the applicable requirements
TO contracts to NON-CERTIFED organisation (in accordance with the Regulation)
NON-CERTIFIED organisation shall work under the terms of approval in the TO certificate
TO shall ensure that CA is given access to the NON-CERTIFIED organisation to determine continued compliance with applicable requirements
Sufficient funding (AMC)
TO - Economic study identifying the minimum amount necessary to ensure that training is conducted in accordance applicable requirements
Sufficient insurance cover (AMC)
TO – deposit of an insurance certificate or other evidence of valid insurance
Insurance cover shall be established: nature of the training, frequency and the fees applicable for courses
ATCO.OR.C.025- Funding and insurance
TO shall demonstrate sufficient funding is available to conduct training
Activities have sufficient insurance coverage in accordance with the nature of training provided
All activities can be carried in accordance with this regulation
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17. ATCO.OR.C.010- Personnel requirements
2014
ATCO.OR.C.010- Personnel requirements
Appoint accountable manager
A person/persons responsibility for training – responsible to accountable manager
Sufficient qualified personnel for the planned tasks and activities
Record of theoretical instructors with relevant professional qualifications, adequate knowledge and experience, instructional techniques assessment and subjects they are entitled to teach
Procedure to maintain competence of theoretical instructors
Practical instructors and assessors complete refresher training to revalidate the endorsement
Records of persons qualified for assessing practical instructors’ and assessors’ competence with their relevant endorsement
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18. ATCO.OR.C.015- Facilities and equipment
2014
ATCO.OR.C.015- Facilities and equipment
TO shall have facilities for the planned tasks and activities
STD comply with applicable specs and reqs appropriate to the tasks (STD specs are in AMC material)
During OJT, instructor has the same information as the student and the means to intervene immediately
Facilities (AMC and GM)
General areas – facilities appropriate to the size and scope of intended operations provided in an environment conducive to learning
Office space for managerial and administrative and training staff
Rooms for study and testing
Library facilities
Storage areas, including secure area for training and personnel records
Training areas – facilities should also include sufficient suitably equipped classroom areas for TO providing theoretical training
Rooms for briefing and debriefing (for TO providing practical training)
Suitably equipped rooms for practical training (for TO providing practical training)
ATCO.OR.C.020- Record keeping
Detailed records of persons undertaking or have undertaken courses
A system to record professional qualifications and instructional techniques assessments of instructors and assessors and what they are entitle to teach
Records above – 5 years subject to applicable national data protection law
Archiving process and the format of records – management system; storage in a secure manner.
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19. 2014
Annex III, Part ATCO.OR, Subpart D - Requirements for training courses and training plans
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20. ATCO.OR.D.001 – Reqs. for trng. courses and plans
2014
ATCO.OR.D.001 – Reqs. for trng. courses and plans
TO shall develop CA
Training plans and training courses – Annex I, Part ATCO, Subpart D
Subjects, subjects objectives, topics and subtopics for rating endorsements - Annex I, Part ATCO
Methods of assessment – Annex I, Part ATCO, Subpart D
ATCO.OR.D.005- Examination and assessment results & certificates
TO shall make available results of examinations and assessments and upon request issue a certificate
Upon completion – TO issue a certificate
Initial training
Rating training for issue of additional rating
Basic training – ONLY ON REQUEST
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21. 2014
Annex II, Part ATCO.AR, Subpart E - Certification procedure for ATCO TO and approval of training courses
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22. ATCO.AR.E.001- Application and certification procedure for TO
2014
ATCO.AR.E.001- Application and certification
procedure for TO
CA Receives application for TO certificate – verifies compliance with Annex III requirements
TO is compliant – CA issues certificate
Format in App 2, Annex II - certificate
For changes without prior approval – CA approves the TO procedure
Scope of changes and how will be managed and notified (procedure)
ATCO.AR.E.005- Approval of training course and plans
CA approval for training courses and plans (Annex III, Subpart D)
Following exchange of licence – CA approves/rejects UEC (6 weeks) and ensure non-discrimination and proportionality
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23. ATCO.AR.E.010- Changes to TO Type of changes
2014
ATCO.AR.E.010- Changes to TO
Type of changes
Prior approval from CA
Affecting the certificate or the terms of approval of TO
Any relevant element of the management system
Additional changes agreed between TO and CA
No prior approval from CA
Procedure from TO approved by CA (scope, management and notification of changes)
Receipt of change with prior approval – CA verifies compliance with Annex III before approving it CA
Approves it
Conditions under which TO operates during the change
Does not approve it – change is not implemented
When TO implements changes requiring prior approval without the CA approval – immediate and adequate action (enforcement)
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24. ATCO.AR.E.015- Findings and corrective actions
2014
ATCO.AR.E.015- Findings and corrective actions
Level 1 findingS include but is not limited
Failure to give CA access to TO facilities during normal operating hours or after 2 written requests
Falsification of submitted evidence – obtain or maintain validity of TO certificate
Evidence of malpractice or fraudulent use of To’s certificate
Lack of accountable manager
CA a syst to analyse and record findings; record CAP and enforcement measures
Level 1 finding
Any significant non-compliance
with EASA BR and this regulation
TO procedures and manual ; Type of training and/or service provided
Certificate which lower or endanger safety or significant degrades the training provided
CA action: Prohibit or limit activities; revoke, suspend or limit the certificate (whole or in part) until corrective active has been taken
Level 2 finding –
Any not significant non-compliance
CA action: CAP and timeframe is granted + assessment and acceptance
When no CAP or no implem. in the timeframe – Level 1
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25. What is missing for CA? Certificates TO and next?
2014
What is missing for CA?
Certificates TO and next?
Monitoring of TO (art 28 in 805/2011)
Regular audit and unannounced inspection
Where this has moved?
Annex II, Part ATCO.AR, Subpart C – Oversight and enforcement – all elements are there! CA Requirements
Article 28
Monitoring of training organisations activities and enforcement
1. Competent authorities shall monitor compliance with the requirements and conditions attached to the training organisation’s certificate.
2. Competent authorities shall audit the training organisations on a regular basis with a view to guaranteeing effective compliance with the standards laid down in this Regulation.
3. In addition to the regular audit, competent authorities may make unannounced inspections to check compliance with the requirements contained in this Regulation.
4. If a competent authority finds that the holder of a training organisation’s certificate no longer satisfies the requirements or conditions attached to its certificate, it shall take appropriate enforcement measures, which may include withdrawal of the certificate.
5. Certificates issued in accordance with the provisions of this Regulation shall be mutually recognised.
What the enforcement measures could be?
Withdrawal of the certificate, financial penalties, etc..
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26. 805/2011 Requirements for Training Organisations
2014
805/2011 Requirements for Training Organisations
Certification of Training Organisations (Art. 18) details
Management system of Training Organisations (Art. 19) details
Requirements for training courses, initial and Unit Training Plans and Unit Competence Schemes (Art. 20)
In conjunction with Annexes provides details about the courses
Certification procedure for Training Organisations (Art. 27) – NSA (details)
Monitoring of Training Organisations activities and enforcement (Art. 28) – NSA (details)
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27. 2014
Questions?
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