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Title Requirements for ATM/ANS providers and the safety oversight thereof (Explanatory Note)

NPA Number NPA 2013-08 (A)

Federal Office of Civil Aviation FOCA ([email protected]) has placed 9 unique comments on this NPA:

Cmt# Segment description

Page Comment Attachments

341 A. Explanatory Note -

IV. Overview of the proposed changes - CHAPTER 1 — GENERAL OVERVIEW OF THE CHANGES (Part III)

12 -

15 FOCA fully supports the effort of harmonising the regulations comprising the EASA

remits and especially with the ICAO Annex 19 (SMS Framework).

344 A. Explanatory Note - IV. Overview of the proposed changes - CHAPTER 3 — COVER REGULATION — Main changes and

explanation - Invitation to comment (a)

23 FOCA supports the proposal to exclude "coffein" & "tobacco" from psychoactive

substances.

354 A. Explanatory Note - IV. Overview of the

proposed changes -

CHAPTER 3 — COVER REGULATION — Main changes and explanation - Invitation to comment

(b)

28 FOCA suggests to synchronize the entry into force of the regulation related to this NPA

with the FABEC RP3 tasks to avoid conflicting/non-necessary developments in the

meantime.

• Are there any procedures already established on the future communication and

cooperation of EASA with the Member States until the entry into force of this regulation?

• Consistency needs to be ensured between this NPA and the upcoming rulemaking

tasks (RMT.0161, .0162, .0469, .0470).



• When and how will the placeholders in this NPA be integrated? ATM/ANS.AR.C.030,

ATM/ANS.AR.C.035, ATS.OR.210, ATS.OR.215.

355 A. Explanatory Note - IV. Overview of the proposed changes - CHAPTER 4 — Annex I — Requirements for

competent authorities - Invitation to

comment (a)

29 The requirement should reflect a total system approach as it is an horizontal issue (also

compare with ADR.AR.A.025).

According to EASA, the idea is to have the same material in the remits Air OPS/FCL, ATM/

ANS and eventually the earlier EASA domains such as Production/Maintenance.

356 A. Explanatory Note - IV. Overview of the proposed changes - CHAPTER 4 — Annex

I — Requirements for competent authorities - Invitation to comment (b)

35 FOCA supports Option 2 as it allows for a maximum flexibilty for the authority.

However, there are still many issues to be further developed with regard to the subject of

CBO (compliance based), RBO (risk based) and PBO (performance based) and a common

understanding yet to be established. As FOCA understands these

concepts and applies them to some extent already, oversight is planned based on either

risks at the stakeholders services or on the basis of their performance. Therefore, focus

also needs to be put on the safety analyst bodies of the oversight authorities. When RIA

Section 6 requires some initial training to NSA's personnel, this implies that not only the

auditors but the analysis personnel of the authority would need to be trained accordingly.

The Authorities need to establish a solid risk and performance monitoring body (in FOCA

there is a specialized analyst section responsible for the SRM), or to set up these

competences on the level of audit management.

357 A. Explanatory Note -

IV. Overview of the proposed changes -

CHAPTER 4 — Annex I — Requirements for competent authorities - Invitation to comment (c)

36 The GM is too prescriptive on how changes should be dealt with by the ANSP and NSA.

The sections ATM/ANS.AR.C.020 and ATM/ANS.OR.A.035 as well as AMC need to be

harmonized.



358 A. Explanatory Note - IV. Overview of the proposed changes - CHAPTER 5 — Annex II — COMMON REQUIREMENTS FOR

THE PROVISION OF ATM/ANS (Part-

ATM/ANS.OR) - Invitation to comment (b)

42 FOCA supports the proposal to remove the ISO9001 from the AMC. However, the

authority shall be given the competence to repeal the validity of a ISO 9001 certification if

doubts arise on the appropriateness of this certification.

359 A. Explanatory Note - IV. Overview of the proposed changes - CHAPTER 5 — Annex II — COMMON REQUIREMENTS FOR

THE PROVISION OF ATM/ANS (Part-

ATM/ANS.OR) - Invitation to comment (c)

43 FOCA supports that the ATM/ANS.OR.B.025 remains in the future regulation.

ATM/ANS.OR.B.015 prescibes that the personnel needs to be trained and

be competent. Interpretation should be avoided that only ongoing-training will be

considered as mandatory.

It's essential that the providers set up guidlines on what the basic skills for personnel for

the specific functions are. Based on this, a gap-analysis should be conducted for newly

employed personnel. ATM/ANS.OR.B.025 ‘Human resources seems to assure such a

proceeding.

360 A. Explanatory Note - IV. Overview of the proposed changes - CHAPTER 6 — SPECIFIC REQUIREMENTS FOR THE PROVISION OF

AIR TRAFFIC SERVICES (Part-ATS)

- Invitation to comment (a)

45 FOCA supports the option that EASA will include the standards from ICAO Annex 19 and

not develop a own legislation for those requirements.

Page viewed on 2013-11-05 15:53:54 GMT Copyright © 2005-2013 EASA

http://www.easa.europa.eu/



Title Requirements for ATM/ANS providers and the safety oversight thereof (Implementing Rule)

NPA Number NPA 2013-08 (B)




485 COVER REGULATION - Article 2

9 - 13 Article 2 (definitions)

number 32: "established by a Competent authority": please use either Competent

Authority or competent authority, typo/inconsistent use number 26: "Hazard means any means..." : typo ("any means" is redundant)


9 - 13 The difference between definitions provided at ICAO level and the definitions provided

at EU level could result to safety issues. Therefore, differences should be avoided as far as

possible.


13 - 14

sdArt. 3 par. 1 letter c and d:

o When mentioning “the Treaty” (of Lisbon), even though it is obvious, it would be useful

for Third States to know to which treaty it is refered to. The same comment applies

to “the Agency”.

o Furthermore, the formulation of letter c is problematic for Switzerland: According to

SES Regulation, we are considered as a Member State, but with the text proposed here,

the Agency (EASA) will be considered as the competent authority for certification and

oversight. This not acceptable for Switzerland.


15 Art. 6 par. 1 (a): "...operating regularly at not more than": FOCA suggests to delete the

preposition "at" (see ATM/ANS.OR.A.015 (b) (2))


15 - 16

Art. 7 par. 5: Please delete the requirement of notification to other Member States.

Notification to other Member States would create an administrative burden, without any



obvious benefit. EASA has confirmed at the occasion of a presentation on AltMoCs at

the RAG meeting on 3 July 2013 that the notification via EASA resp. the publication on

the dedicated website of EASA is considered to be sufficient.

525 ANNEX I - REQUIREMENTS FOR COMPETENT AUTHORITIES IN

ATM/ANS (Part-

ATM/ANS.AR) - SUBPART A — GENERAL REQUIREMENTS - ATM/ANS.AR.A.010 Information to the Agency

19 Need for harmonisation with ADR.AR.A.25 (horizontal task)

527 ANNEX I - REQUIREMENTS FOR COMPETENT AUTHORITIES IN

ATM/ANS (Part-

ATM/ANS.AR) - SUBPART A — GENERAL REQUIREMENTS - ATM/ANS.AR.A.015 Immediate reaction to safety problem

20 ATM/ANS.AR.A.015 (d):

Notification to the Agency and other Member States seems to create an administrative

burden, without any obvious benefit. What is EASA's intent and handling with such

notification? If Member States have to notify to the Agency, the aim and the further

proceeding with this information should be transparent to the national authorities.

Furthermore, it is not clear what kind of safety concerns will fall under the scope of this

article.

529 ANNEX I - REQUIREMENTS FOR COMPETENT

AUTHORITIES IN ATM/ANS (Part-

ATM/ANS.AR) - SUBPART A — GENERAL REQUIREMENTS -

20 ATM/ANS.AR.A.020 (c): Need for harmonisation with ADR.AR.A.40

Notification to Agency and other Member States seems to create an administrative

burden, without any obvious benefit. How does EASA proceed with such notifications? If

Member States have to notify to the Agency, the aim and the further proceeding with this

information should be transparent to the national authorities.



ATM/ANS.AR.A.020 Safety directives

531 ANNEX I - REQUIREMENTS FOR

COMPETENT AUTHORITIES IN ATM/ANS (Part- ATM/ANS.AR) -

SUBPART A — GENERAL REQUIREMENTS -

ATM/ANS.AR.A.025 Oversight reporting

20 FOCA fully supports that an Annual Safety Oversight Report is no longer requested.


AUTHORITIES IN ATM/ANS (Part- ATM/ANS.AR) -

SUBPART B — MANAGEMENT (ATM/ANS.AR.B) -

ATM/ANS.AR.B.005 Management system

21 Need for harmonisation with ADR.AR.B.005



SUBPART B — MANAGEMENT (ATM/ANS.AR.B) - ATM/ANS.AR.B.010

Allocation of tasks to qualified entities

21 - 22

Need for harmonization with NPA-2011-20



566 ANNEX I - REQUIREMENTS FOR COMPETENT AUTHORITIES IN ATM/ANS (Part- ATM/ANS.AR) -

SUBPART B — MANAGEMENT

(ATM/ANS.AR.B) - ATM/ANS.AR.B.020 Oversight records

22 - 23

Need for harmonization with NPA-2011-20.

The requirement adresses "oversight records". It might be worth considering whether the

scope should be extended to the licensing area and state the conditions for record keeping

for licences.

569 ANNEX I - REQUIREMENTS FOR COMPETENT AUTHORITIES IN ATM/ANS (Part- ATM/ANS.AR) -

SUBPART C — OVERSIGHT,

CERTIFICATION, AND ENFORCEMENT (ATM/ANS.AR.C) - ATM/ANS.AR.C.010 Certification,

declaration, and verification of ATM/ANS

23 - 24

According to the text [in particular the Appendix I] no certification is possible with "open

findings". This requirement is almost impossible to comply with and was a EASA-finding in

many Member States. In FOCA's opinion it should be possible to issue a certificate with

conditions. These conditions should be set in relation to the open findings (e.g. in

agreement with the Corrective Action Proposal). If a certificate is no longer valid as soon

as a non-compliance exist, then no viable ANS provision could be achieved. Otherwise,

the Corrective Action Proposal process would not make sense.

Special attention must be given that all OR and AR requirements regarding certification

are harmonised across the various NPAs, notably NPA 2012-018, NPA 2013-08, NPA on

Apron Management Services, NPA on Aerodromes, in order to allow one organisation to be

certified for more than one activity e.g. all operational units will have to be certified as

ANSPs and Training Organisation.


COMPETENT AUTHORITIES IN

ATM/ANS (Part- ATM/ANS.AR) - SUBPART C — OVERSIGHT, CERTIFICATION, AND

ENFORCEMENT (ATM/ANS.AR.C) -

24 - 25

Need for harmonisation with ADR.AR.C.005

FOCA supports OPTION 2 (see also corresponding comment to the RIA).

FOCA would like to raise the attention to the fact that the requirement does not state

whether electronical files are approved as evidence. Is this intended by EASA - if yes - on

what grounds?

Furthermore, it seems that the audit function and corrective action process are not

adressed separately. Is this intended by EASA and - if yes - on what grounds?



ATM/ANS.AR.C.015 Oversight


COMPETENT AUTHORITIES IN ATM/ANS (Part- ATM/ANS.AR) -

SUBPART C — OVERSIGHT, CERTIFICATION, AND

ENFORCEMENT (ATM/ANS.AR.C) - ATM/ANS.AR.C.020 Changes — ATM/ANS providers

26 The paragraph refers to "changes" whereas the Explanatory notes refer to "organizational

change". The purpose/intent of this paragraph is unclear. May also be covered by

ATM/ANS.OR.A.035 or vice versa.

FOCA recommends to merge the section ATM/ANS.AR.C.020 and ATM/ANS.OR.A.035 into

a single section. The current separation is artificial and readability and comprehensivness

is strongly compromised (as the two sections are located in two different parts of the NPA

(Annex I / Annex II))



SUBPART C — OVERSIGHT, CERTIFICATION, AND ENFORCEMENT (ATM/ANS.AR.C) - ATM/ANS.AR.C.025 Findings, corrective

actions, and enforcement

measures

26 - 27

Documentary evidence may include:

Replace “inspection records and internal audit results” with “internal quality control

results (inspection, audit and tests)

Justification:

Quality Control consists of three different methods (inspections, audits and tests). All

three methods are considered to be internal quality control activities.

FOCA suggests to add to (c) the following:

staff recruitment (pre-employment check or background check)

581 ANNEX II - COMMON REQUIREMENTS FOR

THE PROVISION OF ATM/ANS (Part-ATM/ANS.OR) -

34 General remark to Annex II:

There is no explicit obligation for the ANSP to run a systematic compliance management

in the frame of a SMS. It might be possible that EASA considers the need for a compliance

management on the level of corporate governance. However, this should be mentioned

appropriately. In FOCA's opinion, a modern company should run a proper compliance



SUBPART A — GENERAL COMMON REQUIREMENTS (ATM/ANS.OR.A) - ATM/ANS.OR.A.005 Scope

management by demonstrating (and assuring) compliance not only at a specific moment

of time (time of the audit).



SUBPART A — GENERAL COMMON REQUIREMENTS (ATM/ANS.OR.A) - ATM/ANS.OR.A.035 Changes

36 The subpart (b) refers to "any other change" which inherently includes also "changes to

functional systems". It is highly recommended to combine the section ATM/ANS.AR.C.020

and ATM/ANS.OR.A.035. The current separation is artificial and readability and

comprehensivness is strongly compromised.



SUBPART A — GENERAL COMMON REQUIREMENTS (ATM/ANS.OR.A) - ATM/ANS.OR.A.040 Changes to the functional system

36 To be developed under RMT.0469 and RMT.0470

584 ANNEX II - COMMON

REQUIREMENTS FOR THE PROVISION OF ATM/ANS (Part-ATM/ANS.OR) -

SUBPART A — GENERAL COMMON REQUIREMENTS

37 -

38 FOCA supports the intention to oblige not only personnel but also the ANSP to report.

The meaning of "follow-up report" and "relevant" should be further detailed.



(ATM/ANS.OR.A) - ATM/ANS.OR.A.060 Safety reporting


REQUIREMENTS FOR THE PROVISION OF ATM/ANS (Part-ATM/ANS.OR) -

SUBPART B — MANAGEMENT (ATM/ANS.OR.B) -

ATM/ANS.OR.B.010 Organisational structure

38 It should be considered whether "post holders" should be further detailed (who can be a

post holder? A supervisor? Or only member of the senior staff?).

Furthermore, the organizational structure should - in addition to the definition of

responsibilities - also include the definition of accountabilities.



SUBPART B — MANAGEMENT (ATM/ANS.OR.B) -

ATM/ANS.OR.B.020 Contracted activities

39 add "service" to [...]contracted or purchased activity, system, or constituent conform to

the applicable requirements.

The final responsability has to be clearly defined. The GM1 ATM/ANS.OR.B.020 8 (a) in

regard to hazard identification and risk assessment shall be under the responsability of

the ATM / ANS provider.

587 ANNEX II - COMMON REQUIREMENTS FOR THE PROVISION OF

ATM/ANS (Part-ATM/ANS.OR) - SUBPART B —

MANAGEMENT (ATM/ANS.OR.B) - ATM/ANS.OR.B.035 Record keeping

40 A list of records has to be established in the SMS and approved by the Competent

Authroity; this requirement is only mentioned in the EXP Note, but not in the hard law.

588 ANNEX II - COMMON REQUIREMENTS FOR THE PROVISION OF

40 It might be considered to add an obligation to the ANSP to store out of date manuals for a

certain time. This would allow to retrace changes.



ATM/ANS (Part-ATM/ANS.OR) - SUBPART B — MANAGEMENT (ATM/ANS.OR.B) - ATM/ANS.OR.B.040

Operations manuals

FOCA suggests to clearly state whether manuals shall be "accepted" or "approved" by the

competent authority.


REQUIREMENTS FOR THE PROVISION OF ATM/ANS (Part-

ATM/ANS.OR) - SUBPART C — SPECIFIC ORGANISATIONAL REQUIREMENTS FOR ANS AND ATFM

PROVIDERS AND THE NETWORK MANAGER

(ATM/ANS.OR.C) - ATM/ANS.OR.C.015 Security management

41 -

42 FOCA suggests to add "tests" in the following sentence: "...should establish a schedule of

audits, inspections AND TESTS...".

Furthermore "security" shall also be added ("...should take into account the safety AND

SECURITY performance ...").

590 ANNEX II - COMMON REQUIREMENTS FOR THE PROVISION OF ATM/ANS (Part-ATM/ANS.OR) - SUBPART C — SPECIFIC

ORGANISATIONAL REQUIREMENTS FOR

ANS AND ATFM PROVIDERS AND THE NETWORK MANAGER (ATM/ANS.OR.C) - ATM/ANS.OR.C.020

Financial strength

42 It should be specified whether the economic and financial capacity of an ANSP needs to be

verified by the oversight authority on a yearly basis or only on the occasion of the

provision of an ANS certificate.

It needs to be considered that an ANSP could be owned or controlled by the state (or even

be part of the federal organisation) which is also responsible for the application of the

regulation 1035/2011. Accordingly, it should be considered that Member States have the

possibility to opt out from the obligation to check the economic and financial capacity

under this Regulation (or to limit the scope of the economic and financial oversight) if it is

by majority owned or controlled by the State.

As referred to in point 2.2.2 the ANSP shall produce an annual plan for the forthcoming

year including its expected short-term financial position as well as any changes or impacts

on the business plan.



Besides the possible conflicts which could result under the aspects of the corporate

governance, the conditions related to the economic and financial capacity and its

oversight should be differentiated since a Member State could be able to guarantee the

financial strength of the ANSP even if the annual or 5 year plan would show a

negative balance .


REQUIREMENTS FOR

THE PROVISION OF ATM/ANS (Part-ATM/ANS.OR) - SUBPART C — SPECIFIC ORGANISATIONAL

REQUIREMENTS FOR ANS AND ATFM PROVIDERS AND THE NETWORK MANAGER (ATM/ANS.OR.C) - ATM/ANS.OR.C.030

Open and transparent

provision of services

42 Open and transparent provision of services shall also be mandatory for other than ANS

ant ATFM providers. Replace Air Navigation service and air traffic flow

mananagment provider with "ATM / ANS providers".

594 ANNEX II - COMMON REQUIREMENTS FOR THE PROVISION OF ATM/ANS (Part-

ATM/ANS.OR) - SUBPART C — SPECIFIC ORGANISATIONAL REQUIREMENTS FOR

ANS AND ATFM

PROVIDERS AND THE NETWORK MANAGER (ATM/ANS.OR.C) - ATM/ANS.OR.C.035 Contingency plans

42 Contingency plans shall also be mandatory for other than ANS and ATFM providers.

Replace Air navigations service and air traffic flow mananagment provider with "ATM /

ANS providers".



596 APPENDIX I TO ANNEX II (Part-ATM/ANS) - DECLARATION OF PROVISION OF FLIGHT

INFORMATION SERVICES

44 - 45

Voice-ATIS might be abbreviated "V-ATIS" as already applied for Data Link ATIS.

Please check for consistent use of words: Sometimes plural, sometimes singular form

used in case of "FIS" (flight information service vs. Flight information services)

599 ANNEX III - SPECIFIC REQUIREMENTS FOR THE PROVISION OF

AIR TRAFFIC SERVICES (Part-ATS) - SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR

THE PROVISION OF AIR TRAFFIC

SERVICES (ATS.OR) - Section 1 — General requirements - ATS.OR.115 Open and transparent

provision of service

46 What about fatigue detection? Prevention and mitigation are only one part of fatigue,

detection is missing.

603 ANNEX III - SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC

SERVICES (Part-ATS) - SUBPART A —

ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC

SERVICES (ATS.OR) - Section 2 — Safety of

46 - 48

In relation to lit. 1 (ii) FOCA is not sure if responsibility is the correct word. A policy

should also refer to accountability. Responsibility reflects a wider context. Many

subjects are responsible for the safe operation, but only one person is accountable for a

certain task.



services - ATS.OR.205 Safety management system

610 ANNEX III - SPECIFIC

REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (Part-ATS)

- SUBPART A — ADDITIONAL ORGANISATION

REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) - Section 2 — Safety of services -

ATS.OR.205 Safety management system

46 -

48 Lit.(1) requires "to ensure that due consideration is given to all aspects of the provision of

ATS (risk assessment and mitigation)." Firstly, it is not clear to us why the scope of risk

management is reduced to ATS. Secondly, the provision means that not only safety but

also production is part of risk management (all aspects of provision of ATS). In our

opinion, safety risk management is certainly necessary and together with the policy to

assure acceptable safety, it probably will meet its purpose.

The definition of expression "safety level" is in our view unclear. Please include expression

" safety level" in defintion section of NPA.


AIR TRAFFIC SERVICES (Part-ATS) - SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF

AIR TRAFFIC SERVICES (ATS.OR) -

Section 2 — Safety of services - ATS.OR.205 Safety management system

46 - 48

(c) SAFETY ASSURANCE Lit.(iv): On the occasion that an ANSP can categorise an

occurrence regarding safety significance and possible implications, it probably has

conducted some investigation already. However, the provision requires to investigate only

when a certain safety significance is evident. This looks somehow like a recursion.

Further, FOCA wonders why the provision in the SMS framework only mentions the need

for immediate investigation.

Basically, to us it is not clear whether risk management is considered as a part of safety

assurance or vice versa. This is is a fundamental question which probably exceeds the

content of this NPA. Generally, it could be said that the whole SMS itself is safety

assurance on a corporate level. The essential part of the SMS to assure safety is the

combination of proper collection and analysis of any information in order to balance

production versus protection to establish and maintainan a acceptable level of safety for

any service provided. This function is called (integrated) risk management; whereby risks

are considered as positive or negative deviation from a target (like chance and risk).



Proposal 1: Lit.(iv) should require occurrence investigation in a more generic way.

Proposal 2: The GM might indicate the expected detail and different levels of occurrence

investigation, i.e. For any occurrence at least severity has to be determined. For

occurrences, which are considered to have significant safety implications, a further

investigation and mitigation process should start immediately (root cause analysis (in the

triangel of human-procedure-equipment), corrective action, preventive action).


REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (Part-ATS) - SUBPART A —

ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) - Section 2 — Safety of

services - ATS.OR.220 Licensing and medical certification requirements for air traffic controllers

48 The numbering of the implemeting rule is not consistent with the explanatory material.

Please refer to the document available

668 ANNEX III - SPECIFIC REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (Part-ATS)

- SUBPART A —

ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) -

49 (b) prevent and mitigate the risk that ATC service is provided by ATCOs with impaired

cognitive judgement due to problematic use of psychoactive substances. Justification: Any

use of psychoactive substances is likely to impare the cognitive judgement of ATCOs.

Therefore the impact is not limited to the "problematic" use of psychoactive substances.



Section 3 — Human factors principles for the provision of air traffic control service - ATS.OR.305 Scope


AIR TRAFFIC SERVICES (Part-ATS) - SUBPART A —

ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) -

Section 3 — Human factors principles for

the provision of air traffic control service - ATS.OR.315 Responsibilities of air traffic control service

providers with regard to the problematic use of psychoactive substances by ATCOs

49 The air traffic control service provider shall develop and implement a policy, with related

procedures, to prevent and mitigate any effect of problematic use of psychoactive

substances by ATCOs on the provision of air traffic control service under the responsibility

of the provider.

If any effect of the use of psychoactive substances is to be prevented no mitigation is

necessary due to the fact that the use in itself is prohibited.

The use of psychactive substances in itself is very likely to impaire the cognitve

judgement of ATCOs. Therefore ATCO shall be prevented from exercising the privileges of

his/her licence when under the influence of psychoactive substances.


REQUIREMENTS FOR THE PROVISION OF

AIR TRAFFIC SERVICES (Part-ATS) - SUBPART A — ADDITIONAL ORGANISATION


50

(a) […] shall develop obtain, implement, […]

A service provider should have the possbilitiy to purchase such a system instead of

developing itself. Either by buying the rostering software from a third company and

by implementing this system of rostering accordingly, or by outsourcing the whole

rostering to a third company (outsourcing).



AIR TRAFFIC SERVICES (ATS.OR) - Section 3 — Human factors principles for the provision of air traffic control service

- ATS.OR.330 ATCOs’ rostering system(s)

678 ANNEX IV - SPECIFIC REQUIREMENTS FOR THE PROVISION OF

METEOROLOGICAL SERVICES (Part-MET) - SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR

THE PROVISION OF METEOROLOGICAL

SERVICES (MET.OR) - Section 1 — General requirements - MET.OR.100 Quality of the data &

information

52 Alternative wording: accessible. The current term "attainable" is also acceptable and clear

enough.

690 ANNEX IV - SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL

SERVICES (Part-MET) - SUBPART A —

ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL

SERVICES (MET.OR) - Section 1 — General

52 FOCA suggests to keep the wording of the currently applicable Annex 11, 6.4.1.2:

"Automatic recordings shall be retained for a period of at least thirty days. When the

recordings are pertinent to accident and incident investigations, they shall be retained for

longer periods until it is evident that they will no longer be required."



requirements - MET.OR.105 Retention of information


SERVICES (Part-MET) - SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (MET.OR) - Section 2 — Specific

requirements - Chapter 1 —

Requirements for meteorological watch offices - MET.OR.200 Watch and other meteorological

information

52 - 53

The definition of "meteorological watch office" in ICAO Annex 3 Chapter 3.4 is more

precise. Unlike ICAO Annex 3 MET.OR.200 does not cover all responsibilities of a

meteorological watch office . Therefore, FOCA suggests to use the ICAO Annex 3

definition.


SERVICES (Part-MET) - SUBPART A —

ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL

SERVICES (MET.OR) - Section 2 — Specific

54 Content of ICAO Annex Chapter 3.3 g) "exchange meteorological information with other

meteorological offices" is missing / must necessarily be included.



requirements - Chapter 2 — Requirements for aerodrome meteorological offices - MET.OR.215

Forecasts and other meteorological

information — General

705 ANNEX IV - SPECIFIC

REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (Part-MET) - SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR

THE PROVISION OF METEOROLOGICAL SERVICES (MET.OR) - Section 2 — Specific requirements -

Chapter 2 — Requirements for aerodrome meteorological offices - MET.OR.220 Aerodrome forecasts (TAF)

54 Suggestion: a) … expected meteorological conditions at an aerodrome and its vicinity for a

specified period. As the descriptor "VC" (in the vicinity) already exists, it would be more

practical.

706 ANNEX IV - SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (Part-MET)

- SUBPART A — ADDITIONAL

54 ICAO Annex 3 Chapter 6.3.3 is missing / needs to be adapted accordingly (see

FOCA comment to GM2 MET.OR.225)



ORGANISATION REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (MET.OR) - Section 2 — Specific

requirements - Chapter 2 —

Requirements for aerodrome meteorological offices - MET.OR.225

Aerodrome forecasts — Landing (TREND)

707 ANNEX IV - SPECIFIC REQUIREMENTS FOR THE PROVISION OF

METEOROLOGICAL SERVICES (Part-MET)

- SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF

METEOROLOGICAL SERVICES (MET.OR) - Section 2 — Specific requirements - Chapter 2 — Requirements for aerodrome

meteorological offices - MET.OR.230 Area forecasts for low-level flights

55 ICAO Annex 3 Chapter 6.5.2 is missing / should be adopted. GAMET and SIGWX are no

longer mentioned , FOCA suggests to include it.



56 -

57 In comparison to ICAO Annex 3 Chapter 4.1.3 "Runway Visual Range (RVR)" is missing,

please adapt accordingly.



METEOROLOGICAL SERVICES (Part-MET) - SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR

THE PROVISION OF METEOROLOGICAL

SERVICES (MET.OR) - Section 2 — Specific requirements - Chapter 3 —

Requirements for meteorological stations - MET.OR.255 Observation of meteorological elements

710 ANNEX IV - SPECIFIC REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (Part-MET)

- SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (MET.OR) -

Section 2 — Specific requirements - Chapter 5 — Requirements for World Area Forecast Centre (WAFC) -

MET.OR.265 World

57 - 58

Content of ICAO Annex 3, Chapter 3.2 e) "to establish and maintain contact with VAACs

for the exchange of information on volcanic activity in order to coordinate the inclusion of

information on volcanic eruptions in SIGWX forecasts" is missing resp. should be included.



Area Forecast Centre (WAFC) responsibilities


REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (Part-MET)

- SUBPART A — ADDITIONAL ORGANISATION

REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (MET.OR) - Section 2 — Specific requirements -

Chapter 6 — Requirements for

Tropical Cyclone Advisory Centre (TCAC) - MET.OR.270 Tropical Cyclone Advisory Centre

(TCAC) responsibilities

58 Content of ICAO Annex 3, Chapter 3.7 a) "monitor the development of tropical cyclones in

its area of responsibility, using geostationary and polar-orbiting satellite data, radar data

and other meteorological information;" is missing resp. should be included.

714 ANNEX VII - SPECIFIC REQUIREMENTS FOR

THE PROVISION OF COMMUNICATION,

NAVIGATION, AND SUREVEILLANCE SERVICES (Part-CNS) - SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR

63 Please rephrase this paragraph. The use of references impairs the readability and could

eventually lead to omissions. Furthermore, FOCA would like to point to the following:

providers of communication, navigation and surveillance services are not necessarily air

traffic service providers (therefore ATS.OR.205 and ATS.OR.225 are not appropriate

references).



THE PROVISION OF COMMUNICATION, NAVIGATION, AND SURVEILLANCE SERVICES (CNS.OR) - Section 1 — General

requirements - CNS.OR.115 Safety of

services

712 ANNEX VII - SPECIFIC

REQUIREMENTS FOR THE PROVISION OF COMMUNICATION, NAVIGATION, AND SUREVEILLANCE SERVICES (Part-CNS)

- SUBPART B — TECHNICAL

REQUIREMENTS FOR THE PROVISION OF COMMUNICATION, NAVIGATION AND SURVEILLANCE

SERVICES (CNS.TR) - Section 1 — General requirements - CNS.TR.105 Working methods and operating procedures

63 - 64

We suggest to remove the requirements from Annex II and place them in this section to

improve readability.

716 ANNEX XII -

SPECIFIC REQUIREMENTS FOR ATM/ANS PROVIDERS REGARDING PERSONNEL

TRAINING AND COMPETENCE

69 Records should also be made available to the competent authority on request.

FOCA suggests to include a link to the already defined safety related systems in order to

define the training requirements based on the systems. Justification: This would ensure

that when a new system is introduced the training requirements for ATSEP would also

have to be defined.



ASSESSMENT REQUIREMENTS (Part-PERS) - SUBPART A — TECHNICAL AND ENGINEERING

PERSONNEL - Section 1 — Air Traffic Safety

Electronics Personnel - Chapter 1 — General - ATSEP.OR.015

Training and competence assessment programme

720 ANNEX XII -

SPECIFIC REQUIREMENTS FOR

ATM/ANS PROVIDERS REGARDING PERSONNEL TRAINING AND COMPETENCE

ASSESSMENT REQUIREMENTS (Part-PERS) - SUBPART A — TECHNICAL AND ENGINEERING PERSONNEL - Section

1 — Air Traffic Safety Electronics Personnel - Chapter 2 — Training requirements - ATSEP.OR.100 Training requirements

— General

69 -

70 The time element is missing / When should they have successfully completed the training

? There mustn't be any intervention on safety related systems until a training has been

successfully completed.



724 ANNEX XII - SPECIFIC REQUIREMENTS FOR ATM/ANS PROVIDERS REGARDING PERSONNEL

TRAINING AND COMPETENCE

ASSESSMENT REQUIREMENTS (Part-PERS) - SUBPART A —

TECHNICAL AND ENGINEERING PERSONNEL - Section 1 — Air Traffic Safety Electronics Personnel - Chapter 2 — Training requirements

- ATSEP.OR.110

Qualification training

70 This requirement is too detailed. ATSEP.OR.110 (b) could be considered guidance material

(GM). The focus should remain on the technical domain, human factor should be

addressed as a general requirement in the SMS.

739 ANNEX XII - SPECIFIC REQUIREMENTS FOR

ATM/ANS PROVIDERS REGARDING PERSONNEL TRAINING AND COMPETENCE ASSESSMENT REQUIREMENTS

(Part-PERS) - SUBPART A — TECHNICAL AND ENGINEERING PERSONNEL - Section 1 — Air Traffic Safety

Electronics Personnel

70 This requirement could be placed earlier in the requirement list of the proposed

regulation. Awareness of the potential safety impact at the operational level is extremely

relevant for the global safety.



- Chapter 2 — Training requirements - ATSEP.OR.115 System and equipment rating training

742 ANNEX XII - SPECIFIC

REQUIREMENTS FOR ATM/ANS PROVIDERS REGARDING

PERSONNEL TRAINING AND COMPETENCE ASSESSMENT REQUIREMENTS (Part-PERS) -

SUBPART A — TECHNICAL AND

ENGINEERING PERSONNEL - Section 1 — Air Traffic Safety Electronics Personnel - Chapter 2 —

Training requirements - ATSEP.OR.120 Continuation training

71 The use of the word "appropriate" should be avoided as it allows for interpretations

resp. possibilities are left open. The training should be performed with the objective to

maintain the required competences.

942 ANNEX XII - SPECIFIC

REQUIREMENTS FOR ATM/ANS PROVIDERS

REGARDING PERSONNEL TRAINING AND COMPETENCE ASSESSMENT

REQUIREMENTS (Part-PERS) -

71 ATSEP.OR.130 par. (a) (3): is unclear, what is the intention of this requirement?



SUBPART A — TECHNICAL AND ENGINEERING PERSONNEL - Section 1 — Air Traffic Safety Electronics Personnel

- Chapter 3 — Competence

assessment requirements - ATSEP.OR.130 Assessment of initial

and ongoing competence




Title Requirements for ATM/ANS providers and the safety oversight thereof (Acceptable Means of Compliance (AMC) & Guidance Material (GM))

NPA Number NPA 2013-08 (C)


Cmt# Segment description Page Comment Attachments

177 AMC/GM to ANNEX I — Requirements for competent

authorities in ATM/ANS (Part-

TM/ANS.AR) — SUBPART B — MANAGEMENT (ATM/ANS.AR.B) — AMC1 ATM/ANS.AR.B.005(a)(2) Management System

9 Need for harmonisation with ADR.AR.B.005

"The training programme should include ..//.. at least modules on following

elements:"



178 AMC/GM to ANNEX I — Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART B —MANAGEMENT (ATM/ANS.AR.B) — GM1 ATM/ANS.AR.B.005(a)(2)

Management system

10 - 11

GM1 ATM/ANS.AR.B.005(a)(2); sufficient personnel: The expression "complexity of

activities" [under (b)(2)(i)] needs to be further detailed, by mentioning the relevant

factors determining the complexity (e.g. crossing runways, terrain, steep approaches

etc.)

The term "declared" is not clear to us. Does "declared" means the same as

"designated"?

179 AMC/GM to ANNEX I —

Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART B —

MANAGEMENT (ATM/ANS.AR.B) — AMC1 ATM/ANS.AR.B.010 Allocation of tasks to qualified entities

11 Need for harmonization with NPA-2011-20


Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART B —

MANAGEMENT (ATM/ANS.AR.B) — GM1 ATM/ANS.AR.B.010 Allocation

of tasks to qualified entities

11 Need for harmonization with NPA-2011-20.

The GM does not seem to adress the two points contained in the corresponding AMC.

In addition, FOCA suggests to add a sentence on whether a qualified entity may

issue licences on behalf of the competent authority.

181 AMC/GM to ANNEX I — Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART C

— OVERSIGHT, CERTIFICATION, AND ENFORCEMENT

(ATM/ANS.AR.C) — GM1 ATM/ANS.AR.C.015 Oversight

11 Typo in the 2nd word -> "arrangements" instead of "arrangemnets"

The sentence is incorrec t, there must be a word missing.

183 AMC/GM to ANNEX I — Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART C — OVERSIGHT,

11 - 12

FOCA supports "OPTION 2", towards a performance-based oversight.

Within the requirements and AMC terms like schedule, programm and plan are used.

FOCA suggests to use always the same term, in order to avoid confusion (e.g. use

"programme").


CERTIFICATION, AND ENFORCEMENT (ATM/ANS.AR.C) — AMC1 ATM/ANS.AR.C.015(c) Oversight

185 AMC/GM to ANNEX I — Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART C

— OVERSIGHT, CERTIFICATION, AND ENFORCEMENT

(ATM/ANS.AR.C) — GM1 ATM/ANS.AR.C.020 Changes to ATM/ANS providers

12 Subpart (b) (2)

The specification of 10 days is not necessary, since this is already a part of the

procedure to be established. The timeframe necessary to confirm the non-approval

may differ from state to state. Moreover, it shall be reserved to the authority if an

acknowledgement is necessary or not.

Subpart (c ):

The meaning is unclear. The NSA may perform audits on providers compliance at all

times and on all subjects regardless if this is subject to a change. It is assumed that

the audit needs to be conducted after the change implementation. In this regard, it

shall be verified whether the provider is compliant with the approved change

baseline rather than the regulatory requirements. Therefore, provide improved

guidelines in GM or clarify in EXP notes.


Requirements for competent authorities in ATM/ANS (Part-TM/ANS.AR) — SUBPART C — OVERSIGHT, CERTIFICATION, AND ENFORCEMENT (ATM/ANS.AR.C) — GM1

ATM/ANS.AR.C.025 Findings, corrective actions, and enforcement measures

12 -

13 Documentary evidence may include:

Replace “inspection records and internal audit results” with “internal quality control

results (inspection, audit and tests)

Justification:

Quality Control consists of three different methods (inspections, audits and tests). All

three methods are considered to be internal quality control activities.

FOCA suggests to add to (c) the following:

staff recruitment (pre-employment check or background check)

187 AMC/GM to ANNEX II —

General organisation

common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART A — GENERAL COMMON REQUIREMENTS (ATM/ANS.OR.A) — AMC1

18 -

19 The subpart (b) refers to "any other change" which inherently includes also "changes

to functional systems". It is highly recommended to combine the section

ATM/ANS.AR.C.020 and ATM/ANS.OR.A.035. The current separation is artificial and

readability and comprehensivness is strongly compromised.


ATM/ANS.OR.A.035(b) Changes

188 AMC/GM to ANNEX II — General organisation common requirements for

the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART A — GENERAL COMMON REQUIREMENTS

(ATM/ANS.OR.A) — GM1 ATM/ANS.OR.A.035(b) Changes

19 The subpart (b) refers to "any other change" which inherently includes also "changes

to functional systems". It is highly recommended to combine the section

ATM/ANS.AR.C.020 and ATM/ANS.OR.A.035. The current separation is artificial and

readability and comprehensivness is strongly compromised.

190 AMC/GM to ANNEX II — General organisation common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) —

SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — GM1 ATM/ANS.OR.B.015

Management system

20 - 21

Replace should with may "An EN ISO 9001 certificate, issued by an appropriately

accredited organisation, addressing all the elements required in this Subpart

[should] may be considered as a sufficient...] to give States the empowerment to

review and audit ANSP's QMS. The current requirement in EU1035/2011 is

interpreted in different ways.


General organisation common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — GM1

ATM/ANS.OR.B.015(a)(1) Management system

21 This GM belongs to "Organisation structure" as far as the definition of resp. /

account. is concerned


General organisation common requirements for

the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — AMC1

21 -

22 (iv) "….which would not have been otherwise detected" This is a very stringent

formulation. Is the employee to be punished if the circumstance may have been

detected otherwise?

Suggestion: "......which supports the ANSP to improve the safety levels of its

provision"




the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — AMC1


22 (3) the terminology in this subparagraph should be in line with the terminology to be

used in ATM/ANS.OR.A.040. "(Safety) Reviews" have been used until today as the

means to judge whether a change to a functional system is safe for operation.

199 AMC/GM to ANNEX II — General organisation common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT

(ATM/ANS.OR.B) — GM1 ATM/ANS.OR.B.015(a)(3) Management system

24 - 25

FOCA is of the opinion that this GM does not sufficiently support the competent

authorities. FOCA would like to see more specific guidance material on the

procedure and on the implementation requirements for an ANSP in order for the

authorities to be able to monitor their performance. Furthermore, it may be

considered to define a certain set of minimum performance indicators which shall

be applicable throughout the EU system.

200 AMC/GM to ANNEX II — General organisation

common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — AMC1 ATM/ANS.OR.B.015(a)(7)

Management system

26 The NPA cover regulation (ATM/ANS.OR.B.015) (a)(7) is more detailled than the

AMC.

Suggestion: Take existing AMC text as cover regulation text and vice-versa.

Senior management should ensure that appropriate communication processes are

established within the ATM/ANS provider and that communication takes place

regarding the effectiveness of the management system. Maintain appropriate records

regarding the effectiveness of the communication incl. feedback from the personnel.


common requirements for the provision of ATM/ANS

(Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — AMC1 ATM/ANS.OR.B.015(c) Management system

26 - 28

Replace "compliance monitoring should" with "compliance monitoring shall"

(otherwise the compentent authorities do not have the necessary empowerment).


202 AMC/GM to ANNEX II — General organisation common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — GM1

ATM/ANS.OR.B.015(c) Management system

28 - 29

Replace "compliance monitoring should" with "compliance monitoring shall"

(otherwise the compentent authorities do not have the necessary powers).


the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — AMC1 ATM/ANS.OR.B.015(d) Management system

29 The AMC introduces the word "complex" which is not addressed in the cover

regulation in this ATM/ANS.OR.B.015(d). It is not clear what impact the definition of

complex ANS/ATS, etc. has on the size and nature of the management system.

Furthermore, the terminology complex ANSP is only provided in this section but

referred to in earlier section (page 27). In general, the proportionality of the

management system versus the size and complexity of the ANSP shall not be

regulated since this shall be driven by the requirement the ANSP has towards its own

management system.


common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) —

SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — GM1 ATM/ANS.OR.B.015(d) Management system

29 Table 1 ASM/ATFM/ASD/DAT Criteria to be complied with (to be considered as not

complex) - Workforce of 20 or less FTE's for each service or in total?


General organisation common requirements for the provision of ATM/ANS

(Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — GM1 ATM/ANS.OR.B.020

Contracted activities

30 (a - c) shall instead of should. Justification: It is essential that action (a) - (c) are in

the activity plan of the ATM / ANS provider


30 (a) please specify "ensure complinace montioring". How often should that take

place?


common requirements for the provision of ATM/ANS (Part-ATM/ANS.OR) — SUBPART B — MANAGEMENT (ATM/ANS.OR.B) — GM1 ATM/ANS.OR.B.020 Contracted activities

211 AMC/GM to ANNEX III — Specific requirements for the

provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — AMC1 ATS.OR.205 Safety

management system

31 The distinction between complex and non complex ANSP is introduced in the AMC

only.

The intentions of the cover regulation and the AMC seems to be inconsistent.

ATM/ANS.OR.B.015 lit.(d) describes perfectly the intention of EASA, which FOCA

fully supports, i.e. the SMS should be set up proportionate to any provider's

essential organisational parameters (whereof complexity might be one of them).

Defining only two categories in the AMC and focussing on complexity would only be

equal to a "digital" solution not complying with the basic idea.

FOCA suggests not to divide ANSP's into two categories (complex/ non-

complex) with regard to the definition of the SMS.

214 AMC/GM to ANNEX III —

Specific requirements for the provision of air traffic

services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section

2 — Safety of services — AMC1 ATS.OR.205(a)(1)(i) Safety management system

31 -

32 lit. b (5): In FOCA's opinion, this statement is misleading. Here it means that no one

is to blame for reporting something which is not known to the company.

Consequently, this means that someone might be blamed when reporting anything

known to the company, which does not make sense. The primary intention behind

this concept was probably not to blame someone for her/his possible error/violation

reported by herself/himself (except acts based on gross negligence).

NB: On the other hand, the contrary argument is missing. As an employee I would

also appreciate a statement of my company that it will not tolerate any acts or

behaviour which are based on gross negligence according to their definition.

Rephrase sentence as follows:

(5) not to blame someone for a possible error or violation reported by the person

concerned (except acts based on gross negligence).

...or likewise.


32 FOCA supports especially the idea of lit. (b).


provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section

2 — Safety of services — GM1 ATS.OR.205(a)(1)(i)

Safety management system


provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC

SERVICES (ATS.OR) Section 2 — Safety of services —

GM1 ATS.OR.205(a)(1)(ii);(iii);(iv)

32 FOCA does not agree with the statements referrint "to be considered as safety

objectives". Those provisions explain how the ANSP is planning to meet their safety

objectives (to ensure). Only lit.(iv) implicitly defines one major safety objective, e.g.

to minimise its contribution to the risk of an aircraft accident as far as reasonably

practicable.


Specific requirements for the provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC

SERVICES (ATS.OR) Section 2 — Safety of services —

GM3 ATS.OR.205(a)(2) Safety management system

34 Why is "should" used instead of "shall"?. Furthermore we were not able to find the

specific description of the meaning of complexity with regard to ANSP. FOCA would

like to add that "small" doesn't always have to correspond with "not complex".


Specific requirements for the provision of air traffic services (Part-ATS) —

34 What is the reason for the use of "should" (instead of "shall")?


SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — AMC1 ATS.OR.205(a)(3)

Safety management system


Specific requirements for the provision of air traffic services (Part-ATS) —

SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services —

AMC1 ATS.OR.205(a)(3) Safety management system

34 Is there a specific reason why "should" is used (instead of "shall")?

231 AMC/GM to ANNEX III — Specific requirements for the provision of air traffic

services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services —

AMC1 ATS.OR.205(a)(4) Safety management system

34 - 35

lit.(b) refers to risk management, which FOCA supports. But we assume that the

scope is meant as safety risk management only, which is quite a different thing.


services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION

35 - 36

FOCA wonders about focussing only on the (obviously) popular leading and lagging

indicators scheme. Although this might be right, we would expect, that especially in

the GM, safety assurance should be explained a little more "hands on".

This can be explained with the following examples:

1. After setting up a SMS with all components, safety assurance means to ensure,

that people will work accordingly to the SMS. This might look like a simple quality


REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — GM1 ATS.OR.205(c) Safety management system

management task. Actually, internal audit und QMS are possible tools for this step of

safety assurance.

2. If risk management is properly defined, risk controls (perfromance indicators) are

defined and monitored; that means leading and lagging indicators are in place; not

due to safety assurance but based on proper risk management.

To assure application of the whole SMS is one major safety assurance task,

this however this is not mentioned.


Specific requirements for the provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — AMC1 ATS.OR.205(c)(1)(i) Safety management system

37 Although the expression "safety survey" has also been used in the EU/1035,

EU/1034 it not clear to us what the ultimate objective of the survey is. Which

minimum deliverables do fall in the scope of a survey?

The survey description in (c ) only states content requirements which are necessary

to obtain a document with a proper structure. No indication is given on the survey

content or on procedures.

238 AMC/GM to ANNEX III — Specific requirements for the provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — GM1 ATS.OR.205(c)(1)(i) Safety management system

38 Although the expression "safety survey" has also been used in the EU/1035/2011,

EU/1034/2011 it not clear tous what the ultimate objective of the survey is. Which

minimum deliverables do fall in the scope of a survey?

The survey description in (c ) only states content requirements which are necessary

to obtain a document with a proper structure. No indication is given on the survey

content or on procedures.

239 AMC/GM to ANNEX III — Specific requirements for the provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL

ORGANISATION

38 - 39

This is not wrong but it belongs more to risk management than to safety assurance;

depending on how those are defined.

The description in this section is not very helpful. The terminology "functional

system" stems from the EU/1035 and EU/1035 and causes confusion. It is not

entirely clear what a "functional system" consists of in practice or what the


REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — GM1 ATS.OR.205(c)(1)(ii) Safety Management system

philosophy behind the term is. Moreover the Guidance needs also to be included in

the section ATM/ANS.OR.A.040 (changes to functional systems) which is still to be

developped.



REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — AMC1 ATS.OR.205(c)(1)(iii) Safety management system

39 It's obvious at this place that the SMS framework does not consider risk

management as a primary function of an SMS. Otherwise a hazard or risk library

containing information about all functions provided by the ANSP would be listed at

first position.

As already stated previously, safety objectives are in our opinion not a record, but a

target level.


provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL

ORGANISATION REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — AMC1 ATS.OR.205(c)(1)(iv) Safety management system

39 This statement is misleading, because the contrary argument would suggest that all

occurrences reported to the authority must be internally investigated. An ANSP

must investigate any occurrence which is related to the function of its SMS or its

safety performance. Especially ANSP's have to report many occurrences to the

authority, which have little or nothing to do with their performance, i.e. Airspace

Infringements, Level busts, Prolonged loss of communications (PLOC), etc.). Those

occurrences shall be reported by the ANSP but the further investigation lies with

other parties (i.e. authority).

Proposal: "The scope of internal safety investigations does not necessarily

correspond with the scope of occurrences required to be reported to the competent

authority."


provision of air traffic services (Part-ATS) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE

40 The measurement of SMS effectivness is very challenging. Without giving any details

regarding "substandard performance" it leaves an extensive room for interpretation

on what and how to measure effectivness. This leaves the ANSP's and competent

authorities without a standardized pan-european approach (a)-(c ) and every

Member State might have a different understanding on the performance parameters.

Where is the link with the European performance scheme?


PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — AMC1 ATS.OR.205(c)(2) Safety management system

254 AMC/GM to ANNEX III — Specific requirements for the provision of air traffic services (Part-ATS) —

SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE

PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 2 — Safety of services — GM1 ATS.OR.205(d)(2)(3)(4) Safety management system

41 - 42

b.1.ii provides the term "safety critical". There is no definition of this term in the

cover regulation of this NPA. Please provide definition.

Justification: Different interpretations of the term could provoke misunderstandings

between ANSPs and/or competent authorities which can potentially lead to risk

situations.



REQUIREMENTS FOR THE PROVISION OF AIR TRAFFIC SERVICES (ATS.OR) Section 3 — Human factors: principles for the provision of air traffic control (ATC) services — AMC1

ATS.OR.315(b) Responsibilities of providers

of ATC services with regard to problematic use of psychoactive substances by ATCOs

43 - 44

A process shall be established by the ANSP for the detection of such cases. Possibly

the help of medical staff is required to fulfill this task (especially for the testing

process). Personnel and/or medical data shall be kept safe.

300 AMC/GM to ANNEX IV — Specific requirements for the

57 ICAO Annex 3 Chapter 6.3.3 is transposped in the GM. FOCA suggests to include it in

MET.OR.225


provision of meteorological services (Part-MET) — SUBPART A — ADDITIONAL ORGANISATION REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES

(MET.OR) — Section 2 — Specific requirements —

Chapter 2 — Requirements for aerodrome meteorological offices — GM2 MET.OR.225 Aerodrome forecasts —

landing (TREND)

304 AMC/GM to ANNEX IV — Specific requirements for the provision of meteorological services (Part-MET) —

SUBPART A — ADDITIONAL ORGANISATION

REQUIREMENTS FOR THE PROVISION OF METEOROLOGICAL SERVICES (MET.OR) — Section 2 — Specific requirements —

Chapter 2 — Requirements for aerodrome meteorological offices — AMC1 MET.OR.235(b) Warnings and alerts

57 The calculation is correct. 7.5 m/s equal 27 km/h. However, the calculation does not

correspond with ICAO Annex 3 chapter 7.4.3 (30 km/h). Calculation in ICAO Annex

3 is apparently incorrect. Please check with ICAO.

309 AMC/GM to ANNEX XII — Specific Requirements for

ATM/ANS providers regarding personnel training and competence assessment — SUBPART A — TECHNICAL AND ENGINEERING

ELECTRONIC PERSONNEL — Section 1 — Air traffic safety

59 The entity issuing the authorisation should be defined.


electronics personnel (ATSEP) — Chapter 1 — General — GM1 ATSEP.OR.005(b) Scope

310 AMC/GM to ANNEX XII —

Specific Requirements for ATM/ANS providers regarding personnel training and competence assessment —

SUBPART A — TECHNICAL AND ENGINEERING ELECTRONIC PERSONNEL —

Section 1 — Air traffic safety electronics personnel (ATSEP) — Chapter 1 — General — GM1 ATSEP.OR.015(a) Training and competence assessment

programme

60 Has the follow-up training been considered? Maintain the knowledge or ensure

competency when new technology is introduced in the safety related system.


Specific Requirements for ATM/ANS providers regarding personnel training and

competence assessment — SUBPART A — TECHNICAL AND ENGINEERING ELECTRONIC PERSONNEL — Section 1 — Air traffic safety electronics personnel (ATSEP) — Chapter 1 —

General — AMC1 ATSEP.OR.020 Language

proficiency

60 Unclear level or proficiency requirements. The level of language proficency could also

correlate with the safety criticality of the system the ATSEP will need to work with.

315 AMC/GM to ANNEX XII — Specific Requirements for

ATM/ANS providers regarding personnel training and competence assessment —

63 Reference to Appendix 3a to Annex XI is incorrect → Typo


SUBPART A — TECHNICAL AND ENGINEERING ELECTRONIC PERSONNEL — Section 1 — Air traffic safety electronics personnel (ATSEP) — Chapter 2 — Training requirements —

AMC1 ATSEP.OR.110 Qualification training

317 AMC/GM to ANNEX XII — Specific Requirements for ATM/ANS providers regarding

personnel training and competence assessment — SUBPART A — TECHNICAL AND ENGINEERING ELECTRONIC PERSONNEL — Section 1 — Air traffic safety

electronics personnel (ATSEP) — Chapter 2 —

Training requirements — AMC1 ATSEP.OR.110(a) Qualification training

63 Reference to Appendix 4a to Annex XI is wrong → Typo

319 AMC/GM to ANNEX XII — Specific Requirements for ATM/ANS providers regarding personnel training and competence assessment — SUBPART A — TECHNICAL AND ENGINEERING


electronics personnel (ATSEP) — Chapter 2 — Training requirements — GM1 ATSEP.OR.110(a) Qualification training

63 It is unclear if the ANSP can configure the streams itself. Depending on the size and

the service provided, etc the ANSP could combine or add additional streams.


321 AMC/GM to ANNEX XII — Specific Requirements for ATM/ANS providers regarding personnel training and competence assessment — SUBPART A — TECHNICAL AND ENGINEERING


electronics personnel (ATSEP) — Chapter 2 — Training requirements — GM1 ATSEP.OR.115 System

and equipment rating training

66 Please add a definition for rating in this context (at the beginnig of the regulation).


personnel training and competence assessment —

SUBPART A — TECHNICAL AND ENGINEERING ELECTRONIC PERSONNEL — Section 1 — Air traffic safety electronics personnel

(ATSEP) — Chapter 2 — Training requirements — GM1 ATSEP.OR.120 Continuation training

66 It migth be of added value to clearly state in the requirement that the knowledge

should be upgraded and reenforced.


Specific Requirements for ATM/ANS providers regarding

personnel training and competence assessment — SUBPART A — TECHNICAL AND ENGINEERING ELECTRONIC PERSONNEL —

Section 1 — Air traffic safety electronics personnel

67 The ATSEP role does not permit the safe and efficient provision of the service. ATSEP

role is to ensure that the safety related systems work properly in order to provide

safe and efficient ATM/ANS. Please change wording.


(ATSEP) — Chapter 3 — Competence assessment requirements — GM1 ATSEP.OR.125(a) Competence assessment — General


personnel training and competence assessment — SUBPART A — TECHNICAL

AND ENGINEERING ELECTRONIC PERSONNEL — Section 1 — Air traffic safety electronics personnel (ATSEP) — Chapter 3 — Competence assessment

requirements — GM1 ATSEP.OR.130(a)(1)

Assessment of initial and ongoing competence

67 unclear provision

328 APPENDIX 1a to ANNEX XII 69 -

73

AMC1

ATSEP.OR.105(a)(1)

2. SUBJECT 1:

INDUCTION —

TOPIC 1: BASIND

Page 69, in AMC / GM

What if it is not

a national

organisation?

It might be more

appropriate to

leave this open to

any ATM/ANS

organisation

AMC1

ATSEP.OR.105(a)(1)

3. SUBJECT 1:

INDUCTION —

TOPIC 1: BASIND

Page 69 - 70, in AMC /

GM

Unions should

not be mentioned

in an AMC.


AMC1

ATSEP.OR.105(a)(1)

4. SUBJECT 1:

INDUCTION —

TOPIC 1: BASIND


The example for

the key roles are

not the

qualification or

training.

A clear

description of the

role of the

ATSEP within the

ATM/ANS

should be given

with emphasis on

the safety aspect.

AMC1

ATSEP.OR.105(a)(1)

5. SUBJECT 1:

INDUCTION —

TOPIC 1: BASIND


1.5.3: What is

the purpose to

have multiple

bodies?

AMC1

ATSEP.OR.105(a)(1)

8. SUBJECT 1:

INDUCTION —

TOPIC 1: BASIND


This section

should include

the explanation

on what is

quality

management

AMC1

ATSEP.OR.105(a)(1)

10. SUBJECT 1:

INDUCTION —

TOPIC 1: BASIND


Is this means

as the title?

There is no

related AMC

below

Subject 2: AIR

TRAFFIC

FAMILIARISATION


AMC1

ATSEP.OR.105(a)(1)

AMC1

ATSEP.OR.105(a)(1)

2. SUBJECT 2:

AIR TRAFFIC

FAMILIARISATION

— TOPIC 1: BASATF


This section is

appropriate but

the reason to

perform ATC

should be given

as well

332 APPENDIX 2a to ANNEX XII 74 - 90

AMC6

ATSEP.OR.105(a)(2)

11. SUBJECT 6:

NAVIGATION —

TOPIC 1:

BASNAV

Page 81 - 82, in

AMC / GM

Incorrect

terrminology

B-RNAV should

be RNAV-5 and

P-RNAV should

be RNAV-1

AMC6

ATSEP.OR.105(a)(2)

12. SUBJECT 6:

NAVIGATION —

TOPIC 1:

BASNAV

Page 82, in AMC /

GM

Wrong numbering

of AMC

Subject 7:

SURVEILLANCE

AMC7

ATSEP.OR.105(a)(2)

1. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

What about the

precision of the

entire system?

It is important to

be aware of the

precision of the

system. The


Page 82, in AMC /

GM

nominal separation

can differ reality.

AMC7

ATSEP.OR.105(a)(2)

2. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 82, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

3. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 82 - 83, in

AMC / GM

NIL

AMC7

ATSEP.OR.105(a)(2)

4. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 83, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

5. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 83, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

6. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

NIL


Page 83 - 84, in

AMC / GM

AMC7

ATSEP.OR.105(a)(2)

7. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 84, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

8. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 84, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

9. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 84, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

10. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 84, in AMC /

GM

NIL

AMC7

ATSEP.OR.105(a)(2)

11. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

NIL


Page 85, in AMC /

GM

AMC7

ATSEP.OR.105(a)(2)

12. SUBJECT 7:

SURVEILLANCE

— TOPIC 1:

BASSUR

Page 85, in AMC /

GM

NIL

Subject 8: DATA

PROCESSING

AMC8

ATSEP.OR.105(a)(2)

1. SUBJECT 8:

DATA

PROCESSING —

TOPIC 1: BASDAT

Page 85, in AMC /

GM

NIL

AMC8

ATSEP.OR.105(a)(2)

2. SUBJECT 8:

DATA

PROCESSING —

TOPIC 1: BASDAT

Page 85, in AMC /

GM

NIL

AMC8

ATSEP.OR.105(a)(2)

3. SUBJECT 8:

DATA

PROCESSING —

TOPIC 1: BASDAT

Page 86, in AMC /

GM

Is 1.3.5 really about

data processing?


AMC8

ATSEP.OR.105(a)(2)

4. SUBJECT 8:

DATA

PROCESSING —

TOPIC 1: BASDAT

Page 86, in AMC /

GM

NIL

AMC8

ATSEP.OR.105(a)(2)

5. SUBJECT 8:

DATA

PROCESSING —

TOPIC 1: BASDAT

Page 87, in AMC /

GM

NIL

AMC8

ATSEP.OR.105(a)(2)

6. SUBJECT 8:

DATA

PROCESSING —

TOPIC 1: BASDAT

Page 87, in AMC /

GM

Flow managment

tool if any should be

added (traffic

prediction tool)

Requirement for

sectorisation etc...

337 APPENDIX 3a to Annex XII 91 - 98

AMC1

ATSEP.OR.110

1. SUBJECT 1:

SAFETY — TOPIC 1:

SAFETY MANAGEMENT


Missing link to information /

requirements based on new ICAO

Annex 19

AMC1

ATSEP.OR.110

2. SUBJECT 1:

SAFETY — TOPIC 1:

SAFETY MANAGEMENT

Page 91 - 92, in AMC / GM



Annex 19

AMC1

ATSEP.OR.110

3. SUBJECT 1:

SAFETY — TOPIC 1:



Annex 19


SAFETY MANAGEMENT


AMC1

ATSEP.OR.110

4. SUBJECT 1:

SAFETY — TOPIC 1:

SAFETY MANAGEMENT




Annex 19

341 APPENDIX 4a to Annex XII 99 -

184 3. NAVIGATION —

NON-DIRECTIONAL

BEACON (NDB)

The navigation streams of the

qualification training (Appendix

4 to Annex XII) need to be

restructured.

GBAS Stations should

become an independent

stream (like ILS and

MLS)


Subject 1:

SECONDARY

SURVEILLANCE

RADAR (SSR)

Multilateration should become

an independant stream.

The following is missing in the

NPA:

Part of Service: Provision of

data from Multilateration

(MLAT)

Subpart of Service: Wide Area

Multilateration (WAM) &

Local Area Multilateration

(LAM)

Multilateration (MLAT) is a

mature technologie wich is

already in use and some

Mulitlateration in not

necessarily based on SSR

(it can also be solely based

based on ADS-B Out).


implementation projects have

been started.


AMC10

ATSEP.OR.110(a)

3. SUBJECT 1:

SECONDARY

SURVEILLANCE

RADAR (SSR) — TOPIC

3: MULTILATERATION

Multilateration

should become

an independent

stream.

Multilateration is

not necessarily

based on SSR (it

can also be solely

based based on

ADS-B Out).

344 APPENDIX 4a to Annex XII 99 - 184 AMC12

ATSEP.OR.110(a)

7. SUBJECT 4: DATA

PROCESS — TOPIC 1:

SOFTWARE PROCESS

1.4.2 Not clear what is meant

by the 2nd software

development process

AMC12

ATSEP.OR.110(a)

8. SUBJECT 4: DATA

PROCESS — TOPIC 2:

HARDWARE PLATFORM

Should the interoperability

requirements be included in

this subject?

345 APPENDIX 4a to Annex XII 99 -

184 AMC13

ATSEP.OR.110(a)

9. SUBJECT 5: SMC — ANS

STRUCTURE — TOPIC 3: ATM

CONTEXT

AFTCM can be

confused with

ATFCM



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Comment Response Tool - bazl.admin.ch€¦ · EASA Comment Response Tool ... (Implementing Rule) ... 19 Need for harmonisation with ADR.AR.A.25 (horizontal task) 527 ANNEX I -