ATM/ANS.AR.B.001 Management system

QUALIFIED PERSONNEL The competent authority should:

(a)define and document the education, training, technical and operational knowledge, experience and qualifications relevant to the duties of each position involved in oversight activities within their structure;

(b)ensure specific training for those involved in oversight activities within their structure; and

(c)ensure that personnel designated to conduct safety regulatory audits, including auditing personnel from qualified entities, meet specific qualification criteria defined by the competent authority. The criteria should address:

(1)the knowledge and understanding of the requirements related to the services provision in ATM/ANS and other ATM network functions against which safety regulatory audits may be performed;

(2)the use of assessment techniques;

(3)the skills required for managing an audit; and

(4)the demonstration of competence of auditors through evaluation or other acceptable means.

TRAINING PROGRAMME AND RECURRENT TRAINING

(a)The competent authority should establish a training programme for its personnel, including its inspectors for the oversight of services provision in ATM/ANS and other ATM network functions, and a plan for its implementation. The training programme should include, as appropriate to the role, current knowledge, experience and skills of the personnel, at least the following:

(1)organisation and structure of the aviation legislation;

(2)the Chicago Convention, relevant ICAO annexes and documents, the applicable requirements of Regulation (EC) No 216/2008, its IRs, as well as Regulations (EC) Nos 549/2004, 550/2004, 551/2004, and 552/2004 and their IRs and related acceptable means of compliance (AMC), certification specifications (CSs) and guidance material (GM), as well as assessment methodology of the alternative means of compliance and the applicable national legislation;

(3)the applicable requirements and procedures; and

(4)areas of particular interest.

(b)The training programme and the training plan should be updated, as needed, to reflect at least changes in aviation legislation and industry. The training programme should also cover specific needs of the personnel and the competent authority.

(c)The competent authority should ensure that its personnel, including its inspectors for the oversight of services provision in ATM/ANS and other ATM network functions, undergo recurrent training at regular intervals as defined by the competent authority or whenever deemed necessary in order to keep being up to date.

SUFFICIENT PERSONNEL

(a)This guidance material for the determination of the required personnel is limited to the performance of certification and oversight tasks, excluding personnel required to perform tasks subject to any national regulatory requirements.

(b)The elements to be considered when determining required personnel and planning their availability may be divided into quantitative and qualitative:

(1)Quantitative elements:

(i)number of initial certificates to be issued;

(ii)number of service providers certified by the competent authority; and

(iii)number of flight information services providers having declared their activity to the competent authority.

(2)Qualitative elements:

(i)size, nature, and complexity of activities of service providers (cf. AMC1 ATM/ANS.OR.B.005(e));

(ii)results of past oversight activities, including audits, inspections and reviews, in terms of risks and regulatory compliance:

(A)number and level of findings; and

(B)implementation of corrective actions; and

(iii)size of the Member State’s aviation industry and potential growth of activities in the field of civil aviation, which may be an indication of the number of new applications and changes to existing certificates to be expected.

(c)Based on existing data from previous oversight planning cycles and taking into account the situation within the Member State’s aviation industry, the competent authority may estimate:

(1)the standard working time required for processing applications for new certificates;

(2)the standard working time required for processing declarations;

(3)the number of new declarations or changed declarations;

(4)the number of new certificates to be issued for each planning period; and

(5)the number of changes to existing certificates and changes to functional systems to be processed for each planning period.

(d)In line with the competent authority’s oversight policy, the following planning data should be determined specifically for each service provider, certified or declared, as well as for the Network Manager:

(1)standard number of audits/inspections to be performed per oversight planning cycle;

(2)standard duration of each audit/inspection;

(3)standard working time for audit/inspection preparation, on-site audit/inspection, reporting and follow-up per inspector for the oversight of services provision and other ATM network functions; and

(4)minimum number and required qualification of inspectors for the oversight of services provision and other ATM network functions for each audit/inspection.

(e)Standard working time could be expressed either in working hours or in working days per inspector for the oversight of services provision and other ATM network functions. All planning calculations should then be based on the same unit (hours or working days).

(f)For each service provider, the number of working hours/days per planning period for each qualified inspector for the oversight of services provision and other ATM network functions that may be allocated for certification, oversight and enforcement activities should be determined taking into account:

(1)purely administrative tasks not directly related to oversight and certification;

(2)training;

(3)participation in other projects;

(4)planned absence; and

(5)the need to include a reserve for unplanned tasks or unforeseeable events.

(g)The determination of working time available for certification, oversight and enforcement activities should also take into account the possible use of third parties.

COMPLIANCE MONITORING PROCESS The formal process to monitor the compliance of the management system with the relevant requirements, and the adequacy of the procedures should:

(a)include a feedback system of audit findings to ensure implementation of corrective actions as necessary; and

(b)be the responsibility of a person or group of persons who should be responsible to the senior management of the competent authority and who perform(s) compliance monitoring activities with functional independence from the units/departments (s)he (they) oversees (oversee) and with direct access to the senior management of the competent authority and to appropriate management for safety matters.