Subpart C - Approval Requirements

172.51 Organisation exposition

(a) An applicant for the grant of an air traffic control service approval shall provide the Governor with an acceptable exposition containing:

(1) a statement signed by the Accountable Manager on behalf of the applicant’s organisation confirming that the exposition and the appropriate Manual of Air Traffic Services:

(i) define the organisation and demonstrate its means and methods for ensuring safe air traffic control services are provided to aircraft and continuing compliance with this and any other applicable Part; and

(ii) are required to be complied with by its personnel at all times; and

(2) the titles and names of the senior person or persons required by paragraph 172.59(a)(1) and (2); and

(3) the duties and responsibilities of the senior person or persons specified in paragraph 172.51(a)(2), including matters for which they have responsibility to deal directly with the Governor on behalf of the organisation; and

(4) an organisation chart showing lines of responsibility of the senior persons specified in paragraph 172.51(a)(2), and extending to each location listed under paragraph 172.51(a)(5); and

(5) the location of the ATS unit, airspace or aerodrome being served and the services provided; and

(6) details of the applicant’s staffing structure for each ATS unit; and

(7) details of procedures required by 172.59 and 172.61 regarding the competency, qualifications, maintenance of current operating practice and fitness of personnel; and

(8) details of procedures required by paragraph 172.61 regarding the qualifications of ATS training personnel, the Unit Training Plan and assessment of ATS personnel; and

(9) details of the systems, procedures, and programmes required by paragraph 172.57 regarding the safety management system; and

(10) details of the maximum number of hours to be worked by ATS staff required by paragraph 172.117; and

(11) procedures to control, amend and distribute the exposition.

(b) The holder of an air traffic control service approval shall:

(1) hold at least one complete, current copy of its exposition at each ATS unit listed in its exposition, except that parts relating solely to a particular place need only be held at principal locations and the place concerned; and

(2) comply with all procedures and standards detailed in its exposition; and

(3) make each applicable part of its exposition available to personnel who require those parts to carry out their duties; and

(4) meet the standards and comply with the requirements of Subparts C, D and E prescribed for approval under this Part; and

(5) A process to identify and acceptably mitigate any deficiencies in the requirements that might not be under their control; and

(6) notify the Governor promptly of any change of address for service, telephone number or facsimile number.

172.53 Changes to approval holder’s organisation

(a) The holder of an air traffic control service approval shall ensure that its exposition is amended so as to remain a current description of the holder’s organisation and services.

(b) The approval holder shall ensure that any amendments made to the holder’s exposition:

(1) meet the applicable requirements of this Part; and

(2) comply with the amendment procedures contained in the holder’s exposition.

(c) Subject to paragraph 172.53(d), the approval holder shall provide the Governor with a copy of each amendment to the holder’s exposition as soon as practicable after its incorporation into the exposition:

(1) for printed amendments, at least 15 working days in advance of their effective date; or

(2) for amendments of an urgent or immediate nature, without delay, and no later than the date on which they are effective.

(d) Where an approval holder proposes to make a change to any of the following, prior notification to and acceptance by the Governor is required:

(1) the Accountable Manager; or

(2) the listed senior persons; or

(3) any aspect of air traffic management that may have an adverse effect on air traffic control services provided by agencies responsible for adjacent airspace.

(e) The Governor may prescribe conditions under which an approval holder may operate during or following any of the changes specified in this paragraph and the approval holder shall comply with those conditions.

(f) Where any of the changes referred to in this paragraph require an amendment to the approval, the approval holder shall forward the approval certificate to the Governor as soon as practicable.

(g) The approval holder shall make such amendments to the holder’s exposition as the Governor may consider necessary in the interests of aviation safety.

172.55 Manual of Air Traffic Services

(a) An applicant for the grant of an air traffic control service approval shall provide, for compliance by its personnel, a Manual of Air Traffic Services for the services listed in its exposition.

(b) An applicant for the grant of an air traffic control service approval which includes air traffic control service or services from more than one location shall provide a Manual specific to each location.

(c) The Manual shall describe the operational procedures of that ATS unit which shall comply with ICAO Annex 11 and ICAO Doc 4444 and shall include:

(1) the information required by paragraph 172.67 regarding hours of service, the establishment of an air traffic control service and any transitional arrangements; and

(2) details of the procedures required by paragraph 172.103 regarding the control of documentation; and

(3) details of the systems and procedures required by paragraph 172.105 regarding general information requirements; and

(4) details of the procedures required by paragraph 172.107 regarding the notification of facility status; and

(5) details of the systems and procedures required by paragraph 172.109 regarding meteorological information and reporting; and

(6) details of altimeter setting procedures required by paragraph 172.111; and

(7) details of the procedures required by paragraph 172.113 regarding the keeping of logbooks; and

(8) procedures regarding shift administration required by paragraph 172.115; and

(9) procedures required by paragraph 172.117 to mitigate the effects of fatigue; and

(10) details of the procedures required by paragraph 172.119 regarding responsibility for control; and

(11) details of the systems and procedures required by paragraph 172.121 regarding co-ordination requirements; and

(12) the contingency plans required by paragraph 172.123; and

(13) details of the procedures regarding incidents and accidents required by paragraph 172.125; and

(14) details of systems and procedures required by paragraph 172.127 regarding the retention and management of records; and

(15) details of the procedures required by paragraph 172.129 regarding disruptions to service; and

(16) details of the procedures for issuing ATC clearances and obtaining a correct read- back of clearances and safety-related information; and

(17) details of systems and procedures regarding the provision of approach control services, where applicable; and

(18) details of systems and procedures regarding the provision of aerodrome control service, where applicable; and

(19) details of the procedures regarding the application of priorities; and

(20) details of the procedures regarding flow control; and

(21) details of systems and procedures regarding the provision of flight information service; and

(22) details of systems and procedures regarding the provision of aerodrome flight information service; and

(23) details of systems and procedures regarding the provision of alerting service; and

(24) details of the procedures regarding the processing of flight plans; and

(25) details of the procedures regarding time system and accuracy in the provision of ATS; and

(26) details of the radio and telephone procedures; and

(27) details of the procedures regarding the provision of surveillance services, where applicable; and

(28) details of the categories regarding aircraft emergencies in accordance with Appendix A; and

(29) details of the arrangements in place for provision of AIS to the unit; and

(30) details of the systems and procedures governing ATIS broadcasts; and

(31) details of the procedures regarding the reporting of suspected infringements of legislation.

(d) The Manual shall be kept up to date and amendments to the Manual shall be forwarded to the Governor:

(1) at least 15 working days in advance of their effective date; or

(2) in the case of amendments of an urgent or immediate nature, without delay, and no later than the date on which they are effective.

172.56 Human factors

An applicant for the grant of an air traffic control service approval shall ensure that Human Factors (HF) aspects are taken into account in the provision of ATS. Areas to be considered include organisational issues, safety management concepts and learning from incident data.

172.57 Safety management system

(a) An applicant for the grant of an air traffic control service approval shall establish a safety management system, compliant with Annex 19, appropriate to the size and complexity of the operation, for the proactive management of safety, that integrates the management of operations and technical systems with financial and human resource management, and that reflects quality assurance principles.

(b) The safety management system shall include policy and objectives for continuous improvement to the organisation’s overall safety performance.

(c) The safety management system shall clearly define lines of safety accountability throughout the operator's organisation, including a direct accountability for safety on the part of senior management.

(d) The safety management system shall include, as a minimum, the following:

(1) processes to identify actual and potential safety hazards and assess the associated risks; and

(2) processes to develop and implement remedial action necessary to maintain agreed safety performance; and

(3) provision for continuous monitoring and regular assessment of the safety performance; and

(4) recurring processes for continuous improvement of the performance of the safety management system; and

(5) quality assurance processes to:

(i) identify applicable requirements, regulations and standards and demonstrate compliance with them; and

(ii) ensure technical manuals, checklists and other documentation are appropriately maintained and incorporate the latest amendments; and

(iii) ensure that training programmes maintain staff proficiency and competency.

(e) The safety management system shall be described in relevant documentation, and shall be acceptable to the Governor.

(f) Before introducing any change to an ATS system which may have safety implications, the approval holder shall:

(1) consult users as far as practicable about the intended change; and

(2) demonstrate that an acceptable level of safety will be achieved as a result of the intended change, taking into account any associated effects of the change.

(g) In relation to any change referred to in paragraph 172.57(f), and notwithstanding any actions under paragraph 172.57(d), the holder of an air traffic control service approval shall ensure that adequate provision is made for monitoring after implementation to verify whether or not the expected levels of safety are being met.

(h) The safety management system shall be integrated with that of the aerodrome certificate holder.

172.59 Personnel requirements

(a) An applicant for the grant of an air traffic control service approval shall nominate:

(1) a senior person identified as the Accountable Manager who has the authority within the applicant’s organisation to ensure that each air traffic control service listed in its exposition:

(i) provides a safe service to aircraft; and

(ii) can be adequately financed and resourced; and

(iii) is provided in accordance with the requirements prescribed by this Part.

(2) a senior person or persons who are responsible for ensuring that the applicant’s organisation provides a safe service to aircraft and complies with the requirements of this Part. Such nominated person or persons shall be ultimately responsible to the Accountable Manager; and

(3) sufficient personnel to manage, support and provide safe air traffic control services and any associated training or assessment listed in the applicant’s exposition.

(b) The applicant shall establish procedures to:

(1) ensure that those personnel who provide the air traffic control services hold appropriate current licences and ratings issued under OTAR Part 65 and in particular that:

(i) personnel giving instruction in an operational environment hold an appropriate current ATS instructor rating; and

(ii) personnel carrying out assessment for the issue of licences or the issue or validation of ratings, hold an appropriate current ATC instructor or examiner rating issued under OTAR Part 65.

(2) facilitate, for validated air traffic control service licence holders, compliance with the recent experience requirements of OTAR Part 65; and

(3) ensure that licence holders do not exercise the privileges of the licence:

(i) unless they are familiar with all relevant and current information; and

(ii) unless they comply with any endorsements on their medical certificates; or

(iii) while under the influence of any psychoactive substance; or

(iv) when any decrease in their medical fitness might render them unable safely to exercise the licence privileges.

(4) ensure that any incidence of a OTAR Part 65 licence holder reporting for or being on duty while suspected of being under the influence of any psychoactive substance results in immediate suspension from duty and the submission without delay of a report of the details of the case to the Governor.

172.61 Training, assessment and competence

(a) An applicant for the grant of an air traffic control service approval shall establish training programmes and procedures to assess and ensure the initial and continuing competence of staff in aspects of their role(s).

(b) The programmes and procedures in paragraph 172.61(a) shall ensure that operational personnel are trained, given regular recurrent training in normal and emergency procedures and are assessed on such.

(c) The management system shall include processes to ensure that prompt action is taken to minimise risk when there is definite evidence that the controller’s competence has deteriorated below the required standard.

172.63 Facility requirements

(a) An applicant for the grant of an air traffic control service approval shall establish suitable facilities, including training and assessment facilities, appropriate to the air traffic control services listed in the applicant’s exposition.

(b) An applicant for approval of an aerodrome control service shall establish procedures to ensure that the aerodrome control tower is:

(1) constructed and situated to provide a suitable environment which gives:

(i) unrestricted visibility of all runways, taxiways and aprons; and

(ii) the maximum practicable visibility of traffic flying in the vicinity of the aerodrome; and

(iii) protection from glare and reflection; and

(iv) protection from noise and extremes of temperature.

(2) safeguarded from any development that would affect the requirements of paragraph 172.63(b)(1); and

(3) at solo watch locations, provided with amenities that ensure the minimum possible interruption to, or degradation of, air traffic control services; and

(4) provided with equipment for two-way voice communication with:

(i) aircraft in or adjacent to airspace for which the applicant has responsibility; and

(ii) aircraft, vehicles and persons, on or adjacent to the manoeuvring area; and

(5) provided with the following minimum equipment, appropriately located:

(i) a display system or systems designed to show the disposition of current and pending aerodrome traffic together with ancillary information for individual aircraft; and

(ii) appropriate power supplies; and

(iii) appropriate and current maps and charts; and

(iv) binoculars; and

(v) a clock displaying UTC in hours and minutes; and

(vi) a logbook; and

(vii) an outside temperature indicator; and

(viii) a display of the appropriate pressure settings; and

(ix) a signal lamp capable of showing green, red and white directed beams; and

(x) telephone communications; and

(xi) status monitors for any approach and landing aids and any road signalling equipment affecting the use of a runway; and

(xii) visibility checkpoints; and

(xiii) voice and, where applicable, data recording equipment; and

(xiv) wind direction and speed display compliant with OTAR Part 174, Meteorological Service for Aviation; and

(xv) an audible alarm to alert the emergency services; and

(xvi) an AFTN or appropriate acceptable terminal or, where provided for in a written agreement with another agency, an alternative means of reception and transmission of information; and

(xvii) if applicable, airfield lighting controls and indication panel.

(c) An applicant for an approval which includes an approach control service shall establish procedures to ensure that approach control offices are provided with:

(1) equipment enabling to the fullest extent practical, two-way voice communication; and

(2) the following minimum equipment, appropriately located:

(i) a display system or systems designed to show the disposition of current and pending flights together with ancillary information for individual aircraft; and

(ii) appropriate power supplies; and

(iii) appropriate and current maps and charts; and

(iv) a clock; and

(v) a logbook; and

(vi) a display of the appropriate pressure settings; and

(vii) status monitors as appropriate for navigation, approach, and landing aids; and

(viii) telephone communications; and

(ix) voice recording equipment and, where applicable, data recording equipment; and

(x) an AFTN or appropriate acceptable terminal or, where provided for in a written agreement with another agency, an alternative means of reception and transmission of information normally conveyed by AFTN; and

(xi) for approach control operating positions for an aerodrome at which ILS is installed, an ILS status monitor at the approach control or approach control surveillance operating position for that aerodrome; and

(xii) a wind direction and speed display fed from the same source as the corresponding equipment in the aerodrome control operating position.

(d) At units where approach control and aerodrome control are performed only as a combined function at a single operating position, the facilities required in paragraphs 172.63(b) and (c) need not be duplicated solely as a consequence of appearing in both paragraphs.

(e) The applicant shall establish procedures to ensure that the aeronautical telecommunications equipment required by paragraphs 172.63(b) and (c) are installed, commissioned, operated and maintained in accordance with the requirements of OTAR Part 171, Aeronautical Telecommunications Services.

(f) The applicant shall establish procedures to ensure that visual display units used by air traffic control services are positioned with due regard to the relative importance of the information displayed and ease of use by the staff concerned.

(g) The equipment required by paragraphs 172.63(b)(4) and (5), and (c)(1) and (2), shall have a level of reliability as required by OTAR Part 171.

(h) The applicant shall establish procedures to ensure that the status monitors required by paragraph 172.63(b)(5)(xi) and paragraphs 172.63(c)(2)(vii) and (xi) are fitted with:

(1) an audible signal to indicate a change of status; and

(2) a visual indication of the current status.

172.65 Security

(a) An applicant for the grant of an air traffic control service approval shall establish a security programme which shall specify the physical security requirements, practices and procedures to be followed to minimise the risk of destruction of, damage to, or interference with the operation of the ATS unit where such destruction, damage or interference is likely to endanger the safety of aircraft.

(b) The security programme shall comply with the requirements of OTAR Part 178 and shall include and specify such physical security requirements, practices and procedures that may be necessary:

(1) to ensure that access to permanent ATS facilities operated by the applicant are subject to control to prevent unauthorised entry; and

(2) to protect personnel on duty; and

(3) to be followed in the event of a bomb threat or other threat of violence against an ATS unit; and

(4) to monitor unattended ATS unit buildings to ensure that any intrusion or interference is detected.

172.67 Establishment or transfer of service

(a) An applicant for the grant of an air traffic control service approval shall include with the application:

(1) for each aerodrome and airspace, a schedule of the proposed hours of service; and

(2) in respect of an aerodrome or airspace not currently provided with an air traffic control service, a summary of safety factors considered before seeking approval.

(b) An applicant for the grant of an air traffic control service approval intending to assume responsibility for providing any air traffic control service from an existing approval holder shall include with its application full details of transitional arrangements endorsed by the Accountable Managers of both organisations.

172.69 Withdrawal or transfer of service

(a) The holder of an air traffic control service approval who wishes permanently to withdraw an air traffic control service shall give the Governor at least 90 days notice of the proposal and include in that notice a summary of factors considered in arriving at the decision to withdraw the service.

(b) The holder of an air traffic control service approval who intends permanently to reduce the hours of operation of an air traffic control service shall provide to the Governor advance notice of, and the reasons for, the proposed reduction.

(c) The holder of an air traffic control service approval who is the outgoing provider of an air traffic control service shall provide all relevant operations manuals to ensure the continuing safe operation and necessary assistance in the preparation and execution of the transitional arrangements required by paragraph 172.67.


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