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CAA Publication 11

Air Traffic Control Services

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Table of Contents

Table of Contents ........................................................................................................... i

Amendment Record ....................................................................................................... iii

Foreword iv

Abbreviations v

1. Management System .................................................................................. 1

1.1 Regulatory Requirements ................................................................................................ 1

1.2 Means of Compliance ...................................................................................................... 1

1.3 Integrated Management Systems ................................................................................... 2

1.4 Change Notification Requirements .................................................................................. 3

1.5 Operational Trials ............................................................................................................ 6

2. Air Traffic Controller and Student Air Traffic Controller Licensing .................... 7

2.1 Overview .......................................................................................................................... 7

2.2 Regulatory Requirements ................................................................................................ 7

2.3 Licence Validations .......................................................................................................... 8

2.4 Fatigue ............................................................................................................................. 9

2.5 Use and Approval of Simulators ...................................................................................... 9

3. ATC Procedures ........................................................................................ 10

3.1 Adopted UK Civil Aviation Publications ......................................................................... 10

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4. Air Traffic Service Equipment ..................................................................... 11

4.1 Regulatory Requirements .............................................................................................. 11

a. Part B, Section 1, APP 02: Maintenance Arrangements; ................................ 11

5. Safety Oversight and Audits ....................................................................... 12

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Amendment Record

Version Date Details

1 December 2019 Initial issue

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Foreword

1. The IOM CAA is the division of the Government's Department for Enterprise that is

responsible for regulating aviation safety and security in the Isle of Man. The IOM

CAA also administers the Isle of Man Aircraft Registry and is responsible for ensuring

aviation legislation in the Isle of Man meets International Civil Aviation Organisation

Standards and Recommended Practices and other relevant European aviation

standards.

2 The Isle of Man has a special relationship with the European Union provided under

Protocol 3 to the UK's Treaty of Accession to the European Community. Under

Protocol 3, the Island is part of the customs territory of the Union; however, other

EU rules do not automatically apply to the Crown Dependencies.

3. This CAA Publication:

identifies relevant legislation and Isle of Man Civil Aviation Administration policy

requirements for the provision of air traffic control service in the Isle of Man;

clarifies the relationship to European Union ATS requirements and the respective

roles of the Isle of Man Civil Aviation Administration and the UK Civil Aviation

Authority;

consolidates and replaces material previously published in:

o CP8 - Air Traffic Control Officer and Student Air Traffic Control Officer

Licensing;

o CP9 - Safety Management System Requirements for Operators of

Licensed Aerodromes and Providers of Air Traffic Management and Air

Navigation Services.

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Abbreviations

ANS Air Navigation Services

ATC Air Traffic Control

ATCO Air Traffic Control Officer

ATM Air Traffic Management

ATSA Air Traffic Service Assistant

EU European Union

FIR Flight Information Region

ICAO International Civil Aviation Organisation

IOM CAA Isle of Man Civil Aviation Administration

SI Supplementary Instructions

SMS Safety Management System

TOI Temporary Operating Instructions

UK CAA United Kingdom Civil Aviation Authority

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1. Management System

1.1 Regulatory Requirements

1.1.1 Article 100 of the Air Navigation (Isle of Man) Order 20151 requires a person in charge of

the provision of an ATC service not to provide such a service for Isle of Man airspace

unless the person has been given and complies with the terms of an ATC approval

granted by the IOM CAA. Such an approval is issued to Isle of Man Airport in respect of

Isle of Man airspace and any airspace outside the Isle of Man for which the Isle of Man

Government has, in pursuance of arrangements made with the UK governments,

undertaken to provide air navigation services. It is under this approval that Isle of Man

Airport’s safe provision of ATC is regulated.

1.1.2 The arrangements made with the UK government referred to in 1.1.1 above are defined

in a formal cooperation agreement on the regulatory oversight of air navigation services

in the UK FIRs2 made between the UK CAA and the IOM CAA. This agreement recognises

that IOM Airport is not a certified air navigation service provider under EU law3 and are

therefore are not certificated to provide ATC services in UK territorial airspace.

Consequently, IOM Airport shall not provide air traffic services within:

a. 12 nm of the UK coastline or, where the distance between the land mass of the

Isle of Man and the UK is less than 24 miles – not beyond the midpoint between

the land masses;

b. any part of the Shannon FIR.

1.2 Means of Compliance

1.2.1 It is the policy of the IOM CAA that holders of an ATC approval issued under Article 100 of

the Air Navigation (Isle of Man) Order 2015 should comply with the following EU and/or

UK CAA requirements.

1 SI 2015/870 as amended by SI 2016/155

2 The UK FIRs consist of the Scottish and London FIRs

3 Or equivalent UK law made to cater for the UK exit from the EU without continued membership of EASA

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a. Regulation (EU) No.1035/20114 subject to the following variations:

i. References to a “Member State” shall be taken as including the Isle of Man

and the Island shall be treated for this purpose as a Member State

separate from the UK.

ii. The ‘competent authority’ for the purposes of Article 3 is the IOM CAA.

iii. References to ‘the certificate’ in Article 4 shall be taken to be the ATC

approval issued under Article 100 of the Air Navigation (Isle of Man) Order

2015 and “certified organisation” to be the holder of the ATS approval.

iv. Article 5 (Derogations) and Article 10 (Peer review procedure) do not

apply.

v. The severity classification definitions specified at Annex II paragraph 3.2.4

are not mandated. If not utilised then the ATC provider should specify their

own severity classification definitions.

vi. Annexes III and IV are not applicable to the provision of an ATC service.

b. CAP 670 (Air Traffic Services Safety Requirements)5:

i. Part B, Section 2, ATC01–ATC 04;

ii. Part D – Human Resources;

1.3 Integrated Management Systems

1.3.1 Where the ATC provision is conducted by an organisation that is also the Aerodrome

Licence holder, it is preferable that there is one integrated management system covering

all regulated functions under the remit of the aerodrome accountable manager/licence

holder. The implementation of a management system in accordance with Regulation (EU)

4 Although Regulation (EU) No 1035/2011 is repealed in EU law on 2 January 2020, it shall continue to be

the policy standard applied by the Isle of Man until further notice. In due course it is anticipated that its replacement (Regulation (EU) 2017/373) shall be adopted.

5 References to ‘the CAA’ shall be taken to mean ‘the IOM CAA’ for the purposes of application in the Isle of Man.

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No 139/20146 (the “EASA Aerodrome Regulation”) is considered by the IOM CAA to be an

acceptable alternative to the requirements specified in Section 3 of Annex II to Regulation

(EU) No.1035/2011 (see paragraph 1.2.1 (a) above).

1.4 Change Notification Requirements

Overview

1.4.1 Regulation (EC) No.1034/2011 establishes the EU requirements to be applied to the

exercise of the safety oversight of air navigation services. It is the policy of the IOM CAA

that the requirements of Article 9 (Safety oversight of changes to functional systems) of

this regulation applies to ATS providers in the Isle of Man7. The means of compliance in

the Isle of Man replicates UK process as set out in the following paragraphs. Changes

related to air traffic controller and student air traffic controller licensing are detailed in

Section 3.

1.4.2 ATC providers must have a documented change management procedure which has been

approved by the IOM CAA. The change management procedure must contain a process

for implementing all changes and assessing the risks associated with changes.

1.4.3 Changes fall into the following categories:

a. Changes that may require review and approval before implementation.

b. Changes that will require prior approval before implementation.

c. Changes that do not require approval before implementation.

d. Changes that do not need notifying to the IOM CAA.

1.4.4 Changes that must be notified to the IOM CAA should be submitted by submitting IOM

CAA Form 2 (Change Notification Form) by e-mail to caa@gov.im. The relevant

documents should accompany the form.

Changes to or that affect the functional system

6 Subpart D – Management, ADR.OR.D.005

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1.4.5 Changes to or that affect the functional system are to be notified and may require review

and prior approval by the IOM CAA before implementation.

1.4.6 The functional system is defined as 'a combination of procedures, human resources and

equipment including hardware and software organised to perform a function within the

context of Air Traffic Management/Air Navigational Services (ATM/ANS) and other ATM

network functions' and can be broken down as follows:

a. changes to the way the components of the functional system are used;

b. changes to equipment, either hardware or software;

c. changes to roles and responsibilities of operational personnel;

d. changes to operating procedures; SI (see more information on SI below);

e. changes to system configuration, excluding changes during maintenance, repair

and alternative operations that are already part of the accepted operational

envelope;

f. changes that are necessary as a result of changing circumstances to the

operational context under the managerial control of the provider that can impact

the service, e.g. provision of service under new conditions;

g. changes that are necessary as a result of changing circumstances to the local

physical (operational) environment of the functional system; and

h. changes to the working hours and/or shift patterns of ATCO and ATSA which could

impact on the safe delivery of services.

1.4.7 The IOM CAA will assess the change from the information provided and decide which of

the following options is applicable:

a. Where a review is not required the IOM CAA will advise the notifier of such.

(Completed within 30 days of the receipt of the notification).

b. Where a review is required the IOM CAA will inform the notifier, (within 30 days),

that the change cannot be implemented until the review is completed and the

change approved.

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c. Where there is insufficient information to allow a review decision to be made the

IOM CAA will ask for further information.

1.4.8 Changes where the risk assessment has indicated a significantly high severity level will

routinely be subject to review.

1.4.9 SIs and the accompanying IOM CAA Form 2 will be assessed by the IOM CAA to decide if

the SI is indicating a type of change to the functional system which is significant enough

to require review and approval. SIs are generally of a minor nature and the majority will

not require review and approval. To allow time for this assessment SIs are not to be

implemented until 30 days after the notification of the change has been submitted to the

IOM CAA. In exceptional circumstances where it may be necessary to implement the SI

before the completion of the 30-day period then contact should be made with the IOM

CAA.

Modifications to the approved change management procedure

1.4.10 Modifications to the approved change management procedure will require prior approval

by the IOM CAA. Modifications will be reviewed and approved or rejected. (Completed

within 30 days of the receipt of the notification).

Modifications that require notification but no approval

1.4.11 The following types of change must be notified to but do not require the prior approval of

the IOM CAA:

a. A change to the service provider's management system and/or safety

management system that does not impact on the functional system or the change

management process.

b. Change of accountable manager and the management personnel in charge of

safety, quality, security, finance and human resources-related functions as

applicable.

Changes that do not need to be notified

1.4.12 The following types of change do not need to be notified to the IOM CAA but shall be

implemented in accordance with local safety assurance procedures:

a. Equipment faults that result in the changing of components that do not affect the

operating parameters.

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b. Changes to maintenance routines, except those that impact on service provision.

c. Equipment modifications/manufacture's upgrades that do not affect the operating

parameters.

d. Document changes, typos, formats etc that do not impact on the content of

management systems, change management systems, training courses or service

provision.

e. TOI (see below).

Temporary Operating Instructions

1.4.13 TOI are produced and implemented as a result of an imposed change that impacts on

normal operations. The purpose of the TOI is to return operations to normal or as near to

normal as possible to alleviate the problem caused by the imposed change and are

therefore not considered to be a change to a functional system. TOIs must be submitted

to the IOM CAA but do not need to be accompanied by an IOM CAA Form 2.

1.5 Operational Trials

1.5.1 The provisions of CAP670 (Air Traffic Services Safety Requirements), GEN 038 are

applicable for the introduction of trials or testing ATS technology or procedures or

practices.

8 References to ‘the CAA’ shall be taken to mean ‘the IOM CAA’ for the purposes of application in the Isle of Man.

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2. Air Traffic Controller and Student Air Traffic Controller Licensing

2.1 Overview

2.1.1 The Isle of Man does not issue its own aviation personnel licences but, in accordance with

ICAO requirements, validates ATCO and student ATCO licences and medical certificates

that are issued by other ICAO States. The Isle of Man Civil Aviation Administration (IOM

CAA) must also ensure compliance with the Island’s own legislative requirements on ATCO

licensing (see below), which includes the requirement that ATCO and student ATCO must

hold an appropriate ATCO or student ATCO licence granted in an EU Member State and

be validated by the Isle of Man CAA.

2.1.2 Holders of EU ATCO and student ATCO licences have their own legal obligations to comply

with relevant EU regulatory requirements, including any additional requirements specified

by the competent authority for the EU license. The UK CAA is the competent authority

with responsibility for the certification and oversight of UK issued EU ATCO and student

licenses. The UK CAA has published CAP1251 - “Air Traffic controllers – Licensing”, which

is a guidance document for ATCOs and ANSPs to assist in guiding them to the relevant

requirements laid down in the EU ATCO Licensing Regulation9. The Isle of Man Airport

Unit Training Plan (UTP) Isle of Man Airport Unit Competency Scheme (UCS) are produced

by Isle of Man Airport to meet UK ATCO and Student ATCO licencing processes. The

primary responsibility for oversight and acceptance approval of these documents rests

with the UK CAA.

2.1.3 The IOM CAA, as the Island’s aviation safety regulator, has a direct interest in being

assured that ATCO and student ATCO licensing is being appropriately delivered.

Consequently, both the IOM CAA and the UK CAA have their own but complimentary

responsibilities and therefore co-operate on ATCO and student licensing matters.

2.2 Regulatory Requirements

2.2.1 Part 19 of the Air Navigation (Isle of Man) Order 2015 provides the Island’s legislative

requirements on ATCO licensing and currently replicates previous UK Air Navigation Order

text which implemented the EU Community ATCO Licence Directive10. This Directive has

since been replaced by the EU ATCO Licensing Regulation which does not require detail to

9 Commission Regulation (EU) 2015/340 10 2006/23/EC

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be implemented in national legislation as the content is directly applicable to EU Member

States.

2.2.2 Holders of EU ATCO and student ATCO licenses issued under the EU ATCO Licensing

Regulation are considered to meet the Isle of Man legislative requirement that ATCO and

student ATCO hold “an appropriate ATCO or student ATCO licence granted in an EU

Member State”. Additionally, IOM CAA Exemption relieves holders of UK issued EU ATCO

and student ATCO licences and medical certificates, air navigation service providers and

approved medical examiners from the following requirements of Part 19 of the Air

Navigation (Isle of Man) Order 2015 as the relevant standards are attained by the licence

holder’s direct compliance with the EU regulation:

Article 111 - Language proficiency: additional requirements.

Article 112 - Language proficiency: ongoing requirements.

Article 113 - Privileges of an air traffic controller’s licence and a student air traffic

controller’s licence.

Article 114 - Maintenance of validity of ratings and endorsements.

Article 115 - Obligation to notify rating ceasing to be valid and change of unit.

Article 116 - Air navigation service provider: maintenance of records.

Article 117 - Requirement for medical certificate.

Article 118 - Incapacity of air traffic controllers.

2.2.3 As per current UK legislative requirements, the following Articles (remain extant:

Article 107 - Prohibition of unlicensed air traffic controllers.

Article 108 - Prohibition of unlicensed student air traffic controllers.

Article 109 - Acting as an air traffic controller: exceptions.

Article 110 - Acting as an air traffic controller and a student air traffic controller.

Article 119 - Fatigue of air traffic controllers.

Article 120 - Acting under the influence of psychoactive substances or medicines.

Article 121 - Failing exams, assessments or tests.

Article 122 - Validation of air traffic controller’s licences (note: no UK equivalent).

Article 123 - Definitions relevant to this Part and Schedule.

2.3 Licence Validations

2.3.1 Article 122 of the Air Navigation (Isle of Man) Order 2015 specifies the process for the

application for and issuance of validations of ATCO and student ATCO licences. However,

in the interests of reducing unnecessary bureaucracy, IOM CAA Exemption relieves

holders of UK issued EU ATCO and student ATCO licences and medical certificates from

this requirement. Therefore, for the purposes of Article 144 of the Air Navigation (Isle of

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Man) Order 2015 (see below), such licences and medical certificates are automatically

rendered as being validated without the need for the IOM CAA to issue a certificate of

validation.

2.3.2 Article 144 provides the IOM CAA powers relating to the revocation, suspension and

variation of certificates, licences and other documents. Consequently, the IOM CAA may,

in exceptional circumstances, direct that a licence is no longer automatically rendered

valid under the exemption. However, it is expected that license procedures resultant from

ATCO and ATC unit compliance with CAP 49311 and the EU ATCO Licensing Regulation

would be applied in the first instance and negate the need to exercise the powers of

Article 144.

2.4 Fatigue

2.4.1 The Scheme for Regulation of Air Traffic Controllers’ Hours as specified in CAP670 (Air

Traffic Services Safety Requirements) Part D is to be applied in the Isle of Man12.

2.5 Use and Approval of Simulators

2.5.1 In accordance with UK legislation, the IOM CAA expects that no part of any examination,

assessment or test undertaken for the purposes of the EU ATCO Licensing Regulation may

be undertaken in a simulator unless that simulator has been approved by the UK CAA as

being fit for its intended purpose.

2.6 Changes and Licensing Oversight

2.6.1 As the licensing authority for UK issued ATCO and student ATCO licences, the UK CAA

specifies the types of changes to training provided that require their prior approval and the

requirement to be notified of changes of the accountable manager and/or head of the

training organisation types.

2.6.2 During safety audits conducted by the UK CAA on behalf of the IOM CAA (see Section 5),

the UK CAA may also fulfil their own obligations for oversight as the competent authority

for UK issued EU ATCO and student licenses.

11 Manual of Air Traffic Services – Part 1

12 References to ‘the CAA’ shall be taken to mean ‘the IOM CAA’ for the purposes of application in the Isle of Man.

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3. ATC Procedures

3.1 Adopted UK Civil Aviation Publications

3.1.1 It is the policy of the IOM CAA that UK ATC procedures are to be followed in the Isle of

Man. Consequently, the following UK Civil Aviation Publications are adopted:

a. CAP 413 – Radiotelephony Manual;

b. CAP 493 – Manual of Air Traffic Services Part 1;

c. CAP 717 – Radar Control – Collision Avoidance Concepts;

d. CAP 745 – Aircraft Emergencies – Considerations for Air Traffic Controllers;

e. CAP 774 – UK Flight Information Services.

3.1.2 References to ‘the CAA’ in the above publications shall be taken to mean ‘the IOM CAA’

for the purposes of application in the Isle of Man.

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4. Air Traffic Service Equipment

4.1 Regulatory Requirements

4.1.1 Article 124 of the Air Navigation (Isle of Man) Order 2015 requires that a person must not

cause or permit air traffic service equipment to be established or used in the Isle of Man

except under and in accordance with an approval granted by the IOM CAA.

4.1.2 Article 125 of the Air Navigation (Isle of Man) Order 2015 details the air traffic equipment

records that the person in charge of such equipment must maintain and preserve.

4.2 Means of Compliance

4.2.1 It is the policy of the IOM CAA that UK ATC procedures are followed in the Isle of Man.

Consequently, the following content from UK Civil Aviation Publications CAP 670 (Air

Traffic Services Safety Requirements) is applicable:

a. Part B, Section 1, APP 02: Maintenance Arrangements;

b. Part B, Section 3, SW01: Regulatory Objectives for Software Safety Assurance in

ATS Equipment;

c. Part B, Section 4: GEN 01: Wind Turbines;

d. Part B, Section 4: GEN 02: Technical Safeguarding of Aeronautical Radio Stations

Situated at UK Aerodromes: Guidance Material;

e. Part B, Section 4: GEN 04: Malicious Software Issues with External Storage

Devices;

f. Part B, Section 4: GEN 05: Remote Access to Operational Systems Introduction;

g. Part C, Section 1: COM;

h. Part C, Section 2: NAV;

i. Part C, Section 3: SUR;

j. Part C, Section 4: MET;

k. Part C, Section 5: Information and Alerting Systems.

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4.2.2 References to ‘the CAA’ in the above publications shall be taken to mean ‘the IOM CAA’

for the purposes of application in the Isle of Man.

5. Safety Oversight and Audits

5.1 The IOM CAA has a direct responsibility for the oversight of ATC providers in the Isle of

Man. Day to day surveillance, advice and guidance by the IOM CAA is supplemented by a

formalised safety audit programme with audits taking place every 1-2 years on a risk and

performance based schedule. These formal audits are conducted by the UK CAA on behalf

of the IOM CAA under a contract with CAA International (CAAi).