Air Traffic Controllers – Licensing and Training

Air Traffic Management

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Air Traffic Controllers – Licensing and Training

CAP 2331

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Published by the Civil Aviation Authority, 2024

Civil Aviation Authority,

Aviation House,

Gatwick Airport South,

West Sussex,

RH6 0YR.

You can copy and use this text but please ensure you always use the most up to date version and

use it in context so as not to be misleading, and credit the CAA.

First published 23 January 2024 (effective 23 July 2024)

Enquiries regarding the content of this publication should be addressed to: ATS.Enquiries@caa.co.uk

Airspace, ATM and Aerodromes (AAA), Safety and Airspace Regulation Group, Civil Aviation

Authority, Aviation House, Gatwick Airport South, West Sussex, RH6 0YR.

The latest version of this document is available in electronic format at www.caa.co.uk/CAP2331

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Contents

Contents .............................................................................................................. 1

The Regulatory Framework ................................................................................. 7

Introduction .................................................................................................. 7

Regulatory References ................................................................................. 7

Supplementary Amendments ....................................................................... 8

Definitions ........................................................................................................... 9

Abbreviations .................................................................................................... 14

Chapter 1 ................................................................................................................. 15

Introduction to air traffic controller licensing, training and certification .............. 15

Subject matter and scope ........................................................................... 15

Chapter 2 ................................................................................................................. 17

Air traffic controller licensing ............................................................................. 17

Student air traffic controller ........................................................................ 17

Air traffic controller licence ......................................................................... 18

Ratings and rating endorsements .............................................................. 19

Rating endorsements ................................................................................. 19

Licensing requirements ..................................................................................... 19

CAA Licence administration ....................................................................... 20

Unit endorsements (UE’s) .......................................................................... 22

Surveillance systems degradation .............................................................. 23

Unit Endorsement Administration ............................................................... 23

Disclosure of information ............................................................................ 25

Application forms and fees ......................................................................... 26

Licence recognition ........................................................................................... 27

EU/EEA licence holders ............................................................................. 27

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Applications for the recognition of an air traffic controller licence obtained in

any State other than the UK. ...................................................................... 27

Application for the reissue of a UK licence having converted to another

State licence ............................................................................................... 27

Revocation and suspension of licences, ratings and endorsements ................. 28

Provisional suspension ............................................................................... 28

Suspension ................................................................................................ 30

Revocation ................................................................................................. 31

Role and responsibility of the ANSP........................................................... 32

Chapter 3 ................................................................................................................. 33

Certification of ATC Training Organisations (TO) and Initial Training

Organisations (ITO) ........................................................................................... 33

Air traffic controller training ......................................................................... 33

Certification of all training organisations ..................................................... 33

Training organisation application ................................................................ 34

Specific requirements for initial training courses ........................................ 36

Approval of initial training courses and the initial training plan ................... 37

Continued compliance for TO/ITO .............................................................. 38

Oversight audit process .............................................................................. 39

Chapter 4 ................................................................................................................. 42

Training and Assessment Personnel ................................................................. 42

Instructors .................................................................................................. 42

Theoretical instructors ................................................................................ 42

Practical instructors .................................................................................... 42

Assessors ................................................................................................... 48

Board Chair ................................................................................................ 52

Temporary assessor authorisation ............................................................. 55

Theoretical examiner .................................................................................. 56

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Summative report writer ............................................................................. 56

STD input staff ........................................................................................... 57

Chapter 5 ................................................................................................................. 58

Conduct of Training Courses ............................................................................. 58

Course compliance ..................................................................................... 58

Course administration ................................................................................ 59

Course objectives ....................................................................................... 59

Chapter 6 ................................................................................................................. 60

Assessments and Examinations for TO/ITO ..................................................... 60

Assessment and examination method for approval .................................... 60

Assessment and examination processes ................................................... 61

Assessment reports .................................................................................... 65

TO/ITO Examination processes ................................................................. 65

OJTI/STDI and assessor refresher training verification .............................. 65

Appeals ...................................................................................................... 66

Chapter 7 ................................................................................................................. 68

Medical Requirements ....................................................................................... 68

Medical fitness ........................................................................................... 68

Medical certification .................................................................................... 68

Decrease in medical fitness ....................................................................... 69

Use of psychoactive substances ................................................................ 70

Medical examinations ................................................................................. 71

Medication - Guidance for air traffic controllers .......................................... 72

Online medical system - CELLMA .............................................................. 72

Chapter 8 ................................................................................................................. 73

English Language Proficiency Assessment for Controllers ............................... 73

General ...................................................................................................... 73

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Requirements for language assessment bodies (LAB) .............................. 73

Requirements for training of LPAs ............................................................. 74

Process for initial ELP assessment ............................................................ 74

Assessment standardisation ...................................................................... 75

Assessment validity, relevance and reliability ............................................ 76

Records and documentation ...................................................................... 78

Continued proficiency ................................................................................. 78

Chapter 9 ................................................................................................................. 79

Assessment of Previous Competence (APC) .................................................... 79

Requirement ............................................................................................... 79

APC Administration .................................................................................... 80

Conduct of an APC..................................................................................... 80

Chapter 10 ............................................................................................................... 83

Unit Training ...................................................................................................... 83

General administrative procedures ............................................................ 83

Reviewing and amending the UTP and UECs ............................................ 84

Development of UTP and UECs ........................................................................ 84

Phases of unit training ................................................................................ 84

Unit endorsement course development ...................................................... 86

UEC - Objectives for different phases of training ....................................... 87

Training reports .......................................................................................... 88

Assessments during UEC .......................................................................... 89

ABES assessments during a UEC ............................................................. 89

Personnel used in a locally defined and CAA approved system of testing ........ 90

Chapter 11 ............................................................................................................... 91

Adapted UECs .................................................................................................. 91

General ...................................................................................................... 91

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Adapted UEC – national requirements ....................................................... 91

Chapter 12 ............................................................................................................... 93

Continuation Training ........................................................................................ 93

Continuation training requirements for air traffic controllers ....................... 93

Refresher training ....................................................................................... 93

Conversion training ........................................................................................... 95

Chapter 13 ............................................................................................................... 96

Additional air traffic controllers training .............................................................. 96

OJTI/STDI and assessor endorsements .................................................... 96

Other training courses ................................................................................ 97

Refresher training for practical instructor (OJTI/STDI) and assessor

endorsements ............................................................................................ 97

Appendix A ........................................................................................................... 100

Assessment of Previous Competence Report ................................................. 100

Appendix B ........................................................................................................... 101

Records to be Retained by Training Organisations ......................................... 101

Appendix C ........................................................................................................... 103

Training Design and Structure Guidance ........................................................ 103

Training design process ........................................................................... 103

Structure of training documentation.......................................................... 105

First phase of training design ................................................................... 106

Second phase of training design .............................................................. 106

Third phase of training design .................................................................. 107

Mode of delivery, media, learning rate and training techniques ............... 108

Course design document ................................................................................ 108

Content ..................................................................................................... 108

Appendix D ........................................................................................................... 111

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English language proficiency certificate .......................................................... 111

Certificate ................................................................................................. 111

Appendix E ........................................................................................................... 112

Conduct of written examinations ..................................................................... 112

Protocol for the conduct of written examinations ...................................... 112

Appendix F ............................................................................................................ 115

Criteria for the use of synthetic training devices in ATC training ..................... 115

Introduction .............................................................................................. 115

Continuation training ................................................................................ 116

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The Regulatory Framework

Introduction

Civil Aviation Authority civil aviation publications (CAPs) are based upon national

and assimilated EU legislation and non-legislative regulatory material, such as ICAO

Standards and Recommended Practices. They are published in order to provide:

a) guidance and clarification on the means of achieving compliance with global and

UK regulatory requirements, and where applicable:

b) details of UK ‘Alternative Means of Compliance’, and

c) details of any additional national requirements, including CAA administrative

procedures.

Details of appropriate supporting administrative procedures are also included where

necessary.

CAPs are subject to periodic revision to take account of changes to source

regulatory material, feedback from industry, and recognised best practice. This

document provides guidance and clarification relating to ATC Training and licensing

requirements – and is to be read in conjunction with the supporting documentation

referenced below as applicable.

Non-inclusion of source regulatory material within this CAP does not preclude

the end user from either the need to be aware of, or the need to comply with,

the requirements contained within the source materials unless otherwise

exempted from those requirements.

It is the policy of the UK government that, unless a difference or ‘Alternative Means

of Compliance’ (AltMoc) has been established, compliance is with relevant

international (i.e. ICAO and applicable equivalents such as International

Telecommunications Union) and UK regulatory material, required to the extent

mandated in law. Additionally, compliance with national requirements that are not

addressed by international regulations is also required.

This document is a combination of what was the CAP 1251 Air Traffic Controllers –

Licensing and CAP 584 Air Traffic Controllers – Training and has been updated to

incorporate all previous amendments from both CAPs.

The words ‘must’, ‘shall’ and ‘will’ indicate that compliance with applicable regulatory

requirements is necessary. In the case of AMC the word ‘should’ indicates that

compliance is required, unless complying with an approved AltMoC.

Regulatory References

This document is published to assist current and applicant Training Organisations,

Air Navigation Service Providers and student/air traffic controllers in the

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understanding of, and compliance with the requirements pertaining to ATCO

Licensing and training requirements. The list of supporting documents is as follows:

Assimilated European regulations:

EASA was established by Commission Regulation (EC) No. 1592/2002 and the

Agency received further competences in accordance with Regulation (EC) No.

216/2008 (Basic Regulation). This established an extension to EASA’s competency

to include safety and interoperability of ATM and ANS resulting in new EASA

Implementing Regulations. The EASA website can be found at www.easa.eu. EU

regulations have been assimilated following EU withdrawal and amended under UK

Statutory Instruments.

UK Reg (EU) 2018/1139 common rules in the field of civil aviation.

UK Reg (EU) 2015/340 the air traffic controller’s (ATCO) licensing and certification

regulation.

UK Reg (EU) 373/2017 Requirements for providers of ATM/ANS.

UK Statutory Instruments

SI 2019 No. 645. EXITING THE EUROPEAN UNION – CIVIL AVIATION

CAA Publications:

CAP 393 – Air Navigation Order 2016 and Regulations.

CAP 794 – Air Traffic Controllers – Initial Training Objectives.

CAP 1049 - Guidance for applicant: Review of conduct of test or exam

ICAO Publications:

Annex 1 – Personnel Licensing.

Supplementary Amendments

Supplementary amendments to CAP 2331 are issued for the following reasons:

• to introduce an entirely new subject or a radical change to existing

instructions;

• to re-emphasise an existing requirement.

Such supplementary amendments will be incorporated into the main body of the

document in its next revision.

In view of the timescales involved in updating civil aviation publications, references

may not be up to date and it is advised that readers take note of any information

promulgated via means such as CAP 2331 Supplementary Amendments, CAA

updates and CAA website information.

As the Regulatory Framework is being developed, the various CAPs will be

amended to take account of the effects of these Regulations.

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Definitions

The following definitions and abbreviations have been included for ease of reference

or where terms are unique to the UK.

Abnormal and

Emergency

situations

The collective term referring to situations, including

degraded situations, which are not routinely or commonly

experienced and for which automatic skills have not been

developed, and serious and dangerous situations requiring

immediate actions. (CAA)

Ab-initio A learner without previous air traffic control qualifications

who is undertaking initial air traffic control training. (CAA)

Assessment An evaluation of the practical skills leading to the issue of

the licence, rating and/or endorsement(s) and their

revalidation and/or renewal, including behaviour and the

practical application of knowledge and understanding being

demonstrated by the person being assessed. (UK Reg (EU)

2015/340)

Assessor

endorsement

The authorisation entered on and forming part of the

licence, indicating the competence of the holder to assess

the practical skills of student air traffic controller and air

traffic controller. (UK Reg (EU) 2015/340)

Board Chair The name given to an individual overseeing a unit

endorsement assessment to verify the effectiveness of an

ANSPs approved training course and the processes leading

to the issue of an individual’s Unit Endorsement.

Competence The appropriate knowledge, skills and behaviours

necessary to provide air traffic control services in

accordance with privileges stated in a student air traffic

controller’s or an air traffic controller’s licence. (CAA)

Corroboration A method suggested for use, to achieve internal compliance

monitoring i.e. to ensure a process is carried out according

to set procedures and to the specified requirements. (CAA)

Course Design

Document

For the purposes of this document, a course design

document is a submission from a training organisation

seeking approval to conduct a course of ATC training.

(CAA)

English Language

Rater

Note: The CAA have withdrawn this phrase in favour of

English language assessor as per UK Reg (EU)

2015/340.

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Evaluation A method suggested for unit use to make judgements about

the ongoing performance of a learner against the objectives

of the phases of a unit endorsement course. (CAA)

Examination A formalised test evaluating the person’s knowledge and

understanding. (UK Reg (EU) 2015/340)

Exposition The UK has withdrawn this definition and will refer to

an ‘ITO application’.

Formative report A report that describes the progress of a learner, mainly for

the benefit of the learner. (CAA)

Initial training The training which leads to the issue of a student air traffic

controller licence or to the issue of an additional rating and,

if applicable, rating endorsement, providing basic and rating

training. (UK Reg. (EU) 2015/340)

Language

proficiency

endorsement

The statement entered on and forming part of a licence

indicating the language proficiency of the holder. (CAA)

Learner A generic term for an individual gaining knowledge from a

learning activity. i.e. performing a learning activity without

any reference to their status. e.g. student or trainee. (CAA)

On-the-job training

instructor (OJTI)

endorsement

The authorisation entered on and forming part of a licence,

indicating the competence of the holder to give on-the-job

training instruction and instruction on synthetic training

devices. (UK Reg (EU) 2015/340)

Operational

Refresher

Familiarisation

An objective-based process by which ITO theoretical

instructors and non-operational STDIs and assessors may

refresh their knowledge of current operational practice and

gain experience of new techniques and equipment. (CAA)

Performance

objective

A clear and unambiguous statement of what a student is

expected to do (Performance), according to a level in terms

of quality, quantity and time (Standard) and, the conditions

under which the performance is to be carried out

(Conditions). (Eurocontrol)

Provisional

inability

A temporary state in which the licence holder is prevented

from exercising the privileges of the licence when ratings,

endorsements and his medical certificate are valid. (UK Reg

(EU) 2015/340)

Psychoactive

substances

Alcohol, opioids, cannabinoids, sedatives and hypnotics,

cocaine, other psychostimulants, hallucinogens, and volatile

solvents, whereas caffeine and tobacco are excluded.

(UK(EU) Reg 2015/340)

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Rating

endorsement

The authorisation entered on and forming part of a licence,

indicating the specific conditions, privileges or limitations

pertaining to the relevant rating (UK Reg. (EU) 2015/340)

Renewal The administrative act taken after a rating, endorsement or

certificate has expired that renew the privileges or

limitations of the rating, endorsement or certificate for a

further specified period subject to the fulfilment of specified

requirements. (UK EU Reg 2015/340)

Revalidation The administrative act taken within the period of validity of a

rating endorsement or certificate that allows the holder to

continue to exercise the privileges of the rating,

endorsement or certificate for a further specified period

subject to the fulfilment of specified requirements. (UK EU

Reg 2015/340)

Summative Report A summative report is a report completed by a certificated

ITO which details the competence observed during a

practical assessment in an initial training course and relevant

to; the

required performance objectives in Part ATCO,

Subpart D, Section 2; and those terminal objectives relevant

to the course. (CAA)

Surveillance Fall-

back and

Contingency

A term used to indicate when surveillance equipment has

degraded or failed and contingency measures are

implemented. (CAA)

Syllabus A list of training objectives classified by subjects, topics and

sub-topics showing the training necessary to fill the training

gap and achieve the course aim. (CAA)

Synthetic training

device (STD)

Any type of device by which operational conditions are

simulated, including simulators and part-task trainers. (UK

Reg (EU) 2015/340)

Synthetic training

device instructor

(STDI)

The Authorisation entered on and forming part of a licence,

indicating the competence of the holder to give instruction

on synthetic training devices. (UK Reg (EU) 2015/340)

Taxonomy Level Taxonomy levels for ATC Initial training in UK Reg (EU)

2015/340 are derived and adapted from Blooms (1984)

learning theory. However, the fundamental taxonomy levels,

which can be utilised by a TO assist in creating specific

taxonomies for other courses, are: 

1. Knowledge - This involves recalling basic facts,

processes, and methods, or patterns and structures.

2. Comprehension (Understanding) - Refers to the learner’s

understanding of the ideas and materials presented at the

level 1. At this stage, learners won’t necessarily be able to

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see the full implications of their knowledge or be able to

relate it to other material.

3. Application - Learners should be able to use/apply their

knowledge and understanding in certain situations.

4. Analysis - Learners are expected to be able to articulate

the relationship between different ideas and be able to

breakdown their learning into elements or parts.

5. Synthesis - This involves combining different ideas or

elements to create new structures or ideas.

6. Evaluation - In the original Bloom’s taxonomy,

‘evaluation’ was the highest level of thinking and requires

the most complex mental processes. At this level, learners

are expected to make judgments about the value of the

methods or materials presented to them. This level might

not be expected from a student ATCO.

Terminal Objective A terminal objective is a specific statement of the

performance which learners must demonstrate in order to

attain the course aim. A terminal objective identifies what

the learner will be able to do in terms of observable and

assessable behaviour. These are detailed in CAP 794.

(CAA)

Trainee An air traffic controller who is undertaking a course of air

traffic approved training at a TO/ITO.

Training course The theoretical and/or practical instruction developed within

a structured framework and delivered within a defined

duration. (UK Reg (EU) 2015/340

Training objective Is a holistic term covering all objectives of a training course.

(CAA)

Training

organisation

An organisation which has been certified by the CAA to

provide one or more types of training. (UK Reg (EU)

2015/340)

Unit competence

scheme

An approved scheme indicating the method by which the

unit maintains the competence of its licence holders.(CAA)

Unit endorsement The authorisation entered on and forming part of a licence,

indicating the ICAO location indicator and the sectors

and/or working positions where the holder of the licence is

competent to work. (UK Reg (EU) 2015/340)

Unit Endorsement

Assessment

Previously known as ‘validation board’, the unit

endorsement assessment is an assessment and

examination of a candidate at the final point of their unit

endorsement course (UEC); for the issue of an ATCO

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licence and/or issue, revalidation or renewal of a unit

endorsement. (CAA)

Unit endorsement

course

A training course for each UE established at the ATC unit

as defined in the unit training plan. (CAA)

Unit training plan An approved plan detailing the unit endorsement course(s),

processes and timing required to allow the unit procedures

to be applied at the unit. (CAA)

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Abbreviations

UK Reg (EU) 2015/340 Commission UK Reg (EU) 2015/340, and to include

UK SI 2019 No.645.

AltMoC Alternative Means of Compliance

AMC Acceptable Means of Compliance

APC Assessment of Previous Competence

ATC Air Traffic Control

ATCO Air Traffic Controller

CAP Civil Aviation Publication

CDD Course Design Document

ITO Initial Training Organisation

LAB Language Assessment Body

LPA Language Proficiency Assessor

PTT Part-task Trainer

ORF Operational Refresher Familiarisation

ORS Official Record Series

OJT On-the-Job Training

OJTI On-the-Job Training Instructor

SFbC Surveillance Fall-back and Contingency

SIM Simulator

SRA Surveillance Radar Approach

SRW Summative Report Writer

STD Synthetic Training Device

STDI Synthetic Training Device Instructor

TO Training Organisation

UCS Unit Competence Scheme

UE Unit Endorsement

UEA Unit Endorsement Assessment

UEC Unit Endorsement Course

UTP Unit Training Plan

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Chapter 1

Introduction to air traffic controller licensing, training and

certification

Subject matter and scope

1.1 Assimilated Regulation (EU) 2015/340, (from now on is referred to as UK

Reg (EU) 2015/340) details the UK air traffic controller’s (ATCO)

licensing and certification rules and related acceptable means of

compliance, together with ATCO training and medical requirements.

1.2 The CAA is the UKs competent authority. Within the CAA, the Licensing

assessment team is responsible for processing and issuing of air traffic

controllers licensing. Also, Airspace, ATM and Aerodromes (AAA)

division of the Safety and Airspace Regulation Group (SARG) is

responsible for the certification and oversight of ANSPs, training

organisations (TO/ITO) including the approval of training courses, unit

training plans (UTPs) and unit competence schemes (UCSs) and air

traffic controllers, including student air traffic controllers, are required to

comply with UK Reg (EU) 2015/340.

1.3 UK Reg (EU) 2015/340 lays down detailed rules for:

 the conditions for issuing, suspending and revoking air traffic

controller’s and student air traffic controller’s licences,

associated ratings and endorsements, and the privileges and

responsibilities of those holding them;

 the conditions for, limiting, suspending and revoking air traffic

controller’s and student air traffic controller’s medical

certificates, and the privileges and responsibilities of those

holding them;

 the certification of aero-medical examiners and aero-medical

centres for air traffic controllers and student air traffic

controllers;

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 the certification of air traffic controller training organisations;

 the conditions for validating, revalidating, renewing and using

such licences, ratings, endorsements and certificates.

1.4 UK Reg (EU) 2015/340 shall apply to:

 student air traffic controllers and air traffic controllers exercising

their functions within the scope of UK (EU) Reg 2018/1139;

 persons and organisations involved in the licensing, training,

testing, checking and medical examination and assessment of

applicants in accordance with this Regulation.

1.5 This CAP 2331 details the processes to be followed by an individual or

organisation in order to comply with UK Reg (EU) 2015/340.

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Chapter 2

Air traffic controller licensing

Student air traffic controller

2.1 The requirements to hold a student air traffic controller licence are laid

down in UK Reg (EU) 2015/340 ATCO.B.001.

2.2 The CAA will grant a student air traffic controller licence to an applicant

provided they meet the requirements laid down in UK Reg (EU)

2015/340 ATCO.B.001.Student air traffic controller licence.

2.3 A student air traffic controller who provides an air traffic service under

supervision is responsible for ensuring they comply with the

requirements of UK Reg (EU) 2015/340 and in addition:

a) is not fatigued to an extent that may endanger the safety of

aircraft to which they are providing an air traffic service,

b) is not under the influence of any psychoactive substance or

suffering from any illness or injury to an extent that may

endanger the safety of aircraft to which an air traffic service is

being provided,

c) comply with a Fatigue Risk Management Policy.

Note: Complying with the provisions of a Fatigue Risk Management

Policy does not absolve the controller from making a judgement as to

their fitness to provide a safe air traffic service in accordance with UK

Reg (EU) 2015/340.

2.4 The holder of a student air traffic controller licence who has not started

‘exercising the privileges of the licence’ within one year from the date of

its issue or has interrupted exercising those privileges for a period of

more than one year may only start or continue unit training in that rating

after an assessment of their previous competence in accordance with

the procedures detailed in chapter 9 of this document.

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NOTE: For clarity of terminology, for a student licence holder, ‘exercising

the privileges of the licence’ is to be understood as providing an ATC

service under the supervision of an OJTI, unless where pre-on-the-job

training has been commenced.

Air traffic controller licence

2.5 The requirements to hold an air traffic controller licence are laid down in

UK Reg (EU) 2015/340 ATCO.B.005.

2.6 The CAA will grant an air traffic controller licence to an applicant

provided they meet the requirements laid down in UK Reg (EU)

2015/340 ATCO.B.005 Air traffic controller licence.

2.7 An air traffic controller licence holder who provides an air traffic service

shall be responsible for ensuring they comply with the requirements of

UK Reg (EU) 2015/340 and in addition shall ensure they:

a) are not fatigued to an extent that may endanger the safety of

aircraft to which they are providing an air traffic service,

b) are not under the influence of any psychoactive substance to

an extent that may endanger the safety of aircraft to which they

are providing an air traffic service,

c) are not suffering from any mental or physical illness or injury to

an extent that may endanger the safety of aircraft to which they

are providing an air traffic service

d) comply with a Fatigue Risk Management Policy.

Note: Complying with the provisions of a Fatigue Risk Management

Policy does not absolve the controller from making a judgement as to

their fitness to provide a safe air traffic service in accordance with UK

Reg (EU) 2015/340.

2.8 The holder of an air traffic controller licence who has not started

exercising the privileges of any rating (providing an ATC service under

the supervision of an OJTI) within one year from the date of its issue

may only start unit training in that rating after an assessment of their

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previous competence in accordance with the procedures detailed in

chapter 9 of this document.

Ratings and rating endorsements

2.9 An air traffic controller licence shall contain one or more of the ratings

listed in UK Reg (EU) 2015/340 ATCO.B.010 Air traffic controller ratings.

2.10 In accordance with UK Reg (EU) 2015/340 ATCO.B.010 (b) if the holder

of a rating has interrupted exercising the privileges (providing an ATC

service) of that rating for a period of four or more immediately preceding

consecutive years, an assessment of previous competence (APC) is

required in that rating in accordance with the procedures detailed in

Chapter 9 of this document, prior to commencing unit training.

Note: Sectors using varying ratings require separate APCs where

operations are to be delivered in those sectors.

Rating endorsements

2.11 The rating endorsements which may be contained in an air traffic

controller or student air traffic controller licence are listed in UK Reg (EU)

2015/340 ATCO.B.015 Rating Endorsements.

Licensing requirements

2.12 The air traffic controller or student air traffic controller’s licence is the

property of the person to whom it is issued.

2.13 The individual air traffic controller is responsible for ensuring that their

licence:

a) is issued in accordance with UK Reg (EU) 2015/340,

b) contains their correct details,

c) has been signed by themselves.

2.14 Prior to exercising the privileges of their licence they must ensure that

they:

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a) have a minimum current ATCO English language proficiency

endorsement of ICAO level 4,

b) have a current UK Class 3 medical certificate,

c) hold the relevant rating(s),

d) hold the relevant UE(s).

2.15 An air traffic controller shall ensure that their licence is available at the

unit at all times when they are exercising the privileges of their licence.

CAA Licence administration

2.16 Within the UK the CAA may issue or amend student and air traffic

controller licences. Licence administration is undertaken by the CAAs

ATS Licensing assessment team atslicensing@caa.co.uk .

2.17 Licence administration is the process by which the CAA ensures that

student and air traffic controller licences are issued and maintained. To

carry out this function the CAA maintains the licensing records, including

personal details, of all licence holders.

2.18 The CAA maintains the following personal details of all licence holders:

a) full name,

b) date and place of birth,

c) nationality,

d) residential address, and

e) the address of the unit(s) where the student or air traffic

controller licence holder is providing an air traffic service.

2.19 In the case of the first application for a student air traffic controller

licence, a certified ID is required. See guidance note 1 of CAA form

SRG1421.

2.20 In the event of any changes to personal details, the CAA ATS Licensing

assessment team must be informed by the submission of CAA form

SRG1411E to facilitate the issue of an updated licence.

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2.21 Each student and air traffic controller licence issued is uniquely

numbered. Licence holders should quote this number, in all

communications with the CAA ATS Licensing assessment team.

2.22 The CAA maintains the following licence records on student air traffic

controller licence holders:

a) details of the successful completion of initial training, including

the date of completion and the results of any associated

assessments and/or examinations,

b) the rating discipline, including any rating endorsement, in which

the licence holder may provide an air traffic service under

supervision,

c) the unit where the licence holder is providing a service under

supervision and the date the licence will expire.

2.23 The CAA maintains the following licence records on air traffic controller

licence holders:

a) details of the successful completion of any initial training and

the results of any associated assessment(s) and/or

examination(s),

b) current valid rating(s), including rating endorsement(s) and

UE(s),

c) licence endorsements,

d) the unit(s) at which the controller is providing an air traffic

service,

e) previously held rating(s), rating endorsement(s) and UE(s)

including the units where the controller previously provided an

air traffic service,

f) details of any action taken by the licensing authority to suspend

or revoke an air traffic controller licence or its associated

rating(s), rating endorsement(s) or UE(s),

g) the date when any current medical certificate expires.

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2.24 ANSPs are to inform the CAA Licensing assessment team, of the

renewal of all UEs and also in the event that a UE is not renewed or is

withdrawn, on CAA form SRG1411B.

2.25 Applications for air traffic controller licences, rating(s), rating

endorsement(s), and UE(s) must be made using the relevant CAA form

SRG1411.

2.26 Applications for initial assessor, OJTI and STDI endorsements,

revalidations and renewals, including exchanging an OJTI for an STDI

endorsement, must be made on CAA form SRG1415.

Unit endorsements (UEs)

Privileges

2.27 The requirements for a UE are laid down in UK Reg (EU) 2015/340

ATCO.B.020.

2.28 Applicants for a UE must have completed an approved Unit

endorsement course (UEC).

2.29 The validity period of a UE shall be specified in the Unit Competency

Scheme (UCS). This shall not exceed three years.

2.30 A UE may not be revalidated if the required minimum number of hours of

operational duties have not been completed during the validity period of

the UE.

Arranging an initial Unit Endorsement Assessment (UEA)

2.31 While there is no regulatory requirement for the CAA to attend every

initial UEA, the CAA have determined that unless otherwise authorised,

each initial UEA will be conducted by:

▪ An ATS Inspector or

▪ an assessor and an ATS Inspector acting as Board Chair

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2.32 Notification for an initial, subsequent or renewal UEA must be made to

the relevant ATS Inspector at least 30 days prior to the requested date.

2.33 The ATS inspector may request details of any proposed revalidations of

a Unit Endorsement taking place at any ATSU within their area of

responsibility.

2.34 The choice to attend any UEA, or not, is at the sole discretion of the

allocated ATS Inspector, with that decision founded on the principles of

performance-based oversight. Where the allocated inspector has elected

to attend, mutually agreeable dates and times for such assessments

shall be agreed with the ATS Inspector.

2.35 The CAA must be in receipt of payment prior to confirmation of the

attendance of the UEA.

Surveillance systems degradation

Surveillance degradation

2.36 Not all ANSPs have personnel who hold an ATCO licence which

contains an APP rating and therefore cannot offer an Approach Control

Procedural service.

2.37 In accordance with Regulation UK (EU) 2017/373 ATM/ANS.OR.A.070

(Contingency plans), units shall have in place contingency plans for

surveillance system degradation in the case of events which result in

significant degradation or interruption of its operations. These

procedures and associated training shall be approved by the CAA.

2.38 Procedures and training approved by the CAA for relevant units shall be

detailed in the UTP, UEC(s) and UCS.

Unit Endorsement Administration

2.39 Except where approved by the CAA, the use of a synthetic training

device (STD) to demonstrate competence at a UE assessment is not

permitted. When approved by the CAA, an STD may be used to

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demonstrate the application of procedures not seen during any

assessment.

2.40 An initial or subsequent UE shall only be issued if the candidate has

successfully completed both the assessment and oral examination. The

practical assessment will be conducted prior to the oral examination.

2.41 No part credit will be issued if a candidate was unsuccessful in an

assessment or examination, both the assessment and examination must

be undertaken again.

2.42 An individual who is unsuccessful in the assessment and/or examination

for the initial issue of a UE shall not be permitted to retake the

assessment and examination until a period of at least 30 days has

elapsed.

2.43 At ATSUs that do not have an assessor, the revalidation UEA shall be

conducted by an ATS Inspector.

2.44 Where civilian air traffic controllers are assessed for their competence to

provide air traffic services at a military airfield, a military examiner may

be present.

2.45 If a UE has expired, the process to renew the UE will require a UEC to

be successfully completed in accordance with UK Reg (EU) 2015/340

Part ATCO, Subpart D, Section 3.

2.46 Revalidation of the UE requires that refresher training is successfully

completed in accordance with UK Reg (EU) 2015/340 ATCO.D.080(b).

The details of refresher training will be included in the UCS document.

2.47 A UE may be withdrawn where a controller is no longer required to

provide an air traffic service on a particular sector and/or operational

position, or when sectors are reorganised and sector names or

designations change. The air traffic controller licence holder shall inform

the CAA ATS Licensing assessment team (by letter or email) in the

event that a UE is withdrawn or not renewed unless the unit has

procedures to inform the CAA on the licence holder’s behalf.

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2.48 Where it is intended that an air traffic controller should hold UEs

concurrently at more than one unit, the ANSP(s), concerned are to

inform the CAA.

2.49 Units requiring to provide an air traffic service for an event over a short

period of time, shall ensure that those controllers who wish to apply for

this UE, hold a current UE at a permanent unit in the same rating as that

for which the UE is required.

2.50 An air traffic controller who already holds a UE will be issued with

additional UEs for additional sectors or operational positions associated

with that rating upon:

▪ successful completion of the relevant adapted UEC, and

▪ demonstrating that they are competent to provide the air traffic

service associated with the additional sectors or operational positions.

Unit Endorsement for events

2.51 A short term UE is one that is granted to an air traffic controller in order

that they can provide an air traffic service at an event that requires such

a service for a short period of time, typically 3 or 4 days.

2.52 When an air traffic controller moves to a new unit, their previously held

UEs are still current until the expiry date of the UE(s). If the licence

holder subsequently returns to the original unit, the process to ensure

competence is dependent upon the time that has elapsed since they last

exercised the UE at that unit. The requirements for remaining in current

and recent practice at a unit is to be identified in the approved UCS.

Disclosure of information

2.53 Upon request from a licence holder, the CAA will make available records

and provide verification of previously held ratings, rating and licence

endorsements and UEs to enable controllers to provide this information

to the licensing Authority of another State.

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Application forms and fees

2.54 The correct fee must be included with all applications for the licences,

ratings and associated endorsements referred to above, Including the

fee for loss/damage. Details of the CAAs Scheme of Charges for the

issue of licences and endorsements are published in Official Record

Series 5 – personnel licensing.

2.55 CAA SRG Forms are available from the CAA Publications web page caa

publications.

Note: UK Reg (EU) 2015/340 permits the CAA to have a procedure to

allow privileges to be exercised by the licence holder for a maximum of

eight weeks after successful completion of the applicable examination(s)

or assessment(s). This is in order for a licence application to be

processed by the CAA, even though it might not be in their possession

and provided confirmation of the receipt has been acknowledged by a

CAA email. If after 8 weeks, no licence including the associated rating or

endorsement is received, privileges may not be exercised until such time

as the licence is in their possession.

2.56 All applications must be sent to:

ATCO Licensing Section,

Licensing Assessment,

Safety and Airspace Regulation Group,

Civil Aviation Authority,

Aviation House,

Gatwick Airport South

West Sussex

RH6 0YR

Or by email to [email protected]

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Licence recognition

EU/EEA licence holders

2.57 EU/EEA states have reverted to third country status and all licences

issued and training certificates are no longer recognised.

2.58 In addition ECAC licences are not recognised as they are not included

within the European Withdrawal Act 2018.

2.59 UK licences are no longer recognised within the EU.

Applications for the recognition of an air traffic controller licence

obtained in any State other than the UK.

2.60 The CAA is not able to recognise air traffic controller licences issued in

any State other than the UK.

2.61 The CAA has no knowledge of the ATC rating training syllabi of courses

undertaken in other States and how these compare with the UK training

requirements.

2.62 Individuals who hold an air traffic controller licence from a non-EU/EEA

state will be required to successfully complete the UK ATC initial training

in its entirety to be able to apply for a UK student air traffic controller

licence.

Application for the reissue of a UK licence having converted to

another State licence

2.63 For those individuals who have previously held a UK licence, for the

reissue of the UK licence an application shall made on CAA form

SRG1411F available on the CAA Website.

2.64 The TO/ITO with whom an individual intends to undertake training, after

regaining their UK licence shall ensure an APC in each rating required is

undertaken prior to commencing any training.

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Revocation and suspension of licences, ratings and

endorsements

Provisional suspension

2.65 The ANO 2016, as SI UK 2016/765 article 253, authorises that the CAA

may provisionally suspend or vary any certificate, licence, approval,

permission, exemption, authorisation or other document issued, granted

or having effect under the ANO, pending inquiry into or consideration of

the case.

2.66 Although this process is not a requirement under UK Reg (EU)

2015/340, the CAA has elected to keep this term and process.

2.67 Provisional suspension is a temporary measure which places a licence,

or its associated rating(s) and/or endorsement(s), in abeyance pending

inquiry or investigation into the case.

2.68 The CAA may provisionally suspend an air traffic controller’s licence

whenever:

a) competence to provide an air traffic service is in doubt, and/or

b) fitness to hold an air traffic controller licence is considered by

the CAA to be in doubt.

2.69 An air traffic controller whose licence is provisionally suspended shall not

provide any air traffic service. The provisionally suspended licence will

not act as a student air traffic controller licence.

2.70 The CAA may provisionally suspend the rating(s) of a controller whose

competence to provide an air traffic service associated with those

rating(s) is in doubt.

2.71 An air traffic controller shall not exercise the privileges of a provisionally

suspended rating, and any UE(s) associated with that rating, except

under the supervision of an OJTI who holds a valid rating appropriate to

the air traffic service being provided. An air traffic controller may

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continue to exercise the privileges of ratings which are not subject to

provisional suspension.

2.72 The CAA may provisionally suspend the rating endorsement(s) of an air

traffic controller whose competence to provide an air traffic service

associated with the rating endorsement(s) is in doubt.

2.73 An air traffic controller shall not exercise the privileges of a provisionally

suspended rating endorsement or any UE associated with that rating

endorsement, except under the supervision of an OJTI who holds a valid

rating appropriate to the air traffic service being provided.

2.74 A controller may continue to exercise the privileges of rating

endorsements which are not subject to provisional suspension.

2.75 The CAA may provisionally suspend the UE(s) of an air traffic controller

whose competence to provide the air traffic service associated with the

UE(s) is in doubt.

2.76 An air traffic controller shall not exercise the privileges of a provisionally

suspended UE except under the supervision of an OJTI who holds a

valid UE appropriate to the air traffic service being provided.

2.77 An air traffic controller may continue to exercise the privileges of UE(s)

which are not subject to provisional suspension.

2.78 The CAA will normally set conditions for the removal of the provisional

suspension of rating(s), rating endorsement(s) and UE(s). These

conditions will normally be a period of unit training followed by an

assessment of the air traffic controller’s competence. Provided the

controller is assessed as competent the provisional suspension will be

removed.

2.79 There is no appeal under Regulation 6 (5) of the CAA Regulations

1991(SI 1991 No.1672) against a provisional suspension.

2.80 Provisional suspensions are not considered suitable as a long-term

measure. The failure of a licence holder to satisfy the conditions for the

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removal of a provisional suspension within a reasonable period of time

will result in the CAA reviewing the circumstances of the provisional

suspension. Under these circumstances the CAA may propose to

suspend a licence, rating or endorsement as appropriate.

2.81 An air traffic controller whose ATCO licence, rating or endorsement has

been provisionally suspended, may only provide an air traffic service

under the supervision of a suitably qualified OJTI whilst complying with

the conditions for removal of the provisional suspension.

Suspension

2.82 Suspension is the act of placing an air traffic controller licence, or its

associated rating(s), rating endorsement(s) or UE(s), in abeyance.

Normally, conditions would be set whereby the controller may seek

withdrawal of the suspension of rating(s) and/or endorsement(s).

2.83 The CAA will issue a proposal to suspend the rating(s), rating

endorsement(s) or UE(s) of a controller:

a) who is unable or unwilling to meet the conditions for the

removal of a provisional suspension,

b) where a more extensive investigation of an incident or accident

indicates that the controller actions were a contributory factor.

2.84 During the period of the proposal to suspend, the provisional suspension

will remain in force and controllers must continue to comply with the

requirements associated with the provisional suspension.

2.85 A proposal to suspend, including the conditions for the removal of the

suspension, is subject to appeal under Regulation 6(5) of the CAA

Regulations 1991(SI 1991 No.1672). Guidance detailed in CAP 1049

Review of Conduct of test or exam

2.86 An air traffic controller who satisfies the conditions for the removal of a

suspension will have the suspension removed.

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2.87 The CAA will suspend the air traffic controller licence, or its associated

rating(s), rating endorsement(s) or UE(s) of an air traffic controller who

does not appeal or who is unsuccessful at an appeal.

2.88 Conditions for the removal of a suspension will normally involve:

a) an APC conducted at a certificated ITO,

b) successful completion of any training and further assessments

identified by the ITO as being required,

c) successful completion of unit training and for the award of a UE

in the rating that was suspended.

2.89 An air traffic controller whose rating(s), rating endorsement(s) or UE(s)

have been suspended must not provide the air traffic service associated

with those rating(s), rating endorsement(s) or UE(s) except to comply

with the conditions for the removal of the suspension and under the

supervision of an OJTI who holds a valid rating appropriate to the air

traffic service being provided.

Revocation

2.90 Revocation is the act of withdrawing an air traffic controller licence or its

associated rating(s), rating endorsement(s) or UE(s).

2.91 The CAA will propose to revoke the licence of an air traffic controller

whenever it considers that air traffic controller is not a fit person to hold

an air traffic controller licence. In such a case the licence will either have

already been provisionally suspended or will be provisionally suspended

at the same time as the proposal to revoke is notified.

2.92 The CAA may propose to revoke the air traffic controller licence or

associated rating(s), rating endorsement(s) or UE(s) of a controller who

is unable to demonstrate their competence to provide the associated air

traffic control service.

2.93 The proposal to revoke an air traffic controller licence, or associated

rating(s), rating endorsement(s) or UE(s) is subject to appeal under

Regulation 6 (5) of the Civil Aviation Authority Regulations 1991 (SI 1991

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No.1672). If the appeal is successful, the proposal to revoke will be

withdrawn. Guidance detailed in CAP 1049 Review of conduct of test or

exam.

Role and responsibility of the ANSP

2.94 ANSPs must have approved processes, procedures and competent

personnel in place to ensure that:

a) the unit has written procedures:

i) detailing the action to be taken following the withdrawal of a

controller from duty in the event of their involvement in an

incident or accident, and

ii) for conducting a local management assessment or, in the

situation of single manning, action to be taken by the

controller involved in the incident or accident,

b) ensuring the CAA is advised following any incident assessment

where appropriate,

c) ensuring the air traffic controller complies with any conditions

relating to the provisional suspension or suspension,

d) to ensure that the CAA is advised of the outcome of any

training and assessment of the air traffic controller required for

the removal of a provisional suspension or a suspension.

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Chapter 3

Certification of ATC Training Organisations (TO) and Initial

Training Organisations (ITO)

Air traffic controller training

3.1 Air traffic controller training is divided into four types in accordance with

UK Reg (EU) 2015/340 Part ATCO, Subpart D:

a) initial training, incorporating basic and/or rating training and/or

rating endorsement training;

b) unit training and/or rating endorsement training, comprising:

i. transitional training,

ii. pre-on-the-job training (for UEs requiring handling of

complex and dense traffic situations) and

iii. OJT;

c) continuation training comprising of refresher training and

conversion training, when relevant;

d) training of practical instructors (OJTI & STDI) and assessors.

3.2 This CAP contains the processes for the certification and ongoing

regulatory oversight of UK ATC training organisations and associated

courses, and ATC Language Assessment Bodies (LAB).

3.3 In addition, CAP 794 represents the additional national objectives for

initial training which must be completed;

a) during a UK approved Initial training course for the issue of a

UK student air traffic controller licence,

b) during an assessment of previous competence (APC), or

c) during an additional rating training course at a UK ITO.

Certification of all training organisations

3.4 Applicant Training Organisations will be considered for certification on

the basis that information provided by them to the CAA is in compliance

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with UK Reg (EU) 2015/340. Training Organisations may be approved to

provide initial training and are separately certificated in this respect.

3.5 ANSPs providing an air traffic control service must also be certified as a

Training Organisation (TO), to provide unit and continuation training to

air traffic controllers (ATCO), in accordance with UK Reg (EU) 2015/340.

3.6 Organisations seeking certification as a TO/ITO are strongly advised to

have exploratory discussions with the CAA prior to making a formal

application.

3.7 Communication with the CAA should be directed to in the first instance:

a) the relevant Principal Inspector ATM in the case of Aerodromes

b) the Principal Inspector (En-route), in the case of En-route or

Initial training.

Training organisation application

3.8 The process for application and certification of all training organisations

shall be in accordance with the requirements set out in UK Reg (EU)

2015/340 Part ATCO.OR and ATCO.AR subpart E with their associated

AMCs and the requirements in this document.

3.9 Applications for TO/ITO certification shall be submitted to the CAA at

least four months before the anticipated start of any proposed training.

3.10 Applications for certification as a TO/ITO must be submitted to the CAA

using CAA form SRG1427 (TO) or SRG1431 (ITO), together with

payment of the associated fee found in the current CAA ORS 5 -

Scheme of charges (Personnel licensing).

3.11 The applicant shall be required to complete the Air Traffic Controllers

Licensing and Certification compliance matrix (found on CAA website

under ‘certification and designation’) as part of the application process

appropriate to the type(s) of training intended to be provided.

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3.12 This compliance matrix contains all the UK Reg (EU) 2015/340

requirements applicable to Training Organisations and Initial Training

Organisations.

a) Training Organisation (ATC ANSPs) are to complete sections

1,2,3, 4 and 5 checklists.

b) Initial Training Organisations are to complete sections 1,2,3

and 6 checklists.

3.13 Completing the relevant Compliance Matrices will assist in enabling the

prospective TO/ITO to assure themselves that their management system

will expect to meet the requirements of UK Reg (EU) 2015/340 and this

document.

3.14 All supporting documents and their current issue status are to be entered

into the relevant compliance matrix table and submitted as part of the

application process.

3.15 In accordance with UK Reg (EU) 2015/340 ATCO.OR.C.001 training

organisations are to have a documented compliance monitoring system

including a system for managing changes within their management

system processes.

3.16 The TO/ITO system for managing changes shall contain a process for

implementing all changes and assessing the risks associated with

changes.

3.17 After the compliance matrices and supporting documentation have been

reviewed by the CAA, an audit of the training organisation will be

arranged. The audit will cover all elements of the regulation relevant to

the application. For details of the audit process see Oversight audit

process below.

3.18 If necessary, a subsequent meeting may be arranged with the training

organisation by the CAA.

3.19 Subject to the provision of all appropriate information to the satisfaction

of the CAA, including satisfactory implementation of required corrective

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actions where applicable, the CAA will advise the applicant of its

decision if the certificate is to be granted.

3.20 Certification cannot be granted where any level 1 findings remain open

(UK Reg (EU) 2015/340 AMC1 ATCO.AR.E.001(b)).

3.21 A training organisation may not provide initial, unit or continuation ATC

training until it has received CAA certification to do so.

3.22 Sampling of the first delivery of approved courses will be undertaken by

an Inspector ATS. Any findings or observations will be provided in an

audit report as per the audit process sequence below.

Specific requirements for initial training courses

3.23 Initial ATC training courses must provide student and/or trainee air traffic

controllers with the necessary skills and knowledge to a level of

competence that will prepare them for training at any UK operational

unit.

3.24 In accordance with UK Reg (EU) 2015/340 Subpart D Section 1

ATCO.D.005, initial training consists of:

a) Basic training: theoretical and practical training designed to

impart fundamental knowledge and practical skills related to

basic operational procedures, and

b) Rating training: theoretical and practical training designed to

impart knowledge and practical skills related to a specific rating

and, if applicable, to rating endorsement.

3.25 Basic and rating courses shall comply with the following requirements of

UK Reg (EU) 2015/340:

a) Basic

ATCO.D.025 Basic training examinations and assessment;

ATCO.D.030 Basic training performance objectives;

b) Rating

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ATCO.D.035 Rating training examinations and assessment;

ATCO.D.040 Rating training performance objectives;

and their associated AMCs.

In addition compliance with UK CAP 794 requirements

Approval of initial training courses and the initial training plan

3.26 Only certified Training Organisation’s who have been certified for the

delivery of initial training, or those currently seeking certification for initial

training, may submit courses of initial ATC training for CAA approval.

3.27 An ITO will not be certified unless it has also received approval for at

least one course of initial training as a minimum. This encompasses both

basic and a rating training course.

3.28 In accordance with UK Reg (EU) 2015/340 ATCO.D.015, an Initial

training plan (ITP) shall be established and submitted to the CAA for

approval. The initial training plan shall contain the 12 requirements listed

in UK Reg (EU) 2015/340 ATCO.D.015 Initial training plan.

3.29 This initial training plan may include reference to other documents, such

as Course Design Documents (CDD), (the requested format of which is

provided in Appendix C of this document) and the ITO Management

system.

3.30 In accordance with UK Reg (EU) 2015/340 ATCO.AR.E.005 - Approval

of training courses and training plans, the CAA will approve the Initial

training plan and any training courses submitted by current or

prospective ITOs.

3.31 A mapping document shall be maintained which shows how the ITO

meets each performance objective of both UK Reg (EU) 2015/340 and

CAP 794. This may be held as an Annex to the initial training plan or

CDD or as a separate document.

3.32 Until such time as approval is granted, any promotional material or

reference to the training organisation, its training centre(s) and training

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courses must clearly state that UK CAA approval has not yet been

granted.

3.33 The CAA will provide a letter of approval containing specific details of

each course approval and/or, a certificate which will state the type(s) of

training approvals granted and, which confirms that a Training

Organisation complies with the requirements laid down in UK Reg (EU)

2015/340.

3.34 This letter of approval and/or certificate shall be retained as they form

part of the management system (AMC1 ATCO.OR.C.001(e)) and shall

be made available on request.

Continued compliance for TO/ITO

3.35 In accordance with UK Reg (EU) 2015/340 ATCO.AR.C001 the CAA

shall conduct oversight of a TO/ITO including desktop and on-site audits

and inspections, and may attend any element of training delivery and

assessment. This may include unannounced inspections as per UK Reg

(EU) 2015/340 ATCO.AR.C005(b)(1).

3.36 If the CAA finds that the holder of a certificate no longer satisfies the

requirements or conditions of that certificate, it shall take appropriate

measures, which may include revocation of the certificate.

3.37 The oversight cycle period is two years. During this time, continuous

oversight is undertaken of all elements required to maintain compliance.

The CAA utilises a Performance Based Regulation (PBR) process for

managing oversight activities.

3.38 The accountable manager may be required to attend an accountable

manager meeting with the CAA towards the end of each cycle.

3.39 TO/ITOs shall update their courses in accordance with relevant

regulatory requirements as part of the compliance monitoring process.

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3.40 In compliance with UK Reg (EU) 2015/340, a review of the ITO initial

training plan and each course contained therein shall take place at least

once every three years.

3.41 A master copy of the compliance matrices, showing all changes

incorporated and the reasons for them shall be maintained and retained

by the TO/ITO. It shall be possible to trace the developments within

training organisations from these matrices and associated documents.

3.42 The process for notifying the CAA of any changes detailed in UK Reg

(EU) 2015/340 ATCO.OR.B.015 and requesting approval where

required, can be found on the CAA website under Change management

and change notification process.

3.43 Changes fall into the following categories:

 Changes that may require review and approval before

implementation.

 Changes that will require prior approval before implementation.

 Changes that do not require approval before implementation.

 Changes that do not need notifying to the CAA.

Oversight audit process

3.44 Audits will be carried out by an audit team from the CAA generally

following initial application and on a biennial (24 month) basis in

accordance with UK Reg (EU) 2015/340.

3.45 An audit plan detailing its objectives, scope and audit members, may be

produced by the CAA prior to auditing a training organisation. The

purpose of the plan is for all parties to prepare and agree dates,

personnel and arrangements for the audit.

3.46 The CAA will request the up to date compliance matrices be submitted

and any associated documents be available.

3.47 During the audit, the CAA will require access to all requested documents

and records and may request to interview the document or process

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responsible person. The TO/ITO should endeavour to ensure that the

relevant staff are available if required.

3.48 A closing meeting will be used to provide information as to any non-

compliances or observations recorded, prior to a report being drafted.

3.49 Following the audit, a report indicating any non-compliances as level 1 or

level 2 findings, and/or any observations will be sent to the auditee.

3.50 In accordance with UK REG (EU) 2015/340, ATCO.AR.E.015 in the

event of level 1 findings, the CAA will take immediate and appropriate

action to prohibit or limit activities, and if appropriate, it shall take action

to revoke the certificate or to limit or suspend it in whole or in part,

depending upon the extent of the finding, until successful corrective

action has been taken by the training organisation.

3.51 In the case of level 2 findings, the auditee will respond to the finding on

the CAA Audit Response Document from the ARD process found on the

CAA website within 20 working days from receipt of the report to

submit a corrective action plan, to the CAA audit manager which shall

include;

a) a root cause analysis,

b) corrective actions,

c) a proposed implementation period.

3.52 An Observation may be raised where there is potential for future non-

compliance if no action is taken, or where we wish to indicate an

opportunity for safety improvement or something that is not good

practice. Corrective action is not obligatory for an observation, but

acknowledgment and the identification of any intended action is

expected. An observation may be rejected with justification of rationale.

This should be achieved within 20 working days of receipt of the report.

3.53 The CAA will review the applicant's proposed corrective actions and the

implementation period requested. If necessary, the CAA may request

more information to support any requested implementation time periods

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prior to approval, or may require an alternate period. Once an

implementation period is agreed this will be communicated to the auditee

in writing.

3.54 Once evidence is received that any corrective action has been

completed to the satisfaction of the CAA, the associated finding will be

closed.

3.55 Should, during the agreed implementation period, it become evident that

further time is required to correct the non-compliance, the auditee should

discuss this with the CAA auditor giving reasons for any alternative

timescale required. The CAA may subsequently agree to extend the

initial time period afforded.

3.56 In accordance with UK Reg (EU) 2015/340 ATCO.AR.E.015, for level 2

findings where a training organisation fails to submit an acceptable

corrective action plan, or to perform the corrective action within the time

period accepted or extended by the CAA, the finding shall be raised to a

level 1 finding, and action will be taken as laid down in 3.51 above.

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Chapter 4

Training and Assessment Personnel

Instructors

4.1 Both TOs and ITOs utilise theoretical and practical instructors.

Theoretical training consists of training delivered without the use of

either an STD based or live training event.

4.2 In accordance with UK Reg (EU) 2015/340 AMC1 ATCO.OR.C.001(d),

TO/ITOs shall have a procedure to ensure that competence of

instructors is maintained, which should include theoretical knowledge.

Theoretical instructors

4.3 Theoretical training shall only be conducted by appropriately qualified

instructors in accordance with UK Reg (EU) 2015/340 ATCO.C.001 and

its AMC.

4.4 In order to ensure that theoretical instructors are appropriately qualified,

the TO/ITO shall have a process to demonstrate compliance with UK

Reg (EU) 2015/340 AMC 1 ATCO.C.001(b)(2). This process should be

detailed in either the initial training plan, management system, UTP or

UCS.

4.5 The practical instructor training course syllabus detailed in ATCO.D.090

does not include training in classroom instructional techniques and

therefore as per 4.4 above does not qualify an individual in classroom

instructional techniques. An appropriate training course would have to be

provided in addition to a practical instructional training course.

4.6 Responsibility for assurance of the qualification and competence of

theoretical staff rests with the TO/ITO.

Practical instructors

4.7 In order to ensure that practical instructors are appropriately qualified the

TO/ITO shall have a process to comply with UK Reg (EU) 2015/340

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ATCO.D.090 which covers training of practical instructors. This process

should be detailed in the TO UTP and/or UCS and for an ITO in the

initial training plan and/or management system. Further detail is

contained in Chapter 13 of this document.

4.8 For a TO, practical instructors shall comply with UK Reg (EU) 2015/340

ATCO.B.025(a)(11) and (12).

On-the-Job Training Instructor - OJTI

4.9 The qualifications for the application of an OJTI are laid down in UK Reg

(EU) 2015/340 ATCO.C.015 Application for on-the-job training instructor

endorsement.

4.10 The privileges of an OJTI are listed in UK Reg (EU) 2015/340

ATCO.C.010 On-the-job training instructor (OJTI) privileges.

4.11 In accordance with UK Reg (EU) 2015/340 ATCO.C.020, the period of

validity of the OJTI endorsement is three years.

4.12 The OJTI is responsible for:

a) the safety of the air traffic service that the student air traffic

controller or trainee air traffic controller is providing under their

supervision;

b) in conjunction with the ANSP ensuring that student air traffic

controllers:

i) hold a student air traffic controller licence, with a relevant

English language endorsement and current medical

certificate issued in accordance with UK Reg (EU)

2015/340,

ii) have successfully completed an approved course of initial

training in the rating discipline in which they will be

providing an air traffic service under supervision,

c) in conjunction with the ANSP ensuring that trainee air traffic

controllers:

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i) hold an air traffic controller licence with a relevant English

language endorsement and current medical certificate

issued in accordance with UK Reg (EU) 2015/340, which

includes the rating(s) and,

ii) hold rating endorsement(s) appropriate to the air traffic

service being provided under supervision and have

exercised their privileges within the preceding four years,

iii) have successfully completed an approved course of initial

training, in the rating and rating endorsement (if any)

appropriate to the air traffic service being provided under

supervision; and

d) determining and reporting on the training progress,

e) identifying any deficiencies in knowledge or skill and

recommending remedial training,

f) recommending student and trainee air traffic controllers as

being at an appropriate level of competence where they should

be successful at a UEA,

g) supervising controllers who have had their rating(s) and/or

rating endorsement(s)and/or UE(s) suspended,

h) reviewing, monitoring and ensuring compliance with the

approved UTP and associated UECs and, proposing changes

to the training.

Note: If the ANSP has procedures which check and ensure that the

licence and training record of individuals are correct and current, then the

OJTI will not be required to check the student or trainee’s licence, training

record or medical status.

4.13 ANSPs must have processes, procedures and competent personnel to

ensure that OJTIs:

a) hold an OJTI licence endorsement and valid ratings entitling

them to provide the air traffic service(s) in which they are

supervising student or trainee air traffic controllers,

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b) have received specific training on the content of the UEC,

c) are competent to supervise student or trainee air traffic

controllers,

d) are revalidated at least every three years for their competence

to train and supervise student or trainee air traffic controllers,

this process shall be identified in the UCS.

Temporary OJTI authorisation

4.14 The requirements for Temporary OJTI authorisation are laid down in UK

Reg (EU) 2015/340 ATCO.C.025, which lists examples of when and

where this authorisation can be utilised e.g. Greenfield sites.

4.15 The ANSP are required to provide a safety analysis on how the

equivalent level of safety will be ensured if a temporary OJTI

authorisation is issued.

4.16 For clarification, this authorisation allows the holder of a valid OJTI

endorsement to provide instruction without the requirement of

ATCO.B.030 relating to unit endorsement experience being met, not for

the award of OJTI endorsement where one was not obtained previously.

Synthetic Training Device Instructor (STDI)

4.17 Applicants for an STDI endorsement must meet the qualification

requirements of UK Reg (EU) 2015/340 ATCO.C.035 Application for

synthetic training device instructor endorsement.

4.18 The privileges of an STDI are listed in UK Reg (EU) 2015/340

ATCO.C.030 Synthetic training device instructor (STDI) privileges.

4.19 If an ATCO holds an OJTI endorsement this also includes STDI

endorsement privileges.

4.20 Utilising the privileges of the STDI endorsement does not require a valid

medical certificate.

4.21 It is the decision of the ANSP as to whether they wish to make use of air

traffic controllers who hold STDI endorsements at their unit.

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4.22 The holder of an STDI licence endorsement is a non-operational role

and is responsible for:

a) determining and reporting on the training progress,

b) identifying any deficiencies in knowledge or skill and

recommending remedial training.

4.23 ANSPs must have processes, procedures and competent personnel to

ensure that STDIs:

a) hold an STDI licence endorsement and ratings entitling them to

provide the training in which they are supervising student or

trainee air traffic controllers,

b) have received specific training on the content of the UEC,

c) are competent to supervise student or trainee air traffic

controllers on the synthetic training device,

d) are revalidated at least every three years for their competence

to train and supervise student or trainee air traffic controllers on

synthetic training devices,

e) have the opportunity to practice their instructional skills,

this process shall be detailed in the UCS.

4.24 For ITOs recruiting instructors whose licence contains the STDI

endorsement, the ITO shall have a process which must ensure that the

instructor is trained to, and should be able to demonstrate theoretical

and practical competence to, a minimum of the initial training rating

terminal objectives and the national requirements and procedures

detailed in UK CAP 794. This process shall be captured in the Initial

training plan or management system.

TO/ITO Continued competence of instructors

4.25 ANSPs shall ensure that an OJTI complies with the requirements of

UK(EU) 2015/340 ATCO.B.020(g) permitted to provide an air traffic

service without any training responsibilities, for sufficient time to remain

competent on the specific sector(s) or operational position(s) for which

they provide OJT. An OJTI can only count 50% of their time acting as an

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OJTI towards the minimum operational hours required for the

revalidation of a UE.

4.26 An ANSP must include the process which is required to be undertaken

for the revalidation and renewal of the OJTI or STDI licence

endorsement in the UCS. This should include an approved course of

OJTI or STDI refresher training and for renewals, an assessment, each

of which can be undertaken at an ITO or at a unit where such a course

and method of assessment have been approved.

4.27 For STDIs who do not currently hold a unit endorsement, the TO/ITO

shall have a procedure for ensuring that they maintain a level of practical

competence sufficient to demonstrate the practical exercises and meet

the training objectives and standards relevant to the practical instruction

that they are providing. This process should be detailed in the ITO initial

training plan and/or management system or TO UTP and/or UCS.

4.28 Practical and theoretical instructors who fail to maintain competence or

who are assessed as unsatisfactory shall be withdrawn immediately from

instructional duties until they have demonstrated the required levels of

competence and have been assessed as satisfactory.

4.29 In accordance with UK Reg (EU) 2015/340 an STDI endorsement holder

must receive refresher training in current operational practices. For those

using this endorsement at an ITO, this can be achieved through

completing operational refresher familiarisation training (ORF) at least

once every three years in accordance with a procedure approved by the

CAA. The completion and retention of a report detailing the ORF

completed by an individual will be considered to meet the requirements

of UK Reg (EU) 2015/340 ATCO.C.040(b) and ATCO.C.040(c)(1) as far

as refresher training on current operational practices is concerned for an

STDI.

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Assessors

4.30 The qualification for the application of an assessor endorsement is listed

in UK Reg (EU) 2015/340 ATCO.C.055 Application for assessor

endorsement.

4.31 In compliance with UK Reg (EU) 2015/340, the assessor licence

endorsement will be issued upon receipt of the application for inclusion

into the licence by the CAA, following successful completion of the

approved assessor course.

4.32 The privileges of an assessor are listed in UK Reg (EU) 2015/340

ATCO.C.045 assessor privileges.

4.33 Additionally, assessors are approved to conduct theoretical

examinations, both written and oral, once familiar with local examination

processes.

4.34 The validity of an assessor endorsement is laid down in ATCO.C.060

Validity of an assessor endorsement.

4.35 ITO assessors can only assess or examine on rating courses for which

they hold the relevant rating. This is not the case for the basic training

course.

4.36 Appropriately licensed unit assessors may conduct Phase or level

checks/assessments during UECs.

4.37 An assessor shall:

a) have undertaken the relevant training and have had their

competence to assess or examine assured, according to the

approved training process for the course or assessment for which

they will be assessing;

b) demonstrate that they have satisfactory knowledge of the relevant

course structure, training objectives, terminal/performance objectives

and the methods of assessment and examination used.

4.38 An assessor is responsible for ensuring that:

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a) they comply with the unit’s assessment and examination

processes,

b) candidates are competent to exercise the privileges of their air

traffic controller licence on particular sectors or operational

positions at that unit,

c) candidates whose competence they are assessing towards the

issue of a UE, hold a current student air traffic controller or air

traffic controller licence issued in accordance with UK Reg (EU)

2015/340 with the relevant rating and rating endorsement if

applicable, together with an English language endorsement

Level 4 or above and a current medical certificate,

d) the candidate is fully briefed on:

i) the schedule for the assessment and examination and its

constituent parts,

ii) the persons involved and their roles in the assessment and

examination process,

iii) the right to appeal under Regulation 6 (5) of the Civil

Aviation Authority Regulations 1991 in respect of the

conduct of the assessment and examination,

e) at a unit, any UEC undertaken includes training in ABES and

human factors,

f) at a unit, the candidate has been recommended as being at an

appropriate level of competence to be successful at the

assessment and/or examination,

g) that those involved in the assessment and examination process

are appropriately licensed/qualified,

h) the assessor meets all the licensing requirements to act as an

assessor,

i) a controller who is appropriately licensed acts as safety

controller of the candidate during the assessment. This may be

one of the assessors provided they are an OJTI and hold a

valid UE appropriate to the air traffic service to be provided,

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j) the candidate is fully debriefed following the completion of the

assessment and/or examination with, if appropriate, the

reasons for the unsatisfactory result,

k) any necessary licensing documentation is completed and

submitted to the CAA.

4.39 The CAA recommends that TO/ITOs maintain the current practice of

requiring at least two supervised assessments of new assessors prior to

exercising the privileges of the assessor endorsement. Any divergence

from this process will require the ANSP or ITO to submit to the CAA an

amendment to the UCS/ITO management system for approval. All

records associated with these assessments shall be retained at the unit.

4.40 An assessor endorsement does not confer on the holder the authority to

revalidate, renew or issue a UE that has been provisionally suspended

or suspended by the CAA except in accordance with conditions set by

the CAA for the removal of the provisional suspension or suspension.

4.41 Assessors who assess during initial training, for the issue of a student air

traffic controller licence or for the issue of a new rating and/or rating

endorsement if applicable, shall conduct a proportion (minimum 10%) of

the summative assessments on the course that they are assessing. This

is to assist in confirming whether procedures and techniques observed

have been taught and established en masse where the assessor has not

been a main course instructor.

4.42 The TO/ITO should ensure that their assessors are aware of declaring

any vested interests prior to any assessment or examination taking

place.

4.43 An assessor who has a vested interest, must not conduct the

assessment and/or examination. They shall declare the vested interest

to the TO/ITO management so that a different assessor can be

appointed.

4.44 TO/ITOs must have processes, procedures and competent personnel to

ensure that:

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a) the unit/ITO has an appropriate number of suitably qualified

assessors,

b) assessors hold the relevant rating appropriate to the

assessments and/or examinations they are conducting,

c) assessors are competent to conduct the assessment and/or

examination,

d) assessors successfully complete assessor refresher training at

least every three years or, undertake renewals where their

endorsements have expired.

4.45 ANSPs that are authorised to conduct UEs, must have processes,

procedures and competent personnel to ensure that:

a) they are authorised by the CAA,

b) the unit assessor responsible for the conduct of the

assessment has a letter of authority from the CAA to act as

Board Chair in respect of initial UE assessments and

examinations (previous authorisations issued referring to

Chairperson(s) remain valid),

c) Other assessors involved in the UE assessment and

examination hold the appropriate air traffic controller licence,

ratings and relevant endorsements,

d) ATS Licensing is advised of the result of the assessment and

examination via the appropriate CAA form SRG1411.

4.46 An assessor who is assessed as no longer competent to conduct

assessments and/or examinations shall not undertake duties as an

assessor until they have been assessed as competent to do so. Should

a controller be unable to demonstrate competence as an assessor, the

ANSP must inform the CAA.

Continued competence - assessor

4.47 An ANSP must include the process which is required to be undertaken

for the revalidation and renewal of the assessor licence endorsement in

the UCS. This should include an approved course of assessor refresher

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training and for renewals, an assessment, each of which can be

undertaken at an ITO or at a unit where such a course and method of

assessment have been approved.

Board Chair

Introduction

4.48 UK Reg (EU) 2015/340 ATCO.AR.C.001 states that the CAA shall verify

compliance with requirements applicable to organisations or persons

prior to the issue of an organisation certificate or personnel licence,

certificate, rating or endorsement, as applicable.

4.49 At those ATSUs that rely on the ATS Inspector to conduct UEAs on their

behalf, the conduct of the assessment by the ATS Inspector satisfies the

CAA requirement under UK (EU) Reg 2015/340 ATCO.AR.C.001.

4.50 For those ATSUs with their own assessors, it is the decision of the ATS

Inspector on whether they choose to attend a UEA as Board Chair to

ensure verification of an ANSPs compliance with UK Reg (EU)

2015/340.AR. C.001. Guidance on the Board Chair function is described

below in this chapter.

4.51 It is recommended that ANSPs adopt similar structures and functions to

support and oversee UE assessment where the CAA elect not to attend.

in this event, ANSPs wishing to utilise a similar function to Board Chair,

should request approval from the CAA ATS Inspector. This similar

function should provide assurance to the ANSP that the training and

assessment procedures have been correctly applied and could protect

the organisation against appeals.

Function of a Board Chair

4.52 In acting in the role of a Board Chair, the individual is verifying that the

delivery of training by the ANSP has been completed in accordance with

approved training and competence plans and that the final endorsement

assessment has adequately covered the scenarios that the candidate

can expect to experience as a qualified air traffic controller.

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4.53 In order to undertake the function of a Board Chair, an individual must:

a) hold an UK ATCO licence,  

b) hold a current assessor endorsement and have held that

assessor endorsement for a minimum of two years,

c) has or has previously exercised the privileges of the rating

being assessed, and

d) have knowledge of current operational procedures at the air

traffic control position being assessed.

4.54 In undertaking this function, the Board Chair should: 

a) ensure that all required elements of the approved unit

endorsement course in accordance with the requirements set

out in UK Reg (EU) 2015/340 Part ATCO Subpart D Section 3.

have been completed satisfactorily by the candidate and

recorded accordingly; 

b) ensure that the documentation supporting the application for

the unit endorsement is completed; 

c) ensure all participants are correctly licensed to include any

associated rating endorsements and medical,  

d) ensure the candidate is thoroughly briefed about the structure

of the unit endorsement assessment including the roles or

functions of persons involved;

e) ensure that the candidate can evidence a minimum standard of

performance of a representative volume and complexity of air

traffic; 

f) ensure that the conduct of the assessment is fair and

representative of the usual operating environment;

g) ensure that the conduct of the oral examination is fair and

based upon a sufficient scope of theoretical knowledge and

understanding to support a reliable result;

h) ensure notes from the unit endorsement assessment are

collated to provide evidence to support the outcome and, where

required, shared with the CAA;

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i) for initial unit endorsement assessment for the granting of an

ATCO licence – shall ensure the candidate’s student licence is

returned to the CAA and that the newly issued ATCO licence is

signed and dated on behalf of The Authority and signed by the

candidate.

4.55 To demonstrate independence from the unit endorsement assessment,

the Board Chair should where possible and appropriate, sit remotely

from the practical assessment to minimise their influence on the

performance of the candidate but in such proximity as to enable them to

fulfill the requirements of the role. The Board Chair will observe the oral

examination and may ask supplementary questions where clarity is

required, or to examine relevant areas of scope not covered adequately

by the unit assessor.

4.56 The unit assessor will discuss and agree the outcome of the unit

endorsement assessment with the Board Chair prior to disclosing the

result to the candidate. For the candidate to be successsful, both the

assessor and the Board Chair must agree with the outcome.

4.57 On successful completion of the unit endorsement assessment, the CAA

Board Chair where attending, will sign the licence as the Issuing

Authority, but the unit assessor will be required to sign the relevant

section (XII(a)) of the ATCO licence along with the addition of their

licence number.

4.58 Where a candidate fails to achieve the required standard, the CAA may,

in addition to withholding the issue of the ATCO licence raise findings

against the training organisation should they consider that the

requirements of the training have either, not been met or have fallen

below the standard expected.

4.59 The unit remain responsible for the submission of the SRG1411D to the

CAA Licensing assessment team, confirming the outcome of the unit

endorsement assessment.

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ANSP use of the Board Chair or similar function

4.60 ANSPs that are authorised to conduct UEAs, must have processes,

procedures and competent personnel (practices approved as part of a

unit’s competence scheme relating to the use of supernumerary

assessments are sufficient to evidence the presence of process and

procedures) to ensure that:

a) they are authorised by the CAA,

b) the unit assessor responsible for the conduct of the

assessment has a letter of authority from the CAA to act as

Board chair

c) other assessors involved in the UE assessment and

examination hold the appropriate air traffic control licence,

ratings and relevant endorsements,

d) CAA Licensing assessment team is advised of the result of the

assessment and examination via the appropriate CAA form

SRG1411.

Temporary assessor authorisation

4.61 Requirements for temporary assessor authorisation are laid down in UK

Reg (EU) 2015/340 ATCO.C.065. It is considered that temporary

assessor authorisation will only be appointed in exceptional

circumstances. GM1 ATCO.C.065(b) Temporary assessor authorisation,

lists the type of exceptional circumstances that can be considered.

4.62 ATCO.C.065 Temporary assessor authorisation paragraph (d), requires

that the ANSP provides a safety analysis on how the equivalent level of

safety will be ensured if a temporary assessor authorisation is issued.

4.63 For clarification, this authorisation allows the holder of a valid assessor

endorsement to undertake certain assessments, not for the award of an

assessor endorsement where one was not obtained previously.

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Theoretical examiner

4.64 Normally reserved for use at an ITO, the purpose of this position is to

enable theoretical examinations to be conducted without the requirement

for an assessor endorsement. The TO/ITO shall detail to the CAA the

qualifications and training required to become a theoretical examiner, but

as a minimum a theoretical examiner shall; demonstrate an

understanding of the TO/ITO methodology for the conduct of theoretical

examinations; and shall normally conduct at least two examinations

under supervision to the satisfaction of the TO/ITO before they can

examine independently.

4.65 A theoretical examiner who is conducting oral examinations using

scenario based questions on ATC operations shall hold an air traffic

controller licence in the relevant rating, unless during the initial training

basic course where any rating is sufficient.

Summative report writer

4.66 A summative report writer is an STDI who, following appropriate training,

is able to conduct, monitor and record summative assessments at an

ITO.

4.67 This facility enables the use of staff who are not assessors to conduct

summative assessments and provide evidence for the assessment.

4.68 The ITO shall detail to the CAA the qualifications and training required to

become a summative report writer, but as a minimum a summative

report writer shall;

a) demonstrate an understanding of the ITO methodology for the

conduct of practical assessments; and

b) shall conduct at least two summative assessments and reports

under supervision to the satisfaction of the ITO before they can

act independently in this respect.

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STD input staff

4.69 The TO/ITO shall ensure that STD input staff are appropriately trained

and competent to conduct the tasks relevant to ATC training.

4.70 The TO/ITO shall ensure that the methodology used to train STD input

staff is recorded in the management process.

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Chapter 5

Conduct of Training Courses

Course compliance

5.1 TO/ITOs shall ensure that a training course remains compliant as per the

course approval. The accountable manager is ultimately accountable for

ensuring that appropriate processes are in place such that, theoretical

and practical instruction is given in accordance with the relevant

regulations with respect to both content and delivery.

5.2 In the event of any unexpected circumstances which may involve issues

regarding compliance with the course approval, the TO/ITO must contact

the relevant CAA Principal Inspector or ATS Inspector (Training) for

advice.

5.3 In accordance with the published change management process,

changes to elements such as minor changes to the programme, lesson

material etc. which do not affect the course approval may be made

without the approval of the CAA although such changes must be

recorded.

5.4 For initial training courses, where practical training times on a course are

deemed necessary to be adapted in accordance with the learning rates

of individual learners, provided such adaptations are within 10% of the

time normally spent on a particular subject or phase, no approval from

the CAA need be requested, however notification should be given.

Additionally, changes to the total course length greater than 10% of the

course require prior approval from the relevant CAA ATS Inspector.

5.5 When using another TO or ITO for course delivery, it remains the unit’s

responsibility to ensure that the training is conducted in accordance with

any such approval and under the requirements of ‘contracted activities’

detailed in UK Reg (EU) 2015/340 ATCO.OR.C.005.

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Course administration

5.6 The TO/ITO shall inform the CAA of the nominal roll for all:

a) Initial Training courses,

b) Practical instructor and assessor training courses,

c) Adapted UECs undertaken at an ITO and

d) All APCs.

using CAA form SRG1418 at least 3 weeks prior to course

commencement. Where this is not possible, the form SRG1418 should

be submitted as soon as possible by email stating the reason for the

later submission. This form also requires the result of the English

Language assessment, normally made during the first rating course

undertaken by the individual learner. This process detailed in Chapter 8

of this document.

The form shall be re-submitted as soon as possible on completion of the

assessment with the result appended.

5.7 Other records to be retained by the TO/ITO are referenced in Appendix

B of this document.

Course objectives

5.8 The training and performance objectives required for the satisfactory

completion of each initial training course are specified in the UK Reg

(EU) 2015/340 and associated AMCs and UK CAP 794 which details the

terminal objectives for basic and the relevant rating courses including

national requirements and procedures.

5.9 The training and performance objectives required for the satisfactory

completion of other training courses shall be created by the TO/ITO and

form part of the course submission through a course design document,

detailed in Appendix C of this document.

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Chapter 6

Assessments and Examinations for TO/ITO

Assessment and examination method for approval

6.1 An assessment method should be valid, reliable, relevant and fair.

6.2 In order for an assessment method to be approved by the CAA it should

include as a minimum:

a) performance objectives/competency requirements.

b) context and conditions for the assessment i.e.

i) timing(s),

ii) type of assessment (continuous/summative/dedicated

practical, etc.),

iii) assessment environment (Operational/STD),

iv) intended complexity/density of traffic for operational

delivery, or scripted complexity/density for STD based

assessment, this assists in ensuring repeatability and

fairness,

v) where delivered operationally, procedure(s) for unusual or

unexpected events e.g. if ABES situation occurs, use of

safety controller etc. which should form part of the briefing;

c) evidence gathering tool(s) (i.e. report form, etc.);

d) grading scale, where appropriate.

6.3 An examination process should include

a) theoretical subject/topic(s) to which the exam relates, and how

these are mapped to requirements,

b) example questions for each type of exam (oral / written),

c) grading/marking system,

d) required pass mark;

e) context and conditions for the assessment i.e.

i) timing,

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ii) mode of delivery (computer (multi choice or

other)/written/oral etc.),

iii) examination environment.

Assessment and examination processes

Initial Training

6.4 In accordance with UK Reg (EU) 2015/340, ATCO.D.015(g) – Initial

Training Plan (ITP), ITOs must have established processes for

examinations and assessments for basic training courses and rating

training courses. These processes must be approved by the CAA as part

of the ITP.

6.5 Basic training examinations and assessments shall be compliant with UK

Reg (EU) 2015/340 ATCO.D.025 and shall cover at least the basic

training performance objectives described in UK Reg (EU) 2015/340

ATCO.D.030 and associated AMCs, as well as CAP 794, where this is

delivered as part of the Basic course.

6.6 Rating training examinations and assessments shall be compliant with

UK Reg (EU) 2015/340 ATCO.D.035 and shall cover at least the rating

training performance objectives described in UK Reg (EU) 2015/340

ATCO.D.040 and associated AMCs, as well as CAP 794.

6.7 Each ITO basic and rating course shall contain at least one written and

one oral (theoretical) examination together with a practical assessment

of which for the rating courses, the terminal objectives are detailed in

CAP 794 for that course.

6.8 It should be noted that each objective required by UK Reg (EU)

2015/340 and associated AMCs, as well as CAP 794 should be

evidenced as available to be assessed or examined at some point in the

testing process. A question bank for written and oral examinations

should be available for such use.

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6.9 Learners presenting themselves for an examination or summative

assessment shall be deemed fit to take that examination or summative

assessment.

6.10 Any learner failing to attend a scheduled summative assessment or

examination shall be deemed unsatisfactory unless the appropriate ITO

Manager is satisfied that there was just cause for the absence, in which

case the summative assessment(s) or examination may be re-

scheduled.

6.11 In accordance with UK Reg (EU) 2015/340 ATCO.OR.D.005, ITOs shall

provide learners with the results of their examinations and assessments

as well as the appropriate certificates.

Initial training assessments

6.12 Assessments shall only be conducted by qualified assessors.

6.13 The practical assessment for the rating course at the course terminal

objective level shall comprise a minimum of five summative exercises, all

of which a learner must complete.

6.14 Should there be a partial or temporary failure of the STD or its

associated equipment, provided that this occurs no more than five

minutes prior to the normal end of the exercise, this will be considered

sufficient to support a reliable assessment result. Any such occurrence

must be recorded on the summative report.

6.15 A report shall be written by an appropriately qualified summative report

writer (SRW) or assessor for each summative exercise forming part of a

practical assessment. Such a report shall contain sufficient information

about the learner’s practical performance in that exercise to contribute to

the overall assessment of the learner’s performance. Each report must

be signed by the reporting SRW/assessor and by the learner.

6.16 If during a summative exercise there is a technical issue which does not

disrupt the simulator run, the fact should be recorded on the report form

together with the time it occurred and summary of the issue.

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6.17 Under exceptional circumstances, it may be necessary for an instructor

to give advice or help during a summative exercise, to prevent unfair and

adverse impact on either the learner whose performance they are

reporting on or another learner. In this event, the assistance provided

should be fully detailed in the report including the reasons for the

intervention. The description must be sufficient to enable the assessor to

judge the impact on the exercise of the advice or help given.

6.18 The course assessor shall collate the summative assessment reports

and determine the result as satisfactory or unsatisfactory against the

performance objectives detailed in the approved course documentation.

Final practical assessment results must be attributed to the assessor

who assesses the learner's overall performance.

6.19 In making the practical assessment, the assessor must use the

standardisation processes in place within the ITO. This may include

practical summative exercise sampling, using standardised comparators

and consultation with other assessors.

6.20 It is the responsibility of the ITO to ensure standardisation of results. The

processes ensuring this should be described to the CAA within the initial

training plan or management system.

6.21 An ITO shall not, under any circumstance, permit learners to practice

summative exercises for a rating course which they may undertake. This

includes cloned or any exercises which may be very similar to

summative exercises and also by acting as simulator input personnel

during summatives.

Initial training assessment and examination outcomes

6.22 A learner who does not achieve a satisfactory practical assessment has

failed the course.

6.23 A learner shall be entitled to two attempts at a written or oral

examination, during a single course.

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6.24 A learner who does not achieve a satisfactory result after two attempts at

a written or oral examination shall have failed the course.

6.25 Should a learner fail a course, they may re-attempt the course. They

shall be required to complete that part of the approved course which the

ITO training team deem appropriate following training analysis through a

process approved by the CAA as part of the initial training plan. This

training analysis shall be notified to the CAA ATS Inspector (Training).

6.26 If a period of more than twelve months has elapsed since the date of

failure, the learner shall be required to complete the course in full.

6.27 A learner unsuccessful at a second attempt at a course shall be required

to undertake that course in full. No credits from a previous course will be

carried forward.

6.28 If, during initial training, a period of more than twelve months separates

the successful completion of basic training and the commencement of

the first rating training course, the ITO shall carry out theoretical

examinations (written and oral) of the learner's retained knowledge. The

pass mark is 75%. If necessary the learner will be required to carry out a

period of remedial training and examination in relevant Basic training

objectives before commencing rating training.

Courses other than Initial training

6.29 In accordance with UK Reg (EU) 2015/340,

a) ATCO.D.055(b)(9) – UTP (inc.UECs),

b) AMC1 ATCO.D.080 - Refresher training,

c) ATCO.D.085(c) - Conversion training,

d) ATCO.D.090 (a) - Practical instructor training including

refresher,

e) ATCO.D.095(a) - Assessor training including refresher,

Any method of assessment must be approved by the CAA. See para 6.1

and 6.2 above.

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Assessment reports

6.30 An assessor shall ensure the evidence is:

a) clear – there is no ambiguity or lack of understanding from the

recorded evidence and the language used is descriptive;

b) complete – the evidence accounts for all elements required in

the assessment process;

c) correct – any grades afforded are attributable to the evidence

presented and any written accounts are a correct depiction of

the events;

d) concise – objective and stays to the pointn.

TO/ITO Examination processes

6.31 Examinations undertaken in respect of knowledge acquired from remote-

learning courses shall be carried out under supervised conditions at the

TO/ITOs premises, unless in exceptional circumstances when approved

by the CAA.

6.32 TO/ITOs shall conduct theoretical examinations in accordance with

Appendix E of this document.

6.33 It is the responsibility of the TO/ITO to ensure standardisation of results.

The processes ensuring this should be described to the CAA within the

initial training plan.

OJTI/STDI and assessor refresher training verification

6.34 UK Reg (EU) 2015/340 refers to training which should be verified as

satisfactrorly completed prior to revalidation of OJTI/STDI and assessor

endorsements, with the regulation providing guidance material with an

indication of how this may be achieved. See also Chapter 13 for more

information.

6.35 Such verification is not the same as that previously defined in the UK

and undertaken by unit “verifiers”. This form of verification means that

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the unit are assured that the candidate has satisfactorly completed the

course.

6.36 UK Reg (EU) 2015/340 GM1 for ATCO.C.020(b),040(b) and 060(b)

indicate that as a minimum, a demonstration is required of the practical

skills of the person following receipt of training (which can be achieved

by operational/STD/other means).

6.37 As these associated endorsements are practical by nature, a theoretical

examination is not considered suitable for this purpose, hence why the

GM in UK Reg (EU) 2015/340 details only ‘practical type’ options. This

process of verification should be detailed either in the UCS, or when

combined in a refresher course, within the course submission. Such

detail should include similar elements listed in para 6.2 above.

6.38 Where a unit uses the services of another TO/ITO for delivery of this

refresher training, they should ensure that verification is included in the

course, otherwise the Unit would be required to provide such verification

before applying for revalidation of the endorsement.

6.39 It should be noted that verification is not necessary for renewals, as the

assessment required here achieves this aim.

Appeals

6.40 Any learner who believes that they have been disadvantaged by the

conduct of an examination and/or assessment shall have a right of

appeal under CAA Regulation 6(5) of the Air Navigation Order within 14

days of the outcome of the assessment or examination. Guidance is

available in CAP 1049. Such an appeal does not apply to disagreement

over a professional judgement.

6.41 It is strongly recommended that TO/ITOs establish and publish an

internal appeal procedure for examinations and assessments, which

should be communicated to the candidates prior to any

examination/assessment. This ensures the candidate can appeal directly

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to the TO/ITO management rather than relying solely upon the ANO

Regulation 6 (5) appeal mechanism.

6.42 TO/ITOs shall maintain records which show that learners have

acknowledged receipt of the appeal procedure.

6.43 A learner who has attempted an examination and/or assessment will not

be permitted to subsequently appeal on the grounds of medical fitness

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Chapter 7

Medical Requirements

Medical fitness

7.1 The holders of student ATCO and ATCO licences are required to have a

minimum standard of medical fitness to ensure they are fit to provide an

air traffic service and to minimise, as far as possible, the risk that they

will become suddenly incapacitated to an extent that the safety of aircraft

could be compromised.

Medical certification

7.2 In order to provide an air traffic service, ATCOs and student ATCOs are

required to hold a valid UK Class 3 medical certificate in accordance with

UK Reg (EU) 2015/340 ATCO.MED.A.030. An ATCO or student ATCO

licence is not valid when the holder is assessed as being unfit. In such

circumstances the holder of an ATCO or student ATCO licence is not to

provide air traffic services even though the medical certificate held may

not have expired or been returned to the Aeromedical Examiner (AME)

or the CAA.

7.3 Holders of a medical certificate should:

a) ensure that their medical certificate is revalidated by the due

date (to avoid controlling without a valid certificate/licence);

b) ensure that investigations and special tests are completed

when required as failure to meet the requirements can mean

that the medical certificate is rendered invalid.

7.4 The holder of a student or ATCO licence is to notify their unit

management when:

a) there is either a decrease in their medical fitness that might

render them unable to safely and properly exercise the

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privileges granted by their licence, or is assessed as unfit at a

medical examination; or

b) any operational medical limitations or conditions are placed on

the medical certificate.

7.5 Air traffic service providers are advised to have procedures and

competent personnel to check that student and ATCO licence holders

hold valid medical certificates and are compliant with any operational

limitations.

7.6 ANSPs shall ensure that a controller who is assessed as medically unfit

to hold an air traffic controller licence is withdrawn from operational duty.

Decrease in medical fitness

7.7 In accordance with UK (EU) Reg No. 2015/340 ATCO.MED.A.020,

licence holders shall not exercise the privileges of their licence at any

time when they:

a) are aware of any decrease in their medical fitness which might

render them unable to safely exercise those privileges;

b) take or use any prescribed or non-prescribed medication which

is likely to interfere with the safe exercise of the privileges of

the licence;

c) receive any medical, surgical or other treatment that is likely to

interfere with the safe exercise of the privileges of the licence.

7.8 Holders of UK Class 3 medical certificates shall, without undue delay

and before exercising the privileges of their licence, seek aero-medical

advice when they:

a) have undergone a surgical operation or invasive procedure;

b) have commenced the regular use of any prescribed

medication;

c) have suffered any significant personal injury involving any

incapacity to exercise the privileges of the licence;

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d) have been suffering from any significant illness involving any

incapacity to exercise the privileges of the licence;

e) are pregnant;

f) have been admitted to hospital or a medical clinic;

g) first require correcting lenses.

In these cases the Aeromedical Centre (AeMC) or AME shall assess the

medical fitness of the licence holder or student air traffic controller and

decide whether they are fit to resume to exercise their privileges.

7.9 When a licence holder whose medical certificate has been suspended

believes that they are fit to resume their functions, they should seek

advice from their AME.

7.10 The holder of the medical certificate shall comply with any limitations or

conditions on their medical certificate.

7.11 If an applicant for a medical certificate has been assessed as unfit or a

limitation has been placed on their medical certificate, they may request

a secondary review or appeal of the medical decision. This procedure is

available on the CAA website - Appeals.

Use of psychoactive substances

7.12 The holder of a student ATCO or ATCO licence shall not exercise any of

the privileges of their licence while under the influence of psychoactive

substances, including any medication that renders them unable to

exercise the privileges of their licence safely and properly.

7.13 An ATCO or student ATCO who is exercising any of the privileges of

their licence while under the influence of psychoactive substances may

not be aware that their judgement and skill have been degraded to the

extent that the service being provided is unsafe or their actions

inappropriate. This may be the case where psychoactive substances are

being abused, or where medicines have been prescribed by a doctor, or

non-prescription medicines obtained for a minor illness.

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7.14 In such circumstances, licence holders must obtain advice from their

AME and/or information to enable them to decide if they should, or

should not, exercise the privileges of their licence while taking specific

medication.

7.15 Air Traffic Service Providers shall have a robust drug and alcohol policy,

and Unit managers should consider their obligations under the Railways

and Transport Safety Act 2003, and relevant parts of UK (EU) Reg No.

2017/373. A controller who is suspected of being under the influence of

psychoactive substances shall be immediately withdrawn from

operational duty by the unit.

Medical examinations

7.16 Unit Medical Examinations are conducted by Aeromedical Examiners in

accordance with UK Reg (EU) 2015/340 PART.ATCO.MED. Initial

medical examinations have to be performed in an approved Aeromedical

Centre.

7.17 ATCOs must take their most recent medical certificate with them when

attending medical examinations or assessments.

7.18 Applicants should ensure that:

a) communication can be established with their AME without

language barriers;

b) they are aware of the consequences (including suspension or

revocation) of providing incomplete, inaccurate or false

statements on their medical history;

c) they provide the AME with a complete medical history and the

evidence necessary to make a full and proper assessment of

their case. Additional tests or reports may be required;

d) they comply with the aeromedical advice provided.

7.19 Medical certificates are valid for a period of 2 years from the date of the

medical examination when undertaken under the age of 40 (not later

than age 41) and annually thereafter.

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Note: A medical undertaken at the age of 39 will only be valid until the

41st birthday.

7.20 ATCOs must return the medical certificate to the CAA when it is revoked,

or on request when temporarily or provisionally suspended.

Medication - Guidance for air traffic controllers

7.21 See UK (EU) Reg No. 2015/340 GM1 ATCO.MED.A.020 for details.

Online medical system - CELLMA

7.22 The CAA medical records system (Cellma) can be accessed as a service

via the CAA Customer Portal. This online system replaces all existing

paper-based application forms and allows applicants to register for the

service, view their own medical records and track the progress of

applications and referrals to the Authority.

7.23 The CAA medical webpage should be accessed to obtain details on how

to find an Aeromedical Examiner (AME) and Aeromedical Centre

(AeMC).

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Chapter 8

English Language Proficiency Assessment for Controllers

General

8.1 The requirements for language proficiency assessment of air traffic

controllers differs significantly from those for pilots or others. In

accordance with UK Reg (EU) 2015/340 the language proficiency

assessment of air traffic controllers shall be designed to reflect the tasks

undertaken by an air traffic controller, with regards to effective

communication visually and non-visually in routine and non-routine

circumstances.

8.2 Any method of ATCO language proficiency assessment must follow the

CAAs requirements detailed below, in compliance with UK Reg (EU)

2015/340 ATCO.AR.A.010(a)(9) and be approved by the CAA. This

method of assessment shall contain the assessment process; the

qualifications of the language proficiency assessors (LPA) and the

appeals procedure.

8.3 It should be noted that language proficiency endorsements issued by

other states will not be recognised by the CAA.

Requirements for language assessment bodies (LAB)

8.4 These requirements are made in accordance with UK Reg (EU)

2015/340 ATCO.AR.A.010 (a)(9).

8.5 An ATCO LAB will only be considered for approval if certified as either a

TO or ITO under UK Reg (EU) 2015/340.

8.6 LABs and their English language assessment process shall comply fully

with UK Reg (EU) 2015/340 ATCO.B.040 and its AMCs.

8.7 Furthermore it is required that LABs employ a sufficient number of LPAs

for their requirements.

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Requirements for training of LPAs

8.8 These requirements are made in accordance with UK Reg (EU)

2015/340 ATCO.AR.A.010 (a)(9).

8.9 The framework for the training and assessment of LPAs is captured in

Appendix D of this document.

8.10 A LAB should have a method for refreshing the language assessment

skills of LPAs which must be approved by the CAA.

Process for initial ELP assessment

8.11 The initial assessment for an English language proficiency endorsement

for a UK ATCO licence may take place;

a) during initial training on an advanced phase practical exercise

of an air traffic controller rating course or,

b) during the practical STD assessment of an adapted UEC or

APC when undertaken at a UK certified ITO which is also a

certified LAB,

c) attendance anytime at a UK certified LAB for a full English

language proficiency assessment.

8.12 This assessment may be conducted by ELAs who are only trained to

assess at English expert level 6 of the ICAO Language Proficiency

Rating Scale.

8.13 Where the candidate is not assessed as Expert Level 6, a full language

proficiency assessment shall be undertaken as per 8.11 (c) above.

8.14 The CAA process requires an English LPA to be undertaken when:

a) Required for the initial student licence application in

accordance with 8.11 (a) above;

b) a candidate has failed to demonstrate English Language

Proficiency at the Expert Level (Level 6) in accordance with

8.11 (a) and (b) above; or

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c) an English Language Proficiency Endorsement at Level 4 or

Level 5 held by an air traffic controller licence holder is due for

a revalidation or renewal;

d) specifically required by the CAA.

Assessment standardisation

8.15 The assessment must be conducted by two qualified English LPAs

whose first language must be English, one of which must be the holder

of an air traffic controller licence and the other must be an English

language expert with aviation experience. One should act as an

interlocutor, the other the assessor.

8.16 The assessment shall be conducted in part on an ATC simulator or in a

simulated ATC environment in order to reflect the tasks undertaken by a

controller.

8.17 The assessment must elicit plain language together with both standard

and non-standard RTF phraseology. The main factor with the

assessment is to encourage conversation primarily from the candidate.

8.18 The assessment must be capable of differentiating between Levels 4, 5

and 6 of the ICAO Language Proficiency Rating Scale.

8.19 The assessment must enable evaluation and recording of all 6 elements

of the ICAO Language Proficiency Rating Scale, being: pronunciation,

structure, vocabulary, fluency, comprehension and interaction in

compliance with UK Reg (EU) 2015/340 Appendix 1 of Annex 1.

8.20 In order to standardise across industry and in accordance with UK Reg

(EU) 2015/340 AMC4 ATCO.B.040(d)(6), as a minimum the CAA

requires the assessment to include the components listed below in 8.21.

8.21 The assessment should take no longer than 60 minutes in total, with 30-

40 minutes of non-simulated topics consisting of:

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a) candidate background/aviation interests (useful to encourage

fluency devices to be assessed - discourse markers,

connectors, varying speech flow);

b) aviation/aircraft related pictures descriptions e.g. non-standard

events, emergency, general aviation activities;

c) listening comprehension with recall based on aviation

event/transcript(s) and using varying voice samples

(accent/gender/speed/pronunciation) where possible;

d) standard English language grammar questions (basic and

complex grammatical structures);

e) a simulated ATC based environment lasting 10-20 minutes,

consisting of:

i) Events scripted to require the candidate to handle the

linguistic challenges presented by a complication or

unexpected turn of events that occur within the context of a

routine work situation or,

ii) communicative task with which they are otherwise familiar,

this requires comprehension and encourages interaction

from the candidate.

8.22 Any examinee who believes that they have been disadvantaged by the

conduct of an examination and/or assessment shall have a right of

appeal under CAA Regulation 6(5) of the Air Navigation Order within 14

days of the outcome of the assessment or examination. Such an appeal

does not apply to disagreement over a professional judgement.

Assessment validity, relevance and reliability

8.23 Any submitted assessment for approval must have been evaluated for its

validity, relevance and reliability through documented statistical analysis.

Detailed documentation of the design, development, and analysis of the

ELA program should be collected and maintained. It should show how

the assessment process has been designed and analysed through a

sufficient number of trial evaluative assessments to confirm the

following:

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a) validity - arguably the most important criteria for the quality of a

test and refers to whether or not the test measures what it

claims to measure. On a test with high validity the items will be

closely linked to the test's intended focus. For certification tests

such as the ELA, this means that the items will be highly

related to the ATCO role. If a test has poor validity, then it does

not measure the task-related content it requires. In this case,

there is no justification for using the test results for their

intended purpose. There are several ways to estimate the

validity of a test including content validity, concurrent validity,

and predictive validity;

b) relevance - strong content validity (i.e. the elements need to

have a high degree of “job relatedness” – UK Reg (EU)

2015/340 refers to ‘reflect the tasks undertaken by air traffic

controllers, but with specific focus on language rather than

operational procedures and knowledge.’);

c) reliability - of an examinee's performance on the test. For

example, if an ELA with high reliability was administered to a

candidate on two occasions, it is very likely that the same

conclusion about the examinee's performance would be

reached each time. An ELA with poor reliability on the other

hand, might result in very different scores for the examinee

across the two ELAs. If an ELA yields inconsistent scores, it

may be unethical to take any substantive actions on the basis

of these results;

d) fairness - the fairness of an exam refers to its freedom from any

kind of bias. Although not specifically covered in UK Reg (EU)

2015/340, the ELA should be designed to be appropriate for all

candidates irrespective of race, religion, gender, or age. The

ELA should not disadvantage any candidate, or group of

candidates, on any basis other than the candidate's lack of the

knowledge and skills the ELA is intended to measure.

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8.24 The assessment validity, relevance and reliability detailed above shall be

undertaken for both levels 4 and 5, and level 6 as per UK Reg (EU)

2015/340 AMC4 ATCO.B.040(d)(4)and (5).

Records and documentation

8.25 The LAB must maintain records of all language proficiency assessments

in accordance with existing requirements for record-keeping in respect of

approved course assessments.

8.26 The outcome of the assessment is to be recorded on a certificate that is

to be issued to the individual. The certificate must include the items

detailed at Appendix D of this document.

8.27 The LAB is to report the outcome of revalidation and renewals to CAA

Licensing Assessment using CAA form SRG1426.

Continued proficiency

8.28 In accordance with UK Reg (EU) 2015/340 ATCO.B.045, ANSPs shall

make available language training to Level 4 English language proficiency

endorsement holders, in order to maintain this minimum required level of

proficiency.

8.29 Following a revalidation or renewal assessment, an air traffic controller

who is assessed below ICAO level 4 English language proficiency must

not provide an air traffic service.

8.30 Subsequent to an air traffic controller having not achieved ICAO level 4

ELP, an appropriate period of linguistic training (typically over a number

of months) should be undertaken prior to an additional assessment

being attempted. If the result remains below ICAO level 4 ELP then the

CAA shall be informed.

8.31 If an air traffic controller fails to revalidate their English language

proficiency endorsement before the date of its expiry, they must not

provide an air traffic service until such a time as they have successfully

undertaken a renewal assessment of English language proficiency.

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Chapter 9

Assessment of Previous Competence (APC)

Requirement

9.1 An assessment of previous competence (APC) is required for student air

traffic controllers or air traffic controllers who have not exercised the

privileges of their licence/rating for specified periods of time. The

relevant time periods are laid down in UK Reg (EU) 2015/340

ATCO.B.001(d) Student air traffic controller, B.005(e) Air traffic controller

licence or ATCO.B.010(b) Air traffic controller ratings.

9.2 Theoretical examinations (written and oral) of retained knowledge will be

required for individuals who have completed a basic course but have not

commenced a rating course within a period of one year of successful

completion of the basic course.

9.3 In addition to the UK Reg (EU) 2015/340 requirements above, an APC

may also be required at the direction of the CAA.

9.4 Also, should a period of twelve months or more elapse since last

undertaking OJT, then an APC will be required.

9.5 In accordance with UK Reg (EU) 2015/340 ATCO.B.001(d), the APC

must be carried out by a training organisation certified to conduct initial

training relevant to the rating. The assessment must be carried out

against the terminal objectives of the relevant rating course and by

assessors competent to assess that rating.

9.6 The certified ITOs submission of the APC process shall include details of

the assessments to be used, including how they meet the terminal

objectives in CAP 794 and comply with UK Reg (EU) 2015/340. Where

the assessment uses summative exercises from the approved initial

training course, these shall be listed.

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APC Administration

9.7 Candidates who are required to undertake an APC must apply to the

CAAs Licensing assessment team at ats.[email protected] in order to

confirm their eligibility to undertake an APC. A letter of eligibility will be

issued to the candidate of which a copy must be submitted to the training

organisation who intends to conduct the APC. An ITO shall not conduct

an APC without the CAA letter of eligibility being provided.

9.8 ITOs approved to conduct APCs should notify the CAA using CAA form

SRG1418 at least 30 days before the assessment is planned to take

place except where authorised.

9.9 An ATS Inspector may attend any APC.

Conduct of an APC

9.10 An APC is not a training course. An initial period of time should be

provided for familiarisation of the ITOs airspace, procedures and

simulator prior to the assessment taking place. During this period of

familiarisation, guidance on the use of the STD can be given without

providing actual ATC skills instruction.

9.11 Prior to undertaking the practical assessment, the candidate shall have a

technical interview by the assessor to establish the present level of both

retained knowledge from the basic and rating courses, and knowledge of

any related document updates. This technical interview can be in the

form of a condensed oral examination.

9.12 If the evidence from the interview indicates to the assessor there are

deficiencies in retained knowledge, the candidate shall be required to

undertake written and/or oral examination(s) to positively determine their

present level of knowledge and understanding. These examinations shall

be based upon the syllabus from the approved initial training courses

(basic and associated rating) and recent ATC document updates. The

decision as to whether a written and/or oral examination is necessary

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lies with the ITO assessor but should be evidenced in the final CAA

report.

9.13 Should a theoretical examination deliver an unsatisfactory result, a

debrief may be given and a period of time afforded for revision (minimum

one day) prior to a resit being provided.

9.14 At the end of the STD familiarisation period, the candidate shall

undertake one or more practical summative assessment(s) from the

approved list in accordance with the CAA approved APC assessment

process.

9.15 The ITO shall submit to the ATS Inspector (Training) a report showing

the areas covered and the outcome of the assessment. Where a written

and/or oral examination are provided, the results shall also be included,

together with information on any areas of deficiency (below 75%). Such

a deficiency cannot remain outstanding and must be addressed prior to

a satisfactory result being gained.

9.16 The report shall be written in the format of the Assessment for Previous

Competence Report in Appendix A of this document.

9.17 The report shall include a recommendation to either progress onto unit

training or to address those areas of deficiency in need of additional or

remedial training; such training could be delivered at the ITO or at the

relevant unit depending on the subject matter. This decision will be made

in consultation with the Inspector ATS (Training), the ITO and the Unit

management.

9.18 In circumstances where additional initial rating training is required to

bring the individual up to rating standard again, the scenario may arise

where the individual again fails to achieve the rating standard following

an additional APC. In this event, consultation with the Inspector ATS

(Training) is required as licensing action may result.

9.19 The ITO shall make available the assessment of previous competence

report to the individual who has undertaken the assessment.

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9.20 Assessments of previous competence fall under the provision of CAP

393 – Air Navigation Order Part II, Regulation 6(5) and individuals may

appeal against the conduct of the assessment of previous competence

direct to the CAA within 14 days of the assessment result.

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Chapter 10

Unit Training

General administrative procedures

10.1 Unit Training must provide the student or trainee air traffic controller with

the necessary skills and knowledge to a level of competence that

ensures that they are able to deliver safely an operational service at that

unit and comply with UK Reg (EU) 2015/340 Annex 1 – Part ATCO,

Subpart D Section 3 - Unit training requirements; associated AMCs; Unit

specific Performance Objectives, and if a previously exchanged or

recognised licence from an EU/ECAC member state, that of the relevant

rating in CAP 794.

10.2 A training organisation who intends to provide unit training shall submit

an application and follow the processes described in Chapter 2 of this

document in order to obtain CAA certification.

10.3 A TO shall submit for approval to the CAA a UTP which incorporates a

UEC for each unit endorsement at the unit.

10.4 The previously required process for ATC evaluators and verifiers on a

UTP at certain units has been withdrawn. UK TOs may operate a locally

defined, CAA approved system and detailed in the UTP in its place.

10.5 Units shall notify their Inspector ATS and retain the acknowledgement,

when a candidate commences or is removed from the unit training plan.

10.6 All UECs shall be submitted to the CAA for approval.

10.7 The UTP shall be fully documented, indicating compliance with UK Reg

(EU) 2015/340 ATCO.D.055 Unit training plan (b).

10.8 In the case of an ATC unit at which controllers may be awarded a

Surveillance Radar Approach Endorsement to the Approach Control

Surveillance Rating, in compliance with ICAO Annex 1, 4.5.2.2.1(c), the

minimum number of Surveillance Radar Approaches which a student or

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trainee controller must complete prior to an assessment of competence

being undertaken must be included.

Note: Any training provided in excess of the ICAO Annex 1 minimum can

be simulated using equipment reflecting the operational environment.

10.9 Where OJT has commenced within the required twelve months of a

successful initial rating course or completion of an APC, but is then

subsequently interrupted or stopped, an ANSP shall:

a) advise the relevant Principal Inspector/ATS Inspector of the

interruption or cancellation of the training and,

b) assess whether any additional training is needed by the air

traffic controller prior to recommencing a UEC or starting a

UEC at a different unit,

Note: the assessment should take into account, but not be

limited to, factors such as the length of time that training has been

interrupted, whether the controller affected has remained within the

ATM operations environment in some other capacity and, at what

stage in the UEC the previous training ceased.

Reviewing and amending the UTP and UECs

10.10 The UTP and associated UECs shall be reviewed in accordance with UK

REG (EU) 2015/340 ATCO.D.055.

10.11 Changes to the UTP or UECs required as a result of a review should

follow the change management process detailed in Chapter 2 of this

document. Any such changes should be recorded in the UTP or

management system.

Development of UTP and UECs

Phases of unit training

10.12 Because all operational ATC units are different, student and/or trainee

air traffic controllers will require specific unit training in addition to initial

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training before commencing OJT. Unit training may vary, from the

student/trainee air traffic controller being required to become familiar

with the local area and unit procedures, to complex courses using high

fidelity simulators to prepare for high traffic levels and/or complex unit

procedures.

Transitional training phase

10.13 The objective of transitional training is to take students/trainees from the

level of knowledge and skill they will have reached on successful

completion of initial training to a level where they can commence pre-on-

the-job training, or at less complex units with no pre-on-the-job training,

proceed directly to OJT.

10.14 Transitional training consists generally of classroom sessions or guided

self-study during which the student learns about the unit, its

environment, associated airspace and ATC procedures. Training and

assessment in the application of ATC procedures may include the use of

part task and full task training on STDs that do not replicate the

operational environment to a high level of reality. The success of this

training, that is, the results of written or oral assessments and, where

appropriate, practical exercises should be assessed before progression

to the next phase of training.

10.15 In accordance with UK REG (EU) 2015/340 AMC1 ATCO.OR.C.015(b),

any STD used during transitional training must be approved as part of

the UEC approval process. In addition, the TO is required to

demonstrate how the STD and the associated exercises will provide

adequate support for the particular training plan.

Pre-on-the-job training

10.16 This term is interpreted to indicate the phase where information on

individual tasks delivered during transitional training, are integrated into

practical application of the whole task in a simulated local environment.

10.17 The quality of any STD will determine the extent to which it may be used

in the training plan. STDs for pre-on-the-job training must be able to

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generate the operational environment to the extent that all ATC

procedures relating to a particular operational position or sector can be

applied at the same time. This does not necessarily mean that the STD

must be a true representation of the operational position, but it must

enable the student/trainee to meet the stated objectives of this phase of

training.

On-the-job training (OJT) Phase

10.18 During this phase students/trainees will be exercising the privileges of

their ATC licence providing an air traffic control service under the

supervision of an OJTI, who must hold a valid rating and UE appropriate

to the service being provided.

Unit endorsement course development

Introduction

10.19 The detail for each UEC associated with the unit may be contained in an

appendix in the UTP or as a separate document, referenced in the UTP.

10.20 Any sources of information required for Unit specific theoretical

knowledge during training must be referenced within the UEC. e.g.

ICAO/assimilated EU regulations, UK CAPs, Unit Documents i.e. MATS

Part 2.

10.21 Although the unit training conducted before OJT does not directly

impinge on safety, it should provide a sound basis on which the safety

critical OJT will be built. The unit will need to determine what knowledge

and abilities are required prior to OJT. This determination will establish

the training objectives and also whether transitional training alone, or

transitional and pre-on-the-job training are required. The objectives of

each of these phases must be detailed in the UEC which ensures both

students/trainees and OJTIs are aware the aims and objectives and

skills required prior to OJT.

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Surveillance Radar Approaches (SRA)

10.22 For initial SRA endorsement the minimum number of SRAs shall be 25

in accordance with ICAO Annex 1 and subject to any associated UK AIP

differences.

10.23 It is the responsibility of the ANSP to use the Risk Assessment process

in accordance with (EU) 2017/373, to determine the number of SRAs

required for the subsequent issue of a UE at a new unit. In determining

this number the ANSP shall consider the air traffic controller’s

qualifications and experience. All requirements for the award of the SRA

endorsement shall be identified in the UEC and approved by the CAA.

10.24 It is further the responsibility of the ANSP to determine and justify the

minimum number of SRAs required for the revalidation of an SRA

endorsement. This number shall be sufficient to ensure competence in

the provision of a surveillance radar approach. This requirement shall be

identified in the UCS.

UEC - Objectives for different phases of training

Transitional training

10.25 The ITO initial training courses will deliver student air traffic controllers

who have demonstrated their ability to apply basic ATC procedures in a

simulated environment. Transitional training objectives should therefore

be focused on the unit ATC procedures and the local environment.

10.26 Although it is convenient to teach students all the unit ATC procedures

during transitional training, it is unrealistic to expect them to retain this

theoretical knowledge, when they will not practically apply it in order to

assimilate it. It may be appropriate to delay some of these elements into

pre-on-the-job training/OJT. Where this method is utilised, it should be

referenced in the UEC.

Pre-on-the-job training

10.27 Where utilised, the objectives for pre-on-the-job training will relate to

application and demonstration of the ATC procedures learned during

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transitional training in a simulated environment. The objectives for

assessment using an STD will be similar to those for OJT, but where

necessary they should reflect any limitations imposed by the STD.

10.28 When using a STD for pre-on-the-job training and the training time is to

be counted as operational training, the STD should be a full-size replica

of a working position, including equipment and computer programmes

required to represent the full tasks associated with that position,

including wind at all levels for SRAs. In the case of a simulated working

position at a tower unit, it includes an out-of-the-tower view.

Note: The above paragraph is associated with pre-on-the-job training

where a UE is in excess of the minimum hours required by ICAO Annex

1, which shall always be achieved in an operational environment.

OJT

10.29 During OJT a student / trainee's knowledge and understanding of the

application of local ATC procedures should be reinforced.

Performance objectives during OJT

10.30 Performance objectives shall be incorporated into the UEC based upon

the requirements of the unit. The rate at which a trainee develops will be

determined by many factors, including the complexity of the unit, the

trainee's background or experience and the ability to absorb information

and develop skills. The unit could take as its baseline an average rate of

learning, with an element of flexibility built in to allow for differences in

such rates of learning. All students/trainees and instructors should be

aware of the targets and expectations of the training system.

Training reports

10.31 Reports of student/trainee performance during the day to day practical

training sessions should contain the OJTIs comments on the student's

performance and state whether or not they have met the training

objectives. The training process should require training reports be

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completed on a regular basis, preferably at least for each training day

undertaken.

Assessments during UEC

10.32 UK Reg (EU) 2015/340 has a clear difference between the terms

examination and assessment. An examination is the testing of

theoretical knowledge and this can be done by a written and/or oral test.

Refer to UK REG (EU) 2015/340 GM1 ATCO.D.065. Assessments are

practical tests.

10.33 In accordance with UK REG (EU) 2015/340, an assessment for the issue

or renewal of a unit endorsement shall be conducted by an assessor at

least once at the end of OJT instruction.

10.34 Objectives developed for assessments during and at the end of OJT

should be referenced against the unit’s performance objectives.

10.35 Objectives for successive assessments/level checks should demonstrate

steady progress through the OJT phase of training.

10.36 The requirements for assessments during UECs is covered in UK Reg

(EU) 2015/340 ATCO D.070 and includes guidance material. As

referenced in para 10.4 above, UK TOs may operate a locally defined

and CAA approved system of level or phase checks and theoretical

examinations to facilitate progression along a UEC.

10.37 A unit may use a system of corroboration (internal compliance

monitoring) to support any such process.

ABES assessments during a UEC

10.38 Assessments for a controller's competence to handle abnormal and

emergency situations (ABES) as part of the UEC can be conducted by

an assessor or may operate a locally defined and CAA approved system

of testing.

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Personnel used in a locally defined and CAA approved

system of testing

10.39 Testing may include areas of training not related to assessments

towards the issue, revalidation or renewal of a licence. Units who wish to

use such a locally defined and approved system must submit this to the

CAA for approval. This documentation shall include:

a) the qualifications, selection and training of personnel involved,

b) how its effectiveness is assured,

c) the testing process(es) (including any associated limitations),

and

d) responsibilities of those involved.

10.40 Theoretical and practical testing used to determine a candidates

progress along an UEC, shall be conducted by personnel trained in

accordance with the unit’s approved processes.

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Chapter 11

Adapted UECs

General

11.1 Where a licence holder moves to a new unit or additional sector at the

same unit, an ANSP may develop an adapted UEC to take account of

previously acquired rating experience and allow for a reduction in

duration referenced in UK Reg (EU) 2015/340 ATCO.D.055(b)(6) - Unit

training plan. This adapted UEC shall be submitted to the CAA for

approval.

11.2 For those who have previously exchanged a licence or had a licence

recognised from an EU member state, an adapted UEC for each rating

containing the national requirements and objectives complying with CAP

794, shall be submitted to the CAA for approval.

Adapted UEC – national requirements

11.3 In relation to 11.2 above, the compilation of this type of adapted UEC

shall consist of the national training objectives contained in CAP 794.

11.4 This UEC is required to consist of theoretical and practical application,

together with associated examination and assessment.

11.5 A matrix shall be submitted as part of the adapted UEC, listing the CAP

794 objectives and identifying where and how each objective is delivered

and tested.

11.6 As an ITO is familiar with the objectives of CAP 794, the use of the

services of the certified initial training organisations may assist ANSPs

with the design and delivery of these types of training courses and

therefore may be sub contracted in accordance with UK Reg (EU)

2015/340 ATCO.OR.C.005 ‘Contracted activities’.

11.7 Any required adapted UEC in national requirements shall be

successfully completed before the individual may commence the

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relevant CAA approved UEC. If this is not undertaken, an appropriate

safety assessment must be conducted by the ANSP and submitted to

the CAA, relating to the associated risks arising from permitting an

individual to carry out OJT in national requirements during provision of

an air traffic control service.

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Chapter 12

Continuation Training

Continuation training requirements for air traffic controllers

12.1 The requirements for continuation training are detailed in UK Reg (EU)

2015/340, Part ATCO Section 4.

12.2 An ANSP shall establish a UCS in accordance with UK Reg (EU)

2015/340 ATCO.B.025 which must be approved by the CAA.

12.3 Continuation training shall be designed to maintain the validity of the

endorsements of the licence.

12.4 Continuation training consists of refresher training course(s) and

conversion training courses. They may include theoretical and/or

practical training, together with simulation, when appropriate. These

courses shall be detailed in the UCS and approved by the CAA.

12.5 All courses shall be written and submitted following the guidance in

Appendix C of this document.

12.6 In accordance with UK (EU) 2015/340, the UCS including the

continuation refresher training courses shall be reviewed at least once

every three years.

12.7 The duration of any continuation training course should be determined in

accordance with the functional needs of the air traffic controllers working

at that unit, taking into consideration any changes or planned changes in

procedures or equipment and overall safety management requirements.

Refresher training

12.8 The Eurocontrol ATC Refresher Training Manual provides guidance

utilising a competence-based system with training objectives and

performance criteria (Observable Behaviour). This document also

includes guidance for the instructor role in the training session and gives

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examples of scenario based training and how to create a syllabus to

meet this need. Examples of forms and analysis sheets are also

included. The CAA recommends that units consider utilising this

document to produce a baseline for refresher training which can be

subsequently built on for future needs. For further information and

guidance, see UK Reg (EU) 2015/340 ATCO.D.080, together with the

related AMC and GM.

Standard practices and procedures training

12.9 This training shall be designed to review, reinforce or enhance the

existing knowledge and skills of air traffic controllers to provide a safe,

orderly and expeditious flow of air traffic using approved phraseology

and effective communication.

ABES refresher training

12.10 There are a variety of sources that may be available for reference and

training material, for example:

a) video programmes may be of value, particularly those showing

aircraft flight deck procedures,

b) liaison visits with local aircraft operators and familiarisation

flights,

c) liaison visits with adjacent aerodromes, ATS units, emergency

services,

d) consultation with typical operators who receive a service from

the unit,

e) incident and accident summaries and reports,

f) participation in line-orientated flying training (LOFT),

g) simulator exercises,

h) table-top exercises,

i) generic incidents, national or global.

12.11 ABES exercises should be organised as team exercises wherever

possible and include support staff, if appropriate. Team resource

management (TRM) is often a fundamental aspect to the satisfactory

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handling of an abnormal circumstance or aircraft emergency. The

potential contribution of other team members as a resource should not

be overlooked.

Human factors (HF) training

12.12 To assist in developing this subject the Eurocontrol ATC Refresher

Training Manual is recommended, however it is expected that units will

adapt training objectives to their specific needs.

Conversion training

12.13 A training needs analysis should identify the degree of training required

and a training course(s) shall be developed and submitted for approval

following the requirements in UK Reg (EU) 2015/340 ATCO.D.085

together with the related AMC and GM.

Note: This course should take the form of a course design document as

detailed in Appendix C of this document.

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Chapter 13

Additional air traffic controllers training

OJTI/STDI and assessor endorsements

13.1 Section 5 of UK Reg (EU) 2015/340 lays down the requirements for the

training of instructors and assessors. This training is designed to provide

the required additional skills for air traffic controllers, to obtain an on-the-

job instructor (OJTI) endorsement, synthetic training device instructor

(STDI) endorsement or assessor endorsement.

13.2 TO/ITOs intending to conduct this type of training will be required to

produce a training course following the process detailed in Appendix C

of this document and submit to the CAA for approval.

13.3 Any such courses must include and demonstrate how the candidates

establish competence in the areas listed in UK Reg (EU) 2015/340

AMC2 ATCO.D.090(a)(1) and/or AMC1 ATCO.D.095(a)(1) for the

relevant licence endorsement course. Such competence shall be

established through practical means.

13.4 TO/ITOs intending to conduct this type of training course shall ensure

that the qualifications of those instructing on the course meet the

requirements of Chapter 4 of this document. Subject matter experts

(SME) may be used for delivery of non-task specific theoretical topics, in

accordance with UK REG (EU) 2015/340 ATCO.C.001.

13.5 These ATC licence endorsement courses should be created from a

generic licence perspective and not be unit or rating specific, as should

the controller move unit, they may find significant differences from the

original training.

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Other training courses

13.6 Such courses could include training for a locally approved process, audit

duties, classroom instructional skills, or any other type of course

designed to enhance the skills of air traffic controllers.

13.7 Although these courses may not require direct CAA approval, they

should be included or referred to in the appropriate Unit documentation

(UTP/UCS/management system), as they relate to the competence of

their staff. These unit documents are subsequently audited by the CAA.

13.8 These courses may consist of theoretical and practical elements, using

STD, where appropriate. Training objectives (and performance

objectives, where practical assessment required) should be produced by

the ITO/TO and included in the course documentation.

13.9 Training organisations intending to conduct this type of training shall

ensure that instructors on the course are appropriately qualified in

accordance with any associated course approval.

Refresher training for practical instructor (OJTI/STDI) and assessor

endorsements

Refresher training of practical instructors

13.10 The requirements for the validity of an OJTI and STDI endorsement are

laid down in UK Reg (EU) 2015/340. An OJTI or STDI endorsement may

be revalidated by successfully completing refresher training on practical

instructional skills during the validity period. The term ‘successfully

completing’ infers that some form of grading is required to demonstrate

that a particular candidate was successful.

13.11 Such refresher training requires a specific training course created amd

approved by the CAA. This course submission should follow the format

as detailed in Appendix C of this document.

13.12 In addition to the above, a method of assessment shall be created,

together with performance objectives, when intending to provide renewal

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of the associated endorsement. Guidance on creation of methods of

assessment are found in Chapter 6 of this document. Such a method

can be included in the refresher course documentation and requires

approval from the CAA.

13.13 The refresher training process should include a method of ‘verification’

for revalidations. Such ‘verification’ assures the Unit that the candidate is

sufficiently refreshed in those skills and can be achieved in numerous

ways. However, as these endorsements are practical by nature, it would

be expected that this verification utilises some form of practical

demonstration/assessment following the refresher training.

13.14 A practical assessment for renewals meets the scope of verification of

the refresher training.

13.15 The process for refresher training and revalidation/renewal for Practical

instructors shall be referenced in the UCS.

Specific STDI elements

13.16 In addition to the requirements for training in practical instructional skills,

the STDI requires training to maintain awareness of the current

operational practices. This can be achieved through various means,

such as visits to operational working positions.

13.17 The refresher training for STDI should contain objectives specific to the

role; including elements such as pausing of clocks; an instructor

demonstration; allowing errors to progress to assist in training of

rectifying action; etc.

Refresher training of assessors

13.18 UK Reg (EU) 2015/340 states that assessor refresher training should be

developed to prevent knowledge and skills erosion, and be designed to

maintain skills in assessment techniques and awareness of the

regulatory requirement. The ‘regulatory environment’ specified here

should include appropriate UK regulations and publications (UK REG

(EU) 2015/340, ANO, CAP 393, CAP 794, etc.). This should be taken

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into account if the unit is utilising such courses from non-UK TO/ITOs,

e.g. Eurocontrol.

13.19 The refresher training process should include a method of ‘verification’

for revalidations. Such ‘verification’ assures the Unit that the candidate is

sufficiently refreshed in those skills and can be achieved in numerous

ways. However, as these endorsements are practical by nature, it would

be expected that this verification utilises some form of practical

demonstration/assessment following the refresher training. This

verification process should be detailed in the associated course

documentation.

13.20 A practical assessment for renewals meets the scope of verification of

the refresher training.

13.21 The process for refresher training and revalidation/renewal for assessors

shall be referenced in the UCS.

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Appendix A

Assessment of Previous Competence Report

Name and address of training organisation:

Rating

Name

Licence number

Dates of APC programme

Interview observations

(inc. reasons for not requiring theoretical

examination)

ELA (if required)

Written examination result and details (if

required)

Oral Examination result and details (if

required)

Practical result

Overall assessment

(i.e. Progress onto unit training or

recommendation for remedial training)

Assessor name

Assessor signature

Report date

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Appendix B

Records to be Retained by Training Organisations

B1 The TO/ITO shall maintain records to show that each learner has

undertaken, in full, the approved course of training.

B2 As per UK (EU) 2015/340 ATCO.OR.C.020, training organisations shall

retain detailed records of persons undertkaing or having undertaken training

to show that all requirements of the training courses have been met.

B3 The following records (electronic or paper) must be retained permanently by

training providers who provide initial training:

a) ITO Certificate (current master copy),

b) ITO Initial Training Plan including Course Design Documents

(current master copies).

B4 Training and assessment records (electronic or paper) which are to be

retained for 5 years in accordance with Regulation UK (EU) 2015/340, must

include:

a) course nominal rolls (CAA form SRG1418) ;

b) list of course managers, instructors and assessing staff for each

course;

c) written examination question papers; or online equivalent

d) written learner answer papers; or online equivalent

e) oral examination reports including questions asked and records

of learner responses;

f) practical training reports;

g) practical summative and/or assessment reports

h) course log detailing changes made to the course conduct and

any significant events affecting the running of the course

i) attendance records and any course programme changes to

accommodate learner absence to ensure any missed training

event or test was delivered; and

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j) evidence that each learner has acknowledged the ITO/TOs

appeals procedure.

k) Records of internal and external audits.

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Appendix C

Training Design and Structure Guidance

Training design process

The training design process contains the following elements:

a) structure of training documentation (syllabus, training plan,

method of assessment and training events plan),

b) clear taxonomy of training objectives (with five different levels of

knowledge, skills and competence) and,

c) definition of appropriate objectives, plans, syllabus, techniques

etc. to be used further on.

Note: For taxonomy levels, refer to the definitions section of this document.

Developing training objectives

C1 The training for any task should start with a task analysis to determine what

knowledge and skills need to be taught to enable the student/trainee to do

that task. This analysis can be used to develop training objectives.

C2 Training objectives should indicate what is required of students/trainees and

reflect the way in which they will be assessed. It is useful to think of the

phrase 'a student/trainee must be able to' as prefixing every objective. It is

therefore inappropriate to require a student to 'know' the aerodrome layout.

The objective could be expressed as for example: 'Using an outline map of

the aerodrome, indicate the runway designations, holding points and taxi

routes'. If instead of using a map an OJTI wanted to test the student/

trainee's knowledge of an aerodrome verbally, the objective could be: 'From

the visual control room, indicate and name the runways, taxiways, holding

points.’ etc.

C3 When determining the training objectives, consideration should be given to:

1. Skills required to operate equipment including:

a) data input,

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b) ATS surveillance system(s),

c) ground movement surveillance,

d) information systems,

e) communication systems.

2. The task including:

a) local and adjacent environment,

b) local ATC procedures,

c) co-ordination within the unit and with other ATC units or

agencies,

d) the level of decision making and negotiation skills required,

e) requirement for specialist controlling techniques,

f) the tolerance of the environment to controlling errors,

g) abnormal and emergency situations.

3. The traffic levels:

a) the periods during which traffic levels are appropriate to introduce

students/trainees to OJT;

d) acceptable loss of efficiency to aircraft operations.

4. The training environment:

a) facilities for monitoring and intervention;

b) availability and type(s) of STD;

c) opportunities for retraining;

d) the training commitment (number of students/trainees engaged in

OJT).

C4 The use of general objectives avoids a large number of specific objectives

being used. Although a student/trainee must, for example, be able to name

the visual reporting points (VRPs) and give their position, a separate

objective is not required for each VRP. Oral examination objectives could be

as simple as: 'Name and give the position of the VRPs', and at a later stage

during OJT: 'Use the VRPs to integrate inbound VFR traffic into the circuit'.

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Specific objectives will only be required where a particular unit procedure

varies significantly from national procedures or from other unit procedures.

Performance objectives

C5 The TO is responsible for creating performance objectives as required. For

information on performance objectives, refer to the definitions section of this

document.

Structure of training documentation

i) Syllabus

ii) Training Plan

iii) Training Event Plans

iv) Method of Assessment

Syllabus

C6 A syllabus is a list of training objectives classified by subjects, topics and

sub-topics showing the training necessary to fill the training gap and

achieve the course aim. A structured content helps to detail the objectives.

The syllabus does not indicate times, training techniques (see diagram

C.15) nor order to achieve the training objective.

Training plan

C7 A training plan is a syllabus with additional information. It details, for each

subject or topic and for each objective, the training requirements (type of

training event, educational material needed, method and mode of delivery).

It also gives an approximate timeline for achievement and states

performance objectives or test to increase the accuracy of the

specifications.

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Training event plan

C8 A training event is a set of actions identified in the training plan which cover

a number of objectives. It is described by the association of a training

technique, media, learning rate and a mode of delivery. (see diagram C.15)

Note: The training event plan is the document to be used by the

instructor when preparing and providing the training. It recalls the

objectives of the training event and its type. It gives a timeline and

indicates material reference and hints for the performance.

First phase of training design

C9 The first step in training design is to determine the training objectives; in

fact, the job consists of creating the syllabus through the steps below:

a) Define training objectives representing the training aim (possibly

relative to a task list).

b) List subjects to be taught in order to reach the objectives.

c) Identify the training gap between the input and output of the

course.

d) Specify the training modules.

Second phase of training design

C10 The purpose of the second phase is to choose a training strategy. The initial

step is to detail some critical objectives as performance objectives.

C11 A performance objective is a clear and unambiguous statement of what a

student is expected to do (Performance) according to a level in terms of

quality, quantity and time (Standard) and the conditions under which the

performance is to be carried out (Conditions): PSC.

C12 A possible solution is also to simply create the test/assessment

corresponding to some objectives. Then the training designer allocates one

(or possibly several) type(s) of training event relevant to each objective. The

taxonomy levels of the objective help greatly for this task. The following

table provides in a very generic guidance for this allocation and is extracted

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from Eurocontrol - Specifications on Training Methods and Tools -

HRS/TSP-006-GUI-01.

C13 The outcome of this second phase is part of the training plans and method

of assessment.

Third phase of training design

C14 The third phase consists of establishing with accuracy; in which training

events each objective is presented to the learner; and what the duration of

these training events are. It is recommended to determine the prerequisites

of each objective in order to establish the training sequence.

C15 The outcome of this phase is the production of the remaining part of the

training plans and the training event plans. (The training event plans (TEPs)

can only be completed when the courseware itself is produced – remember

that the TEPs are to be used by the instructor when preparing and provide

material and tips for delivery.)

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Mode of delivery, media, learning rate and training techniques

Introduction

C16 The methodology to design the training strategy is based on the answers to

the following questions:

i) Is the training to be individual or in-group? (mode of delivery)

ii) Is the learning rate free, restricted or real-time? (learning rate)

iii) Which media is used to deliver the training message? (media)

iv) What are the delivery techniques between the matter, the student and

the instructor? (training technique)

Note: This guidance material adapted from Eurocontrol - Specifications on

Training Methods and Tools - HRS/TSP-006-GUI-01

Course design document

C17 To assist with national standardisation, it is requested that all course

submissions are completed by use of a course design document (CDD),

using the format described below.

Content

C18 The document should be typed, with paragraphs and pages numbered,

following the sequence specified below (where each is applicable).

Cover page

Containing:

a) name of training organisation

b) title of submission*

c) version number*

d) date of document*

(*headers / footers should be appropriately appended with these details)

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General

C19 In this section, the training organisation should provide:

a) the proposed start date of the first course,

b) a syllabus of objectives to be covered,

c) a chronology for the course showing the order of delivery - e.g.

lessons which need to be delivered before a practical phase

commences,

d) a timetable of lessons and any practical exercises for the course,

including details of any self-study arrangements. For initial

training courses, the timetable should show that briefings relating

to practical simulation exercises are provided to the learners at

appropriate times,

e) a list of the Training Event Plans (TEP’s) (see para C8 above),

for each training event, including:

i) objectives covered,

ii) timings,

iii) mode of delivery,

iv) any media or equipment required by instructor;

f) the number of STD positions available for the course with the

minimum and maximum number of learners (where applicable),

g) Details of any associated STD; including software platform, main

hardware components and type of STD (i.e. PTT/simulator), and

ensuring the information covers the requirements in Appendix I of

this document,

Note: This can be submitted as a separate document or

referenced in the CDD, however an STD is required to be

approved for each course where one is utilised;

h) a competency framework with a list of observable behaviours,

(where CBT utilised);

i) details of any practical STD formative exercises, (e.g. showing

how they increase in complexity and traffic loading through the

course) and the objectives to which they relate; and assessment

exercises,

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j) the planned examination and/or practical assessment method(s),

k) the practical feedback or report form for the practical training

exercises, and assessment report form showing the practical

objectives/observable competencies that are to be met;

l) for initial training courses, a document/ matrix that demonstrates

where any relevant regulatory content and syllabus objectives of

the course are delivered e.g. a mapping document, verification

cross reference index, or similar;

m) the process used to obtain learner and/or any other relevant

feedback on the course;

n) information on how the course and its contents will be reviewed.

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Appendix D

English language proficiency certificate

Certificate

D1 The English language proficiency certificate issued by the LAB shall include

the following information:

a) Full name, date of birth and air traffic controller licence number (where

held) of the individual to whom the certificate is awarded;

b) Name of the LAB;

c) Level of English language proficiency awarded, in accordance with the

ICAO Language Proficiency rating scale;

d) The date the English language proficiency assessment was

undertaken; and

e) Name and signature of the LAB ELA.

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Appendix E

Conduct of written examinations

Protocol for the conduct of written examinations

E1 The protocols detailed in this appendix are required by the CAA to be

followed, due to these examinations being ultimately associated with the

issue of a licence or certificate under UK regulation and/or the Air

Navigation Order 2016.

These protocols shall be advised to the candidates prior to the

examination.

Entering

examination room

Candidates should plan to arrive at the examination room

10 minutes before the scheduled start time. No candidate

should be allowed to enter the examination room once the

examination has commenced.

Leaving

examination room

No one should be allowed to leave the examination room

unless the examination has been completed and

surrendered or where undertaken online, the examination is

closed; or unless being supervised as covered below.

Supervised absence No candidate should be permitted to leave and return to the

examination room during an examination unless

supervised.

Communications

during examinations

Unless an invigilator has given permission, during the

course of the examination, a candidate is not to

communicate with any other person but an invigilator.

Permitted items a) wrist watch (except ‘smart’ type watches),

b) non-fizzy drink

c) any foodstuffs or medication required for any

medical condition

Note: pens, pencils and stationery should be

provided by the training organisation.

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Prohibited items a) Any unauthorised material (including revision notes)

or equipment not authorised for the exam.

b) Any coats, bags and hats etc. The TO/ITO should

designate an area for such personal items to be left.

c) Any electronic devices capable of:

• storing or recording material (including pictures),

• access internet/intranet,

• send or receive any electronic communique, etc.

This includes but not limited to, mobile phones,

tablets, programmable calculators, cameras or other

such devices. Any such devices must be switched off

and the TO/ITO should designate an area for such

personal items to be left.

d) Food, when not required for any medical reason.

Cheating Cheating is not only a moral offence but may be considered

a psychological disorder, recognised under Regulation UK

(EU) 2015/340 Part MED, and brings into question the

fitness of character of the person being examined.

Incidents of cheating must be investigated based upon

evidence from the following types of activities:

a) having unauthorised items or texts at their desk in

the examination room during the examination;

b) making use of unauthorised items or texts during the

examination;

c) copying from the script of another candidate during

the examination;

d) dishonestly receiving help from another person

during the examination;

e) dishonestly giving help to another person during the

examination;

f) Recording of any element of the examination;

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g) acting dishonestly in any way, whether before, during

or after the examination, so as to assist another

candidate to obtain an unfair advantage in the

examination.

Should a candidate be suspected of cheating during an

examination, the invigilator should ask the person to leave

the examination room, leaving any examination material

behind. An incident report shall then be submitted to the

TO/ITO management for further investigation, who must

request an explanation from the candidate and record any

additional witness statements. The relevant CAA ATS

Inspector shall be informed once evidence has been

compiled.

Illness/Disruption Prior to the examination, the candidates must be informed

that if they feel ill prior to or during an exam they should

inform an invigilator immediately. Similarly any other form of

distraction, e.g. excessive noise, which causes an adverse

effect on their performance should be reported at the time

of the occurrence.

Emergency

procedures

In the event of the fire alarm or other emergency

necessitating the evacuation of the examination room, the

invigilator shall instruct candidates to stop their activities

and leave their answer media on their desks/screen. It is

imperative that the buildings fire and evacuation procedures

are followed. A candidate may not re-enter the examination

room until the Invigilator advises that they may do so.

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Appendix F

Criteria for the use of synthetic training devices in ATC

training

Introduction

F1 A Synthetic training device (STD) is any type of device by which

operational conditions are simulated, including simulators and part-task

trainers. Definitions for these are contained in UK Reg (EU) 2015/340.

F2 Synthetic training devices shall comply with UK Reg (EU) 2015/340

ATCO.OR.C.015 paragraph (b). This appendix details the CAA

requirements to gain approval.

F3 All training plans are required to indicate the amount of training, if any,

that will be conducted on an STD, including details of the STD in order for

approval to be given by the CAA.

F4 The approval for the use of an STD, and the part of the particular training

course for which the training organisation proposes to use it will be based

on an assessment against the criteria listed in UK Reg (EU) 2015/340

AMC1 ATCO.OR.C.015(b).

F5 The extent to which the simulator achieves these criteria will be used to

determine the adequacy of the simulator for the proposed use. As a

general principle, the greater the degree of replication of the operational

position being represented, the greater the use that will be possible in any

particular training.

F6 In order to gain course approval, the submitted course documentation

should evidence how the STD will provide adequate support for the

training, in particular:

i) The ability of the simulated environment to enable students to meet the

stated objectives of the practical training exercises, and

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ii) The ability of the STD and its exercises to enable the performance

objectives to be assessed to the level determined in the training

programme.

Continuation training

F7 When a unit wishes to use an STD for continuation training and

assessment, the STD details must be included for approval in the

particular course submission (CDD). Any approval will be based on its

ability to adequately support the course's training objectives and

assessment requirements.