ato document approval guide juli 13

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ATO Documentation Approval Guide July 2013

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ATO document approval guide JUL2013 Side 2 af 21




Udgivet af Trafikstyrelses Center for personcertificering

København 2013.




INDHOLD

1 Scope ......................................................................................... 6

2 Important clarification ............................................................... 7

2.1 Language ............................................................................................................................. 7

3 Control of documents ................................................................. 8

4 General....................................................................................... 9

5 Manuals format ........................................................................ 10

5.1 Hardcopy format requirements ........................................................................................ 10

5.2 Electronic format requirements ........................................................................................ 10

6 Structure and content of the Organisation’s Documentation .... 11

6.1 Organisation’s Management Manual (OMM): .................................................................. 12

6.2 Operations Manual (OM) .................................................................................................. 12

6.2.1 General ......................................................................................................................... 13

6.2.2 Technical ...................................................................................................................... 13

6.2.3 Route ............................................................................................................................ 14

6.2.4 Personnel Training ....................................................................................................... 14

6.2.5 5. Appendix .................................................................................................................. 14

6.3 Training Manual (TM) ........................................................................................................ 15

6.3.1 Training Plan ................................................................................................................. 15

6.3.2 Briefing and Air Exercises ............................................................................................. 176.3.3 Flight training in an FSTD ............................................................................................. 17

6.3.4 Theoretical knowledge instruction .............................................................................. 17

6.3.5 Appendix ...................................................................................................................... 18

7 Page presentations .................................................................. 19

8 Corporate commitment by Accountable Manager ..................... 21




1 SCOPE

This user guide for the preparation of ATO Manuals for Part ORA Approval iscomplementary to the requirements of Implementing Rule – AircrewRegulation (EU) 1178/2111 “as amended” and does not supersede or replace

the information defined within that document.

This document is developed from the document: ” Foreign ATO approval – Userguide for ATO manuals”, version UG.FCTOA.00004-000 (Draft), published byEASA.



2 IMPORTANT CLARIFICATION

This user guide is designed to be used by Part ORA - Pilot TrainingOrganizations - To assist them in the production of their ownDocumentation.

The user guide is provided for guidance and should be customizedby each organization to demonstrate how they comply with PartORA.

The organization may choose to use another format, byarrangement with the competent authority, as long as all theapplicable sections of the regulation are addressed and cross-referenced.

If the organization chooses to use a different format, for example, toallow the manuals to serve for more than one approval, the manualssubmitted for approval shall only make reference to documents thatare already approved by the competent authority or Easa.

The organization is expected to comply with all applicablerequirements of the relevant regulations and particularly the onesrelated to the documentation.

The documents should provide clear and complete information onhow the organization intends to achieve compliance.

The quality of the documentation as well as the processes related toits validation, distribution and control are determinant factors as tothe capacity of the organization to demonstrate effective

compliance.For each detailed procedure described within the Manuals, the PartORA organization should address the following questions:

What must be done?

Who should do it?

When must it be done?

Where must it be done?

How must it be done?

Which procedure(s)/form(s) should be used? How can the organization’s compliance monitoring system

effectively check all the above?

2.1 Language

The Manuals should be available in the English language however.



3 CONTROL OF DOCUMENTS

Document control shall be identified as one of the managementsystem key processes addressed by ORA.GEN.200 (a)(5)

Documents required by the regulations applicable to the scope ofthe approval shall be identified as part of the organization’s documentation system and controlled according to paragraph a) (tomeet at least requirements ORA.GEN.115, ORA.GEN.200,ORA.ATO.130 and ORA.ATO.230 as applicable to the scope of theapproval).

Records are a special type of document and shall be controlledaccording to paragraph b) (to meet at least requirementsORA.GEN.210, ORA.GEN.220, ORA.ATO.120 and ORA.ATO.355 asapplicable to the scope of the approval).

A documented procedure shall be established to identify the1)controls needed to:

a. approve documents for adequacy prior to issue,b. review and update as necessary and re-approve

documents,c. ensure that changes and the current revision status of

documents are identified,d. ensure that relevant versions of applicable documents

are available at points of use,e. ensure that documents remain legible and readily

identifiable,

f.

ensure that documents of external origin determined bythe organization to be necessary for the planning, themanagement and the conduct of the organization’s activity are identified and their distributioncontrolled, and:

g. prevent the unintended use of obsolete documents, andto apply suitable identification to them if they areretained for any purpose.

Records established to provide evidence of compliance with2)

requirements and of the effective operation of the managementsystem shall be controlled. Records shall remain legible, readilyidentifiable and retrievable. The organization shall establish adocumented procedure to define the controls needed for the:

a. identification,b. storage,c. protection,d. retrieval,e. retention andf. disposition of records.



4 GENERAL

A Part-ORA ATO is required to establish a documentation systemcovering the three following aspects:

“Organization’s Management Manual” (OMM) ORA.GEN.115 requires Part-ORA organizations to provide thecompetent authority with documentation demonstrating howthey will comply with the requirements established inRegulation (EC) No 216/2008 and its Implementing Rules.’

ORA.GEN.200 requires that all management system keyprocesses be documented. The documentation related to theOrganization’s Management System is referred to in thisguide as the “Organization’s Management Manual” or OMM.

The naming of the document adopted by the organization canbe different. In this case it is the responsibly of theorganization to identify the document to be used as the OMM.

If this document is partly or totally incorporated in otherdocuments of the organization, it is the responsibly of theorganization to provide a cross reference table clearlyidentifying in the whole documentation system all parts of theOMM.

“Training Manual” (TM)

“Operations Manual” (OM)



5 MANUALS FORMAT

The Manuals may be produced in hardcopy or electronic format.

5.1 Hardcopy format requirements

Each manual shall be provided in A4 or A5 format, in a binder withsection dividers. Revisions shall be distributed as for other manualholders in the ATO.

5.2 Electronic format requirements

The Manuals shall be in Portable Document Format (.PDF). Revisionsshall be distributed in such a way that upon approval of a revision, aCD ROM shall be provided to the competent authority containing thecurrent valid revisions of all the ATO manuals.



6 STRUCTURE AND CONTENT OF THE ORGANISATION’SDOCUMENTATION

It is not required to duplicate information in several manuals. Theinformation may be contained in any of the organization manuals

(e.g. Organization’s Management Manual, Operations Manual orTraining Manual), which may also be combined (see relevant AMCsand GM).

The TM and OM of an ATO conducting integrated or modular flighttraining courses providing training for CPL, MPL and ATPL andassociated ratings and certificates should at least include theinformation listed in this chapter, in the sequence shown below in6.1, 6.2 and 6.3. The manuals should function to:

Give the student awareness of:1)a. Expectations to the student, specific to the theoretical

(part of the) course, including requirements to passany theoretical test.

b. How the student performance are progressing relativeto the progression of the theoretical course.

Give employees awareness of any duty associated with2)instructing the given (theoretical part of the) course.Show compliance with any requirements from the competent3)authority related to (the theoretical part of) the course.

The Manuals should cross refer to the associated procedures,documents, appendices, forms and all other lists which are managedseparately (e.g. aircraft checklists to be used, approved flight

manuals, navigation/approach charts, list of sub-contractors, etc.)

These associated documents must meet the same rules as describedfor the rest of the Manuals in terms of document control,distribution, etc.

For some organizations some items related to the structure of thedocuments as indicated above may be ‘not applicable’. In this casethey should be annotated as such within the Manuals.

In all cases the “Cross reference compliance table” shall be filled bythe ATO applying for an initial approval or an approval change.

Single document:

This manual shall include all the information required in the separatemanuals indicated hereafter. However, its structure shall give thesame readability as if the manuals were split e.g. it shall be easy todetermine if the information relates to the Management system,Operations or the Training and the sequence of each section shouldbe as that for separate manuals.

A cross reference table (or index) shall be used to segregate theinformation (regarding the Management system, the OperationsManual or the Training Manual) and to relate it to the applicable Part

ORA or Part FCL requirement(s) to facilitate compliance monitoring.



Several documents:

6.1 Organization’s Management Manual (OMM):

This manual shall at least contain information required to complywith all obligations laid down in the following provisions asapplicable to the size, scope and complexity of the ATO:

Management system iaw. ORA.GEN.200 (a) Non-Complex Organizations – General Complex Organizations - Organization And Accountabilities Management System / Safety Manager Complex Organizations - Safety Action Group Complex Organizations - Safety Policy Management System / Safety Policy Complex Organizations - Safety Risk Management

Management System / Internal Occurrence Reporting Scheme Management System / Training And Communication On

Safety Management System / Organization’s Management System

Documentation Complex Organizations – Organization’s Safety Management

Manual Management System / Safety Risk Assessment System / Compliance Monitoring - General Complex Organizations - Compliance Monitoring Program for

ATOs

Management System / Audit And Inspection Management System / Size, Nature And Complexity of The

Activity Contracted activities / Responsibility When Contracting

Activities

6.2 Operations Manual (OM)

This manual shall at least contain information required to complywith all obligations laid down in the following provisions as

applicable to the size, scope and complexity of the ATO (Y indicatesthat description may be included in either OM or OMM ):

Training manual and operations manual iaw. ORA.ATO.130 Training manual and operations manual iaw. ORA.ATO.230

(b) Personnel requirements / General / Management Structure

and individual responsibilities Training manual and operations manual – all ATOs except

those providing flight test training / Operations Manual



6.2.3 Part C - Route

1) Performance (legislation, take-off, route, landing etc.)2) Flight planning (fuel, oil, minimum safe altitude, navigation

equipment etc.)

3)

Loading (load sheets, mass, balance, limitations)4) Weather minima (flying instructors).5) Weather minima (students – at various stages of training) and6) Training routes/areas.

6.2.4 Part D - Personnel Training

1) Appointments of persons responsible for standards/competenceof flight personnel - Y

2) Initial training - Y

3)

Refresher training - Y4) Standardization training - Y

a. A description of how CFI/HoT ensures that theoreticalinstruction is conducted in accordance with the intendedstandard should be present.

b. A description of the intended standard to which thetheoretical instruction is conducted should be present,covering at least:i. Classroom teaching principleii. Teaching aids and their useiii. Formal and informal monitoring of student progress

iv.

Format of tests used.5) Proficiency checks - Y6) Upgrading training and - Y7) ATO personnel standards evaluation - Y

a. A description of how the performance of the personneldefined in 6.2.1, item 3) and 4) is monitored andimproved should be present.

6.2.5 5. Appendix

The appendix should be established, containing a sample of anyrecord or document referred to in the OM that is not related to a

specific training program and not approved by other means.



6.3 Training Manual (TM)

The Training Manual shall at least contain information required tocomply with all obligations laid down in the following provisions asapplicable to the size, scope and complexity of the ATO:

Training program iaw. ORA.ATO.125 Training manual and operations manual iaw. ORA.ATO.130 Training manual and operations manual / Training manual

ORA.ATO.230 (a) Training program / General Training program / Type Rating Courses – Aeroplanes Training program / Type Rating Courses - Helicopters Training program / Flight Test Training Courses – A & H Training manual and operations manual / Training manual

6.3.1

Part 1 - Training Plan

1) Aim of the course (ATP, CPL/IR, CPL, etc. as applicable)a. A statement of what the student is expected to do as a

result of the training.b. A statement of only one course aim should be present.

2) Pre-entry requirementsa. Any requirements that applicants are subject to before

entering the course should be present regarding:i. Ageii. Education

iii.

Languageiv. Medical3) Credits for previous experience.

a. Any credit given along with legal reference should bepresent.

b. Procedure for assessing credit given should be present. 4) Training Syllabi

a. A description of each theoretical topic or subtopic that iscovered in the course should be present. Reference maybe directed to lesson plans if the information is presentedthere.

b. A reference should be present indicating to what legalrequirement the syllabus aim to satisfy.

5) Time scale and scale in weeks, for each syllabus.a. Information regarding timeframe for the course should be

present enabling student to:i. Prepare for any given lessonii. Estimate time of completion of a theoretical course.

6) Training programa. Information supplying awareness about how theoretical

and practical instructions are combined in the course (ifstrictly theoretical course, reference to part 4 may besufficient).

b.

A description of any constraints to theoretical instructionshould be present.



c. For ATOs providing CPL/ATPL/MPL and associated ratingsor certificate the following should be present:i. A description of the objective for each theoretical

training phase.

ii.

A description of the required student standard aftereach phase of theoretical training.

iii. A training plan of each phase of theoretical trainingshowing:1. An hourly breakdown of theoretical instruction.2. A list showing syllabus integration.

7) Training recordsa. A description of training records regarding theoretical

training should be present.b. A description of theoretical training record checks

covering:

i.

Who is responsible for checking and bringing recordsto desired standard.ii. Procedure and frequency of checks.iii. How records are kept secureiv. Who has access to records.

c. A description should be present regarding records that is:i. Showing that the student have been instructed in a

given syllabus item.ii. Showing result of any test taken.

8) Safety traininga. Any classroom training regarding safety training should be

described. Alternatively this may be described in part 4.9) Tests and examinations

a. A description regarding theoretical tests covering:i. Prerequisites for attending a test and a re-test.ii. Format and pass standard of any test given.iii. Code of conduct during test and allowed aids.

10) Training effectivenessa. A description of how the efficiency and value of the

theoretical training towards the aim of the course ismonitored and improved.

11) Standards and Level of performance at various stagesa. A description should be present of any expectations

towards the students and if relevant at what stage in thetraining a criteria applies.

b. A description should be present of how the ATO monitorsstudent performance during the theoretical course, inorder to prevent student from falling behind without beingaware of it.

c. A description should be present of how substandardstudent performance is addressed.



6.3.2 Part 2 - Briefing and Air Exercises

1) Air exercises2) Air exercise reference list3) Only main and subtitles of above air exercises for quick

reference for the instructors’ daily use 4) Course structure - Phase of training5) Course structure integration of syllabi6) Student progress7) Instructional methods8) Progress tests9) Glossary of terms10) Appendices

6.3.3 Part 3 - Flight training in an FSTD

Air Exercise1)

Air exercise reference list (Only main and subtitles of above2)exercises for quick reference for the instructors’ daily use) Course structure - Phase of training3)

Course structure integration of syllabi4) Student progress5) Instructional methods6) Progress tests7) Glossary of terms8) Appendices9)

6.3.4 Part 4 - Theoretical knowledge instruction

Structure of the theoretical knowledge course1)a. A description of how the entire theoretical course is

arranged should be present including:i. Sequence of topics taught in each subjects.ii. Time allocated to each topic.

Lesson Plans2)a. A description of each lesson should be present including

interconnection of topics or subjects, normally presentedalong with 6.3.1 item 4.a.

Teaching materials3)a. A description of any training or demonstration aid or study

material used should be present.Student progress4)

a. A description of the requirement for student progressshould be present, including a brief but specific statementof the standard that must be achieved before applicationfor theoretical knowledge examinations is made. Also themechanism for achieving this should be included.

Progress testing5)a. A description should be present of the organization of

progress testing in each subject, including topics covered,evaluation methods and documentation.



Review procedure6)a. A description of the procedure to be followed if the

standard required at any stage of the course is notachieved should be present, including an agreed action

plan with remedial training if required.

6.3.5 Appendix

The appendix should contain a sample of any record or documentreferred to in the TM that is related to the specific training programand not approved by other means.

If the course is based on operational suitability data, the OSD shouldbe contained in the appendix.

If Computer Based Training is part of the training program the CBT

should submitted along with the training manual in the approval process.



7 PAGE PRESENTATIONS

At the beginning of each volume or section in the case of a singledocument, the first page should specify:

The full title of the documentIn case the title of such document is not “Organization’s Management Manual” or “Operations Manual” or “Training Manual” the title on the document’s first page shall comply withthe following format in a single line, two or three separate lines(with line beaks at the “–“ sign)

Part ORA - [ToD] - ORA.XXX.YYY ()

Prefix - - - - - - - - - -Title of the Document - - - - - -

One or a combination of the following references:

o ORA.GEN.200 for the equivalent of the OMM,

o ORA.ATO.130 for the equivalent of the OM or TRM

o ORA.ATO.230 (b) as appropriate to the scope of theapproval for the equivalent of an OM

o

ORA.ATO.230 (a) as appropriate to the scope of theapproval for the equivalent of a TM

Example 1:

Part ORA - Manual - ORA.GEN.200

Example 2:

Part ORA - Management system - ORA.GEN.200 & ORA.ATO.130

Example 3:

Part ORA

Operations and procedures manual

ORA.ATO.130 & ORA.ATO.230 (b)

Note: there is no need to use the full title format in all pages of thedocument or in its outside front or back cover as long as the first

page of the document is in accordance with the format given above

and part of the list of the effective pages.



At the beginning of each volume or section in the case of a singledocument, the first page should specify:

The name of the organization (official name as indicated on theEASA Form 143 approval certificate)

The address, telephone, fax numbers and e-mail address of theHead Office

The copy number from the distribution list

The approval reference of the PART ORA organization

Each page of the Manuals should be identified as follows (thisinformation may be added in the header or footer);

the name of the organization (official name as indicated on the

EASA Form 143 approval certificate) a unique identifier of the document to which belongs the page

the issue number of the Manuals

the amendment/revision number of the Manuals

the date of the revision (amendment or issue depending on theway the organization has chosen to revise the Manuals)

the chapter of the Manuals

the page number

the name of the document such as "Organization’s ManagementManual” or “Operations Manual” or “Training manual”. If the titleis different from these three titles, the document used as OMMshall contain a cross reference table to identify what document isconsidered as the OMM, the OM or the TM.



8 CORPORATE COMMITMENT BY ACCOUNTABLE MANAGER

Prior to submission of the ‘draft’ Manuals to the competent authorityfor a Part-ORA approval the Accountable Manager shall sign anddate the Corporate Commitments statement related to:

AMCs and GM / Non-Complex Organizations – General(Commitment for safety policy)

AMCs and GM / Complex Organizations - Safety Policy(Endorsement & Commitment for safety policy)

AMCs and GM / Organization’s Management SystemDocumentation (Statement for continuous and consistentcompliance).

AMCs and GM / Complex Organizations - Organization’s SafetyManagement Manual (Accountability of the accountable

manager).as appropriate to the size and complexity of the organization. Thesignature of these commitments cannot be delegated to any personbut the Accountable Manager. This confirms that he has read therelevant part of the documents and understands its responsibilitiesunder the approval scope. In case of change of AccountableManager the new incumbent should sign the document and submit asuitable amendment to the competent authority for approval.