ATS.OR.300 Scope

Regulation (EU) 2017/373

This section establishes the requirements to be met by the air traffic control service provider with regard to human performance in order to:

(a) prevent and mitigate the risk that air traffic control service is provided by air traffic controllers with problematic use of psychoactive substances;

(b) prevent and mitigate the negative effects of stress on air traffic controllers to ensure the safety of air traffic;

(c) prevent and mitigate the negative effects of fatigue on air traffic controllers to ensure the safety of air traffic.

ATS.OR.305 Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers

Regulation (EU) 2017/373

(a) An air traffic control service provider shall develop and implement a policy, with related procedures, in order to ensure that the problematic use of psychoactive substances does not affect the provision of air traffic control service.

(b) Without prejudice to provisions laid down in Directive 95/46/EC of the European Parliament and of the Council³⁵ Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31). and to the applicable national legislation on testing of individuals, the air traffic control service provider shall develop and implement an objective, transparent and non-discriminatory procedure for the detection of cases of problematic use of psychoactive substances by air traffic controllers. This procedure shall take into account provisions laid down in point ATCO.A.015 of Regulation (EU) 2015/340.

(c) The procedure in point (b) shall be approved by the competent authority.

AMC1 ATS.OR.305(a) Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers

ED Decision 2017/001/R

POLICY AND PROCEDURES

Within the context of the policy, the air traffic control service provider should:

(a) provide training or educational material to air traffic controllers relating to:

(1) the effects of psychoactive substances on individuals and subsequently on air traffic control service provision;

(2) established procedures within its organisation regarding this issue; and

(3) their individual responsibilities with regard to legislation and policies on psychoactive substances.

(b) make available appropriate support for air traffic controllers who are dependent on psychoactive substances;

(c) encourage air traffic controllers who think that they may have such a problem to seek and accept help made available by their air traffic control service provider;

(d) ensure that air traffic controllers are treated in a consistent, just and equitable manner as regards the problematic use of psychoactive substances; and

(e) establish and implement principles and procedures for occurrence investigation and analysis to consider the problematic use of psychoactive substances as a contributing factor.

GM1 ATS.OR.305(a) Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers

ED Decision 2017/001/R

POLICY

(a) Guidance for the development and implementation of the policy is contained in ICAO Doc 9654 ‘Manual on Prevention of Problematic Use of Substances in the Aviation Workplace’, First Edition - 1995, and in particular:

(1) Attachment A (pp. 27–34) as regards elements for the definition and the implementation of policy and programme;

(2) Chapter 3 (pp. 9–12) as regards the identification, treatment, and rehabilitation of staff, with related supporting material, available in Attachment C (pp. 61–68); and

(3) Attachment D (pp. 69–75) as regards the employment consequences of problematic use of substances.

TRAINING AND EDUCATION PROGRAMMES

(b) Guidance for the development and implementation of training and education programmes is contained in ICAO Doc 9654 ‘Manual on Prevention of Problematic Use of Substances in the Aviation Workplace’, First Edition - 1995, in particular:

(1) Chapter 2 (pp. 6–7) as regards the education of the workforce and educational material, with related supporting material available in Attachment A (pp. 35–48); and

(2) Attachment B (pp. 49–59) and Attachment F (pp. 87–94), where extracts from the ICAO Manual of Civil Aviation Medicine are provided

GM2 ATS.OR.305(a) Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers

ED Decision 2017/001/R

THIRD PARTY ASSISTANCE TO AIR TRAFFIC CONTROLLERS

The air traffic control service provider may employ third-party assistance. Such assistance should be made freely available to air traffic controllers who are dependent on psychoactive substances.

AMC1 ATS.OR.305(b) Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers

ED Decision 2017/001/R

PROCEDURE FOR THE DETECTION OF CASES OF PROBLEMATIC USE OF PSYCHOACTIVE SUBSTANCES

The objective, transparent and non-discriminatory procedure should specify:

(a) the mechanisms and responsibilities for its initiation;

(b) its applicability in terms of timing and locations;

(c) the person(s)/body responsible for testing the individual;

(d) the testing process;

(e) thresholds for psychoactive substances;

(f) the process to be followed in case of detection of problematic use of psychoactive substances by an air traffic controller; and

(g) the appeal process.

GM1 ATS.OR.305(b) Responsibilities of air traffic control service providers with regard to the problematic use of psychoactive substances by air traffic controllers

ED Decision 2017/001/R

PROCEDURE FOR THE DETECTION OF CASES OF PROBLEMATIC USE OF PSYCHOACTIVE SUBSTANCES

Guidance for the development and implementation of the procedure for detection of cases of psychoactive substances is contained in ICAO Doc 9654 ‘Manual on Prevention of problematic use of Substances in the Aviation Workplace’, First Edition - 1995, particularly in Chapter 5 (pp. 15–23) and Attachment E (pp. 77–85) as regards biochemical testing programmes, with related supporting material.

ATS.OR.310 Stress

Regulation (EU) 2017/373

In accordance with point ATS.OR.200, an air traffic control service provider shall:

(a) develop and maintain a policy for the management of air traffic controllers' stress, including the implementation of a critical incident stress management programme;

(b) provide air traffic controllers with education and information programmes on the prevention of stress, including critical incident stress, complementing human factors training provided in accordance with Sections 3 and 4 of Subpart D of Annex I to Regulation (EU) 2015/340.

GM1 ATS.OR.310 Stress

ED Decision 2017/001/R

EXPLANATION OF THE FUNDAMENTALS OF STRESS

(a) Introduction

(1) The job of an air traffic controller is considered to be responsible and demanding, and at times can lead to the experience of high levels of stress. The combination of skills and knowledge required to complete air traffic control tasks is wide. Visual spatial skills, perception, information processing, image and pattern recognition, prioritising, logical problem-solving, application of rules and procedures and decision-making form core skills to which we can add interpersonal communication, teamwork and technical vocabulary usage.

(2) Air traffic control also requires to constantly adapt to an ever-changing traffic picture and work environment within restricted time constraints. This has the potential to lead to considerable work pressure. In contrast, there may be times when traffic flows are low and controllers experience relatively low levels of activity. For some controllers, this may bring its own kind of stress due to the increased efforts required to maintain vigilance under light traffic load.

(3) Thus, the work of an air traffic controller has the potential to induce high levels of stress; however, the stress experienced by controllers is always unique to the individual and their interaction with their environment.

(4) ‘Stress’ is a term that is in common use within everyday language and can mean different things to different people depending on the context in which it is used. In lay terms, stress is often used to describe an external pressure experienced by an individual whilst at the same time encompassing the subjective experience of this pressure. Usually the term is used in a negative way. In this sense, the lay use of the term ‘stress’ encompasses both the cause and the effect, and this can lead to confusion as to its meaning.

(b) Technical definitions of stress

(1) Even in its technical use, the word ‘stress’ is sometimes used when the term ‘stressor’ (or pressure) would be more appropriate, referring to the cause of a stress experience. Stressors can be internal (cognitive or physical) or external (environmental) to the individual and may be defined as any activity, event or other stimulus that causes the individual to experience stress.

(2) It is helpful to clarify the way the term ‘stress’ and other technical terms are used. For the purposes of this guidance material, stress is defined following the Transactional Model of Stress. This views stress as the outcomes experienced by an individual when faced with a potentially stressful event. The experience of the event as negatively stressful (distress), neutral or positive (eustress) is based on the individual’s perception of their ability to manage the event. Under this definition, stress is a manifestation in the individual of usually negative effects, which can lead to a decrease in performance and negative health effects.

(3) A stressor can also act to improve performance when it is a stimulus to increase arousal and improves the outputs of an individual in the short to medium term. Too much arousal paradoxically leads to an inverse effect and subsequent detriment in performance.

(4) Acute stress is, as its name suggests, episodic and occurring for short periods of time. In most cases, the cause of the stress is eliminated by the air traffic controller taking action to manage the situation leading to stress. High levels of acute stress may lead to hyper-arousal and may leave an air traffic controller feeling exhausted. It is important to identify work situations that lead to this acute stress and manage this within the work schedule.

(5) Chronic stress differs from acute stress only in that it is ongoing and even low levels of continuous chronic stress can lead to performance degradation and serious health implications, if it is not addressed. Chronic stress is insidious in its nature and a sufferer may become so accustomed to the sensations that they are unaware of the long-term negative effects. Chronic stress commonly leads to a sense of inability to cope.

(6) Both acute and chronic stresses have the potential to lead individuals into hyper-aroused states which may result in panic where task and skill performance, planning, reasoning and judgement are significantly impaired. In such instances, a well-practised but incorrect action, for that particular circumstance, may be performed when an alternative and more appropriate response is required.

(7) Chronic stress may result in a condition known as burnout. Burnout is generally identified by the following characteristics: disaffection with the job leading to a decrease in motivation with an associated decrease, perceived or otherwise, in performance.

(c) Sources of stress

Broadly speaking, the stress experienced by an air traffic controller at work is a function of their underlying background levels of stress, related to lifestyle, health and well-being, personality, organisational/work environment, levels of satisfaction with life generally, and the acute stress imposed by and operational conditions at any given time. There are three major sources of stress: environmental, work-related, and personal.

(1) Environmental/physical stressors

(i) Physical stressors are underlying conditions that can either be internal to the body (e.g. pain, hunger, lack of sleep, exhaustion), or external environmental factors (e.g. noise pollution, overcrowding, excess heat). The common factor among all of these stressors is that they all create a physically uncomfortable environment that can cause stress. Stress is not solely dependent on the intensity of a stimulus, but also on the duration of exposure. For example, a low-pitched but persistent noise can cause as much stress as a sudden loud noise.

(ii) In the air traffic control room, some common environmental/physical stressors could be:

(A) uncomfortable temperature;

(B) cramped workspace;

(C) air quality;

(D) lighting conditions; and

(E) intrusive noise or vibration.

(2) Work-related stressors

(i) Stress in the workplace can come from a variety of sources besides physical stimuli. Some of these include:

(A) continuing high levels of workload near or above the maximum traffic handling capacity of an air traffic controller;

(B) a heterogeneous traffic mix where aircraft have varying levels of equipment and considerable variability in pilot skills;

(C) unsuitable or unreliable equipment;

(D) inappropriate, vague procedures;

(E) complex equipment which is insufficiently understood or mistrusted;

(F) supervision of trainees or less experienced colleagues;

(G) workload and task breakdown not being matched to the level of technical skill of the controller, lack of support or too much support (interference);

(H) role ambiguity, where it is unclear where the responsibilities lie;

(I) interpersonal conflict with colleagues, other professionals;

(J) poor management relations (social dialogue), working conditions, e.g. rostering; and

(K) unusual or emergency situations.

(ii) Incidents, including emergencies and accidents, that lead controllers to feel that they are not coping may lead to the experience of critical incident stress; this, in turn, may impair performance in varying degrees.

(3) Personal stressors

(i) Personal stressors include the range of events that occur throughout people’s lives but external to the workplace. The belief that such stressors can be left at home, however, is a myth, and these personal stressors accompany air traffic controllers to work every day.

(ii) Personal issues such as health, personal life, living situation and major life events (deaths, births, marriages, and moving house) add to the background level of stress that individuals have to cope with. Where these are excessive, they can interfere with work due to the distraction they cause and the mental effort they require to resolve them.

(iii) Stress is also considered to have a contagious quality, which happens when a stressed person or stressed persons create stressful situations for those around them.

(d) Signs of stress in the individual

Signs of stress are many and varied. Some of the most commonly observed are shown below:

(1) Physiological

(i) Cardiovascular: increased pulse rate, elevated blood pressure, chest pains;

(ii) Respiratory: shortness of breath, tightness of chest, hyperventilation, dizziness;

(iii) Gastrointestinal: loss of appetite, gas pain, abdominal cramps, indigestion, diarrhoea, nausea;

(iv) Sweaty palms;

(v) Aching neck, jaw and back muscles;

(vi) Trembling;

(vii) Sleep disturbance, tiredness;

(viii) Itching;

(ix) Getting easily startled;

(x) Susceptibility to minor illnesses; and

(xi) Other: headaches, muscular tension, general weakness, psychosomatic symptoms.

(2) Psychological

(i) Emotional: anger, guilt, mood swings, low self-esteem, depression and anxiety;

(ii) Concentration problems, forgetfulness;

(iii) Pessimism;

(iv) Difficulty in making decisions;

(v) Irritability;

(vi) Loss of interest;

(vii) Loss of self-control; and

(viii) Loss of confidence.

(3) Behavioural

(i) Self-medication, drugs or alcohol;

(ii) Excess fatigue;

(iii) Sleep disruption;

(iv) Social withdrawal;

(v) Absenteeism;

(vi) Staff turnover rates; and

(vii) Job performance decrements.

(e) Impact of stress on air traffic controllers’ performance of air traffic control tasks

Any source of stress has the potential to create unique subjective experiences in different individuals, and these may be positive or negative experiences or something in between.

(f) Negative experiences of stress

There is a number of ways in which stress experienced by air traffic controllers can be manifested in the performance of air traffic control tasks. Some of these are listed in Table 1, but, in general terms, performance of tasks decreases due to the detrimental effects that high levels of stress can have on perception, awareness, decision-making and judgement. In the longer term, health and well-being may also be compromised, leading to decreased performance of air traffic controllers.

Table 1 below shows the effects on air traffic controller performance which can be linked to stress and which can potentially have very significant implications for the safety performance of an operation.

Table 1: Effects of stress on physical and mental performance of air traffic control tasks

(g) Mitigation of stress in the individual and the organisation

Air traffic control service providers have a duty to take care of their employees and the customers of their services. They should aim at mitigating the negative effects of stress. This is best achieved by ensuring that a range of preventative measures as well as countermeasures are in place. These include:

(1) adoption of a stress policy and/or a critical incident stress management policy within the organisation;

(2) completion of regular risk assessment of sources of occupational stress and its effects on individuals and operations;

(3) employee stress level monitoring;

(4) adoption of stress intervention/mitigation/prevention practices and, where the organisation identifies a source of stress, use of a stress team/committee;

(5) stress management training for all levels of employees;

(6) education and prevention programmes on stress; and

(7) staff support mechanisms (e.g. peer counselling, professional support from health practitioners, critical incident stress management (CISM) programmes);

(8) adequate rostering allowing time to evacuate stress; and

(9) promotion of sports or relaxation activities.

AMC1 ATS.OR.310(a) Stress

ED Decision 2017/001/R

STRESS MANAGEMENT POLICY 

(a) The air traffic controllers’ stress management policy should:

(1) declare the commitment to proactively and systematically monitor and manage stress, and describe the expected benefits for the safety of operations;

(2) be signed by the accountable manager;

(3) reflect organisational commitments regarding the implementation of a critical incident stress management programme;

(4) be communicated, with visible endorsement, throughout the air traffic control service provider; 

(5) include the commitment to:

(i) provide appropriate resources;

(ii) consider the best practices;

(iii) enforce stress management programme(s) as a responsibility of managers, staff involved in stress management and air traffic controllers;

(6) be periodically reviewed to ensure it remains relevant and appropriate.

(b) In accordance with the policy in point (a), the air traffic control service provider should establish and implement:

(1) procedures for critical incident stress management;

(2) principles and procedures to enable stress reporting;

(3) principles and procedures for occurrence investigation and analysis to consider stress as contributing factor; and

(4) method(s) for the identification and management of the effect of air traffic controllers’ stress on the safety of operations.

GM1 ATS.OR.310(a) Stress

ED Decision 2017/001/R

CRITICAL INCIDENT STRESS MANAGEMENT

The purpose of critical incident stress management (CISM) programmes is to prepare an organisation for the potential aftermath of an incident. These programmes come in a number of different forms, but have the added benefit of providing education on the effects of stress, how stress affects performance and stress management, even when the incident is relatively minor and perhaps personal to the individual.

Guidance for the implementation of a CISM programme may be found in the EUROCONTROL document: ‘Human Factors — Critical Incident Stress Management: User Implementation Guidelines’, edition 2.0 of 24 October 2008.

GM1 ATS.OR.310(b) Stress

ED Decision 2017/001/R

INFORMATION AND EDUCATION PROGRAMMES

Scientific material proposed as guidance for information and education programmes on stress may be found in the EUROCONTROL document ‘Human Factors Module — Stress’, edition 1.0 of 15 March 1996.

ATS.OR.315 Fatigue

Regulation (EU) 2017/373

In accordance with point ATS.OR.200, an air traffic control service provider shall:

(a) develop and maintain a policy for the management of air traffic controllers' fatigue;

(b) provide air traffic controllers with information programmes on the prevention of fatigue, complementing human factors training provided in accordance with Sections 3 and 4 of Subpart D of Annex I to Regulation (EU) 2015/340.

GM1 ATS.OR.315 Fatigue

ED Decision 2017/001/R

EFFECTS OF FATIGUE

Guidance material on fatigue and its effects on safety-relevant aviation professionals may be found in Chapter 2 ‘Scientific principles for fatigue management’ of ICAO Doc 9966 ‘Manual for the Oversight of Fatigue Management Approaches’, second edition 2016.

AMC1 ATS.OR.315(a) Fatigue

ED Decision 2017/001/R

FATIGUE MANAGEMENT POLICY

(a) The air traffic controllers’ fatigue management policy should:

(1) declare the commitment to proactively and systematically monitor and manage fatigue and describe the expected benefits for the safety of operations;

(2) be signed by the accountable manager;

(3) address the mitigation of the operational impact of air traffic controllers’ fatigue;

(4) be communicated, with visible endorsement, throughout the air traffic control service provider;

(5) include a commitment to:

(i) consider the best practices;

(ii) provide appropriate resources; and

(iii) enforce fatigue management as a responsibility of managers, staff involved in fatigue management procedures and air traffic controllers;

(6) be periodically reviewed to ensure it remains relevant and appropriate.

(b) In accordance with the policy in point (a), the air traffic control service provider should establish and implement:

(1) principles and procedures to enable fatigue reporting;

(2) principles and procedures for occurrence investigation and analysis to consider fatigue as contributing factor;

(3) procedures for the identification and management of the effect of fatigue on the safety of operations.

GM1 to AMC1 ATS.OR.315(a) Fatigue

ED Decision 2017/001/R

FATIGUE TAXONOMY

When establishing procedures to enable air traffic controllers to report when fatigued, an associated taxonomy for fatigue should be established.

GM2 to AMC1 ATS.OR.315(a) Fatigue

ED Decision 2017/001/R

FATIGUE IN OCCURRENCE INVESTIGATION AND ANALYSIS

Fatigue may have a significant impact on the performance of air traffic controllers and consequently on the safety of air operations. Therefore, when investigating occurrences, the air traffic control service providers should analyse the occurrence for fatigue as a contributing factor.

The analysis of available occurrence reports where fatigue was identified as contributing factor, generated by the air traffic control service providers or by other sources, could support the implementation and the improvement of fatigue management.

GM3 to AMC1 ATS.OR.315(a) Fatigue

ED Decision 2017/001/R

IDENTIFICATION AND MANAGEMENT OF THE EFFECT OF FATIGUE ON THE SAFETY OF OPERATIONS 

(a) The following non exhaustive list contains some of the initiatives that the air traffic control service provider may undertake in order to identify air traffic controllers’ fatigue:

(1) establishment of a procedure allowing air traffic controllers to report when fatigued, and promotion of its use. Templates for such reporting procedure could be established;

(2) utilisation of system support to manage rostering principles and thresholds established in accordance with ATS.OR.320, also highlighting criticalities in advance;

(3) undertaking fatigue surveys;

(4) application of scientific principles on fatigue and fatigue management and their effect on the operational and organisational context.

(b) The knowledge and understanding of the underlying scientific principles of fatigue, as well of its potential impact on the safety of operations, may represent a considerable added value for the effectiveness of fatigue management arrangements established within the organisation. For this purpose, the air traffic control service provider might consider making available education and information programmes for staff involved in fatigue management, such as operational and safety managers, staff in charge of managing the rostering system, staff in charge of occurrence investigation.

(c) Activities air traffic control service providers could undertake to monitor the effectiveness of the established fatigue management arrangements may be but are not limited to the following:

(1) verification of the allocation and implementation of duty and rest periods in accordance with the rostering principles established in ATS.OR.320;

(2) collection and analysis of data related to planned versus achieved rosters, and in particular:

(i) exceedances of planned working hours and reasons generating exceedances;

(ii) variation of the nature of the duty (office work, operational air traffic control service provision, training, etc.);

(iii) operational circumstances which required a modification of established duty and rest periods; and

(iv) swapped shifts between air traffic controllers and impact on the established fatigue management principles;

(3) verification of the use and of the effectiveness of the procedure allowing air traffic controllers to self-declare fatigue, when such procedure is established; and

(4) analysis if specific roster patterns generate fatigue and, as a consequence, sickness or cases of provisional inability in accordance with Commission Regulation (EU) 2015/340.

GM1 ATS.OR.315(b) Fatigue

ED Decision 2017/001/R

INFORMATION PROGRAMMES

Information programmes may consist of lectures, leaflets, posters, CDs, and any other informative material to raise the awareness of the effects of fatigue on the individuals and on air traffic control service provision, and to advise on the need and the means to manage it. When choosing the most appropriate information programme and the medium, the air traffic control service provider should evaluate the level of awareness of its staff of fatigue management, the type of operations (e.g. single-person operations, nightshifts), and the periodicity of human factors training in the scope of refresher training.

GM2 ATS.OR.315(b) Fatigue

ED Decision 2017/001/R

INFORMATION PROGRAMMES

Scientific material proposed as guidance for information programmes on fatigue may be found in the document ‘Fatigue and Sleep Management: Personal strategies for decreasing the effects of fatigue in air traffic control’ (Brussels: Human Factors Management Business Division (DAS/HUM), EUROCONTROL, 2005).

ATS.OR.320 Air traffic controllers' rostering system(s)

Regulation (EU) 2017/373

(a) An air traffic control service provider shall develop, implement and monitor a rostering system in order to manage the risks of occupational fatigue of air traffic controllers through a safe alternation of duty and rest periods. Within the rostering system, the air traffic control service provider shall specify the following elements:

(1) maximum consecutive working days with duty;

(2) maximum hours per duty period;

(3) maximum time providing air traffic control service without breaks;

(4) the ratio of duty periods to breaks when providing air traffic control service;

(5) minimum rest periods;

(6) maximum consecutive duty periods encroaching the night time, if applicable, depending upon the operating hours of the air traffic control unit concerned;

(7) minimum rest period after a duty period encroaching the night time;

(8) minimum number of rest periods within a roster cycle.

(b) An air traffic control services provider shall consult those air traffic controllers who will be subject to the rostering system, or, as applicable, their representatives, during its development and its application, to identify and mitigate risks concerning fatigue which could be due to the rostering system itself.

GM1 ATS.OR.320(a) Air traffic controllers’ rostering system(s)

ED Decision 2017/001/R

STRUCTURE AND VALUES OF THE ROSTERING SYSTEM

The selection and the regular revision of an appropriate structure and of appropriate values of the rostering system, in accordance with ATS.OR.320(a) and which fit the intended operations, should be based upon:

(1)  scientific principles;

(2)  data gathered by the air traffic control service provider; and

(3)  best practices.

AMC1 ATS.OR.320(a)(6);(7) Air traffic controllers’ rostering system(s)

ED Decision 2017/001/R

NIGHT TIME

Night time should be considered as the time between midnight and 05.59.

GM1 ATS.OR.320(b) Air traffic controllers’ rostering system(s)

ED Decision 2017/001/R

AIR TRAFFIC CONTROLLERS’ INVOLVEMENT

Additional guidance concerning the involvement of air traffic controllers in the definition of rostering systems is available in EUROCONTROL Study on Shiftwork practices — ATM and related Industries, edition 1.0 of 14 April 2006.