Page 11 - UK ATM ANS Regulations (Consolidated) 201121

Cover Regulation - Air Traffic Management/Air Navigation Services

(d) As already defined, ‘ATM network functions’ refers to functions performed by the Network
Manager in accordance with Regulation (EU) No 677/2011.
Article 3 Article 3 Provision of ATM/ANS and ATM network functions
1. The Secretary of State shall ensure that the appropriate ATM/ANS and ATM network
functions are provided in accordance with this Regulation in a manner that facilitates
general air traffic, while taking into account safety considerations and traffic requirements.
2. When the Secretary of State adopts additional provisions to complement this Regulation,
those provisions shall follow the standards and recommended practices set by the
Chicago Convention. Where use is made of the provisions of Article 38 of the Chicago
Convention, the Secretary of State shall notify the International Civil Aviation Organisation,
with due justification, at the latest two months after the additional provisions have been
adopted.
3. The CAA shall publish, in accordance with the Chicago Convention, those additional
provisions through its aeronautical information publications.
4. Where the Secretary of State decides to organise the provision of certain specific air
traffic services in a competitive environment, he or she shall take all appropriate
measures to ensure that the providers of those services shall neither engage in conduct
that would have as its object or effect the prevention, restriction or distortion of
competition, nor shall they engage in conduct that amounts to an abuse of a dominant
position, in accordance with applicable law.
5. Organisations other than an ATM/ANS provider referred to in point (2) of Article 2 of this
Regulation or aerodrome operators regulated by Regulation (EU) No 139/2014, when
originating, processing or transmitting aeronautical data or aeronautical information
intended for use in IFR traffic, shall meet the requirements laid down in:
(a) point ATM/ANS.OR.A.085 of Annex 3, except points (c), (d) and (f)(1) and (i);
(b) point ATM/ANS.OR.A.090 of Annex 3.
Such organisations shall ensure that aeronautical data and aeronautical information are
originated, processed and transmitted by adequately trained, competent and authorised
personnel.
Article 4 Article 4 Competent authority for certification, oversight and enforcement
1. The competent authority responsible for the issuing of certificates to service providers, for
the acknowledgement of receipts of declarations made by providers of flight information
services referred to in Article 7 where relevant and for oversight and enforcement in
respect of service providers shall be the CAA.
2. The competent authority referred to in paragraph 1 shall comply with the requirements
laid down in Annex II.
5. When exercising its certification, oversight and enforcement tasks under this Regulation,
the competent authority shall be independent of any service provider. That independence
shall be ensured by adequate separation, at least at the functional level, between the
competent authority and the service providers. In this context, the Secretary of State shall
ensure that the competent authority exercises their powers impartially and transparently.
6. The Secretary of State shall ensure that the competent authority does not allow its
personnel to be involved in the exercise of the certification, oversight and enforcement
tasks of that authority under this Regulation where there are indications that such
involvement could result, directly or indirectly, in a conflict of interest, in particular relating
to family or financial interests.
8. The Secretary of State shall determine the necessary resources and capabilities required
by the competent authority for the exercise of its tasks, in accordance with Article 4(4) of
Regulation (EC) No 549/2004 and Article 22a of Regulation (EC) No 216/2008, taking into
account all relevant factors, including an assessment carried out by the competent
authority to determine the resources needed for the exercise of its tasks under this
Regulation.
Article 4(5) GM1 ‘Competent authority for certification, oversight and enforcement’
SEPARATION AT THE FUNCTIONAL LEVEL
‘Functional level separation’ means that a competent authority may be engaged in operational
activities and the oversight of organisations in the same domain, provided that the different functions
are clearly separated and that the organisational governance ensures effective oversight by avoiding
conflicts of interest by personnel and preventing their engagement in operational activities of the
entities that they are meant to oversee. This could be achieved by applying appropriate management
and control mechanisms.
Article 4(5) GM2 ‘Competent authority for certification, oversight and enforcement’
SEPARATION AT THE FUNCTIONAL LEVEL
When achieving independence between the competent authority and the service provider(s) through
functional level separation, the Member State should ensure that:
(a) the responsibility for the service provision and the responsibility for the certification,
receipt of declarations and oversight activities are allocated to separate personnel;
(b) the former should not have any control over the latter; and
(c) this happens within a just culture environment.
Article 4(8) AMC1 ‘Competent authority for certification, oversight and enforcement’
REGULARITY OF THE ASSESSMENT CARRIED OUT BY THE COMPETENT AUTHORITY
The competent authorities should establish, and update every two years, an assessment of the
resources needed to effectively exercise their certification, oversight and enforcement tasks under
this Regulation, based on an analysis of the processes and other measures necessary to that end.
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