Page 28 - UK ATM ANS Regulations (Consolidated) 201121

Part ATM/ANS.AR - ANNEX II - Requirements for Competent Authorities
Oversight of Services and other ATM Network Functions

adequate storage, accessibility, and reliable traceability of:
(1) the management system's documented policies and procedures;
(2) training, qualification, and authorisation of personnel as required by point
ATM/ANS.AR.B.001(a)(2);
(3) the allocation of tasks, covering the elements required by point ATM/ANS.AR.B.005,
as well as the details of tasks allocated;
(4) certification and/or declaration processes;
(5) designations of air traffic services and meteorological services providers, as
appropriate;
(6) certification and oversight of service providers exercising activities within the United
Kingdom, but certified by the competent authority of a Member State or the Agency,
as agreed between those authorities;
(7) the evaluation of MOC proposed by service providers and the assessment of MOC
used by the competent authority itself;
(8) compliance of service providers with the applicable requirements of this Regulation
after the issuance of the certificate or, where relevant, submission of a declaration,
including the reports of all audits, covering findings, corrective actions, and date of
action closure, and observations as well as other safety-related records;
(9) enforcement measures taken;
(10) safety information, safety directives and follow-up measures;
(11) the use of flexibility provisions in accordance with Article 14 of Regulation (EC) N o
216/2008.
(b) The competent authority shall maintain a list of all service provider certificates issued and
declarations received.
(c) All records shall be kept for a minimum period of 5 years after the certificate ceases to be
valid or the declaration is withdrawn, subject to the applicable data protection law.
ATM/ANS.AR.B.015(a)(2) AMC1 Record-keeping
DURATION OF RETENTION PERIOD OF RECORDS
Records related to the training and qualification of the personnel of the competent authority should be
kept until the end of their employment.
ATM/ANS.AR.B.015(a)(8) Record-keeping
RECORD-KEEPING FOR FUNCTIONAL SYSTEMS CHANGE MANAGEMENT PROCEDURES
The competent authority should keep a record of all the change management procedures,
modifications and deviations it has approved in accordance with ATM/ANS.AR.C.030(a) and those
that have been rejected, together with a rationale. The competent authority should be able to cross-
reference them to the requirement of the associated requirement in the Regulation that they intend to
comply with.

SUBPART C OVERSIGHT, CERTIFICATION AND ENFORCEMENT (ATM/ANS.AR.C)
Reference Description
ATM/ANS.AR.C.001 Monitoring of safety performance
(a) The competent authority shall regularly monitor and assess the safety performance of the
service providers under its oversight.
(b) The competent authority shall use the results of the monitoring of safety performance in
particular within its risk-based oversight.
ATM/ANS.AR.C.005 Certification, declaration, and verification of service providers' compliance with the requirements
(a) Within the framework of point ATM/ANS.AR.B.001(1), the competent authority shall
establish a process in order to verify:
(1) service providers' compliance with the applicable requirements set out in Annexes
III to XIII, and any applicable conditions attached to the certificate before the issue of
that certificate. The certificate shall be issued in accordance with Appendix 1 to this
Annex;
(2) compliance with any safety-related obligations in the designation act issued in
accordance with Article 8 of Regulation (EC) No 550/2004;
(3) continued compliance with the applicable requirements of the service providers
under its oversight;
(4) implementation of safety objectives, safety requirements and other safety-related
conditions identified in declarations of verification of systems, including any relevant
declaration of conformity or suitability for use of constituents of systems issued in
accordance with Regulation (EC) No 552/2004;
(5) the implementation of safety directives, corrective actions and enforcement
measures.
(b) The process referred to in point (a) shall:
(1) be based on documented procedures;
(2) be supported by documentation specifically intended to provide its personnel with
guidance to perform their tasks related to certification, oversight and enforcement;
(3) provide the organisation concerned with an indication of the results of the
certification, oversight and enforcement activity;
(4) be based on audits, reviews and inspections conducted by the competent authority;
(5) with regard to certified service providers, provide the competent authority with the
evidence needed to support further action, including measures referred to in Article
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