Page 35 - UK ATM ANS Regulations (Consolidated) 201121

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

ATM/ANS.AR.C.040 Review of a notified change to the functional system
(a) When the competent authority reviews the argument for a notified change, it shall:
(1) assess the validity of the argument presented with respect to point
ATM/ANS.OR.C.005(a)(2) or ATS.OR.205(a)(2);
(b) The competent authority shall, alternatively:
(1) approve the argument referred to in point (a)(1), with conditions where applicable,
when it is shown to be valid and so inform the service provider,
(2) reject the argument referred to in point (a)(1) and inform the service provider
together with a supporting rationale.
ATM/ANS.AR.C.045 Declarations of flight information services providers
(a) Upon receiving a declaration from a provider of flight information services intending to
provide such services, the competent authority shall verify that the declaration contains all
the information required by point ATM/ANS.OR.A.015 and shall acknowledge receipt of the
declaration to that service provider.
(b) If the declaration does not contain the required information, or contains information that
indicates non-compliance with the applicable requirements, the competent authority shall
notify the provider of flight information services concerned about the non-compliance and
request further information. If necessary, the competent authority shall carry out an audit
of the provider of flight information services. If the non-compliance is confirmed, the
competent authority shall take action provided for in point ATM/ANS.AR.C.050.
(c) The competent authority shall keep a register of the declarations of providers of flight
information services which were made to it in accordance with this Regulation.
ATM/ANS.AR.C.050 Findings, corrective actions, and enforcement measures
(a) The competent authority shall have a system to analyse findings for their safety
significance and decide on enforcement measures on the basis of the safety risk posed
by the service provider's non-compliance.
(b) In circumstances where no or very low additional safety risk would be present with
immediate appropriate mitigation measures, the competent authority may accept the
provision of services to ensure continuity of service whilst corrective actions are being
taken.
(c) A level 1 finding shall be issued by the competent authority when any serious non-
compliance is detected with the applicable requirements of Regulation (EC) No 216/2008
and its implementing rules as well as Regulations (EC) No 549/2004, (EC) No 550/2004,
(EC) No 551/2004, and (EC) No 552/2004 and their implementing rules, with the service
provider's procedures and manuals, with the terms of conditions of certificate or
certificate or with the content of a declaration which poses a significant risk to flight safety
or otherwise calls into question the service provider's capability to continue operations.
Level 1 findings shall include but not be limited to:
(1) promulgating operational procedures and/or providing a service in a way which
introduces a significant risk to flight safety;
(2) obtaining or maintaining the validity of the service provider's certificate by
falsification of submitted documentary evidence;
(3) evidence of malpractice or fraudulent use of the service provider's certificate;
(4) the lack of an accountable manager.
(d) A level 2 finding shall be issued by the competent authority when any other non-
compliance is detected with the applicable requirements of Regulation (EC) No 216/2008
and its implementing rules as well as Regulations (EC) No 549/2004, (EC) No 550/2004,
(EC) No 551/2004, and (EC) No 552/2004 and their implementing rules, with the service
provider's procedures and manuals or with the terms of conditions or certificate, or with
the content of a declaration.
(e) When a finding is detected, during oversight or by any other means, the competent
authority shall, without prejudice to any additional action required by Regulation (EC) No
216/2008 and this Regulation, as well as Regulations (EC) No 549/2004, (EC) No
550/2004, (EC) No 551/2004 and (EC) No 552/2004 and their implementing rules,
communicate the finding to the service provider in writing and require corrective action to
address the non-compliance(s) identified.
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