Page 36 - UK ATM ANS Regulations (Consolidated) 201121

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

(1) In the case of level 1 findings, the competent authority shall take immediate and
appropriate action, and may, if appropriate, limit, suspend or revoke in whole or in
part the certificate while ensuring the continuity of services provided that safety is
not compromised. The measure taken shall depend upon the extent of the finding
and shall remain until successful corrective action has been taken by the service
provider.
(2) In the case of level 2 findings, the competent authority shall:
(i) grant the service provider a corrective action implementation period included
in an action plan appropriate to the nature of the finding;
(ii) assess the corrective action and implementation plan proposed by the
service provider and, if the assessment concludes that they are sufficient to
address the non-compliance(s), accept them.
(3) In the case of level 2 findings, where the service provider fails to submit a corrective
action plan that is acceptable to the competent authority in light of the finding, or
where the service provider fails to perform the corrective action within the time
period accepted or extended by the competent authority, the finding may be raised
to a level 1 finding, and action taken as laid down in point (1).
(f) For those cases not requiring level 1 and 2 findings, the competent authority may issue
observations.
ATM/ANS.AR.C.050 GM1 Findings, corrective actions, and enforcement measures
CATEGORIES OF FINDINGS DOCUMENTARY EVIDENCE
Documentary evidence may include but is not limited to:
(a) operations or technical manuals;
(b) contracts or other types of arrangements;
(c) training, qualification or medical records;
(d) inspection records;
(e) test or exercise results;
(f) internal audit results;
(g) maintenance records; and
(h) other similar material required to be maintained by the service provider, etc.
ATM/ANS.AR.C.050 GM2 Findings, corrective actions, and enforcement measures
ENFORCEMENT MEASURES FINANCIAL PENALTIES
In accordance with Article 7(7) of Regulation No 550/2004 and Articles 10, 22a(d), 25, and 68 of
Regulation (EC) No 216/2008, the competent authority may additionally, and depending on the nature
and the repetitiveness of the findings or the level of implementation of the corrective actions, impose
appropriate enforcement measures that may include financial penalties, which are effective,
proportionate, and dissuasive.
ATM/ANS.AR.C.050(e) AMC1 Findings, corrective actions, and enforcement measures
CORRECTIVE ACTION AND CORRECTIVE ACTION IMPLEMENTATION PERIOD DAT
PROVIDERS
(a) In case of a Level 1 finding, the competent authority may extend the initial 21-working-day
period for demonstration of corrective action by the DAT provider, depending on the nature
of the finding.
(b) In case of a Level 2 finding, the initial corrective action implementation period granted by
the competent authority should be appropriate to the nature of the finding but should not,
in any case, exceed 3 months. At the end of this period and subject to the nature of the
finding, the competent authority may extend the 3-month period subject to a satisfactory
corrective action plan agreed by the competent authority.
ATM/ANS.AR.C.050(e) GM1 Findings, corrective actions, and enforcement measures
CORRECTIVE ACTION IMPLEMENTATION PERIOD
At the end of the corrective action implementation period included in an action plan approved by the
competent authority and subject to the nature of the finding, the competent authority may extend it. It
should be subject to a satisfactory corrective action plan agreed by the competent authority.
ATM/ANS.AR.C.050(f) GM1 Findings, corrective actions, and enforcement measures
OBSERVATIONS
The observation should be a way to communicate and draw future audit teams' attention on specific
matters that deserve scrutiny. It should be communicated to the audited service provider.

APPENDICES APPENDICES TO ANNEX II
Reference Description
ATM/ANS.AR.APP1 Appendix 1 Form 157

20th November 2021 36 of 238