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 (EU) 2018/1139 and the delegated and implementing acts adopted on its basis as well as Regulations (EC) No 549/2004, (EC) No 552/2004 and (EC) No 551/2004 and their implementing rules, with the ATM/ANS provider’s procedures and manuals, with the terms and conditions of the certificate, with the designation act, if applicable, 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 are not limited to:

(1)     the promulgation of operational procedures and/or provision of a service in a way which introduces a significant risk to flight safety;

(2)     the obtainment or maintenance of the validity of the service provider’s certificate through the submission of falsified 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 (EU) 2018/1139 and the delegated and implementing acts adopted on its basis, as well as Regulations (EC) No 549/2004, (EC) No 550/2004 and (EC) No 551/2004 and their implementing rules, with the ATM/ANS provider’s procedures and manuals or with the terms and conditions of the certificate, or with the content of the 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 (EU) 2018/1139 and the delegated and implementing acts adopted on its basis, as well as Regulations (EC) No 549/2004, (EC) No 550/2004, and (EC) No 551/2004 and their implementing rules, communicate the finding to the service provider in writing and require corrective action to address the non-compliance(s) identified.

(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, and in the case of the Network Manager, it shall inform the Commission. The measures taken shall depend upon the extent of the finding and shall remain in force until successful corrective action has been taken by the ATM/ANS 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 the 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 shall be taken as laid down in point (1).

(f)      Where the competent authority detects that the ATM/ANS provider integrates ATM/ANS equipment into its functional system without ensuring compliance with point ATM/ANS.OR.A.045(g), it shall, with due regard to the need to ensure the safety and continuity of operations, take all measures necessary to restrict the area of application of the ATM/ANS equipment concerned or prohibit its use by the ATM/ANS providers under its oversight.

(g)     For those cases that do not require level 1 and 2 findings, the competent authority may issue observations.