6 Ongoing Compliance: Regulation (EC) 2096/2005 Article 7
6.1 Once an ANSP is certified against Regulation (EC) 2096/2005, the ANSP becomes subject to oversight by the CAA as National Supervisory Authority (NSA).
6.2 In each calendar year the CAA establishes an audit programme based on an assessment of the risks associated with the operations of each organisation. Over a two-year cycle the audit programme seeks to ensure that UK ANSPs are able to demonstrate compliance with Regulation (EC) 2096/2005. Audits may cover the complete scope within one or multiple audit visits.
6.3 In addition, information is required by the CAA's Consumer Protection Group (CPG) and Economic Regulation Group (ERG) in accordance with Regulation (EC) 2096/2005 and as described on the CAA's SES Certification and Designation webpages (www.caa.co.uk/ses); this information covers annual financial reports, audited accounts and evidence of adequate insurance cover.
6.4 Audits will be based on the current Certification Compliance Matrices held by the CAA and therefore it is essential that these are maintained up to date.
7 SES Compliance Matrix Requirements
7.1 Certificated ANSPs should establish methods, through their Quality Management System processes or otherwise, to ensure their SES Compliance Matrix is regularly reviewed and amended where necessary in order to reflect their current compliance status. It is recommended that such a review is conducted at least annually. However, the frequency with which compliance is reviewed should be commensurate with the degree of operational, and where appropriate, organisational change that individual ANSPs are experiencing. ANSPs are not required to routinely submit amended Compliance Matrices to the CAA. Instead, and as part of its planning process for the conduct of compliance audits, the CAA will request current versions through its Regional Offices as required. The scope and conduct of the compliance audit will be determined, in part, by the statements contained in the compliance matrix. The compliance matrix may also be used by ANSPs to direct internal audit arrangements, to assist with audit scoping and planning and to provide assurance of compliance with minimum regulatory intervention.
7.2 Where ANSPs have been certified to provide bundled services, i.e. ATS, AIS, MET or CNS, audits will be lead by appropriate CAA lead auditors, e.g. Air Traffic Standards, DAP etc.
7.3 Regulatory oversight visits by ATSD inspectors will also include ATCO Licensing assessments, competency, etc.
8 ANSP Reporting Requirements: Regulation (EC) 2096/2005 Annex 1 paragraph 9
8.1 All UK ANSP organisations must be able to provide annual reports of their activities to the satisfaction of the UK CAA. The following link provides further information.
www.caa.co.uk/default.aspx?catid=952&pagetype=90&pageid=6841
9 Regulatory Oversight Audits: Regulation (EC) 1315/2007 Article 6
9.1 Oversight audits provide the UK CAA with satisfactory evidence of compliance and the opportunity to recommend and track improvement or corrective actions. Audit findings are detailed on individual report forms and incorporated into an overall report at the end of each oversight audit.
10 Corrective Actions: Regulation (EC) 1315/2007 Article 7
10.1 Where the CAA detects trends that may indicate that an ANSP is not in compliance with the Common Requirements, the CAA is obliged to seek an agreement for corrective actions in accordance with Regulation (EC) 1315/2007.
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