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ANNEX IIU.K.Part Authority Requirements — Aerodromes (Part-ADR.AR)

SUBPART A — GENERAL REQUIREMENTS (ADR.AR.A)U.K.

ADR.AR.A.001 ScopeU.K.

This Annex establishes requirements for the [F1CAA regarding] the certification and oversight of aerodromes, aerodrome operators and apron management service providers.

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ADR.AR.A.005 [F2CAA] U.K.

[F3The CAA] shall be responsible for the:

Textual Amendments

(a)

certification and oversight of aerodromes and its aerodrome operators;

(b)

oversight of providers of apron management services.

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ADR.AR.A.010 Oversight documentationU.K.

(a)The [F4CAA] shall provide the relevant legislative acts, standards, rules, technical publications and related documents to its relevant personnel in order to perform their tasks and to discharge their responsibilities.U.K.

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(b)The [F4CAA] shall make available legislative acts, standards, rules, technical publications and related documents to aerodrome operators and other interested parties to facilitate their compliance with the applicable requirements.U.K.

ADR.AR.A.015 Means of complianceU.K.

(a)The [F5CAA] shall develop Acceptable Means of Compliance (AMC) that may be used to establish compliance with Regulation (EC) No 216/2008 and its Implementing Rules. When the Acceptable Means of Compliance are complied with, the related requirements of the Implementing Rules are met.U.K.

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(b)Alternative means of compliance may be used to establish compliance with the Implementing Rules.U.K.
(c)The [F6CAA] shall establish a system to consistently evaluate that the alternative means of compliance used by itself or by aerodrome operators or providers of apron management services under its oversight provide for compliance with Regulation (EC) No 216/2008 and its Implementing Rules.U.K.

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(d)The [F7CAA] shall evaluate the alternative means of compliance proposed by an aerodrome operator or a provider of apron management services, in accordance with ADR.OR.A.015, by analysing the documentation provided and, if considered necessary, conducting an inspection of the aerodrome operator, the aerodrome or the provider of apron management services.U.K.

When the [F7CAA] finds that the alternative means of compliance proposed by the aerodrome operator or the provider of apron management services are in accordance with the Implementing Rules, it shall without undue delay:

(1)

notify the applicant that the alternative means of compliance may be implemented and, if applicable, amend the certificate or approval of the applicant accordingly;

(2)

F8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)

F8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(4)

inform the other certified aerodromes located in the [F9United Kingdom], as appropriate.

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F10(e). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

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F11ADR.AR.A.025 Information to the AgencyU.K.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

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ADR.AR.A.030 Immediate reaction to a safety problemU.K.

(a)Without prejudice to Directive 2003/42/EC of the European Parliament and the Council(1), the [F12CAA] shall implement a system to appropriately collect, analyse and disseminate safety information.U.K.

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(b)The [F13CAA] shall implement a system to appropriately analyse any relevant safety information received F14....U.K.

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(c)Upon receiving the information referred to in points (a) and (b), the [F15CAA] shall take adequate measures to address the safety problem, including the issuing of safety directives in accordance with ADR.AR.A.040.U.K.

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(d)Measures taken in accordance with point (c) shall immediately be notified to the aerodrome operators or providers of apron management services which need to comply with them under Regulation (EC) No 216/2008 and its Implementing Rules. F16... U.K.

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ADR.AR.A.040 Safety directivesU.K.

(a)The [F17CAA] shall issue a safety directive if it has determined the existence of an unsafe condition requiring immediate action, including the showing of compliance with any amended or additional certification specification F18..., which the [F17CAA] finds is necessary.U.K.

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(b)A safety directive shall be forwarded to the aerodrome operators or providers of apron management services concerned, as appropriate, and shall contain, as a minimum, the following information:U.K.
(1)

the identification of the unsafe condition;

(2)

the identification of the affected design, equipment, or operation;

(3)

the actions required and their rationale, including the amended or additional certification specifications that have to be complied with;

(4)

the time limit for compliance with the required actions; and

(5)

its date of entry into force.

F19(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

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(d)The [F20CAA] shall verify the compliance of aerodrome operators and providers of apron management services with the applicable safety directives.U.K.

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SUBPART B — MANAGEMENT (ADR.AR.B)U.K.

ADR.AR.B.005 Management systemU.K.

(a)The [F21CAA] shall establish and maintain a management system, including as a minimum:U.K.
(1)

documented policies and procedures to describe its organisation, means and methods to achieve compliance with Regulation (EC) No 216/2008 and its Implementing Rules. The procedures shall be kept up to date and serve as the basic working documents within [F22the CAA] for all related tasks;

(2)

a sufficient number of personnel, including aerodrome inspectors, to perform its tasks and discharge its responsibilities. Such personnel shall be qualified to perform their allocated tasks and have the necessary knowledge, experience, initial, on-the-job and recurrent training to ensure continuing competence. A system shall be in place to plan the availability of personnel, in order to ensure the proper completion of all related tasks;

(3)

adequate facilities and office accommodation to perform the allocated tasks;

(4)

a formal process to monitor compliance of the management system with the relevant requirements and adequacy of the procedures, including the establishment of an internal audit process and a safety risk management process.

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(b)The [F23CAA] shall, for each field of activity included in the management system, appoint one or more persons with the overall responsibility for the management of the relevant task(s).U.K.

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F24(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

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ADR.AR.B.010 Allocation of tasks to qualified entitiesU.K.

(a)Tasks related to the initial certification or continuing oversight of persons or organisations subject to Regulation (EC) No 216/2008 and its Implementing Rules shall be allocated by [F25the CAA] only to qualified entities. When allocating tasks, the [F26CAA] shall ensure that it has:U.K.
(1)

a system in place to initially and continuously asses that the qualified entity complies with Annex V to Regulation (EC) No 216/2008;

this system and the results of the assessments shall be documented;

(2)

established a documented agreement with the qualified entity, approved by both parties at the appropriate management level, which clearly defines:

(i)

the tasks to be performed;

(ii)

the declarations, reports and records to be provided;

(iii)

the technical conditions to be met in performing such tasks;

(iv)

the related liability coverage; and

(v)

the protection given to information acquired in carrying out such tasks.

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(b)The [F27CAA] shall ensure that the internal audit process and safety risk management process required by ADR.AR.B.005(a)(4) covers all certification or continuing oversight tasks performed on its behalf.U.K.

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ADR.AR.B.015 Changes to the management systemU.K.

(a)The [F28CAA] shall have a system in place to identify changes that affect its capability to perform its tasks and discharge its responsibilities as defined in Regulation (EC) No 216/2008 and its Implementing Rules. This system shall enable it to take action, as appropriate, to ensure that the management system remains adequate and effective.U.K.

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(b)The [F29CAA] shall update its management system to reflect any change to Regulation (EC) No 216/2008 and its Implementing Rules in a timely manner, so as to ensure effective implementation.U.K.

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F30(c). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . U.K.

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ADR.AR.B.020 Record keepingU.K.

(a)The [F31CAA] shall establish a system of record keeping providing for adequate storage, accessibility and reliable traceability of:U.K.
(1)

the management system’s documented policies and procedures;

(2)

training, qualification and authorisation of its personnel;

(3)

the allocation of tasks to qualified entities, covering the elements required by ADR.AR.B.010, as well as the details of tasks allocated;

(4)

certification process and continuing oversight of aerodromes and aerodrome operators;

(5)

declaration process and continuing oversight of providers of apron management services;

(6)

the documentation regarding cases of equivalent level of safety and special conditions contained in the certification basis, as well as any Deviation Acceptance and Action Document (DAAD);

(7)

F32. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(8)

findings, corrective actions and date of action closure, and observations;

(9)

enforcement measures taken;

(10)

safety information and follow-up measures;

(11)

the use of flexibility provisions in accordance with Article 14 of Regulation (EC) No 216/2008.

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(b)The [F33CAA] shall maintain a list of all certificates it issued and declarations it received.U.K.

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(c)Records related to the certification of an aerodrome and an aerodrome operator, or the declaration of a provider of apron management services shall be kept for the lifespan of the certificate or declaration, as appropriate.U.K.
(d)Records relating to points (a)(1) to (a)(3) and points (a)(7) to (a)(11) shall be kept for a minimum period of five years, subject to applicable data protection law.U.K.

SUBPART C — OVERSIGHT, CERTIFICATION AND ENFORCEMENT (ADR.AR.C)U.K.

ADR.AR.C.005 OversightU.K.

(a)The [F34CAA] shall verify:U.K.
(1)

compliance with the certification basis and all requirements applicable to aerodromes and aerodrome operators prior to the issue of an approval or certificate;

(2)

continued compliance with the certification basis and applicable requirements of aerodromes and aerodrome operators or providers of apron management service subject to declaration obligation; and

(3)

implementation of appropriate safety measures as defined in ADR.AR.A.030(c) and (d).

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(b)This verification shall:U.K.
(1)

be supported by documentation specifically intended to provide personnel responsible for safety oversight with guidance to perform their functions;

(2)

provide the aerodrome operators and providers of apron management services concerned with the results of safety oversight activity;

(3)

be based on audits and inspections, including unannounced inspections, where appropriate; and

(4)

provide the [F34CAA] with the evidence needed in case further action is required, including the measures foreseen by ADR.AR.C.055.

(c)The scope of oversight shall take into account the results of past oversight activities and the safety priorities identified.U.K.
(d)The [F34CAA] shall collect and process any information deemed useful for oversight, including unannounced inspections, as appropriate.U.K.
(e)Within its oversight powers, the [F34CAA] may decide to require prior approval for any obstacles, developments and other activities within the areas monitored by the aerodrome operator in accordance with ADR.OPS.B.075, which may endanger safety and adversely affect the operation of an aerodrome.U.K.

ADR.AR.C.010 Oversight programmeU.K.

(a)The [F35CAA] shall for each aerodrome operator and provider of apron management services declaring their activity to the [F35CAA]:U.K.
(1)

establish and maintain an oversight programme covering the oversight activities required by ADR.AR.C.005;

(2)

apply an appropriate oversight planning cycle, not exceeding 48 months.

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(b)The oversight programme shall include within each oversight planning cycle, audits and inspections, including unannounced inspections, as appropriate.U.K.
(c)The oversight programme and planning cycle shall reflect the safety performance of the aerodrome operator and risk exposure of the aerodrome.U.K.
(d)The oversight programme shall include records of the dates when audits and inspections are due and when audits and inspections have been carried out.U.K.

ADR.AR.C.015 Initiation of certification processU.K.

(a)Upon receiving an application for the initial issuance of a certificate, the [F36CAA] shall assess the application and shall verify compliance with the applicable requirements.U.K.

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(b)In case of an existing aerodrome, the [F36CAA] shall prescribe the conditions under which the aerodrome operator shall operate during the certification period, unless the [F36CAA] determines that the operation of the aerodrome needs to be suspended. The [F36CAA] shall inform the aerodrome operator of the expected schedule for the certification process and conclude the certification within the shortest time period practicable.U.K.
(c)The [F36CAA] shall establish and notify the applicant of the certification basis in accordance with ADR.AR.C.020.U.K.

ADR.AR.C.020 Certification basisU.K.

The certification basis is to be established and notified to an applicant by the [F37CAA] and shall consist of:

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(a)

the certification specifications issued by the [F38CAA] applicable to the design and the type of operation of the aerodrome and which are effective on the date of application for that certificate, unless:

(1)

the applicant elects compliance with later effective amendments; or

(2)

the [F39CAA] finds that compliance with such later effective amendments is necessary;

(b)

any provision for which an equivalent level of safety has been accepted by the [F39CAA] to be demonstrated by the applicant; and

(c)

any special condition prescribed in accordance with ADR.AR.C.025, that the [F39CAA] finds necessary to be included in the certification basis.

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ADR.AR.C.025 Special conditionsU.K.

(a)The [F40CAA] shall prescribe special detailed technical specifications, named special conditions, for an aerodrome, if the related certification specifications issued by the [F41CAA] referred to in point ADR.AR.C.020(a) are inadequate or inappropriate, to ensure compliance with the essential requirements of Annex Va to Regulation (EC) No 216/2008, because:U.K.
(1)

the certification specifications cannot be met due to physical, topographical or similar limitations related to the location of the aerodrome;

(2)

the aerodrome has novel or unusual design features; or

(3)

experience from the operation of that aerodrome or other aerodromes having similar design features has shown that safety may be endangered.

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(b)The special conditions shall contain such technical specifications, including limitations or procedures to be complied with, as the [F42CAA] finds necessary to ensure compliance with the essential requirements set out in Annex Va to Regulation (EC) No 216/2008.U.K.

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ADR.AR.C.035 Issuance of certificatesU.K.

(a)The [F43CAA] may require any inspection, test, safety assessment, or exercise it finds necessary before issuing the certificate.U.K.

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(b)The [F43CAA] shall issue either:U.K.
(1)

a single aerodrome certificate; or

(2)

two separate certificates, one for the aerodrome and one for the aerodrome operator.

(c)The [F43CAA] shall issue the certificate(s) prescribed in point (b) when the aerodrome operator has demonstrated to the satisfaction of the [F43CAA] compliance with ADR.OR.B.025 and ADR.OR.E.005.U.K.
(d)The certificate shall be considered to include the aerodrome’s certification basis, the aerodrome manual, and, if relevant, any other operating conditions or limitations prescribed by the [F43CAA] and any Deviation Acceptance and Action Documents (DAAD).U.K.
(e)The certificate shall be issued for an unlimited duration. The privileges of the activities that the aerodrome operator is approved to conduct shall be specified in the terms of the certificate attached to it.U.K.
(f)Where responsibilities are attributed to other relevant organisations, they should be clearly identified and listed.U.K.
(g)Findings, other than level 1 and which have not been closed prior to the date of certification, shall be safety assessed and mitigated as necessary and a corrective action plan for the closing of the finding shall be approved by the [F43CAA].U.K.
(h)To enable an aerodrome operator to implement changes without prior approval of the [F43CAA] in accordance with ADR.OR.B.040(d), the [F43CAA] shall approve a procedure defining the scope of such changes and describing how such changes will be managed and notified.U.K.

ADR.AR.C.040 ChangesU.K.

(a)Upon receiving an application for a change, in accordance with ADR.OR.B.40, that requires prior approval, the [F44CAA] shall assess the application and, if relevant, notify the aerodrome operator of:U.K.
(1)

the applicable certification specifications issued by the [F45CAA], which are applicable to the proposed change and which are effective on the date of the application, unless:

(a)

the applicant elects compliance with later effective amendments; or

(b)

the Competent Authority finds that compliance with such later effective amendments is necessary;

(2)

any other certification specification [F46that the CAA] finds is directly related to the proposed change;

(3)

any special condition, and amendment to special conditions, prescribed by the [F47CAA] in accordance with point ADR.AR.C.025, the [F47CAA finds is necessary; and

(4)

the amended certification basis, if affected by the proposed change.

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(b)The [F48CAA] shall approve the change when the aerodrome operator has demonstrated, to the satisfaction of the [F48CAA], compliance with the requirements in ADR.OR.B.040 and, if applicable, with ADR.OR.E.005.U.K.

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(c)If the approved change affects the terms of the certificate, the [F48CAA] shall amend them.U.K.
(d)The [F48CAA] shall approve any conditions under which the aerodrome operator shall operate during the change.U.K.
(e)Without prejudice to any additional enforcement measures, when the aerodrome operator implements changes requiring prior approval without having received [F48CAA] approval as defined in (a), the [F48CAA] shall consider the need to suspend, limit or revoke the certificate.U.K.
(f)For changes not requiring prior approval, the [F48CAA] shall assess the information provided in the notification sent by the aerodrome operator in accordance with ADR.OR.B.040(d) to verify their appropriate management and verify their compliance with the certification specifications and other appropriate requirements applicable to the change. In case of any non-compliance, the [F48CAA] shall:U.K.
(1)

notify the aerodrome operator about the non-compliance and request further changes; and

(2)

in case of level 1 or level 2 findings, act in accordance with point ADR.AR.C.055.

ADR.AR.C.050 Declarations of providers of apron management servicesU.K.

(a)Upon receiving a declaration from a provider of apron management services intending to provide such services at an aerodrome, the Competent Authority shall verify that the declaration contains all the information required by Part-ADR.OR and shall acknowledge receipt of the declaration to that organisation.U.K.
(b)If the declaration does not contain the required information, or contains information that indicates non-compliance with applicable requirements, the Competent Authority shall notify the provider of apron management services and the aerodrome operator about the non-compliance and request further information. If necessary, the Competent Authority shall carry out an inspection of the provider of apron management services and the aerodrome operator. If the non-compliance is confirmed, the Competent Authority shall take action as defined in ADR.AR.C.055.U.K.
(c)The Competent Authority shall keep a register of the declarations of providers of apron management services under its oversight.U.K.

ADR.AR.C.055 Findings, observations, corrective actions and enforcement measuresU.K.

(a)[F49The CAA] shall have a system to analyse findings for their safety significance.U.K.

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(b)A level 1 finding shall be issued by the [F50CAA] when any significant non-compliance is detected with the certification basis of the aerodrome, the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the aerodrome operator’s or the apron management services provider’s procedures and manuals, with the terms of the certificate or certificate or with the content of a declaration which lowers safety or seriously endangers safety.U.K.

The level 1 finding shall include:

(1)

failure to give the [F50CAA] access to the aerodrome and aerodrome operator’s or the apron management services provider’s facilities as defined in ADR.OR.C.015 during normal operating hours and after two written requests;

(2)

obtaining or maintaining the validity of a certificate by falsification of submitted documentary evidence;

(3)

evidence of malpractice or fraudulent use of a certificate; and

(4)

the lack of an accountable manager.

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(c)A level 2 finding shall be issued by the [F50CAA] when any non-compliance is detected with the certification basis of the aerodrome, the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the aerodrome operator’s or the apron management services provider’s procedures and manuals, with the terms of the certificate or the certificate or with the content of a declaration which could lower or possibly hazard safety.U.K.
(d)When a finding is detected, during oversight or by any other means, the [F50CAA] shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and its Implementing Rules, communicate the finding to the aerodrome operator or the provider of apron management services in writing and request corrective action to address the non-compliance(s) identified.U.K.
(1)

In the case of level 1 findings, the [F50CAA] shall take immediate and appropriate action to prohibit or limit activities, and if appropriate, it shall take action to revoke the certificate or to deregister the declaration, or to limit or suspend the certificate or declaration in whole or in part, depending upon the extent of the finding, until successful corrective action has been taken by the aerodrome operator or by the provider of apron management services.

(2)

In the case of level 2 findings, the [F50CAA] shall:

(a)

grant the aerodrome operator or the provider of apron management services a corrective action implementation period included in an action plan appropriate to the nature of the finding; and

(b)

assess the corrective action and implementation plan proposed by the aerodrome operator or the provider of apron management services and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept these.

(3)

Where the aerodrome operator or the provider of apron management services fails to submit an acceptable corrective action plan, or to perform the corrective action within the time period accepted or extended by the [F50CAA], the finding shall be raised to a level 1 finding, and action taken as laid down in point (d)(1).

(4)

The [F50CAA] shall record all findings it has raised and where applicable, the enforcement measures it has applied, as well as all corrective actions and date of action closure for findings.

(e)For those cases not requiring level 1 or level 2 findings, the [F50CAA] may issue observations.]U.K.