AMC1 to Article 39(1)

CAA ORS9 Decision No. 57

ADDRESSING FORMAL NON-COMPLIANCES

Where a formal non-compliance has been identified, the economic operator should undertake a systematic evaluation of the affected processes, product variations, and associated documentation. Effective communication with other relevant economic operators involved in the supply chain may support timely resolution and ensure consistency across the impacted units.

For non-compliance related to markings, including the UK marking, class identification label, approved body number, sound power level indication or serial number, corrective measures may begin with a process-level investigation. Economic operators may examine which procedural step resulted in omission or error, determine which models or production batches are affected, and assess whether the preconditions for affixing such markings were fully met.

Where an approved body number has not been affixed or affixed incorrectly, the economic operator may check whether the identification number was issued and confirm whether the conformity assessment procedure was correctly followed and documented.

If sound power level markings are missing, a review may be conducted to confirm whether the required tests were completed, the measured value complies with the applicable limits of Part 15 of the Annex, and the value has been correctly recorded and incorporated into the product labelling process and documentation.

For missing or improperly formatted serial numbers, economic operators should verify whether serial number data exists, assess whether unique identifiers can be retrospectively assigned, and confirm alignment with any required formatting standard.

When the user manual or information notice is missing or incomplete, economic operators may review whether all relevant user-facing documentation has been prepared, whether it reflects current product specifications and includes necessary safety instructions, and whether processes are in place to distribute this information in English to end users.

For incomplete technical documentation, economic operators may verify that documentation is prepared in accordance with Article 17 and Part 10 of the Annex. This includes, but is not limited to:

  • A comprehensive product description, including illustrations;

  • Software or firmware version identifiers;

  • Installation instructions;

  • Design and manufacturing drawings with supporting explanations;

  • A list of designated standards applied in part or full;

  • Test reports and, if applicable, the type examination certificate;

  • Evidence submitted to the CAB;

  • A copy of the declaration of conformity.

Where the declaration of conformity is absent, incomplete or incorrect, economic operators may review the applicable conformity assessment route, the required content of the declaration, and ensure alignment with the product’s class marking and design features. This includes confirming the correct identification of the product, applicable standards, and the conformity assessment module applied.

Economic operators may seek to close non-compliance cases by submitting proof to the Secretary of State or the Department for Transport that the corrective measures have been fully implemented. Where necessary, further engagement with relevant CABs, review of conformity assessment processes, or resubmitting updated technical documentation may support resolution.