21.B.125 Findings and corrective actions; observations

SI No. 588/2023

(a) The CAA must have a system in place to analyse findings for their safety significance.

(b) The CAA must issue a level 1 finding where any significant non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, with the organisation’s procedures or manuals, or with the certificate including the terms of approval, which lowers safety or seriously endangers flight safety.

(c) Level 1 findings include:

1. any failure to grant the CAA access to the organisation’s facilities referred to in point 21.A.8 during normal operating hours and after two written requests;

2. obtaining the letter of agreement or maintaining its validity by falsification of the submitted documentary evidence; and

3. any evidence of malpractice or fraudulent use of the letter of agreement.

(d) The CAA must issue a level 2 finding where any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139, the organisation’s procedures and manuals, or with the terms of the letter of agreement, which is not classified as a level 1 finding.

(e) When a finding is detected during oversight or by any other means, the CAA must, without prejudice to any additional action required by Regulation (EU) 2018/1139, issue the finding to the organisation and request corrective action to address the non-compliance identified.

1. Where there are any level 1 findings, the CAA must take immediate and appropriate action to prohibit or limit the activities of the organisation involved. Where appropriate, this action may be to revoke the letter of agreement or limit or suspend it in whole or in part, depending on the extent of the finding, until successful corrective action has been taken by the organisation.

2. Where there are any level 2 findings, the CAA must:

(i) grant the organisation a corrective action implementation period appropriate to the nature of the finding which must not be more than 3 months from the date of the written communication under point (e). At the end of that period, and subject to the nature of the finding, the CAA may extend the 3-month period provided that a corrective action plan has been agreed with the CAA;

(ii) assess the corrective action plan and implementation method proposed by the organisation following the written communication under point (e), and if the assessment concludes that they are sufficient to address the non-compliance, accept them;

3. Where the organisation fails to submit an acceptable corrective action plan or fails to perform the corrective action within the time period accepted or extended by the CAA, the CAA must raise the finding to level 1 and action must be taken as laid down in point (e)(1).

(f) The CAA may issue observations for any of the following cases not requiring level 1 or level 2 findings:

1. for any item whose performance has been assessed to be ineffective;

2. when it has been identified that an item has the potential to cause a non-compliance under point (d) or (e);

3. when suggestions or improvements are of interest for the overall safety performance of the organisation.

(g) The CAA must communicate the observations issued under this point in writing to the organisation and must keep a record of those observations and communications.

(h) The CAA, subject to the nature of the finding, may extend the 3 month corrective action implementation period provided that a corrective action plan has been agreed with the CAA.