What minimum records should be kept for oversight of activities performed in one Member State by persons or organisations based in another Member State?

The records should include, as a minimum: (1) oversight records, including all audit and inspection records and related correspondence; (2) copies of all relevant correspondence to exchange information with other competent authorities; (3) details of any enforcement measures and penalties; and (4) any report from other competent authorities relating to the oversight, including any notification of evidence showing non-compliance.

What must be stated when one competent authority requests records from another competent authority?

When records are requested by another competent authority, the reason for the request should be clearly stated.

What should be included in the records regarding enforcement actions?

The records should include details of any enforcement measures and penalties.

What is the minimum content for oversight records related to audits and inspections?

The minimum content includes all audit and inspection records and related correspondence.

AMC1 ARO.GEN.220(a)(7) Record-keeping

Q: Which authority is responsible for keeping the oversight records and when must they be shared with other competent authorities?

Records should be kept by the competent authority that performed the audit or inspection. They should be made available to other competent authorities at least in cases of: (1) serious incidents or accidents; (2) findings through the oversight programme where organisations certified or authorised by another competent authority are involved, to determine the root cause; and (3) an organisation being certified, authorised or having approvals in several Member States.

Q: What specific types of correspondence must be included in the oversight records for cross-border activities?

The records must include copies of all relevant correspondence to exchange information with other competent authorities relating to the oversight of such persons/organisations.

Q: When must records be shared with other competent authorities in the context of an oversight programme finding?

Records must be shared when there are findings through the oversight programme where organisations certified or authorised by another competent authority are involved, to determine the root cause.

Q: What reports from other competent authorities must be part of the oversight records?

Any report from other competent authorities relating to the oversight of these persons/organisations, including any notification of evidence showing non-compliance with the applicable requirements, must be included.

Q: Under which circumstances must records be made available to other competent authorities?

Records must be made available at least in the following cases: (1) serious incidents or accidents; (2) findings through the oversight programme where organisations certified or authorised by another competent authority are involved, to determine the root cause; and (3) an organisation being certified, authorised or having approvals in several Member States.

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AMC1 ARO.GEN.220(a)(7) Record-keeping

ED Decision 2014/025/R

ACTIVITIES PERFORMED IN THE TERRITORY OF A MEMBER STATE BY PERSONS OR ORGANISATIONS ESTABLISHED OR RESIDING IN ANOTHER MEMBER STATE

(a) Records related to the oversight of activities performed in the territory of a Member State by persons or organisations established or residing in another Member State should include, as a minimum:

(1) oversight records, including all audit and inspection records and related correspondence;

(2) copies of all relevant correspondence to exchange information with other competent authorities relating to the oversight of such persons/organisations;

(3) details of any enforcement measures and penalties; and

(4) any report from other competent authorities relating to the oversight of these persons/organisations, including any notification of evidence showing non-compliance with the applicable requirements.

(b) Records should be kept by the competent authority having performed the audit or inspection and should be made available to other competent authorities at least in the following cases:

(1) serious incidents or accidents;

(2) findings through the oversight programme where organisations certified or authorised by another competent authority are involved, to determine the root cause;

(3) an organisation being certified, authorised or having approvals in several Member States.

(d) The records can be made available by sending a copy or by allowing access to them for consultation.

Details

Source-Title: AMC1 ARO.GEN.220(a)(7) Record-keeping View latest amendments

Erulesid: ERULES-1963177438-11779 Compare versions

Domain: Air operations

Applicabilitydate: 28 October, 2014

Entryintoforcedate: 28 October, 2014

Regulatorysource: ED Decision 2014/025/R Navigate

Regulatorysubject: Part-ARO

Typeofcontent: AMC to IR (Acceptable means of compliance to implementing rule)

Parentir: ARO.GEN.220 Record-keeping

Origin: EASA

Category: EAR