Article 15 — Enforcement

MB Decision No 01-2023

1. In accordance with ART.235, to the extent not already otherwise established by equivalent policies and procedures, the Agency shall establish and maintain procedures for taking enforcement action in respect of TCO Authorisation holders.

2. The TCO Authorisation Panel shall decide on the requirement for intensified surveillance pursuant to ART.215(d). When taking the decision, the authorisation panel shall decide on the appropriate measures, taking into consideration the nature of the safety concerns, the presence of non-compliance findings, the confidence into the State oversight capabilities, the size and complexity of the operation and the exposure to the European citizen. The Agency shall inform the operator about the measures taken under the umbrella of intensified surveillance and shall notify the State of the Operator and the State of Registry as applicable. Furthermore, the Agency shall inform the operator under which circumstances the intensified surveillance can be terminated.

3. When a TCO Authorisation shall be limited, suspended, or revoked, the Agency shall notify by letter the TCO Authorisation holder of its decision and the reasons therefore. This letter shall refer to the possibility for appeal as specified in Articles 108 to 114 of the Basic Regulation.

4. The Agency shall determine if and when a suspended authorisation shall be revoked. When taking the decision, the Agency shall take into consideration the time that is necessary to take corrective action on non-compliance findings, the efforts made by the operator to rectify the non-compliance. Where the TCO Authorisation holder has not taken the necessary corrective actions, or there is no obvious interest on the part of the operator to have a suspension lifted, the Agency may decide to refrain from revoking the authorisation.

5. When considering lifting a suspension, the Agency shall take at least the following into consideration when determining the appropriate methodology to verify that the operator has taken successful corrective action on the findings raised:

a. the number and nature of the open findings,

b. their suitability for desktop review,

c. the feasibility of teleconferencing to replace an on-site audit.

6. The Agency may not lift a suspension before closure of all level 1 findings. In case that additional level 2 findings are present, the Agency may decide to lift the suspension, provided that these findings are controlled with a corrective action plan that has been accepted by the Agency. When taking the decision whether to lift a suspension in the presence of open level 2 findings due regard shall be giving to the number of the findings, their nature, their effect on the safety of the operation and to the expected time that is necessary for finding closure.