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ARA.GEN.350 Findings and corrective actions - organisations

Available versions for ERULES-1963177438-10920

Regulation (EU) 2020/359 found in: Aircrew (No 1178/2011) Part-FCL Part-MED Part-CC Part-ARA Part-ORA Part-DTO (Dec 2024)

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ARA.GEN.350 Findings and corrective
actions – organisations

Regulation
(EU) 2020/359

(a)     The competent authority for oversight in
accordance with [ARA.GEN.300(a)](#_DxCrossRefBm894736067) shall have a system to analyse findings for
their safety significance.

(b)     A level 1 finding shall be issued by the
competent authority when any significant non-compliance is detected with the
applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the
organisation’s procedures and manuals or with the terms of an approval or
certificate which lowers safety or seriously hazards flight safety.

The level 1
findings shall include:

(1)     failure to give the competent authority
access to the organisation’s facilities as defined in [ORA.GEN.140](#_DxCrossRefBm894736095) during normal operating hours and
after two written requests;

(2)     obtaining or maintaining the validity of
the organisation certificate by falsification of submitted documentary
evidence;

(3)     evidence of malpractice or fraudulent use
of the organisation certificate; and

(4)     the lack of an accountable manager.

(c)      A level 2 finding shall be issued by the
competent authority when any non-compliance is detected with the applicable
requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the
organisation’s procedures and manuals or with the terms of an approval or
certificate which could lower safety or hazard flight safety.

(d)     When a finding is detected during
oversight or by any other means, the competent authority shall, without
prejudice to any additional action required by Regulation (EC) No 216/2008 and
its Implementing Rules, communicate the finding to the organisation in writing
and request corrective action to address the non-compliance(s) identified.
Where relevant, the competent authority shall inform the State in which the
aircraft is registered.

(1)     In the case of level 1 findings the
competent authority shall take immediate and appropriate action to prohibit or
limit activities and, if appropriate, it shall take action to revoke the
certificate or specific approval or to limit or suspend it in whole or in
part, depending upon the extent of the level 1 finding, until successful
corrective action has been taken by the organisation.

(2)     In the case of level 2 findings, the
competent authority shall:

(i)      grant the organisation a corrective
action implementation period appropriate to the nature of the finding that in
any case initially shall not be more than 3 months. At the end of this period,
and subject to the nature of the finding, the competent authority may extend
the 3-month period subject to a satisfactory corrective action plan agreed by
the competent authority; and

(ii)     assess the corrective action and
implementation plan proposed by the organisation and, if the assessment
concludes that they are sufficient to address the non-compliance(s),
accept these.

(3)     Where an organisation fails to submit an
acceptable corrective action plan, or to perform the corrective action within
the time period accepted or extended by the competent authority, the finding
shall be raised to a level 1 finding and action taken as laid down in (d)(1).

(4)     The competent authority shall record all
findings it has raised or that have been communicated to it and, where
applicable, the enforcement measures it has applied, as well as all corrective
actions and date of action closure for findings.

(da)   By way of derogation from paragraphs (a) to
(d), in the case of DTOs, if during oversight or by any other means the
competent authority finds evidence that indicates DTO non-compliance with the
essential requirements set out in Annex IV to [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1139&qid=1636994677337), with the requirements of Annex I (Part-FCL) and Annex VIII (Part-DTO) to this Regulation,
or with the requirements of Annex III (Part-BFCL) to [Commission Regulation (EU) 2018/395](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R0395&qid=1636990463741) and of Annex III (Part-SFCL) to [Commission Implementing Regulation
(EU) 2018/1976](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1976&qid=1636990508320), the competent authority shall:

(1)     raise a finding, record it, communicate it
in writing to the representative of the DTO and determine a reasonable period
of time within which the DTO is to take the steps specified in point [DTO.GEN.150](#_DxCrossRefBm894736094) of Annex VIII (Part-DTO);

(2)     take immediate and appropriate action to
limit or prohibit the training activities affected by the non-compliance until
the DTO has taken the corrective action referred to in point (1), where any of
the following situations occurs:

(i)      a safety problem has been identified;

(ii)     the DTO fails to take corrective action in
accordance with point [DTO.GEN.150](#_DxCrossRefBm894736094);

(3)     in respect of the training programmes
referred to in point [DTO.GEN.230(c)](#_DxCrossRefBm894735393) of Annex VIII (Part-DTO), limit, suspend or
revoke the approval of the training programme;

(4)     take any further enforcement measures
necessary in order to ensure the termination of the non-compliance and, where
relevant, remedy the consequences thereof.

(e)     Without prejudice to any additional
enforcement measures, if the authority of a Member State that acts in
accordance with point [ARA.GEN.300(d)](#_DxCrossRefBm894736067) identifies any non-compliance with
the essential requirements set out in Annex IV to [Regulation
(EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1139&qid=1636994677337), with
the requirements of Annex I (Part-FCL), Annex VII (Part-ORA) and Annex VIII (Part-DTO) to this Regulation, or with the requirements of Annex III (Part-BFCL) to [Commission
Regulation (EU) 2018/395](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R0395&qid=1636990463741) and of Annex III (Part-SFCL) to [Commission
Implementing Regulation (EU) 2018/1976](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1976&qid=1636990508320) by an organisation certified by, or having
made a declaration to, the competent authority of another Member State or the
Agency, it shall inform that competent authority of that non‑compliance.

ARA.GEN.350 Findings and corrective actions – organisations

Regulation (EU) 2020/359

(a) The competent authority for oversight in accordance with [ARA.GEN.300(a)](#_DxCrossRefBm1199963922) shall have a system to analyse findings for their safety significance.

(b) A level 1 finding shall be issued by the competent authority when any significant non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval or certificate which lowers safety or seriously hazards flight safety.

The level 1 findings shall include:

(1) failure to give the competent authority access to the organisation’s facilities as defined in [ORA.GEN.140](#_DxCrossRefBm1199963950) during normal operating hours and after two written requests;

(2) obtaining or maintaining the validity of the organisation certificate by falsification of submitted documentary evidence;

(3) evidence of malpractice or fraudulent use of the organisation certificate; and

(4) the lack of an accountable manager.

(c) A level 2 finding shall be issued by the competent authority when any non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and its Implementing Rules, with the organisation’s procedures and manuals or with the terms of an approval or certificate which could lower safety or hazard flight safety.

(d) When a finding is detected during oversight or by any other means, the competent authority shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and its Implementing Rules, communicate the finding to the organisation in writing and request corrective action to address the non-compliance(s) identified. Where relevant, the competent authority shall inform the State in which the aircraft is registered.

(1) In the case of level 1 findings the competent authority shall take immediate and appropriate action to prohibit or limit activities and, if appropriate, it shall take action to revoke the certificate or specific approval or to limit or suspend it in whole or in part, depending upon the extent of the level 1 finding, until successful corrective action has been taken by the organisation.

(2) In the case of level 2 findings, the competent authority shall:

(i) grant the organisation a corrective action implementation period appropriate to the nature of the finding that in any case initially shall not be more than 3 months. At the end of this period, and subject to the nature of the finding, the competent authority may extend the 3-month period subject to a satisfactory corrective action plan agreed by the competent authority; and

(ii) assess the corrective action and implementation plan proposed by the organisation and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept these.

(3) Where an organisation fails to submit an acceptable corrective action plan, or to perform the corrective action within the time period accepted or extended by the competent authority, the finding shall be raised to a level 1 finding and action taken as laid down in (d)(1).

(4) The competent authority shall record all findings it has raised or that have been communicated to it and, where applicable, the enforcement measures it has applied, as well as all corrective actions and date of action closure for findings.

(da) By way of derogation from paragraphs (a) to (d), in the case of DTOs, if during oversight or by any other means the competent authority finds evidence that indicates DTO non-compliance with the essential requirements set out in Annex IV to [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1139&qid=1636994677337), with the requirements of Annex I (Part-FCL) and Annex VIII (Part-DTO) to this Regulation, or with the requirements of Annex III (Part-BFCL) to [Commission Regulation (EU) 2018/395](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R0395&qid=1636990463741) and of Annex III (Part-SFCL) to [Commission Implementing Regulation (EU) 2018/1976](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1976&qid=1636990508320), the competent authority shall:

(1) raise a finding, record it, communicate it in writing to the representative of the DTO and determine a reasonable period of time within which the DTO is to take the steps specified in point [DTO.GEN.150](#_DxCrossRefBm1199963949) of Annex VIII (Part-DTO);

(2) take immediate and appropriate action to limit or prohibit the training activities affected by the non-compliance until the DTO has taken the corrective action referred to in point (1), where any of the following situations occurs:

(i) a safety problem has been identified;

(ii) the DTO fails to take corrective action in accordance with point [DTO.GEN.150](#_DxCrossRefBm1199963949);

(3) in respect of the training programmes referred to in point [DTO.GEN.230(c)](#_DxCrossRefBm1199963251) of Annex VIII (Part-DTO), limit, suspend or revoke the approval of the training programme;

(4) take any further enforcement measures necessary in order to ensure the termination of the non-compliance and, where relevant, remedy the consequences thereof.

(e) Without prejudice to any additional enforcement measures, if the authority of a Member State that acts in accordance with point [ARA.GEN.300(d)](#_DxCrossRefBm1199963922) identifies any non-compliance with the essential requirements set out in Annex IV to [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1139&qid=1636994677337), with the requirements of Annex I (Part-FCL), Annex VII (Part-ORA) and Annex VIII (Part-DTO) to this Regulation, or with the requirements of Annex III (Part-BFCL) to [Commission Regulation (EU) 2018/395](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R0395&qid=1636990463741) and of Annex III (Part-SFCL) to [Commission Implementing Regulation (EU) 2018/1976](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A32018R1976&qid=1636990508320) by an organisation certified by, or having made a declaration to, the competent authority of another Member State or the Agency, it shall inform that competent authority of that non‑compliance.