ART.230 Findings and corrective actions

• Regulation (EU) 2023/659 found in: Third Country Operators (452/2014) Part-TCO Part-ART (Apr 2023)

ART.230 Findings and corrective actions Regulation (EU) 2023/659 (a) The Agency shall have a system to analyse findings for their safety significance. (b) A level 1 finding shall be issued by the Agency when any significant non-compliance is detected with the applicable requirements of [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32018R1139) and [Part-TCO](#_DxCrossRefBm947570887), or with the terms of the authorisation that lowers safety or seriously hazards flight safety. The level 1 findings shall include, but are not limited to: (1) failure to give the Agency access to the third country operator’s facilities as defined in point [TCO.115(b)](#_DxCrossRefBm947570893) of Annex 1 during normal operating hours and after a written request; (2) implementing changes requiring prior approval without having received an approval as defined in point [ART.210](#_DxCrossRefBm947570907); (3) obtaining or maintaining the validity of the authorisation by falsification of documentary evidence; (4) evidence of malpractice or fraudulent use of the authorisation. (5) presence of multiple level 2 findings raised during an assessment, indicating a systemic weakness that lowers safety or seriously hazards flight safety. (c) A level 2 finding shall be issued by the Agency when any non-compliance is detected with the applicable requirements of [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32018R1139) and [Part-TCO](#_DxCrossRefBm947570887), or with the terms of the authorisation which could lower safety or hazard flight safety. (d) When a finding is detected during monitoring, the Agency shall, without prejudice to any additional action required by [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32018R1139) and its delegated and implementing acts, communicate the finding to the third country operator in writing and request corrective action to eliminate or mitigate the root cause in order to prevent recurrence of the non‑compliance(s) identified. (e) In the case of level 2 findings, the Agency shall: (1) grant the third country operator a corrective action implementation period appropriate to the nature of the finding. At the end of the period, and subject to the nature of the finding, the Agency may extend the period subject to a second satisfactory corrective action plan agreed by the Agency; and (2) assess the corrective action and implementation plan proposed by the third country operator. If the assessment concludes that it contains root cause(s) analysis and course(s) of action to effectively eliminate or mitigate the root cause(s) to prevent recurrence of the non-compliance(s), the corrective action and implementation plan shall be accepted. If the third country operator fails to submit an acceptable corrective action plan, as referred to in (e)(1), or to perform the corrective action within the time period accepted or extended by the Agency, the finding shall be raised to a level 1 finding and action shall be taken as laid down in point [ART.235(a)](#_DxCrossRefBm947570912). (f) The Agency shall record and notify the State of the operator or the State of registry, as applicable, of all findings it has raised. #### ART.230 Findings and corrective actions *Regulation (EU) 2023/659* (a) The Agency shall have a system to analyse findings for their safety significance. (b) A level 1 finding shall be issued by the Agency when any significant non-compliance is detected with the applicable requirements of [Regulation (EU) 2018/1139](https://eur-lex.europa.eu/eli/reg/2018/1139/oj) and [Part-TCO](#_DxCrossRefBm154916692), or with the terms of the authorisation that lowers safety or seriously hazards flight safety. The level 1 findings shall include, but are not limited to: (1) failure to give the Agency access to the third country operator’s facilities as defined in point [TCO.115](#_DxCrossRefBm154916696)(b) of Annex 1 during normal operating hours and after a written request; (2) implementing changes requiring prior approval without having received an approval as defined in point [ART.210](#_DxCrossRefBm154916709); (3) obtaining or maintaining the validity of the authorisation by falsification of documentary evidence; (4) evidence of malpractice or fraudulent use of the authorisation. (5) presence of multiple level 2 findings raised during an assessment, indicating a systemic weakness that lowers safety or seriously hazards flight safety. (c) A level 2 finding shall be issued by the Agency when any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and Part-TCO, or with the terms of the authorisation which could lower safety or hazard flight safety. (d) When a finding is detected during monitoring, the Agency shall, without prejudice to any additional action required by Regulation (EU) 2018/1139 and its delegated and implementing acts, communicate the finding to the third country operator in writing and request corrective action to eliminate or mitigate the root cause in order to prevent recurrence of the non‑compliance(s) identified. (e) In the case of level 2 findings, the Agency shall: (1) grant the third country operator a corrective action implementation period appropriate to the nature of the finding. At the end of the period, and subject to the nature of the finding, the Agency may extend the period subject to a second satisfactory corrective action plan agreed by the Agency; and (2) assess the corrective action and implementation plan proposed by the third country operator. If the assessment concludes that it contains root cause(s) analysis and course(s) of action to effectively eliminate or mitigate the root cause(s) to prevent recurrence of the non-compliance(s), the corrective action and implementation plan shall be accepted. If the third country operator fails to submit an acceptable corrective action plan, as referred to in (e)(1), or to perform the corrective action within the time period accepted or extended by the Agency, the finding shall be raised to a level 1 finding and action shall be taken as laid down in point [ART.235](#_DxCrossRefBm154916715)(a). (f) The Agency shall record and notify the State of the operator or the State of registry, as applicable, of all findings it has raised.