21.B.433 Findings and corrective actions

• Regulation (EU) 2022/201 found in: Initial Airworthiness and Environmental Protection (748/2012) Part-21 Part-21L (Jul 2024)

21.B.433 Findings and corrective actions; observations Regulation (EU) 2022/201 (a)     The competent authority shall have a system in place to analyse findings for their safety significance. (b)     A level 1 finding shall be issued by the competent authority when a non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts, with the organisation’s procedures and manuals, or with the design organisation’s certificate including the terms of approval, which may lead to uncontrolled non-compliances and to a potential unsafe condition. The level 1 findings shall also include: 1.       any failure to grant the competent authority access to the organisation’s facilities referred to in point [21.A.9](#_DxCrossRefBm1649096951) during normal operating hours and after two written requests; 2.       obtaining the design organisation approval or maintaining its validity by falsification of the submitted documentary evidence; 3.       any evidence of malpractice or fraudulent use of the design organisation approval; 4.       failure to appoint a head of the design organisation pursuant to point [21.A.245](#_DxCrossRefBm1649096919)(a). (c)      A level 2 finding shall be issued by the competent authority when any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts, with the organisation’s procedures and manuals, or with the certificate including the terms of approval, which is not classified as a level 1 finding. (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 (EU) 2018/1139 and its delegated and implementing acts, communicate in writing the finding to the organisation and request corrective action to address the non- compliance(s) identified. Where a level 1 finding directly relates to a product, the competent authority shall inform the competent authority of the Member State in which the aircraft is registered. 1.       If there are any level 1 findings, the competent authority shall: (i)      grant the organisation a corrective action implementation period that is appropriate to the nature of the finding and that in any case shall not be more than 21 working days. That period shall commence from the date of the written communication of the finding to the organisation requesting corrective action to address the non-compliance(s) identified; (ii)     assess the corrective action plan and implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance(s), accept them; (iii)     if the organisation fails to submit an acceptable corrective action plan, or fails to perform the corrective action within the time period accepted by the competent authority, take immediate and appropriate action to prohibit or limit the activities of the organisation involved and, if appropriate, take action to revoke the design organisation 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.       If there are any level 2 findings, the competent authority shall: (i)      grant the organisation a corrective action implementation period that is appropriate to the nature of the finding, and that in any case shall initially not be more than 3 months. That period shall commence from the date of the written communication of the finding requesting corrective action. At the end of this period, and subject to the nature of the finding, the competent authority may extend the 3‑month period provided that a corrective action plan has been agreed by the competent authority; (ii)     assess the corrective action and the implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance(s), accept them; (iii)     if 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 competent authority, the finding shall be raised to level 1 and action shall be taken as laid down in point (d)(1). (e)     The competent authority 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 points (b) or (c); 3.       when suggestions or improvements are of interest for the overall safety performance of the organisation. The observations issued under this point shall be communicated in writing to the organisation and recorded by the competent authority. #### 21.B.433 Findings and corrective actions; observations *Regulation (EU) 2022/201* (a) The competent authority shall have a system in place to analyse findings for their safety significance. (b) A level 1 finding shall be issued by the competent authority when a non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts, with the organisation’s procedures and manuals, or with the design organisation’s certificate including the terms of approval, which may lead to uncontrolled non-compliances and to a potential unsafe condition. The level 1 findings shall also include: 1. any failure to grant the competent authority access to the organisation’s facilities referred to in point [21.A.9](#_DxCrossRefBm485230442) during normal operating hours and after two written requests; 2. obtaining the design organisation approval or maintaining its validity by falsification of the submitted documentary evidence; 3. any evidence of malpractice or fraudulent use of the design organisation approval; 4. failure to appoint a head of the design organisation pursuant to point [21.A.245](#_DxCrossRefBm485230410)(a). (c) A level 2 finding shall be issued by the competent authority when any non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and its delegated and implementing acts, with the organisation’s procedures and manuals, or with the certificate including the terms of approval, which is not classified as a level 1 finding. (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 (EU) 2018/1139 and its delegated and implementing acts, communicate in writing the finding to the organisation and request corrective action to address the non- compliance(s) identified. Where a level 1 finding directly relates to a product, the competent authority shall inform the competent authority of the Member State in which the aircraft is registered. 1. If there are any level 1 findings, the competent authority shall: (i) grant the organisation a corrective action implementation period that is appropriate to the nature of the finding and that in any case shall not be more than 21 working days. That period shall commence from the date of the written communication of the finding to the organisation requesting corrective action to address the non-compliance(s) identified; (ii) assess the corrective action plan and implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance(s), accept them; (iii) if the organisation fails to submit an acceptable corrective action plan, or fails to perform the corrective action within the time period accepted by the competent authority, take immediate and appropriate action to prohibit or limit the activities of the organisation involved and, if appropriate, take action to revoke the design organisation 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. If there are any level 2 findings, the competent authority shall: (i) grant the organisation a corrective action implementation period that is appropriate to the nature of the finding, and that in any case shall initially not be more than 3 months. That period shall commence from the date of the written communication of the finding requesting corrective action. At the end of this period, and subject to the nature of the finding, the competent authority may extend the 3‑month period provided that a corrective action plan has been agreed by the competent authority; (ii) assess the corrective action and the implementation plan proposed by the organisation, and if it concludes that they are sufficient to address the non-compliance(s), accept them; (iii) if 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 competent authority, the finding shall be raised to level 1 and action shall be taken as laid down in point (d)(1). (e) The competent authority 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 points (b) or (c); 3. when suggestions or improvements are of interest for the overall safety performance of the organisation. The observations issued under this point shall be communicated in writing to the organisation and recorded by the competent authority.