ATCO.AR.E.015 Findings and corrective actions

(a)       The competent authority 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 this Regulation, with the training organisation's procedures and manuals, with the type(s) of training and/or service(s) provided or certificate(s) which lowers or seriously endangers safety and/or results in a significant degradation of the training provided.

A level 1 finding shall include, but shall not be limited to:

(1)       failure to give the competent authority access to the training organisation's facilities as defined in ATCO.OR.B.025 during normal operating hours and after two written requests;

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

(3)       evidence of malpractice or fraudulent use of the training 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 this Regulation, with the training organisation's procedures and manuals, with the type(s) of training and/or service(s) provided or certificate(s) which could lower or endanger safety and/or could result in a degradation of the training provided.

(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 this Regulation, communicate the finding to the training organisation in writing and request corrective action to address the non-compliance(s) identified.

(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 to limit or suspend it in whole or in part, depending upon the extent of the finding, until successful corrective action has been taken by the training organisation.

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

(i)        grant the training organisation a corrective action implementation period included in an action plan appropriate to the nature of the finding; and

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

(3)       Where a training 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 shall be taken as laid down in point (d)(1).

(e)       The competent authority shall record all findings it has raised and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the date of action closure for findings.

[applicable until 3 August 2024 - Regulation (EU) 2015/340]

ATCO.AR.E.015 Findings, corrective actions and enforcement measures

(a)       The competent authority shall have a system to analyse findings for their safety significance and decide on enforcement measures on the basis of the risk posed by the training organisation’s non-compliance.

(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 (EU) 2018/1139 and this Regulation, with the certificate and/or its terms of approval and privileges, which poses a significant risk to flight safety and/or otherwise calls into question the training organisation’s capability to continue the training provision.

A level 1 finding shall include, but shall not be limited to:

(1)       providing training in a way which introduces a significant risk to flight safety;

(2)       failure to give the competent authority access to the training organisation’s facilities as defined in point ATCO.OR.B.025 during normal operating hours and after two written requests;

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

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

(5)       the lack of an accountable manager.

(c)       A level 2 finding shall be issued by the competent authority when any other non-compliance is detected with the applicable requirements of Regulation (EU) 2018/1139 and this Regulation, with the training organisation’s procedures and manuals or with the type(s) of training provided or certificate(s).

(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 this Regulation, communicate the finding to the training organisation in writing and request corrective action to address the non-compliance(s) identified.

(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 to limit or suspend it in whole or in part, depending upon the extent of the finding, until successful corrective action has been taken by the training organisation.

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

(i)        grant the training organisation a corrective action implementation period included in an action plan appropriate to the nature of the finding; and

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

(3)       Where a training 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 shall be taken as laid down in point (d)(1).

(e)       The competent authority shall record all findings it has raised and, where applicable, the enforcement measures it has applied, as well as all corrective actions and the date of action closure for findings.

(f)        For cases not requiring the issue of level 1 and 2 findings, the competent authority may issue observations.

[applicable from 4 August 2024 - Implementing Regulation (EU) 2023/893]