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21.B.431 Oversight principles

Regulation (EU) 2022/201

The competent authority shall verify whether certified organisations continue to comply with the applicable requirements

(a)     The verification shall:

1.       be supported by documentation specifically intended to provide personnel responsible for oversight with guidance to perform their functions;

2.       provide the organisations concerned with the results of oversight activities;

3.       be based on assessments, audits, inspections and, if needed, unannounced inspections;

4.       provide the competent authority with the evidence needed in case further action is required, including the measures provided for in point 21.B.433.

(b)     The competent authority shall establish the scope of the oversight set out in point (a) taking into account the results of past oversight activities and the safety priorities.

(c)      The competent authority shall collect and process any information deemed necessary for performing oversight activities.

(d)     For the certification and oversight of the organisation’s compliance with point 21.A.239A, in addition to complying with points (a) to (c), the competent authority shall comply with the following principles:

(1)     the competent authority shall review the interfaces and associated risks identified in accordance with point IS.D.OR.205(b) of the Annex (Part‑IS.D.OR) to Delegated Regulation (EU) 2022/1645 by each organisation subject to its oversight;

(2)     if discrepancies are found in the mutual interfaces and associated risks identified by different organisations, the competent authority shall review them with the affected organisations and, if necessary, raise appropriate findings to ensure the implementation of corrective actions;

(3)     where the documentation reviewed under point (2) reveals the existence of significant risks associated with interfaces with organisations subject to the oversight of a different competent authority within the same Member State, this information shall be communicated to the corresponding competent authority.

[point (d) is applicable from 22 February 2026 – Regulation (EU) 2023/203]