21L.B.21 Findings and observations

(a)     When the competent authority, during investigation or oversight or by any other means, detects a non-compliance with the applicable requirements of Regulation (EU) 2018/1139 and the delegated and implementing acts adopted on the basis thereof, of a procedure or manual required by those Regulations, or of a certificate or declaration issued in accordance with those Regulations, it shall, without prejudice to any additional action required by those Regulations, raise a finding.

(b)     The competent authority shall have a system to analyse findings for their safety significance.

A level 1 finding shall be issued by the competent authority when any significant non-compliance is detected which lowers safety or seriously endangers flight safety, or in the case of design organisations may lead to an uncontrolled non-compliance and to a potential unsafe condition as per point 21L.B.23; level 1 findings shall also include but not be limited to the following:

1.       any failure to grant the competent authority access to the organisation’s or natural or legal person’s facilities as defined in point 21L.A.10 during normal operating hours and after two written requests;

2.       providing wrong information or falsification of documentary evidence;

3.       any evidence of malpractice or of fraudulent use of a certificate, declaration or statement issued in accordance with this Annex;

4.       the lack of an accountable manager or head of the design organisation, as applicable.

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 the delegated and implementing acts adopted on the basis thereof, of a procedure or manual required by those Regulations, or of a declaration issued in accordance with those Regulations, which is not classified as a level 1 finding.

(c)      The competent authority shall communicate the finding to the organisation or the natural or legal person in writing, and request corrective action to address the non‑compliance(s) identified.

(d)     If there are any level 1 findings, the competent authority shall take immediate and appropriate action in accordance with point 21L.B.22, unless the finding is on a design organisation which has declared its design capabilities, in which case the Agency shall first grant the organisation a corrective action implementation period that is appropriate to the nature of the finding, which in any case shall not be more than 21 working days. The period shall commence from the date of the written communication of the finding to the organisation, requesting corrective action to address the non‑compliance identified. If the level 1 finding directly relates to an aircraft, the competent authority shall inform the competent authority of the Member State in which the aircraft is registered.

(e)     For level 2 findings, the competent authority shall grant the organisation or the natural or legal person a corrective action implementation period that is appropriate to the nature of the finding. The period shall commence from the date of the written communication of the finding to the organisation or the natural or legal person, requesting corrective action to address the non‑compliance identified. At the end of this period, and subject to the nature of the finding, the competent authority may extend the period, provided that a corrective action plan has been agreed by the competent authority.

The competent authority shall assess the corrective action and the implementation plan proposed by the organisation or the natural or legal person, and if the assessment concludes that they are sufficient to address the non-compliance(s), accept these.

If an organisation or natural or legal person 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).

(f)      The competent authority may issue observations for those cases not requiring level 1 or level 2 findings:

1.       for any item the performance of which has been assessed to be ineffective;

2.       when it has been identified that an item has the potential to cause a non-compliance; or

3.       when suggestions or improvements are of interest for the overall safety performance of the organisation.

Observations issued under this point shall be communicated to the organisation or the natural or legal person in writing and recorded by the competent authority.