# Commission Regulation (EU) No 452/2014 of 29 April 2014 laying down technical requirements and administrative procedures related to air operations of third country operators pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (Text with EEA relevance), Division ART.230 Findings and corrective actions

Extent: E+W+S+N.I.

(a)The CAA shall have a system to analyse findings for their safety significance.
(b)A level 1 finding shall be issued by the CAA when any significant non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 and Part-TCO, 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 CAA access to the third country operator's facilities as defined in TCO.115(b) during normal operating hours and after a written request;
(2)implementing changes requiring prior authorisation without having received an authorisation as defined in ART.210;
(3)obtaining or maintaining the validity of the authorisation by falsification of documentary evidence;
(4)evidence of malpractice or fraudulent use of the authorisation.
(c)A level 2 finding shall be issued by the CAA when any non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 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 CAA shall, without prejudice to any additional action required by Regulation (EC) No 216/2008 and its Implementing Rules, 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 CAA 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 CAA may extend the period subject to a second satisfactory corrective action plan agreed by the CAA; 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.
Where a third country operator fails to submit an acceptable corrective action plan referred to in ART.230(e)(1), or to perform the corrective action within the time period accepted or extended by the CAA, the finding shall be raised to a level 1 finding and action taken as laid down in ART.235(a).
(f)The CAA shall record and notify the State of the operator or the State of registry, as applicable, of all findings it has raised.

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Source: https://www.legislation.gov.uk/eur/2014/452/annex/2/section/II/division/ART.230 (the official version)
Page: https://openlegislation.uk/eu-regulation-2014-452/annex-2/section-II/division-ART.230
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.