Sofema Aviation Services (SAS) explores how Regulation (EU) 2017/373 guides aviation authorities to analyze non-compliance, enforce corrective actions, and uphold safety standards across aviation service providers.
Introduction
Regulation (EU) 2017/373 outlines the responsibilities and procedures for competent authorities in the aviation sector when non-compliance with safety regulations is detected in service providers. It establishes a system for analyzing findings, deciding on enforcement measures, and ensuring corrective actions are taken.
Regulation (EU) 2017/373 ensures that aviation service providers adhere to safety regulations. When non-compliance is detected, a structured system is in place for the competent authority to analyze, communicate, and enforce corrective actions, ensuring the safety and continuity of aviation services.
Analysis and Enforcement System:
- The competent authority must have a system to analyze findings based on their safety significance.
- Enforcement measures are decided based on the safety risk posed by the service provider’s non-compliance.
Continuity of Service:
- In cases where immediate mitigation measures result in no or very low additional safety risk, the competent authority can allow the service to continue while corrective actions are taken.
- Level 1 Findings:
o Issued for serious non-compliance that poses a significant risk to flight safety or questions the service provider’s capability to operate.
– Examples include: introducing significant flight safety risks, falsifying documents to obtain/maintain certification, malpractice or fraudulent use of certification, and lack of an accountable manager.
Note Level 1 Finding
In the case of level 1 findings, the competent authority shall take immediate and appropriate action, and may, if appropriate, limit, suspend or revoke in whole or in part the certificate while ensuring the continuity of services provided that safety is not compromised, and in the case of the Network Manager, it shall inform the Commission. The measure taken shall depend upon the extent of the finding and shall remain until successful corrective action has been taken by the service provider.
- Level 2 Findings:
o Issued for other non-compliances not categorized as Level 1.
o The service provider is granted a corrective action implementation period, which is assessed and, if sufficient, accepted by the competent authority.
– If the service provider fails to submit or implement an acceptable corrective action plan, the finding may be escalated to Level 1.
Note Level 2 Finding
A level 2 finding shall be issued by the competent authority when any other non-compliance is detected with the applicable requirements of Regulation (EC) No 216/2008 (now 2018/1139) and its implementing rules as well as Regulations (EC) No 549/2004, (EC) No 550/2004, (EC) No 551/2004, and (EC) No 552/2004 and their implementing rules, with the service provider’s procedures and manuals or with the terms of conditions or certificate, or with the content of a declaration.
When a finding is detected, during oversight or by any other means, the competent authority shall, communicate the finding to the service provider in writing and require corrective action to address the non-compliance(s) identified.
In case of a Level 2 finding, the initial corrective action implementation period granted by the competent authority should be appropriate to the nature of the finding but should not, in any case, exceed 3 months.
- At the end of this period and subject to the nature of the finding, the competent authority may extend the 3-month period subject to a satisfactory corrective action plan agreed by the competent authority
Observations ED Decision 2017/001/R
The observation should be a way to communicate and draw future audit teams’ attention on specific matters that deserve scrutiny. It should be communicated to the audited service provider.
Communication and Corrective Actions:
- All findings must be communicated in writing to the service provider, requiring corrective actions.
- For Level 1 findings, immediate action is taken, which may include limiting, suspending, or revoking the certificate.
- For Level 2 findings, the service provider is granted a corrective action implementation period.
Observations:
- For cases not requiring Level 1 or 2 findings, the competent authority may issue observations to draw attention to specific matters for future audit teams.
Documentary Evidence:
- Evidence can include operations or technical manuals, contracts, training records, inspection records, test results, internal audit results, maintenance records, etc.
Enforcement Measures:
- Depending on the nature and repetitiveness of findings or the level of corrective action implementation, financial penalties may be imposed.
Corrective Action Periods for DAT Providers:
- For Level 1 findings, the initial 21-working-day period for corrective action may be extended.
- For Level 2 findings, the initial corrective action period should not exceed 3 months but can be extended based on the nature of the finding and a satisfactory corrective action plan.
Level 2 Competent Authority Additional Action
- Grant the service provider a corrective action implementation period included in an action plan appropriate to the nature of the finding;
- Assess the corrective action and implementation plan proposed by the service provider and, if the assessment concludes that they are sufficient to address the non-compliance(s), accept them.
- In the case of level 2 findings, where the service provider fails to submit a corrective action plan that is acceptable to the competent authority in light of the finding, or where the service provider fails to perform the corrective action within the time period accepted or extended by the competent authority, the finding may be raised to a level 1 finding
GM1 ATM/ANS.AR.C.050 findings, corrective actions, and enforcement measures – ED Decision 2017/001/R
Categories of Findings – Documentary evidence may include but is not limited to:
- operations or technical manuals;
- contracts or other types of arrangements;
- training, qualification or medical records;
- inspection records;
- test or exercise results;
- internal audit results;
- maintenance records; and
- other similar material required to be maintained by the service provider, etc.
Enforcement Measures — Financial Penalties
The competent authority may additionally, and depending on the nature and the repetitiveness of the findings or the level of implementation of the corrective actions, impose appropriate enforcement measures that may include financial penalties, which are effective, proportionate, and dissuasive.
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EASA regulations, Safety Risk, SAS blogs, SAS blog, Aviation Safety Risk Management, Air Traffic Management (ATM), Regulation (EU) 2017/373, Compliance Requirements, Corrective Action, Aviation Safety Regulations, financial penalties, network manager
