Sofema Aviation Services (SAS) www.sassofia.com considers the process to classify findings during an audit.
Introduction – Considering the difference between the different levels
In just a few words let’s first consider From the Regulatory Point of View:
- Level 1 needs to be addressed immediately. (There needs to be a reason – typically related to Safety)
- Level 2 I everything else. (but note the difference with Part 21 Environment)
- Level 3 is no longer used by the Regulatory Authority within Part M (Part CAMO) & Part 145 environment.
- Level 3 IS used within the Part 21 Environment as follows:
o Level 3 is still used within Part 21 where a level three finding is any item where it has been identified, by objective evidence, to contain potential problems that could lead to a non-compliance under point.
Discussion Point Concerning Objective Evidence!
- If we have “objective” evidence – does that not mean that it should be level 2 then rather than level 3?
- Well the keyword is “potential” – means it is NOT now a problem but maybe it could be. (so what looks like objective quickly becomes subjective!)
- Being the source of disagreement in so many situations and to remove any contention EASA took the view it was better to focus on Level 1 & Level 2 so there is no regulatory observations within Part M & Part 145.
Compliance Auditing – Objective
The bottom line with compliance auditing is to consider what the regulation requires.
Are we in compliance Yes or No? (Compliance is the Key Word)
If Yes it is not a finding – if NO then we have an issue we need to address.
Concerning Audits carried out by Industry
Essentially it is the same with a small difference:
- Often Industry audits are carried out as part of a service level agreement so the auditor could be looking at the following:
o Compliance with the Regulations.
o Compliance with the Organisations Internal Processes and Procedures.
o Conformity with the expectations of a Service Level Agreement (SLA).
- For this reason as an auditor you are at liberty to make observations possible related to Service standards, therefore, raise Level 3 in Part M & Part 145.
Note: Industry Non-Compliances should still be identified as Level 1 or Level 2.
EASA Regulatory Requirements Related to Finding Level Reporting
M.A.619 Findings (Regulation (EU) 2019/1383)
(a) A level 1 finding is any finding of significant non-compliance with the requirements of this Annex and Annex Vb (Part-ML) which lowers the safety standard and seriously endangers flight safety.
(b) A level 2 finding is any finding of non-compliance with the requirements of this Annex and Annex Vb (Part-ML) which may lower the safety standard and may endanger flight safety.
(c) After receipt of notification of findings according to point M.B.605, the holder of the maintenance organisation approval shall define a corrective action plan and demonstrate corrective action to the satisfaction of the competent authority within a period agreed with this authority.
M.A.905 Findings Regulation (EU) 2019/1383
(a) A level 1 finding is any finding of significant non-compliance with the requirements of this Annex, which lowers the safety standard and seriously endangers flight safety.
(b) A level 2 finding is any finding of non-compliance with the requirements of this Annex, which may lower the safety standard and may endanger the flight safety.
(c) After receipt of notification of findings according to point M.B.903, the person or organisation accountable referred to in point M.A.201 shall define a corrective action plan and demonstrate corrective action to the satisfaction of the competent authority within a period agreed with this authority including appropriate corrective action to prevent reoccurrence of the finding and its root cause.
145.A.95 Findings (Regulation (EU) 2019/1383)
(a) A level 1 finding is any finding of significant non-compliance with the requirements of this Annex which lowers the safety standard and seriously endangers flight safety.
(b) A level 2 finding is any finding of non-compliance with the requirements of this Annex which may lower the safety standard and may endanger flight safety.
(c) After receipt of notification of findings according to point 145.B.50, the holder of the maintenance organisation approval shall define a corrective action plan and demonstrate corrective action to the satisfaction of the competent authority within a period agreed with this authority.
21.A.258 Findings (Regulation (EU) 2019/8972019/897)
(a) When, during the investigations referred to in points 21.A.257 and 21.B.100, objective evidence is found demonstrating non-compliance of the holder of a design organisation approval with the applicable requirements of this Annex, the finding shall be classified as follows:
- a “level 1” finding is any non-compliance with the requirements of this Annex that may lead to uncontrolled non-compliances with applicable requirements and affect the safety of the aircraft;
- a “level 2” finding is any non-compliance with the requirements of this Annex that is not classified as a “level 1” finding.
(b) A level three finding is any item where it has been identified, by objective evidence, to contain potential problems that could lead to non-compliance under point (a).
(c) After receipt of notification of findings under the applicable administrative procedures established by the Agency:
- In the case of a “level 1” finding, the holder of a design organisation approval shall demonstrate to the satisfaction of the Agency that it has taken adequate corrective action within a period of no more than 21 working days after written confirmation of the finding;
- In the case of “level 2” findings, the holder of a design organisation approval shall demonstrate to the satisfaction of the Agency that it has taken adequate corrective action within a time period set by the Agency which is appropriate to the nature of the finding and is initially no longer than three months. The Agency may extend that initial time period where it considers that the nature of the finding allows such extension and where the applicant has submitted a corrective action plan which the Agency finds satisfactory; and
- A “level 3” finding shall not require immediate action by the holder of a design organisation approval.
(d) In cases of “level 1” or “level 2” findings, the design organisation approval may be subject to a partial or full suspension or revocation under the applicable administrative procedures (ii) attests conformity with the design conditions approved for the flight:
- To approve certain major changes to a type-certificate under Subpart D; and
- To issue certain supplemental type certificates under Subpart E and approve certain major changes to those certificates.
Next Steps
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aviation, Aviation Quality Audit, Classify Findings, Compliance Audit, Compliance Auditing, EASA, EASA regulations, EASA regulatory requirements, Regulatory Requirements, SAS blogs, UAE GCAA
