An assessment finding is a non-compliance or a recommendation made by the safety assessor in an assessment report. We consider these findings and determine what further remedial action, if any, is required. However, it’s expected all matters identified in the report will be resolved through continuous improvement processes.
You may already have a process that addresses the issue, which the safety assessor wasn’t made aware of and some findings may be able to be closed quickly by:
When systemic or potentially significant safety improvements can be made, a notice requiring you to make improvements (remedial action) may be issued.
A remedial action may also be issued to address a common theme across several non-compliances or safety improvement recommendations.
If it's determined that remedial action is necessary, you’ll be informed in writing. You’ll have the opportunity to make submissions regarding proposed remedial action before a final decision is made.
Once a final decision is made, your licence manager will confirm the due date for responses to remedial actions, along with due dates for other findings arising from the assessment report not requiring remedial action. You’ll still have the right to appeal.
In some situations, a variation to your safety case may be required and you must apply for a safety case variation form, making clear it relates to a response to an assessment finding or remedial action.
A targeted assessment may be performed if the licence holder’s assessment score places them in the critical or high-risk categories (as defined in R3F). This is to check the licence holder is taking appropriate remedial actions.
The sections in the previous full assessment that had critical or high-risk results will be the focus of the targeted assessment. A report will be issued with the results of this evaluation.
Safety case variations, replacements and change notifications
You should provide a formal response with associated evidence as early as possible. The due dates are final cut-off points, not targets. If you know these cannot be met, contact your licence manager.
Taking action to close the findings in good time shows you prioritise safety and compliance.
Further compliance action will be considered where remedial actions and assessment findings cannot be satisfactorily addressed. This could include a review of your risk profile and lead to more frequent assessments.
