3.15How to apply the requirement related to transfer of analysis and follow-up?

• GM to Reg. (EU) No 376/2014 and its IRs found in: Occurrence Reporting (376/2014) (Dec 2022)

3.15 How to apply the requirement related to transfer of analysis and follow-up? GM to Reg. (EU) No 376/2014 and its IRs While all occurrences collected by an organisation (MOR and VOR) are subject to analysis and follow‑up requirements ([*Article 13*](#_DxCrossRefBm2103820749)*(1) and (2)*), only those which are reportable (see Section [3.7](#_DxCrossRefBm2103820834)) are subject to further reporting obligations to the competent authority. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>Among reportable occurrences only those for which the analysis (of single occurrence or together with a group of other occurrences) has led to the identification of an actual or potential aviation safety risk are covered by the obligation to transfer analysis and follow-up related information.</p><p>For those occurrences, Regulation 376/2014 requires organisations to transmit to their competent authority the results of the analysis performed, if any; and any action to be taken pursuant to that analysis.</p><p>Organisations are required to report preliminary results within 30 days from the date of notification of the occurrence by the reporter and are encouraged to report final results as soon available and no later than three months after the notification (<a href="#_DxCrossRefBm2103820749"><b><i>Article 13</i></b></a><i>(4) and (5)</i>).</p></td></tr></table> Regulation 376/2014 however gives the competent authority the possibility to require organisations to transfer information on analysis and follow-up of any other reportable occurrences. It is understood that the competent authority may require so on a case by case basis or by adopting a general measure requiring organisations to transfer analysis and follow-up related information of all their reportable occurrences. It is understood that organisations shall discuss with their competent authorities to determine in which cases an actual or potential aviation safety risk is identified out of the analysis. This should ensure an alignment between the analysis and follow-up information that the organisation intends to transfer and the one that the competent authority expects to receive. Through the Network of Aviation Safety Analysts, a common approach will be promoted to ensure consistency among Member States. It is understood that the analysis and follow-up of occurrences required under Regulation 376/2014 is taking place in the context of existing processes such as management systems mandated under implementing rules to Regulation 216/2008, SMS, safety processes required under EU law or similar safety processes. Where it already exists, it is therefore not intended to create another system alongside the safety management system of an organisation. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>Whereas organisations are encouraged to provide complete analysis and follow-up as soon as available and, in principle, no later than three months after the occurrence notification, it is recognised that analysing an occurrence may take longer than three months, especially in the event of a complex investigation or where the services of a specialist investigator are required.</p><p>The follow up requirements are not intended to jeopardise the quality and thoroughness of an occurrence analysis. It may be detrimental to safety if rushed in order to be completed within the encouraged three months period without properly establishing root cause and determining relevant remedial action.</p></td></tr></table> Organisations should agree with their competent authority the format and nature of follow up and details of final analysis to be provided. Through the Network of Aviation Safety Analysts, a common approach will be promoted to ensure consistency across Member States.