4.6What are the competent authority obligations in terms of oversight?

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

4.6 What are the competent authority obligations in terms of oversight? GM to Reg. (EU) No 376/2014 and its IRs [Article 13](#_DxCrossRefBm2103820749)(8) of Regulation 376/2014 establishes that the competent authority shall have access to the analysis made and actions taken by organisations it is responsible for. This is notably ensured by the obligation for organisations to transfer certain information to their competent authority ([*Article 13*](#_DxCrossRefBm2103820749)*(4) and (5)*) and to the possibility for their competent authority to request other information to be transmitted to it. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>Regulation 376/2014 requires each competent authority to appropriately monitor actions of the organisations it is responsible for (<a href="#_DxCrossRefBm2103820749"><b><i>Article 13</i></b></a><i>(8)</i>). It is understood that this monitoring obligation does not require the competent authority to perform a detailed investigation of each single occurrence it is notified of. This monitoring is notably expected to participate to the overall oversight functions of a competent authority on organisations it is responsible for.</p></td></tr></table> It is understood that, to perform this responsibility, the competent authority needs to establish a process to assess the information reported. This process should notably allow the competent authority to require additional appropriate action to be taken and implemented by the organisation in situation where it has assessed that the action was inappropriate to address actual or potential safety deficiencies ([*Article 13*](#_DxCrossRefBm2103820749)*(8)*). It should also enable reviewing and validating the risk classification of the occurrence. In situations where the monitoring is done over organisations which are outside oversight responsibilities of the competent authority (ground handling organisations, small aerodromes) it is understood that the monitoring obligations do not require creating comprehensive oversight mechanisms such as inspections. It is however expected to allow analysing information transmitted with the view to monitor the appropriateness of actions adopted. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>It is understood that not all occurrences reported will require action and that preliminary assessment made by the competent authority following initial notification may conclude that certain occurrences should be closed on receipt (no action or further analysis needed).</p></td></tr></table> In such situation, those occurrences should be reviewed if the organisation provides a follow-up or if additional information gathered by the competent authority questions the initial assessment made (i.e. by the reception of another report on the same occurrence from a different source).