Regulation (EU) No 376/2014 of the European Parliament and of the Council of 3 April 2014 on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 (Text with EEA relevance)

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Article 13U.K.Occurrence analysis and follow-up F1...

1.Each organisation established in [F2the United Kingdom] shall develop a process to analyse occurrences collected in accordance with Articles 4(2) and 5(1) in order to identify the safety hazards associated with identified occurrences or groups of occurrences.

Based on that analysis, each organisation shall determine any appropriate corrective or preventive action, required to improve aviation safety.

2.When, following the analysis referred to in paragraph 1, an organisation established in [F3the United Kingdom] identifies any appropriate corrective or preventive action required to address actual or potential aviation safety deficiencies, it shall:

(a)implement that action in a timely manner; and

(b)establish a process to monitor the implementation and effectiveness of the action.

3.Each organisation established in [F4the United Kingdom] shall regularly provide its employees and contracted personnel with information concerning the analysis of, and follow-up on, occurrences for which preventive or corrective action is taken.

4.Where an organisation established in [F5the United Kingdom] identifies an actual or potential aviation safety risk as a result of its analysis of occurrences or group of occurrences reported pursuant to Articles 4(8) and 5(6), it shall transmit to [F6the CAA], within 30 days from the date of notification of the occurrence by the reporter:

(a)the preliminary results of the analysis performed pursuant to paragraph 1, if any; and

(b)any action to be taken pursuant to paragraph 2.

The organisation shall report the final results of the analysis, where required, as soon as they are available and, in principle, no later than three months from the date of notification of the occurrence.

[F7The CAA] may request organisations to transmit to it the preliminary or final results of the analysis of any occurrence of which it has been notified but in relation to which it has received no follow-up or only the preliminary results.

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6.[F9The CAA] shall develop a process to analyse the information relating to occurrences which are directly reported to them in accordance with [F10Articles 4(6) and 5(2)] in order to identify the safety hazards associated with those occurrences. Based on that analysis, they shall determine any appropriate corrective or preventive action required to improve aviation safety.

7.When, following the analysis referred to in paragraph 6, [F11the CAA] identifies any appropriate corrective or preventive action required to address actual or potential aviation safety deficiencies, it shall:

(a)implement that action in a timely manner; and

(b)establish a process to monitor the implementation and effectiveness of the action.

8.For each occurrence or group of occurrences monitored in accordance with paragraph 4 or 5, [F12the CAA] shall have access to the analysis made and shall appropriately monitor action taken by the organisations for which it is respectively responsible.

If [F13the CAA] concludes that the implementation and the effectiveness of the reported action is inappropriate to address actual or potential safety deficiencies, it shall ensure that additional appropriate action is taken and implemented by the relevant organisation.

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10.[F15The Secretary of State and the CAA] shall use information obtained from the analysis of occurrence reports to identify remedial action to be taken, if any, within the State Safety Programme.

11.In order to inform the public of the level of safety in civil aviation, [F16the CAA] shall publish a safety review at least once a year. The safety review shall:

(a)contain aggregated and anonymised information on the type of occurrences and safety-related information reported through its national mandatory and voluntary reporting systems;

(b)identify trends;

(c)identify the action it has taken.

12.[F17The CAA] may also publish anonymised occurrence reports and risk analysis outcomes.

Textual Amendments

F1Words in Art. 13 heading omitted (31.12.2020) by virtue of The Aviation Safety (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/645), regs. 1, 68(2) (with Sch. 3) (as amended by S.I. 2019/1098, regs. 1(3), 12); 2020 c. 1, Sch. 5 para. 1(1)