Common Position (EC) No 47/2002 of 18 June 2002 adopted by the Council, acting in accordance with the procedure referred to in Article 251 of the Treaty establishing the European Community, with a view to adopting a Directive of the European Parliament and of the Council on occurrence-reporting in civil aviation
Date: 2002-06-18
Institutions: Council of the European Union
Subjects: accident prevention, air safety, civil aviation, confidentiality, data collection, dissemination of information, exchange of information, transport accident, transport safety

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COMMON POSITION (EC) No 47/2002

adopted by the Council on 18 June 2002

with a view to the adoption of a Directive 2002/. . ./EC of the European Parliament and of the
Council of . . . on occurrence reporting in civil aviation

(2002/C 197 E/03)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE
EUROPEAN UNION,

(6) Each Member State should set up mandatory reporting

systems.

Having regard to the Treaty establishing the European
Community, and in particular Article 80(2) thereof,

Having regard to the proposal from the Commission (1),

(7) Various categories of personnel working in civil aviation
for the prevention of

observe occurrences of
accidents and should therefore report them.

interest

Having regard to the Opinion of the Economic and Social
Committee (2),

(8) The efficiency of detection of potential hazard would be
greatly enhanced by the exchange of information on such
occurrences.

Following consultation of the Committee of the Regions,

Acting in accordance with the procedure laid down in Article
251 of the Treaty (3),

Whereas:

(1) The rate of accidents in civil aviation has remained fairly
constant in the last decade; nevertheless there is concern
the forecasted traffic increase could lead to an
that
increase in the number of accidents in the near future.

(2) Council Directive 94/56/EC of 21 November 1994 estab-
lishing the fundamental principles governing the investi-
gation of civil aviation accidents and incidents (4) aims at
preventing
expeditious
accidents by
holding of investigations.

facilitating

the

(3) Experience has shown that often before an accident
occurs, a number of incidents and numerous other defi-
ciencies have shown the existence of safety hazards.

(4) The improvement of the safety of civil aviation requires a
better knowledge of these occurrences to facilitate analysis
and trend monitoring in order to initiate corrective action.

(5) When an occurrence involves aircraft

registered in a
Member State or operated by an undertaking established
in a Member State, this occurrence should be reported
even when it happened outside the territory of
the
Community.

(1) OJ C 120 E, 24.4.2001, p. 148 and OJ C 332 E, 27.11.2001,

p. 320.

(2) OJ C 311, 7.11.2001, p. 8.
(3) Opinion of the European Parliament of 14 June 2001 (OJ C 53 E,
28.2.2002, p. 324), Council Common Position of 18 June 2002
and Decision of the European Parliament of . . . (not yet published
in the Official Journal).

(9) Supporting software for the exchange of
between different systems is necessary.

information

(10) Safety

information should be

to entities
entrusted with regulating civil aviation safety or investi-
gating accidents and incidents within the Community and,
as appropriate, to the people who may learn from them
and take or initiate the necessary action to improve safety.

available

(11) The sensitive nature of safety information is such that the
way to ensure its collection is by guaranteeing its confi-
dentiality, the protection of its source and the confidence
of the personnel working in civil aviation.

(12) The public should be provided with general information

on the level of aviation safety.

(13) Appropriate measures should be put in place to enable

the setting up of confidential reporting schemes.

(14) The measures necessary for the implementation of this
Directive should be adopted in accordance with Council
Decision 1999/468/EC of 28 June 1999 laying down the
procedures
implementing powers
the exercise of
conferred on the Commission (5).

for

(15) Consistency should be

ensured with the

technical
reporting requirements developed by national experts in
Eurocontrol and the Joint Aviation Authorities Organi-
sation. The list of reportable occurrences should take
into account the work of these two European organi-
the Inter-
sations. Developments in the framework of
national Civil Aviation Organisation should also be
taken into account.

(4) OJ L 319, 12.12.1994, p. 14.

(5) OJ L 184, 17.7.1999, p. 23.

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air

safety,

cannot be

the Member States because

(16) Since the objective of the proposed action, namely the
sufficiently
improvement of
achieved by
reporting
systems operated by Member States in isolation are less
efficient than a coordinated network with exchange of
information enabling an earlier identification of possible
safety problems, and can, therefore, be better achieved at
Community level, the Community may adopt measures in
accordance with the principle of subsidiarity as set out in
Article 5 of the Treaty. In accordance with the principle
of proportionality as set out in that Article, this Directive
does not go beyond what is necessary in order to achieve
those objectives,

HAVE ADOPTED THIS DIRECTIVE:

The application of

this Directive to the airport of
3.
Gibraltar
is understood to be without prejudice to the
respective legal positions of the Kingdom of Spain and the
United Kingdom with regard to the dispute over sovereignty
over the territory in which the airport is situated.

the arrangements

Application of this Directive to the airport of Gibraltar
4.
in the Joint
shall be suspended until
Declaration made by the Foreign Ministers of the Kingdom
of Spain and the United Kingdom on 2 December 1987
have come into operation. The Governments of Spain and
the United Kingdom will inform the Council of such date of
entry into operation.

Article 4

Mandatory reporting

Article 1

Objective

1. Member States shall require that occurrences covered by
Article 3 are reported to the competent authorities referred to
in Article 5(1) by every person listed below in the exercise of
his/her functions:

to contribute to the
The objective of
improvement of
relevant
that
safety by
information on safety is reported, collected, stored, protected
and disseminated.

this Directive is
air

ensuring

The sole objective of occurrence reporting is the prevention of
accidents and incidents and not to attribute blame or liability.

Article 2

Definition

interruption, defect,

For the purpose of this Directive, ‘Occurrence’ means an oper-
ational
fault or other irregular circum-
stance that has or may have influenced flight safety and that
has not resulted in an accident or serious incident, hereinafter
referred to as ‘accident or serious incident’, as defined in Article
3, points (a) and (k) of Directive 94/56/EC.

Article 3

Scope

This Directive shall apply to occurrences which endanger
1.
or which,
its
if not corrected, would endanger an aircraft,
occupants or any other person. A list of examples of these
occurrences appears in Annexes I and II.

(a) the operator or commander of a turbine powered or a
public transport aircraft used by an operator for which a
Member State ensures safety oversight of operations;

(b) a person who carries on the business of designing, manu-
facturing, maintaining or modifying a turbine powered or a
public transport aircraft, or any equipment or part thereof,
under the oversight of a Member State;

(c) a person who signs a certificate of maintenance review, or
of release to service in respect of a turbine powered or a
public transport aircraft, or any equipment or part thereof,
under the oversight of a Member State;

(d) a person who performs a function which requires him to
be authorised by a Member State as an air traffic controller
or as a flight information officer;

(e) a manager of an airport covered by Council Regulation
(EEC) No 2408/92 of 23 July 1992 on access
for
Community air carriers to intra-Community air routes (1);

(f) a person who performs a function connected with the
installation, modification, maintenance,
repair, overhaul,
flight-checking or inspection of air navigation facilities for
which a Member State ensures responsibility;

2.
The Commission may, in accordance with the procedure
laid down in Article 9(2), decide to amend the Annexes in
order to expand upon, or change, the examples.

(1) OJ L 240, 24.8.1992, p. 8. Regulation as last amended by the 1994

Act of Accession.

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(g) a person who performs a function connected with the
ground-handling of aircraft,
including fueling, servicing,
loadsheet preparation, loading, de-icing and towing at an
airport covered by Regulation (EEC) No 2408/92.

the Member State where the occurrence took
authority of
place, where the aircraft is registered, where the aircraft is
manufactured and/or where the operator is certificated.

2. Member States may encourage voluntary reporting by
every person who exercises, in other civil aviation operations,
functions similar to those listed in paragraph 1.

Article 5

Collection and storage of information

1. Member States shall designate one or more competent
authorities to put in place a mechanism to collect, evaluate,
process and store occurrences reported in accordance with
Article 4.

The following authorities, working with impartiality, may be
entrusted with that responsibility:

(a) the national civil aviation authority; and/or

(b) the investigating body or entity established under Article 6

of Directive 94/56/EC and/or

(c) any other independent body or entity entrusted with this

function.

If a Member State designates more than one body or entity, it
for the
shall designate one of
exchange of information mentioned in Article 6(1).

these as point of contact

The competent authorities shall store the reports collected

2.
in their databases.

3.
The Commission shall develop specific software for the
purpose of this Directive. In so doing, it shall take into account
the need for compatibility with existing softwares in the
Member States. The competent authorities may use this
software for running their own databases.

The Commission shall
4.
of
facilitate
paragraph 1 in accordance with the procedure set out
Article 9(2).

take appropriate measures
information mentioned

exchange

the

to
in
in

Article 7

Dissemination of information

1.
Any entity entrusted with regulating civil aviation safety
or with investigating civil aviation accidents and incidents
within the Community shall have access to information on
occurrences collected and exchanged in accordance with
Articles 5 and 6 to enable it to draw the safety lessons from
the reported occurrences.

2. Without prejudice to the public's right of access to the
Commission's documents as laid down in Regulation (EC)
No 1049/2001 of the European Parliament and the Council
to European
of 30 May 2001 regarding public access
the
Parliament, Council
Commission shall
in
accordance with the procedure referred to in Article 9(2),
measures for the dissemination to interested parties of the
information referred to in paragraph 1 and the associated
conditions. These measures, which can be general or individual,
shall be based on the need:

and Commission documents (1),

adopt on its own initiative

and,

Accidents and serious incidents shall also be stored in

3.
these databases.

— to provide persons and organisations with the information

they need to improve civil aviation safety;

Article 6

Exchange of information

— to limit the dissemination of information to what is strictly
in order to ensure

required for the purpose of its users,
appropriate confidentiality of that information.

1. Member States
shall participate in an exchange of
information by making all relevant safety-related information
stored in the databases mentioned in Article 5(2) available to
the competent authorities of the other Member States and the
Commission.

The databases shall be compatible with the software described
in paragraph 3.

2.
The competent authority designated in accordance with
Article 5(1) receiving an occurrence report shall enter it into
the databases and notify, whenever necessary, the competent

The decision to disseminate information under this paragraph
shall be limited to what is strictly required for the purpose of
its user, without prejudice to the provisions of Article 8.

3. Member States may publish at least annually a safety
review containing information on the types of occurrences
collected by their national mandatory occurrence-reporting
system to inform the public of the level of safety in civil
aviation. Member States may also publish disidentified reports.

(1) OJ L 145, 31.5.2001, p. 43.

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Article 8

3.

The Committee shall adopt its rules of procedure.

Protection of information

1. Member States shall, according to their national
legis-
lation, take necessary measures to ensure appropriate confiden-
tiality of the information received by them pursuant to Articles
6(1) and 7(1). They shall use this information solely for the
objective of this Directive.

2.
Regardless of the type or classification of occurrence and
accident or serious incident, names or addresses of individual
persons shall never be recorded on the database mentioned in
Article 5(2).

In accordance with the procedures defined in their
laws and practices, Member States shall ensure that
incidents of which they may have
subjected to any prejudice by their

3.
national
employees who report
knowledge are not
employer.

4.
This Article shall apply without prejudice to national
rules related to access to information by judicial authorities.

Article 10

Implementation

1. Member States shall bring into force the laws, regulations
and administrative provisions necessary to comply with this
Directive
forthwith inform the
Commission thereof.

. . . (*). They

shall

by

When Member States adopt those measures, they shall contain
a reference to this Directive or be accompanied by such a
reference on the occasion of their official publication. The
methods of making such reference shall be laid down by
Member States.

2. Member States shall communicate to the Commission the
texts of the main provisions of national law which they adopt
in the field covered by this Directive.

Article 11

Entry into force

Article 9

Committee

This Directive shall enter into force on the day of its publi-
cation in the Official Journal of the European Communities.

1.
The Commission shall be assisted by the committee
instituted by Article 12 of Council Regulation (EEC)
No 3922/91 of 16 December 1991 on the harmonisation of
technical requirements and administrative procedures in the
field of civil aviation (1).

Article 12

Addressees

This Directive is addressed to the Member States.

2. Where reference is made to this paragraph, Articles 5 and
7 of Decision 1999/468/EC shall apply, having regard to the
provisions of Article 8 thereof.

Done at . . .

The period provided for
1999/468/EC shall be set at three months.

in Article 5(6) of Decision

For the European Parliament

The President

For the Council

The President

(1) OJ L 373, 31.12.1991, p. 4. Regulation as last amended by
L 333,

Commission Regulation (EC) No 2871/2000 (OJ
29.12.2000, p. 47).

(*) Two years after its entry into force.

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ANNEX I

LIST OF AIRCRAFT OPERATIONS, MAINTENANCE, REPAIR, AND MANUFACTURE-RELATED OCCUR-
RENCES TO BE REPORTED

Note 1: Although this Annex lists the majority of reportable occurrences, it cannot be completely comprehensive. Any
other occurrences, which are judged by those involved to meet the criteria, should also be reported.

Note 2: This Annex does not include accidents. In addition to other requirements covering the notification of accidents,

they should also be recorded in the database mentioned in Article 5(2).

Note 3: This Annex contains examples of reporting requirements covering aircraft operations, maintenance, repair and

manufacture.

Note 4: Occurrences to be reported are those where the safety of operation was or could have been endangered or
which could have led to an unsafe condition. If in the view of the reporter an occurrence did not endanger the
safety of the operation but if repeated in different but likely circumstances would create a hazard, then a report
should be made. What is judged to be reportable on one class of product, part or appliance may not be so on
another and the absence or presence of a single factor, human or technical, can transform an occurrence into
an accident or serious incident.

Note 5: Specific operational approvals, e.g. RVSM, ETOPS, RNAV, or a design or maintenance programme, may have

specific reporting requirements for failures or malfunctions associated with that approval or programme.

A. AIRCRAFT FLIGHT OPERATIONS

(i) Operation of the Aircraft

(a)

avoidance manoeuvres:

— risk of collision with another aircraft, terrain or other object or an unsafe situation when avoidance

action would have been appropriate;

— an avoidance manoeuvre required to avoid a collision with another aircraft, terrain or other object;

— an avoidance manoeuvre to avoid other unsafe situations.

(b) Take-off or landing incidents, including precautionary or forced landings. Incidents such as under-shooting,
landings or attempted

overrunning or running off the side of runways. Take-offs, rejected take-offs,
landings on a closed, occupied or incorrect runway. Runway incursions.

(c)

Inability to achieve predicted performance during take-off or initial climb.

(d) Critically low fuel quantity or inability to transfer fuel or use total quantity of usable fuel.

(e)

Loss of control (including partial or temporary) regardless of cause.

(f) Occurrences close to or above V1 resulting from or producing a hazardous or potentially hazardous

situation (e.g. rejected take-off, tail strike, engine-power loss etc.).

(g) Go-around producing a hazardous or potentially hazardous situation.

(h) Unintentional significant deviation from airspeed, intended track or altitude (more than 300 ft) regardless

of cause.

(i) Descent below decision height/altitude or minimum descent height/altitude without the required visual

reference.

(j)

Loss of position awareness relative to actual position or to other aircraft.

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(k) Breakdown in communication between flight crew (CRM) or between flight crew and other parties (cabin

crew, ATC, engineering).

(l) Heavy landing — a landing deemed to require a ‘heavy landing check’.

(m) Exceedance of fuel imbalance limits.

(n)

Incorrect setting of an SSR code or of an altimeter subscale.

(o)

Incorrect programming of, or erroneous entries into, equipment used for navigation or performance
calculations, or use of incorrect data.

(p)

Incorrect receipt or interpretation of radiotelephony messages.

(q)

Fuel system malfunctions or defects, which had an effect on fuel supply and/or distribution.

(r) Aircraft unintentionally departing from a paved surface.

(s) Collision between an aircraft and any other aircraft, vehicle or other ground object.

(t)

Inadvertent and/or incorrect operation of any controls.

(u)

Inability to achieve the intended aircraft configuration for any flight phase (e.g. landing gear and gear
doors, flaps, stabilisers, slats etc.).

(v) A hazard or potential hazard which arises as a consequence of any deliberate simulation of failure

conditions for training, system checks or training purposes.

(w) Abnormal vibration.

(x) Operation of any primary warning system associated with manoeuvring the aircraft e.g. configuration

warning, stall warning (stick shaker), over-speed warning etc. unless:

1. the crew conclusively established that the indication was false and provided that the false warning did

not result in difficulty or hazard arising from the crew response to the warning; or

2. operated for training or test purposes.

(y) GPWS/TAWS ‘warning’ when:

1. the aircraft comes into closer proximity to the ground than had been planned or anticipated; or

2. the warning is experienced in instrument meteorological conditions or at night and is established as

having been triggered by a high rate of descent (Mode 1); or

3. the warning results from failure to select landing gear or landing flaps by the appropriate point on the

approach (Mode 4); or

4. any difficulty or hazard arises or might have arisen as a result of crew response to the ‘warning’ e.g.
possible reduced separation from other traffic. This could include warning of any mode or type i.e.
genuine, nuisance or false.

(z) GPWS/TAWS ‘alert’ when any difficulty or hazard arises or might have arisen as a result of crew response

to the ‘alert’.

(aa) ACAS RAs.

(bb) Jet or prop blast incidents resulting in significant damage or serious injury.

(ii) Emergencies

(a) Fire, explosion, smoke or toxic or noxious fumes, even though fires were extinguished.

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(b) The use of any non-standard procedure by the flight or cabin crew to deal with an emergency when:

1. the procedure exists but is not used;

2. the procedure does not exist;

3. the procedure exists but is incomplete or inappropriate;

4. the procedure is incorrect;

5. the incorrect procedure is used.

(c)

Inadequacy of any procedures designed to be used in an emergency, including when being used for main-
tenance, training or test purposes.

(d) An event leading to an emergency evacuation.

(e) Depressurisation.

(f) The use of any emergency equipment or prescribed emergency procedures in order to deal with a situation.

(g) An event leading to the declaration of an emergency (‘Mayday’ or ‘Pan’).

(h) Failure of any emergency system or equipment, including all exit doors and lighting, to perform satisfac-

torily, including when being used for maintenance, training or test purposes.

(i) Events requiring any use of emergency oxygen by any crew member.

(iii) Crew Incapacitation

(a)

Incapacitation of any member of the flight crew, including that which occurs prior to departure if it is
considered that it could have resulted in incapacitation after take-off.

(b) Incapacitation of any member of the cabin crew which renders them unable to perform essential emergency

duties.

(iv) Injury

Occurrences, which have or could have led to significant injury to passengers or crew but which are not
considered reportable as an accident.

(v) Meteorology

(a) A lightning strike which resulted in damage to the aircraft or loss or malfunction of any essential service.

(b) A hail strike which resulted in damage to the aircraft or loss or malfunction of any essential service.

(c) Severe turbulence encounter — an encounter resulting in injury to occupants or deemed to require a

‘turbulence check’ of the aircraft.

(d) A windshear encounter.

(e)

Icing encounter resulting in handling difficulties, damage to the aircraft or loss or malfunction of any
essential service.

(vi) Security

(a) Unlawful interference with the aircraft including a bomb threat or hijack.

(b) Difficulty in controlling intoxicated, violent or unruly passengers.

(c) Discovery of a stowaway.

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(vii) Other Occurrences

(a) Repetitive instances of a specific type of occurrence which in isolation would not be considered ‘reportable’

but which due to the frequency with which they arise, form a potential hazard.

(b) A bird strike which resulted in damage to the aircraft or loss or malfunction of any essential service.

(c) Wake-turbulence encounters.

(d) Any other occurrence of any type considered to have endangered or which might have endangered the

aircraft or its occupants on board the aircraft or on the ground.

B. AIRCRAFT TECHNICAL

(i) Structural

Not all structural failures need to be reported. Engineering judgement is required to decide whether a failure is
serious enough to be reported. The following examples can be taken into consideration:

(a) Damage to a Principal Structural Element (PSE) that has not been designated as damage-tolerant (life-limited
element). PSEs are those which contribute significantly to carrying flight, ground, and pressurisation loads,
and the failure of which could result in a catastrophic failure of the aircraft.

(b) Defect or damage exceeding admissible damages to a PSE that has been designated as damage-tolerant.

(c) Damage to or defect exceeding allowed tolerances of a structural element, the failure of which could reduce
the structural stiffness to such an extent that the required flutter, divergence or control reversal margins are
no longer achieved.

(d) Damage to or defect of a structural element, which could result in the liberation of items of mass that may

injure occupants of the aircraft.

(e) Damage to or defect of a structural element, which could jeopardise proper operation of systems. See (ii)

below.

(f) Loss of any part of the aircraft structure in flight.

(ii) Systems

The following general criteria applicable to all systems are proposed:

(a) Loss, significant malfunction or defect of any system, subsystem or set of equipment when standard

operating procedures, drills etc. could not be satisfactorily accomplished.

(b)

Inability of the crew to control the system: e.g.

— uncommanded actions,

— incorrect and/or incomplete response, including limitation of movement or stiffness,

— runaway,

— mechanical disconnection or failure.

(c)

Failure or malfunction of the exclusive function(s) of the system (one system could integrate several
functions).

(d)

Interference within or between systems.

(e)

Failure or malfunction of the protection device or emergency system associated with the system.

(f)

Loss of redundancy of the system.

(g) Any occurrence resulting from unforeseen behaviour of a system.

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(h) For aircraft types with single main systems, subsystems or sets of equipment:

— Loss, significant malfunction or defect in any main system, subsystem or set of equipment.

(i)

For aircraft types with multiple independent main systems, subsystems or sets of equipment:

— The loss, significant malfunction or defect of more than one main system, subsystem or set of

equipment.

(j) Operation of any primary warning system associated with aircraft systems or equipment unless the crew
conclusively established that the indication was false, provided that the false warning did not result in
difficulty or hazard arising from the crew response to the warning.

(k) Leakage of hydraulic fluids, fuel, oil or other fluids which resulted in a fire hazard or possible hazardous

contamination of aircraft structure, systems or equipment, or risk to occupants.

(l) Malfunction or defect of any indication system when this results in the possibility of misleading indications

to the crew.

(m) Any failure, malfunction or defect if it occurs at a critical phase of the flight and is relevant to the system

operation.

(n) Significant shortfall of the actual performances compared to the approved performance which resulted in a
hazardous situation (taking into account the accuracy of the performance-calculation method) including
braking action, fuel consumption etc.

(o) Asymmetry of flight controls; e.g. flaps, slats, spoilers etc.

The Appendix to this Annex gives a list of examples of reportable occurrences resulting from the application of
these general criteria to specific systems.

(iii) Propulsion (including Engines, Propellers and Rotor Systems) and Auxiliary Power Units (APUs)

(a) Flameout, shutdown or malfunction of any engine.

(b) Overspeed or inability to control the speed of any high-speed rotating component (for example: APU, air

starter, air cycle machine, air turbine motor, propeller or rotor).

(c) Failure or malfunction of any part of an engine or powerplant resulting in any one or more of the following:

1. non-containment of components/debris;

2. uncontrolled internal or external fire, or hot gas breakout;

3. thrust in a direction different from that demanded by the pilot;

4. thrust-reversing system failing to operate or operating inadvertently;

5.

inability to control power, thrust or rpm;

6. failure of the engine mount structure;

7. partial or complete loss of a major part of the powerplant;

8. dense visible fumes or concentrations of toxic products sufficient to incapacitate crew or passengers;

9.

inability, by use of normal procedures, to shutdown an engine;

10.

inability to restart a serviceable engine.

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(d) An uncommanded thrust/power loss, change or oscillation which is classified as a loss of thrust or power

control (LOTC):

1. for a single-engine aircraft, or

2. where it is considered excessive for the application, or

3. where this could affect more than one engine in a multi-engine aircraft, particularly in the case of a

twin-engine aircraft, or

4. for a multi-engine aircraft where the same, or similar, engine type is used in an application where the

event would be considered hazardous or critical.

(e) Any defect in a life-controlled part causing its retirement before completion of its full life.

(f) Defects of common origin which could cause an in-flight shut-down rate so high that there is the possibility

of more than one engine being shut down on the same flight.

(g) An engine limiter or control device failing to operate when required or operating inadvertently.

(h) Exceedance of engine parameters.

(i) FOD resulting in damage.

Propellers and transmission

(j) Failure or malfunction of any part of a propeller or powerplant resulting in any one or more of the

following:

1. an overspeed of the propeller;

2. the development of excessive drag;

3. a thrust in the opposite direction to that commanded by the pilot;

4. a release of the propeller or any major portion of the propeller;

5. a failure that results in excessive imbalance;

6. the unintended movement of the propeller blades below the established minimum in-flight low-pitch

position;

7. an inability to feather the propeller;

8. an inability to change propeller pitch;

9. an uncommanded change in pitch;

10. a uncontrollable torque or speed fluctuation;

11. the release of low-energy parts.

Rotors and transmission

(k) Damage or defect of main rotor gearbox/attachment which could lead to in-flight separation of the rotor

assembly and/or malfunctions of the rotor control.

(l) Damage to tail rotor, transmission and equivalent systems.

APUs

(m) Shut down or failure when the APU is required to be available by operational requirements, e.g. ETOPS,

MEL.

(n)

Inability to shut down the APU.

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(o) Overspeed.

(p)

Inability to start the APU when needed for operational reasons.

(iv) Human Factors

Any incident where any feature or inadequacy of the aircraft design could have led to an error of use that could
contribute to a hazardous or catastrophic effect.

(v) Other Occurrences

(a) Any incident where any feature or inadequacy of the aircraft design could have led to an error of use that

could contribute to a hazardous or catastrophic effect.

(b) An occurrence not normally considered as reportable (e.g., furnishing and cabin equipment, water systems),

where the circumstances resulted in endangering the aircraft or its occupants.

(c) A fire, explosion, smoke or toxic or noxious fumes.

(d) Any other event which could endanger the aircraft, or affect the safety of the occupants of the aircraft, or

people or property in the vicinity of the aircraft or on the ground.

(e) Failure or defect of passenger address system resulting in loss of, or inaudible, passenger address system.

(f) Loss of pilot seat control during flight.

C. AIRCRAFT MAINTENANCE AND REPAIR

(i) Incorrect assembly of parts or components of the aircraft found during an inspection or test procedure not

intended for that specific purpose.

(ii) Hot bleed air leak resulting in structural damage.

(iii) Any defect in a life-controlled part causing retirement before completion of its full life.

(iv) Any damage or deterioration (e.g. fractures, cracks, corrosion, delamination, disbonding etc.) resulting from any

cause (e.g. as flutter, loss of stiffness or structural failure) to:

(a) a primary structure or a PSE (as defined in the manufacturers' Repair Manual) where such damage or
deterioration exceeds allowable limits specified in the Repair Manual and requires a repair or complete or
partial replacement;

(b) a secondary structure which consequently has or may have endangered the aircraft;

(c) the engine, propeller or rotorcraft rotor system.

(v) Any failure, malfunction or defect of any system or equipment, or damage or deterioration thereof found as a
result of compliance with an Airworthiness Directive or other mandatory instruction issued by a Regulatory
Authority, when:

(a)

it is detected for the first time by the reporting organisation implementing compliance;

(b) on any subsequent compliance, it exceeds the permissible limits quoted in the instruction and/or published

repair/rectification procedures are not available.

(vi) Failure of any emergency system or equipment, including all exit doors and lighting, to perform satisfactorily,

including when being used for maintenance or test purposes.

(vii) Non-compliance or significant errors in compliance with required maintenance procedures.

(viii) Products, parts, appliances and materials of unknown or suspect origin.

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(ix) Misleading, incorrect or insufficient maintenance data or procedures that could lead to maintenance errors.

(x) Any failure, malfunction or defect of ground equipment used for test or checking of aircraft systems and
equipment when the required routine inspection and test procedures did not clearly identify the problem,
where this results in a hazardous situation.

D. AIR NAVIGATION SERVICES FACILITIES AND GROUND SERVICES

(i) Air Navigation Services (ANS)

See Annex II, List of reportable ANS-related occurrences.

(ii) Aerodrome and Aerodrome Facilities

(a) Significant spillage during fuelling operations.

(b) Loading of incorrect fuel quantities likely to have a significant effect on aircraft endurance, performance,

balance or structural strength.

(iii) Handling of Passengers, Baggage and Cargo

(a) Significant contamination of aircraft structure, systems and equipment arising from the carriage of baggage

or cargo.

(b) Incorrect loading of passengers, baggage or cargo, likely to have a significant effect on aircraft mass and/or

balance.

(c)

Incorrect stowage of baggage or cargo (including hand baggage) likely in any way to endanger the aircraft,
its equipment or occupants or to impede emergency evacuation.

(d) Inadequate stowage of cargo containers or other substantial items of cargo.

(e) Carriage or attempted carriage of dangerous goods in contravention of applicable regulations,

including

incorrect labelling and packaging of dangerous goods.

(iv) Aircraft Ground Handling and Servicing

(a) Failure, malfunction or defect of ground equipment used for the testing or checking of aircraft systems and
equipment when the required routine inspection and test procedures did not clearly identify the problem,
where this results in a hazardous situation.

(b) Non-compliance or significant errors in compliance with required servicing procedures.

(c) Loading of contaminated or incorrect type of fuel or other essential fluids (including oxygen and potable

water).

The following subparagraphs give examples of reportable occurrences resulting from the application of the general
criteria to specific systems listed in paragraph B(ii) of Annex I.

Appendix to Annex I

1. Air conditioning/ventilation

(a) complete loss of avionics cooling;

(b) depressurisation.

2. Autoflight system

(a) failure of the autoflight system to achieve the intended operation while engaged;

(b) significant reported crew difficulty to control the aircraft linked to autoflight system functioning;

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(c) failure of any autoflight system disconnect device;

(d) uncommanded autoflight mode change.

3. Communications

(a) failure or defect of passenger address system resulting in loss of or inaudible passenger address;

(b) total loss of communication in flight.

4. Electrical system

(a) loss of one electrical distribution system (AC/DC);

(b) total loss or loss of more than one electrical generation system;

(c) failure of the back up (emergency) electrical generation system.

5. Cockpit/Cabin/Cargo

(a) pilot seat control loss during flight;

(b) failure of any emergency system or equipment, including emergency evacuation signalling system, all exit doors,

emergency lighting, etc.;

(c) loss of retention capability of the cargo loading system.

6. Fire protection system

(a) fire warnings, except those immediately confirmed as false;

(b) undetected failure or defect of fire/smoke detection/protection system, which could lead to loss or reduced fire

detection/protection;

(c) absence of warning in case of actual fire or smoke.

7. Flight controls

(a) asymmetry of flaps, slats, spoilers etc.;

(b) limitation of movement, stiffness or poor or delayed response in the operation of primary flight control systems

or their associated tab and lock systems;

(c) flight control surface runaway;

(d) flight control surface vibration felt by the crew;

(e) mechanical flight control disconnection or failure;

(f) significant interference with normal control of the aircraft or degradation of flying qualities.

8. Fuel system

(a) fuel quantity indicating system malfunction resulting in total loss or wrong indication of fuel quantity on board;

(b) leakage of fuel which resulted in major loss, fire hazard, significant contamination;

(c) malfunction or defects of the fuel jettisoning system which resulted in inadvertent loss of significant quantity,

fire hazard, hazardous contamination of aircraft equipment or inability to jettison fuel;

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(d) fuel system malfunctions or defects which had a significant effect on fuel supply and/or distribution;

(e) inability to transfer or use total quantity of usable fuel.

9. Hydraulics

(a) loss of one hydraulic system (ETOPS only);

(b) failure of the isolation system;

(c) loss of more than one hydraulic circuits;

(d) failure of the back up hydraulic system;

(e) inadvertent Ram Air Turbine extension.

10. Ice detection/protection system

(a) undetected loss or reduced performance of the anti-ice/de-ice system;

(b) loss of more than one of the probe-heating systems;

(c) inability to obtain symmetrical wing de-icing;

(d) abnormal ice accumulation leading to significant effects on performance or handling qualities;

(e) crew vision significantly affected.

11. Indicating/warning/recording systems

(a) malfunction or defect of any indicating system when the possibility of significant misleading indications to the

crew could result in an inappropriate crew action on an essential system;

(b) loss of a red warning function on a system;

(c) for glass cockpits: loss or malfunction of more than one display unit or computer involved in the display/

warning function.

12. Landing gear system /brakes/tyres

(a) brake fire;

(b) significant loss of braking action;

(c) asymmetrical braking action leading to significant path deviation;

(d) failure of the landing gear free fall extension system (including during scheduled tests);

(e) unwanted landing gear or gear doors extension/retraction;

(f) multiple tyre burst.

13. Navigation systems (including precision approach systems) and air data systems

(a) total loss or multiple navigation equipment failures;

(b) total or multiple air data system equipment failures;

(c) significant misleading indications;

(d) significant navigation errors attributed to incorrect data or a database coding error;

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(e) unexpected deviations in lateral or vertical path not caused by pilot input;

(f) problems with ground navigational facilities leading to significant navigation errors not associated with tran-

sitions from inertial navigation mode to radio navigation mode.

14. Oxygen for pressurised aircraft:

(a) loss of oxygen supply in the cockpit;

(b) loss of oxygen supply to a significant number of passengers (more than 10 %), including when found during

maintenance or training or test purposes.

15. Bleed air system

(a) hot bleed air leak resulting in fire warning or structural damage;

(b) loss of all bleed air systems;

(c) failure of bleed air leak detection system.

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LIST OF AIR NAVIGATION SERVICES RELATED OCCURRENCES TO BE REPORTED

ANNEX II

Note 1: Although this Annex lists the majority of reportable occurrences, it cannot be completely comprehensive. Any
other occurrences, which are judged by those involved to meet the criteria, should also be reported.

Note 2: This Annex does not include accidents and serious incidents. In addition to other requirements covering the
notification of accidents, they should also be recorded in the databases mentioned in Article 5(2).

Note 3: This Annex includes ANS occurrences which pose an actual or potential threat to flight safety, or can

compromise the provision of safe ANS services.

Note 4: The contents of this Annex shall not preclude the reporting of any occurrence, situation or condition which, if
repeated in different but likely circumstances or allowed to continue uncorrected, could create a hazard to
aircraft safety.

(i) Near collision incidents (encompassing specific situations where one aircraft and another aircraft/the ground/a

vehicle/person or object are perceived to be too close to each other):

(a) Separation minima infringement

(b) Inadequate separation

(c) Near-Controlled Flight Into Terrain (Near CFIT)

(d) Runway incursion where avoiding action was necessary.

(ii) Potential for collision or near collision (encompassing specific situations having the potential to be an accident or a

near collision, if another aircraft is in the vicinity):

(a) Runway incursion where no avoiding action is necessary

(b) Runway excursion

(c) Aircraft deviation from ATC clearance

(d) Aircraft deviation from applicable Air Traffic Management (ATM) regulation:

1. Aircraft deviation from applicable published ATM procedures;

2. Unauthorised penetration of airspace;

3. Deviation from aircraft ATM-related equipment carriage and operations, as mandated by applicable regu-

lation(s).

(iii) ATM-specific occurrences (encompassing those situations where the ability to provide safe ATM services is affected,
including situations where, by chance, the safe operation of aircraft has not been jeopardised). This shall include the
following occurrences:

(a)

Inability to provide ATM Services

1.

inability to provide Air Traffic Services;

2.

inability to provide Airspace Management Services;

3.

inability to provide Air Traffic Flow Management Services.

(b) Failure of Communication function

(c) Failure of Surveillance function

(d) Failure of Data Processing and Distribution function

(e) Failure of Navigation function

(f) ATM system security

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Appendix to Annex II

The following subparagraphs give examples of reportable ATM occurrences resulting from the application of the general
criteria listed in paragraph (iii) of Annex II to aircraft operations.

1. Provision of significantly incorrect, inadequate or misleading information from any ground sources, e.g. Air Traffic
Control (ATC), Automatic Terminal Information Service (ATIS), Meteorological Services, navigation databases, maps,
charts, manuals, etc.

2. Provision of less than prescribed terrain clearance.

3. Provision of incorrect pressure reference data (i.e. altimeter setting).

4. Incorrect transmission, receipt or interpretation of significant messages when this results in a hazardous situation.

5. Separation minima infringement.

6. Unauthorised penetration of airspace.

7. Unlawful radio communication transmission.

8. Failure of ANS ground or satellite facilities.

9. Major ATC/ATM failure or significant deterioration of aerodrome infrastructure.

10. Aerodrome movement areas obstructed by aircraft, vehicles, animals or foreign objects, resulting in a hazardous or

potentially hazardous situation.

11. Errors or inadequacies in marking of obstructions or hazards on aerodrome movement areas resulting in a

hazardous situation.

12. Failure, significant malfunction or unavailability of airfield lighting.

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STATEMENT OF THE COUNCIL'S REASONS

I. INTRODUCTION

On 19 December 2000, the Commission submitted its proposal for a Directive on occurrence reporting
in civil aviation to the European Parliament and the Council. In the light of the outcome of the
European Parliament's first reading on 14 June 2001,
the Commission submitted an amended
proposal (1).

The Economic and Social Committee delivered its Opinion on 12 September 2001 (2), and the
Committee of the Regions was consulted but abstained from giving an Opinion (3).

Under the codecision procedure (Article 251 EC Treaty), the Council, having regard to Parliament's first
reading, adopted its common position on the draft Directive on 17 June 2002.

The objective of the proposed Directive is to contribute to the improvement of air safety by collecting
reports of dangerous or potentially dangerous occurrences. It should be stressed that the sole objective
of occurrence reporting is the prevention of future accidents and not to attribute blame or liability.

The information thus collected will be stored in databases to facilitate mutual exchange between
Member States, which will ensure appropriate confidentiality of the information received by them.
The Commission will adopt the measures necessary to enable such information to be disseminated
to those able to analyse and draw conclusions from it, limiting dissemination to what is strictly required
for the purpose of its users.

II. ANALYSIS OF THE COMMON POSITION

The Council approves of the proposal's objective, which is to create a harmonised framework for the
collection of occurrence reports in the civil aviation sector; such an initiative is fully justified by safety
considerations in the air transport sector. The establishment of a database holding data collected on the
widest possible basis and containing as much information as possible on any occurrence which could
have caused an accident is likely to have a considerable preventive effect. Nevertheless — and this has
been a concern throughout the Council's proceedings — it is essential that any system should ensure a
proper balance between the legitimate requirement to have access to as much information as possible
and the need to guarantee a level of confidentiality which is appropriate and acceptable to the parties
concerned. Without adequate safeguards in that connection,
the occurrence
reporting system, and hence its usefulness in operational terms (inter alia as regards dissemination),
would be called into question. It is essential to avoid a situation where one Member State might decide
not to communicate information which it deems confidential to another Member State where that
information would be made public. Similarly, the occurrence reporting system must not be prejudicial
to employees who report incidents of which they may become aware.

the effectiveness of

In order to make the proposed data exchange system operational, a common system needs to be
established for disseminating information to professionals who would then use that information to
improve air safety; the Council considers that the Commission should be authorised to adopt the
appropriate measures. In seeking a balance between the dissemination of information for preventive
purposes and the requirement for confidentiality, the Council considered that it was not appropriate for
the Directive to include Article 9 as proposed by the Commission (‘Confidential
reporting’).
Consequently, recital 13 and Article 3 of the proposal have also been deleted.

(1) OJ C 332 E, 27.11.2001, p. 320.
(2) OJ C 311, 7.11.2001, p. 8.
(3) Letter of abstention D/400051 of 19 June 2001.

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The Council was able to incorporate into its common position, either wholly or in substance, most of
the amendments submitted by the European Parliament at first reading. In this connection, attention is
drawn to the following amendments:

— to underline the importance of ensuring consistency with the ICAO's

technical

reporting

requirements, a reference to the ICAO has been added (recital 16).

— in Article 8 concerning the protection of information, the Council, in agreement with the European
Parliament, has deleted paragraph 3, and in order to take fuller account of Member States' national
law the Council has also decided to delete paragraph 4 and has made certain other corresponding
amendments to that Article.

— in order to ensure that a system capable of improving safety can be established as quickly as
possible, the Council has accepted the two-year deadline proposed by Parliament for the entry
into force of the relevant laws.

Finally,
the ‘Gibraltar’ clauses have been incorporated into Article 3 as paragraphs 3 and 4 in
accordance with the agreement reached on this issue. A joint statement by the Council and the
Commission has been entered in the Council minutes stating that the suspension of the application
of the Directive to Gibraltar Airport is without prejudice to the application of the EC Treaty to
Gibraltar.