Proposal for a Regulation of the European Parliament and of the Council on investigation and prevention of accidents and incidents in civil aviation (Text with EEA relevance) {SEC(2009) 1477} {SEC(2009) 1478}
Date: 2009-10-29
Institutions: European Commission
Subjects: accident prevention, air safety, civil aviation, cooperation policy, data collection, exchange of information, supervisory body, transport accident, transport safety

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COMMISSION OF THE EUROPEAN COMMUNITIES 

Brussels, 29.10.2009 
COM(2009) 611 final 

2009/0170 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on investigation and prevention of accidents and incidents in civil aviation 

(Text with EEA relevance) 

{SEC(2009) 1477} 
{SEC(2009) 1478} 

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EXPLANATORY MEMORANDUM 

1. 

BACKGROUND 

Independent investigations of accidents are essential in the drive to improve transport 
safety.  Analysis  of  the  circumstances  of  accidents  leads  to  recommendations  being 
made to prevent these dramatic events from re-occurring. 

Civil  aviation,  although  in  existence  for  a  relatively  short  period  of  time,  has  well 
established  traditions  in  accident  investigation.  The  obligation  to  investigate 
accidents  in  civil  aviation  is  enshrined  in  the  Convention  on  International  Civil 
Aviation to which all Member States are Parties. Detailed international standards and 
recommended  practices  in  this  respect  are  defined  in  Annex  13  to  the  Chicago 
Convention and related guidance material. 

Recognising  the  importance  of  accident  investigation,  the  European  Community 
already  in  1980  adopted  a  Directive  80/1266/EEC  on  cooperation  and  mutual 
assistance between the Member States in the field of air accident investigation1. The 
1980  Directive  was  subsequently  replaced  by  Directive  94/56/EC2.  In  addition 
Directive  2003/42/EC  on  occurrence  reporting  in  civil  aviation,  was  adopted  in 
20033.  

Under Directive 94/56/EC Member States are obliged to ensure that every accident 
or serious incident in civil aviation is subject to an investigation by an independent 
body and that the only purpose of the investigation is to prevent future accidents and 
not  to  apportion  blame  or  liability.  Investigators  have  been  given  additional  rights 
enabling  them  to  carry  out  their  tasks  in  a  more  efficient  manner  and  the  basic 
principles  concerning  publication  of 
reports  and  dissemination  of  safety 
recommendations were established. 

Directive  2003/42/EC,  by  supporting  the  establishment  of  safety  occurrence 
reporting  systems,  significantly  contributed  to  the  promotion  of  "Just  Culture"  in 
European civil aviation. Aviation professionals are now obliged to report occurrences 
in  their  daily  operational  work  and  provisions  have  been  made  to  ensure  that  the 
information reported can be exchanged and disseminated, so that safety lessons can 
be  learned.  Establishment  of  voluntary  reporting  systems  is  also  supported  and 
encouraged by the Directive. 

2. 

THE NEED FOR CHANGE 

The  Community  system  for  civil  aviation  accident  investigation  and  occurrence 
reporting  as  currently  established,  functions  below  optimum  efficiency.  Especially 
the  current  regulatory  framework  dealing  with  accident  investigation,  i.e.  Directive 
94/56/EC, is now already 15 years old, and no longer meets the requirements of the 
Community and the Member States. In particular: 

1 

2 

3 

Council  Directive  80/1266/EEC  of  16  December  1980  on  future  cooperation  and  mutual  assistance 
between the Member States in the filed of air accident investigation (OJ L 375, 31.12.1980, p.32) 
Council  Directive  94/56/EC  of  21  November  1994  establishing  the  fundamental  principles  governing 
the investigation of civil aviation accidents and incidents (OJ L 319, 12.12.1994, p.14) 
Directive 2003/42/EC of  the European  Parliament  and of  the  Council  of 13  June  2003 on  occurrence 
reporting in civil aviation (OJ L 167, 4.7.2003, p.23) 

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–  There is much more divergence in the investigating capacity of the Member States 
comparing to the situation in 1994. Especially after the recent enlargements of the 
EU in 2004 and 2007, the investigating capacity is concentrated in a few Member 
States only; 

–  Aircraft and their systems are becoming increasingly complex, which also means 
that  investigation  of  aviation  accidents  requires  substantially  more  diversified 
expertise and resources than a decade ago; 

–  The  EU  common  aviation  market  grew  substantially  both  in  size  (now  covering 
27 Member States) and complexity in the last decade (emergence of multi-based 
operators, increasing reliance on outsourcing of maintenance, multinational design 
and manufacturing), creating new challenges in safety oversight; 

–  The increase in the size and complexity of the internal aviation market also called 
for  increased  responsibility  of  the  Community  for  aviation  safety.  The  EU 
institutional  and  legal  framework  changed  significantly  since  the  adoption  of 
Directive  94/56/EC.  Safety  standards  are  now  almost  exclusively  defined  at  the 
EU  level  and  the  European  Aviation  Safety  Agency,  which  on  behalf  of  the 
Member States is responsible for certification of aircraft in the Community, was 
established in 20024; 

–  The  EU  and  its  Member  States  gained  significant  practical  experiences  in 
application of Directive 94/56/EC. These lessons should be used to strengthen the 
efficiency of the current regulatory system. 

3. 

DETAILED PROBLEM DEFINITION 

Before presenting this proposal, the Commission conducted a detailed analysis of the 
current situation in civil aviation accident investigation and occurrence reporting in 
the  EU,  in  particular  through  public  consultations  with  the  interested  stakeholders, 
and authorities of the Member States. All respondents either fully or partially agreed 
that  there  are  currently  shortcomings  in  civil  aviation  accident  investigation  and 
occurrence  reporting  in  Europe.  However  at  the  same  time,  majority  of  the 
respondents  argued  that  it  is  too  early  to  consider  a  comprehensive  revision  of 
Directive 2003/42/EC and that the focus should be on improving the efficiency of the 
regulatory framework for accident investigation. 

In  addition,  the  Commission  relied  on  the  results  of  an  external  impact  assessment 
study  prepared  in  2007,  which  took  into  account  the  results  of  the  public 
consultations as well as the input from: 

(1) 

(2) 

A  detailed  questionnaire  distributed  directly  by  an  external  consultant  to  a 
large number of interested stakeholders; 

A  number  of  interviews  conducted  by  an  external  consultant  with  a  limited 
number of interested stakeholders constituting a representative sample; 

On  this  basis,  the  Commission,  conducted  an  own  impact  assessment  study,  which 
identified the following specific problem areas: 

(1) 

Lack of a uniform investigating capacity in the EU; 

4 

Impact Assessment on the modification of Directives 94/56/EC and 2003/42/EC (Framework Contract 
for Ex-ante evaluations and Impact Assessments, TREN/A1/46-2005), Final Report, Rotterdam 20 July 
2007 

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(2) 

(3) 

Tensions between safety investigations and other proceedings; 

Unclear role of the Community in safety investigations; 

(4)  Weaknesses in implementation of safety recommendations; 

(5) 

Lack  of  common  standards  concerning  management  of  passenger  manifests 
and support to the victims of air accidents and their families; 

4. 

POSSIBLE POLICY OPTIONS 

In order to address the current inefficiencies the Commission analysed a number of 
possible policy options: 

(1) 

(2) 

(3) 

Promotion of voluntary cooperation; 

European Network of Civil Aviation Safety Investigation Authorities; 

European Civil Aviation Safety Board; 

the  benchmark  for  analysing 

All  the  options  were  compared  against  each  other  and  measured  against  the  “do 
nothing”  option  as 
their  safety,  economic, 
environmental, social and other impacts. This analysis clearly indicated that support 
for voluntary cooperation, coupled with a number of important principles enshrined 
in  a  legally  binding  framework,  envisaged  under  the  policy  option  "European 
Network  of  Civil  Aviation  Safety  Investigation  Authorities",  would  allow  meeting 
the Community objectives in the most cost-efficient way and without going beyond 
what is strictly necessary from the proportionality point of view. 

5. 

5.1. 

CONTENTS OF THE PROPOSAL 

Promotion of voluntary cooperation 

The  submitted  proposal  sets  out  the  promotion  of  voluntary  cooperation,  the 
objectives  of  which  are  enshrined  in  a  legally  binding  framework.  It  builds  on  the 
resources  already  available  in  the  Member  States  and  experiences  of  the  existing 
informal  cooperation  of  the  National  Safety  Investigation  Authorities.  Under  the 
proposed Regulation this informal cooperation will be transformed into a European 
Network of Civil Aviation Safety Investigation Authorities (the Network). 

"The  Network"  will  contribute  to  greater  uniformity,  better  implementation  and 
enforcement  of  the  Community  civil  aviation  accident  investigation  legislation.  It 
will also strengthen the investigating capacity of the EU and the preventive function 
of  accident  investigation  by  promoting  a  more  structured  cooperation  between  the 
national  Safety  Investigation  Authorities,  the  Commission  and  the  European 
Aviation Safety Agency, while fully retaining an independent status. 

In order to void the creation of a new Community body, “the Network” will have no 
legal  personality  and  its  mandate,  which  is  clearly  described  in  the  proposed 
Regulation, will be limited to advisory and coordination tasks. "The Network", will 
constitute a body pursuing an aim of general European interest, within the meaning 
of  Article  108  (1)b  of  the  Council  Regulation  (EC,  Euratom)  No  1605/2002  of  25 
June 2002 (the Financial Regulation)5
 , which will allow the Community to support 

5 

OJ L 248, 16.9.2002, p.1. 

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its  activities  with  an  annual  grant,  on  the  basis  of  an  annually  agreed  work 
programme. 

5.2. 

Backed by obligations enshrined in law 

The main drawback of a policy option involving only voluntary cooperation is lack 
of  a  legal  obligation  to  act  within  the  framework  of  a  clearly  defined  mandate. 
Voluntary cooperation is also not expected to adequately resolve issues where legal 
certainty  is  needed,  such  as  protection  of  sensitive  safety  information,  defining  the 
mutual rights and obligations of national Safety Investigation Authorities and EASA 
in safety investigations or establishing uniform requirements in terms of processing 
of safety recommendations. 

To  avoid  such  drawbacks,  which  are  at  the  centre  of  the  improvement  needed  to 
address  the  inefficiencies  of  the  current  regulatory  framework,  the  proposed 
Regulation  complements  the  voluntary  cooperation  by  a  number  of  obligations 
enshrined in law, which will: 

–  Update and modernise the main provisions of the former Directive 94/56/EC; 

–  Strengthen  the  efficiency  of  safety  investigations  by  implementing  into  the 
Community law the international standards and recommended practises related to 
protection of evidence and sensitive safety information, in accordance with Annex 
13 to the Chicago Convention; 

–  Establish  common  requirements  in  terms  of  organisation  of  national  Safety 
Investigation  Authorities  and  strengthen  the  independent  status  of  safety 
investigations; 

–  Better coordinate the various inquires into the causes of accidents and incidents, 
notably  by  mandating  the  national  Safety  Investigation  Authorities  to  conclude 
appropriate  advance  arrangements  with  other  authorities  (judicial,  search  and 
rescue) likely to be involved in accident investigation; 

–  Clarify the mutual rights and obligations of the European Aviation Safety Agency 
and national Safety Investigation Authorities without compromising independence 
of  safety  investigations,  and  using  as  a  reference  Annex  13  to  the  Chicago 
Convention; 

–  Specify the criteria on the basis of which Safety Investigation Authorities would 

appoint accredited representatives for the "State of Design"; 

–  Establish common requirements for Community airlines regarding passenger lists 

and protection of the data contained therein; 

–  Strengthen the rights of the victims of air accidents and of their families; 

–  Better protect anonymity of persons involved in accident; 

–  Strengthen implementation of safety recommendations by: 

•  establishing a central database of safety recommendations; 

•  establishing  a  legal  requirement  for  every  entity  in  the  EU  issuing  a  safety 
recommendation  or  receiving  it  to  have  a  process  for  recording  the  responses  to 
the safety recommendation issued and monitoring the progress of the action taken 
in response to a safety recommendation; 

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6. 

SUBSIDIARITY AND PROPORTIONALITY 

Although  establishment  of  a  European  agency  for  civil  aviation  accident 
investigation should not be excluded in the longer term, given the integrated nature 
of  the  single  aviation  market  in  the  EU,  this  would  be  premature  at  this  stage. 
Accordingly,  this  proposal  does  not  shift  the  current  division  of  responsibilities  in 
civil  aviation  accident  and  incident  investigation,  which  would  still  rest  with  the 
competent authorities of the Member States.  

Compared  with  other  alternative  policy  options  analysed  in  the  Impact  Assessment 
accompanying  this  proposal,  the  proposed  Regulation  has  the  biggest  added  value 
from  the  Community  perspective.  It  is  the  most  proportional  policy  option  which, 
while  fully  respecting  the  principle  of  independence  of  safety  investigations  would 
allow, by supporting voluntary  cooperation and without establishing new  structures 
at the Community level, to significantly enhance the overall efficiency of the current 
regulatory framework for civil aviation accident investigation and prevention in the 
EU.

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2009/0170 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on investigation and prevention of accidents and incidents in civil aviation 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having regard to the Treaty establishing the European Community, and in particular Article 
80 paragraph 2 thereof, 
Having regard to the proposal from the Commission6, 
Having regard to the opinion of the European Economic and Social Committee7, 
Having regard to the opinion of the Committee of the Regions8, 
Acting in accordance with the procedure laid down in Article 251 of the Treaty9, 

Whereas: 

(1) 

(2) 

(3) 

(4) 

(5) 

A  high  general  level  of  safety  should  be  ensured  in  civil  aviation  in  Europe  and  all 
efforts  should  be  made  to  reduce  the  number  of  accidents  and  incidents  to  ensure 
consumer confidence in air transport. 

The  expeditious  holding  of  safety  investigations  of  civil  aviation  accidents  and 
incidents  improves  aviation  safety  and  helps  to  prevent  the  occurrence  of  such 
accidents and incidents. 

The  sole  objective  of  safety  investigations  should  be  prevention  of  future  accidents 
and incidents without apportioning blame or liability. 

Council  Directive  94/56/EC  of  21  November  1994  establishing  the  fundamental 
principles governing the investigation of civil aviation accidents and incidents10 needs 
to  be  replaced  to  improve  the  efficiency  of  the  investigation  and  prevention  of  civil 
aviation  accidents  and  incidents  systems  that  it  contributed  to  establish  in  the 
Community. 

Account should be taken of the changes in the institutional and regulatory framework 
governing civil aviation safety in the Community which took place since the adoption 
of Directive 94/56/EC and in particular of the establishment of the European Aviation 
Safety Agency. 

(6) 

Account should be taken of the Convention on International Civil Aviation, signed in 
Chicago  on  7  December  1994,  which  provides  for  implementation  of  the  measures 

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10 

OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ C , , p. . 
OJ L 319, 12.12.1994, p. 14 

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necessary to ensure the safe operation of aircraft; particular account should be taken of 
Annex  13  to  this  Convention,  and  of  its  subsequent  amendments  which  lay  down 
recommended  international  standards  and  practices  for  aircraft  accident  and  incident 
investigation. 

The European Aviation Safety Agency carries out on behalf of the Member States the 
functions and tasks of the State of Design, Manufacture and Registry when related to 
design  approval,  as  specified  in  the  Chicago  Convention  and  its  Annexes,  and 
therefore  should  be  represented  during  a  safety  investigation  to  contribute  to  its 
efficiency  and  to  ensure  safety  of  aircraft  design,  without  affecting  the  independent 
status of the investigation. 

Given  its  increasing  safety  responsibilities,  the  European  Aviation  Safety  Agency 
should  also  participate  in  the  exchange  of  data  in  the  framework  of  the  occurrence 
reporting systems; this data should be adequately protected from unauthorised use or 
disclosure. 

The scope of safety investigations should depend on the lessons which can be drawn 
from them for the improvement of aviation safety, especially taking into account the 
need for the cost efficient utilisation of investigation resources in the Community. 

(7) 

(8) 

(9) 

(10)  Safety investigation of  accidents and incidents should be carried out by or under the 
control of an independent safety investigation authority in order to avoid any conflict 
of interest and any possible external interference in the determination of the causes of 
the occurrences being investigated. 

(11)  The  capacity  of  safety  investigation  authorities  of  the  Member  States  should  be 
strengthened and the cooperation between them is necessary to improve the efficiency 
of  the  investigation  and  prevention  of  civil  aviation  accidents  and  incidents  in  the 
Community. 

(12)  The  coordination  role  of  safety  investigation  authorities  should  be  recognised  in  a 
European  context,  by  taking  into  account  the  already  existing  cooperation  between 
them and the investigation resources available in the Member States which should be 
used in the most cost-efficient manner; this could be best achieved by establishing a 
European Network of Civil Aviation Safety Investigation Authorities ('the Network'). 

(13)  The Network should pursue its coordination activities in a transparent and independent 

manner and be actively supported by the Community. 

(14)  The  objectives  of  this  Regulation  may  be  efficiently  achieved  through  cooperation 
with European third countries, which should be allowed to participate in the work of 
the Network. 

(15)  The Member States should, in compliance with the legislation in force as regards the 
powers of the authorities responsible for the judicial inquiry and, where appropriate, in 
close  collaboration  with  those  authorities,  ensure  that  the  authorities  responsible  for 
safety investigations of civil aviation accidents and incidents are allowed to carry out 
their tasks in the best possible conditions; the objectives of  a  judicial inquiry should 
not be compromised either. 

(16)  Efficient safety investigation is only possible if important pieces of evidence are duly 

preserved. 

(17)  The  civil  aviation  safety  system  is  based  on  feedback  and  lessons  learned  from 
accidents and incidents which require strict application of confidentiality to ensure the 
future  availability  of valuable sources of information;  in  this  context sensitive  safety 

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information  should  not  be  used  for  purposes  other  than  prevention  of  accidents  and 
incidents unless there is an overriding public interest in its disclosure. 

(18) 

It  is  important  for  accident  prevention  to  make  public  the  findings  of  accident  and 
incident investigations in the shortest time possible. 

(19)  The  safety  recommendations  resulting  from  an  accident  or  incident  investigation 
should be always duly taken into account and acted upon if needed to ensure adequate 
prevention  of  accidents  in  civil  aviation;  the  Community  dimension  of  safety 
recommendations  should  be  also  taken  into  account  given  that  aviation  safety  is 
increasingly regulated at the European level. 

(20)  Experience has shown that reliable lists of people on board an aircraft are sometimes 
difficult to obtain in a rapid manner and that the data contained on such lists should be 
protected from unauthorised use or disclosure. 

(21)  Rights  of  the  victims  of  air  accidents  and  of  their  families  should  be  adequately 

protected. 

(22)  Directive  95/46/EC  should  apply  to  the  processing  of  personal  data  pursuant  to  this 

Regulation. 

(23)  Since the objectives of this Regulation, namely the establishment of common rules in 
the  field  of  civil  aviation  accident  and  incident  investigation  cannot  be  sufficiently 
achieved by the Member States and can therefore, by reason of Europe-wide scope of 
this  Regulation,  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  Regulation  does  not  go  beyond  what  is  necessary  in  order  to  achieve  those 
objectives. 

(24)  The measures necessary for the implementation of this Regulation should be adopted 
in accordance with Council Decision 1999/468/EC of 28 June 1999 laying down the 
procedures for the exercise of  implementing powers conferred on the Commission11. 
In  particular  the  Commission  should  be  empowered  to  decide  on  the  rules  of 
procedures and the work program of the Network established under this Regulation. 

(25)  Directive 94/56/EC should therefore be repealed. 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Subject-matter 

This  Regulation  aims  to  improve  aviation  safety  by  ensuring  a  high  level  of  efficiency  and 
quality  of  European  civil  aviation  safety  investigations,  the  sole  objective  of  which  is  the 
prevention of future accidents and incidents without apportioning blame or liability. 

For the purposes of this Regulation, the following definitions shall apply: 

Article 2 

Definitions 

11 

OJ L 184, 17.7.1999, p. 23. 

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(1) 

'accident'  means  an  occurrence  associated  with  the  operation  of  an  aircraft  with  the 
intention of flight which, in the case of a manned aircraft, takes place between the time 
any  person  boards  the  aircraft  with  the  intention  of  flight  until  such  time  as  all  such 
persons have disembarked, or in the case of an unmanned aircraft, takes place between 
the  time  the  aircraft  is  ready  to  move  with  the  purpose  of  flight  until  such  time  it 
comes to rest at the end of the flight and the primary propulsion system is shut down, 
in which: 

(a) 

a person is fatally or seriously injured as a result of: 

– 

– 

– 

being in the aircraft, or 

direct contact with any part of the aircraft, including parts which have 
become detached from the aircraft, or 

direct exposure to jet blast, 

except when the injuries are from natural causes, self-inflicted or inflicted by other 
persons,  or  when  the  injuries  are  to  stowaways  hiding  outside  the  areas  normally 
available to the passengers and crew; or 

(b) 

the  aircraft  sustains  damage  or  structural  failure  which  adversely  affects  the 
structural  strength,  performance  or  flight  characteristics  of  the  aircraft,  and 
would normally require major repair or replacement of the affected component, 

except for engine failure or damage, when the damage is limited to a single engine, 
its cowlings or accessories; or for damage limited to propellers, wingtips, antennas, 
probes, vanes, tyres, brakes, wheels, superficial damage to the landing gear, fairings, 
panels,  landing  gear  doors,  damaged  windscreens,  small  dents  or  puncture  holes  in 
the aircraft skin, minor hail or bird strike damage (including holes in the radome); or 

(c) 

the aircraft is missing or is completely inaccessible; 

'accredited representative' means a person designated by a State, on the basis of his or 
her  qualifications,  for  the  purpose  of  participating  in  an  investigation  conducted  by 
another State; the designated accredited representative shall normally be from a safety 
investigation authority; 

'adviser' means a person appointed by a State, on the basis of his or her qualifications, 
for the purpose of assisting its accredited representative in an investigation; 

'causes' means actions, omissions, events, conditions, or a combination thereof, which 
led  to  the  accident  or  incident;  the  identification  of  causes  does  not  imply  the 
assignment of fault or the determination of administrative, civil or criminal liability; 

'civil  aviation  accident  and  incident'  means  any  accident  or  incident  involving  an 
aircraft not engaged in military, customs, police or similar services; 

'fatal injury' means an injury which is sustained by a person in an accident and which 
results in his/her death within 30 days of the date of the accident; 

'flight recorder' means any type of recorder installed in the aircraft for the purpose of 
facilitating accident/incident safety investigations; 

'incident' means an occurrence, other than an accident, associated with the operation of 
an aircraft which affects or could affect the safety of operation; 

'investigator-in-charge'  means  a  person  charged,  on  the  basis  of  his  or  her 
qualifications, with responsibility for the organization, conduct and control of a safety 
investigation; 

(2) 

(3) 

(4) 

(5) 

(6) 

(7) 

(8) 

(9) 

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(10) 

(11) 

(12) 

(13) 

(14) 

'operator' means any legal or natural person, operating or proposing to operate one or 
more aircraft; 

'person involved' means the owner, crew or the operator of the aircraft involved in an 
accident  or  incident,  or  any  person  involved  in  the  provision  of  air  traffic  control, 
flight information or aerodrome services, who has the knowledge of the occurrence of 
an accident or incident; 

'safety  investigation'  means  a  process  conducted  for  the  purpose  of  accident  and 
incident  prevention  which  includes  the  gathering  and  analysis  of  information,  the 
drawing  of  conclusions,  including  the  determination  of  cause(s)  and/or  contributing 
factors and, when appropriate, the making of safety recommendations; 

'safety recommendation' means a proposal of a safety investigation authority, based on 
information derived from a safety investigation or other sources such as safety studies, 
made with the intention of preventing accidents and incidents; 

'serious incident' means an incident involving circumstances indicating that there was 
a high probability of an accident associated with the operation of an aircraft with the 
intention of flight (a list of examples of serious incidents is set out in the Annex); 

(15) 

'serious  injury'  means  an  injury  which  is  sustained  by  a  person  in  an  accident  and 
which involves one of the following: 

(a) 

(b) 

(c) 

(d) 

(e) 

hospitalization  for  more  than  48  hours,  commencing  within  seven  days  from 
the date the injury was received; 

a fracture of any bone (except simple fractures of fingers, toes, or nose); 

lacerations which cause severe haemorrhage, nerve, muscle or tendon damage; 

injury to any internal organ; 

second or third degree burns, or any burns affecting more than 5% of the body 
surface; 

(f) 

verified exposure to infectious substances or harmful radiation; 

(16) 

'undertaking' means any natural or legal person, whether profit-making or not, or any 
official body whether having its own legal personality or not; 

Article 3 

Scope 

1. 

This Regulation shall apply to safety investigations into civil aviation accidents and 
incidents: 

(a) 

(b) 

(c) 

which have occurred in the territory of the Community, in accordance 
with the international obligations of the Member States; 

involving  aircraft  registered  in  a  Member  State  or  operated  by  an 
undertaking  established  in  a  Member  State,  which  have  occurred 
outside the territory of the Community, when such investigations are 
not carried out by another State; 

in which a Member State is entitled, according to international safety 
standards,  to  appoint  an  accredited  representative  to  participate  as  a 
State  of  Registry,  State  of  the  Operator,  State  of  Design,  State  of 

EN 

11 

   EN 

Manufacture or State providing information, facilities or experts at the 
request of the State conducting the investigation; 

(d) 

in  which  a  Member  State  having  a  special  interest  by  virtue  of 
fatalities  or  serious  injuries  to  its  citizens  is  permitted  by  the  State 
conducting the investigation to appoint an expert; 

Article 4 

Obligation to investigate 

Every  civil  aviation  accident  or  serious  incident  involving  aircraft  other  than 
specified  in  Annex  II  to  the  Regulation  (EC)  No  216/2008  of  the  European 
Parliament and of the Council12 shall be the subject of a safety investigation. 

The extent of safety investigations referred to in paragraph 1 and the procedure to be 
followed in carrying out such safety investigations shall be determined by the safety 
investigation authority, taking into account the lessons it expects to draw from such 
investigations for the improvement of safety. 

Safety investigation authorities may decide to investigate incidents other than those 
referred to in paragraph 1 as well as accidents or serious incidents to other types of 
aircraft, in accordance with the national legislation of the Member States, when they 
expect to draw safety lessons from them. 

Safety investigations referred to in paragraph 1 and 3 shall in no case be concerned 
with  apportioning  blame  or  liability.  They  shall  be  separate  from  and  without 
prejudice  to  any  judicial  or  administrative  proceedings  to  apportion  blame  or 
liability. 

Article 5 

Civil Aviation Safety Investigation Authority 

Each  Member  State  shall  ensure  that  safety  investigations  are  conducted  or 
supervised,  without  external  interference,  by  a  permanent  civil  aviation  safety 
investigation authority (hereinafter 'safety investigation authority'). 

The  safety  investigation  authority  shall  be functionally  independent  in  particular  of 
aviation  authorities  responsible  for  airworthiness,  certification,  flight  operation, 
maintenance, licensing, air traffic control or airport operation and, in general, of any 
other  party  whose  interests  could  conflict  with  the  task  entrusted  to  the  safety 
investigation authority or influence its objectivity. 

The safety investigation authority shall, in the performance of its duties, neither seek 
nor  take  instructions  from  anybody  and  shall  have  unrestricted  authority  over  the 
conduct of the safety investigations. 

The activities entrusted to the safety investigation authority may be extended to the 
gathering  and  analysis  of  aviation  safety  related  data,  in  particular  for  accident 
prevention purposes, in so far as these activities do not affect its independence and 
entail no responsibility in regulatory, administrative or standards matters. 

1. 

2. 

3. 

4. 

1. 

2. 

3. 

4. 

12 

OJ L 79, 19.3.2008, p. 1. 

EN 

12 

   EN 

                                                 
5. 

The safety investigation authority shall be given the means required to carry out its 
responsibilities  independently  and  shall  be  able  to  obtain  sufficient  resources  to  do 
so. In particular: 

(a) 

(b) 

(c) 

(d) 

(e) 

the head of the safety investigation authority shall be experienced and 
competent  in  civil  aviation  safety  and,  if  possible,  in  safety 
investigation; 

the  investigators  shall  be  afforded  status  giving  them  the  necessary 
guarantees of independence; 

the  safety  investigation  authority  shall  comprise  at  least  one 
investigator able to perform the function of the investigator-in-charge 
in the event of a major aircraft accident; 

the  safety  investigation  authority  shall  be  allocated  a  functioning 
budget that would enable the payment  of technical examinations and 
travel expenses; 

the  safety  investigation  authority  shall  dispose,  either  directly  or 
through  arrangements  referred  to  in  Article  6,  of  qualified  personnel 
and  adequate  facilities,  including  offices  and  hangars  to  enable  the 
storage and examination of the aircraft, its contents and its wreckage; 

1. 

2. 

3. 

1. 

2. 

3. 

Article 6 

Cooperation between Safety Investigation Authorities 

A safety investigation authority from one Member State may request the assistance 
of  safety  investigation  authorities  from  other  Member  States.  When  available,  such 
assistance shall, as far as possible, be free of charge. 

A  safety  investigation  authority  may  delegate  the  task  of  carrying  out  an 
investigation into an accident or incident to another safety investigation authority and 
shall facilitate inquiries by this authority. 

For  the  purpose  of  the  application  of  paragraphs  1  and  2,  safety  investigation 
authorities shall be assisted by the Network referred to in Article 7. 

Article 7 

European Network of Civil Aviation Safety Investigation Authorities 

A  European  Network  of  Civil  Aviation  Safety  Investigation  Authorities  is  hereby 
established (hereinafter 'the Network'). The Network shall be composed of the heads 
of  the  safety  investigation  authorities  in  each  of  the  Member  States  or  their 
representatives. 

The  Network  shall  coordinate  and  strengthen  cooperation  and  exchange  of 
information  among  the  safety  investigation  authorities  of  the  Member  States,  and 
facilitate cooperation between them and the Commission and the European Aviation 
Safety  Agency  (hereinafter  'EASA'),  including  through  the  establishment  of  a 
number of central functions. 

The  Network  shall  advise  the  national  and  Community  institutions  and  may  issue 
recommendations  on  all  aspects  related  to  the  development  and  implementation  of 
civil aviation accident investigation policy and regulation. 

EN 

13 

   EN 

4. 

5. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

The  Network  shall  discharge  its  mandate  in  a  transparent  and  independent  manner. 
Its  members  shall  neither  seek  nor  accept  instructions  from  any  public  or  private 
entity, which could affect the independent status of safety investigations. 

The  Network  shall  submit  an  annual  report  on  its  activities  to  the  European 
Parliament, the Council and the Commission. The report shall be made public. 

Article 8 

Organisation of the work of the Network 

The work of the Network shall be organised according to its rules of procedure. The 
Network  shall  elect  a  chairperson  from  among  its  members,  for  a  period  no  longer 
than five years. The term of the office of the chairperson shall be renewable. 

The  Commission  and  EASA  shall  be  invited  and  may  be  represented  at  all  the 
meetings of the Network and its expert working groups, unless the chairperson of the 
Network decides, on the basis of the criteria specified in the rules of procedure, that 
such  participation  would  create  a  conflict  of  interest  with  the  tasks  of  the  safety 
investigation authorities. 

The  Network  shall  constitute  a  body  pursuing  an  aim  of  general  European  interest, 
within the meaning of Article 108 (1)b of the Council Regulation (EC, Euratom) No 
1605/200213, and shall be entitled to receive support in the form of a grant from the 
Community budget. 

Grants to be awarded to the Network under paragraph 3 shall be subject to an annual 
work programme, which shall be made public. 

Civil  aviation  safety  investigation  authorities  from  European  third  countries,  which 
apply the principles set out in this Regulation, shall be entitled to participate in the 
work  of  the  Network.  The  Network  may  also  invite  observers  from  civil  aviation 
safety  investigation  authorities  of  third  countries  and  other  experts  to  attend  its 
meetings. 

The  safety  investigation  authorities  participating  in  the  work  of  the  Network  shall 
exchange any information available to them in the context of the application of this 
Regulation and shall take necessary measures to ensure appropriate confidentiality of 
such  information,  in  accordance  with  the  applicable  national  or  Community 
legislation. 

Without prejudice to Article 287 of the Treaty, where the Commission informs them 
that the advice requested or the question raised is of a confidential nature, members 
of the Network as well as observers and any other person concerned shall be under 
an obligation not to disclose information which has come to their knowledge through 
the work of the Network or any other meetings organised by the Network according 
to  its  rules  of  procedures.  The  Commission  may  decide  in  such  cases  that  only  the 
members of the Network shall receive such information. 

8. 

The  provisions  of  this  Regulation  shall  apply  without  prejudice  to  Regulation  (EC) 
No 1049/2001 of the European Parliament and of the Council14. 

13 
14 

OJ L 248, 16.9.2002, p. 1. 
OJ L 145, 31.5.2001, p. 43. 

EN 

14 

   EN 

                                                 
9. 

The rules of procedure of the Network and its work programme shall be decided in 
accordance  with  the  procedure  referred  to  in  Article  24.  The  chairperson  of  the 
Network shall present the draft of the rules of procedure and of the work programme 
to the Commission. 

Article 9 

Participation of EASA in safety investigations 

1. 

Safety  investigation  authorities  of  the  Member  States  shall  invite  EASA  to  be 
represented and to participate, within the scope of its competence: 

(a) 

(b) 

in  any  safety  investigation  carried  out  in  the  territory  of  a  Member 
State; the safety investigation authority in charge of the investigation 
shall release to EASA information available to it, in accordance with 
paragraph 2; 

as an expert in any safety investigation carried out in a third country to 
which a safety investigation authority of a Member State is invited to 
designate  an  accredited  representative;  the  accredited  representative 
shall release to EASA, information available to him/her, in accordance 
with paragraph 2; 

2. 

The rights of EASA referred to in paragraph 1, shall confer entitlement to participate, 
in all aspects of the investigation, under the control of the investigator-in-charge, and 
in particular to: 

(a) 

(b) 

(c) 

(d) 

(e) 

visit  the  scene  of  the  accident  and  examine  the  aircraft,  its  contents 
and its wreckage; 

suggest  areas  of  questioning  and  obtain  witness  information  as 
specified  in  Article  15(1)(a),  provided  that  the  witness  agrees  with 
his/her statements being released; 

have  full  access  to  all  relevant  evidence  and  receive  copies  of  all 
pertinent  documents,  including  flight  data  recorder  information,  as 
soon as possible, except confidential information referred to in Article 
15(1) points (b) and (c); 

participate in the read-outs of flight recorders, except cockpit voice or 
image recorders; 

participate  in  off-scene  investigative  activities  such  as  component 
technical  briefings  and 
examinations, 
investigation progress meetings, except when related to determination 
of the causes or formulation of safety recommendations; 

tests  and  simulations, 

(f) 

comment on the draft final report from the safety investigation, and to 
have its comments appended to the final report upon request; 

3. 

EASA  shall  support  the  investigation  in  which  it  is  entitled  to  participate  by 
supplying  information,  experts  and  equipment  requested  by  the  safety  investigation 
authority  in  charge  of  the  investigation  referred  to  in  paragraph  1(a)  or  by  the 
accredited representative referred to in paragraph 1(b). 

EN 

15 

   EN 

Participation of the State of Design in safety investigations 

Article 10 

Accredited  representatives  for  the  State  of  Design,  within  the  scope  of  Annex  13  to  the 
Convention  on  International  Civil  Aviation,  shall  be  appointed  by  the  safety  investigation 
authority of the Member State in the territory of which the principal place of business of the 
certificate holder for the type design of the aircraft or powerplant is located. 

Article 11 

Obligation to notify accidents and serious incidents 

Any  person  involved  shall  notify  without  delay  the  competent  safety  investigation 
authority of the occurrence of an accident or serious incident falling within the scope 
of this Regulation. 

The safety investigation authority shall notify without delay the Commission, EASA 
and  the  Member  States  concerned  of  the  occurrence  of  all  accidents  and  serious 
incidents of which it has been notified. 

Article 12 

Status of the safety investigators 

Upon  his  appointment  by  a  safety  investigation  authority  and  notwithstanding  any 
judicial  inquiry,  the  investigator-in-charge  shall  be  responsible  to  ensure  safe 
treatment  of  all  evidence  material  and  to  maintain  safe  custody  of  the  aircraft,  its 
contents and its wreckage. He shall have the authority to take control of the site and 
to take the necessary measures to satisfy the requirements of the safety investigation. 

The investigators appointed by a safety investigation authority, shall in particular be 
entitled to: 

1. 

2. 

1. 

2. 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

have unrestricted and unhampered access to the site of the accident or 
incident as well as to the aircraft, its contents or its wreckage; 

ensure  an  immediate  listing  of  evidence  and  controlled  removal  of 
debris, or components for examination or analysis purposes; 

have  immediate  access  to  and  control  over  the  contents  of  the  flight 
recorders and any other recordings; 

have immediate access to the results of examination of the bodies of 
the victims or of tests made on samples taken from the bodies of the 
victims; 

have  immediate  access  to  the  results  of  examinations  of  the  people 
involved  in  the  operation  of  the  aircraft  or  of  tests  made  on  samples 
taken from such people; 

to  call  and  examine  witnesses  and  to  require  them  to  furnish  or 
produce information or evidence relevant to the safety investigation; 

have  free  access  to  any  relevant  information  or  records  held  by  the 
owner,  the  operator  or  the  manufacturer  of  the  aircraft  and  by  the 
authorities  responsible  for  civil  aviation,  provision  of  air  navigation 
services or aerodrome operation; 

EN 

16 

   EN 

3. 

1. 

2. 

3. 

1. 

2. 

The  investigator-in-charge  shall  extend  to  its  experts  and  advisers  as  well  as  to  the 
accredited  representatives,  their  experts  and  advisers  the  entitlements  listed  in 
paragraph  2,  to  the  extent  necessary  to  enable  them  effective  participation  in  the 
safety  investigation.  This  is  without  prejudice  to  the  rights  of  the  investigators  and 
experts designated by the authority in charge of the judicial inquiry. 

Article 13 

Coordination of inquires 

If  a  judicial  inquiry  into  the  accident  is  instituted,  the  investigator-in-charge  shall 
ensure  custody  of  flight  recorders  and  any  evidence  material  by  requesting  that  an 
official  of  the  judicial  authority  accompany  the  flight  recorders  or  material  to  the 
place  of the read-out or  treatment. If examination  or  analysis  of  such  material  may 
modify,  alter  or  destroy  them,  prior  agreement  from  the  judicial  authorities  will  be 
required. 

If, in the course of the safety investigation, the safety investigation authority suspects 
that  an  act  of  unlawful  interference  was  involved  in  the  accident  or  incident,  the 
investigator-in-charge shall immediately inform the judicial authorities thereof, at the 
request  of  which  the  control  of  the  accident  site  shall  be  transferred  to  these 
authorities.  Subject  to  Articles  15  and  16,  the  relevant  information  collected  in  the 
safety  investigation  shall  be  also  transferred  to  these  authorities  upon  their  request. 
This  shall  be  without  prejudice  to  the  right  of  the  safety  investigation  authority,  in 
coordination with the authorities to which the control of the site was transferred, to 
continue the safety investigation. 

To ensure proper coordination of inquires into the causes of accidents and incidents, 
the safety investigation authority shall cooperate with other authorities in particular 
through advance arrangements with the judicial, civil aviation, search and rescue and 
other authorities likely to be involved in the investigation. 

Article 14 

Preservation of evidence 

Pending  the  arrival  of  safety  investigators,  no  person  shall  modify  the  state  of  the 
accident  site,  nor  take  any  samples  there  from,  nor  undertake  any  movement  of  or 
sampling from the aircraft its contents or its wreckage, nor move or remove it, except 
where such action may be required for safety reasons or to bring assistance to injured 
persons. 

Any  person  involved  shall  take  all  necessary  steps  to  preserve  documents,  material 
and  recordings  in  relation  to  the  event,  in  particular  so  as  to  prevent  erasure  of 
recordings of conversations and alarms after the flight. 

Article 15 

Protection of sensitive safety information 

EN 

17 

   EN 

1. 

Without  prejudice  to  Directive  95/46/EC  of  the  European  Parliament  and  of  the 
Council15,  the  following  records  shall  not  be  made  available  or  used  for  purposes 
other than safety investigation: 

(a) 

(b) 

(c) 

all witness evidence and other statements, accounts and notes taken or 
received  by  the  safety  investigation  authority  in  the  course  of  the 
safety investigation, unless the witness agrees with his/her statements 
being released; 

records revealing the identity of persons who have given evidence in 
the context of the safety investigation; 

information collected by the safety investigation authority and relating 
to  persons  involved  in  an  accident  or  incident  which  is  of  a 
particularly  sensitive  and  private  nature,  including  information 
concerning their health; 

(d)  material subsequently produced during the course of the investigation 
such  as  notes,  drafts,  opinions  written  by  the  investigators,  opinions 
expressed  in  the  analysis  of  information,  including  flight  recorders 
information; 

(e) 

information  and  evidence  provided  by  foreign  investigators  in 
accordance  with  the  provisions  of  international  standards  and 
recommended  practices 
incident 
investigation,  if  so  requested  by  the  foreign  safety  investigation 
authority; 

accident 

aircraft 

and 

for 

(f) 

drafts of the final reports; 

2. 

Without  prejudice  to  Directive  95/46/EC,  the  following  records  shall  not  be  made 
available  or  used  for  purposes  other  than  safety  investigation,  or  other  purposes 
aiming at the improvement of aviation safety: 

(a) 

(b) 

(c) 

(d) 

all  communications  between  persons  having  been  involved  in  the 
operation of the aircraft; 

recordings  and  transcriptions  of  recordings  from  air  traffic  control 
units; 

covering letters for the transmission of safety recommendations from 
the safety investigation authority to the addressee, if so requested by 
the safety investigation authority issuing the recommendation; 

occurrence reports filed under Directive 2003/42/EC of the European 
Parliament and of the Council16; 

However, the competent authority for the administration of justice in a Member State 
may decide that the benefits of the disclosure of the records referred to in paragraphs 
1 and 2 for any other purposes permitted by law outweighs the adverse domestic and 
international impact that such action may have on that or any future investigation and 
on  the  management  of  civil  aviation  safety  and  that  there  is  an  overriding  public 
interest in their disclosure. 

15 
16 

OJ L 281, 23.11.1995, p. 31. 
OJ L 167, 4.7.2003, p. 23. 

EN 

18 

   EN 

                                                 
3. 

1. 

2. 

EASA  shall  participate  in  the  exchange  and  analysis  of  information  covered  by 
Directive 2003/42/EC and shall have online access to all information contained in the 
central  repository  established  under  Commission  Regulation  (EC)  No  1321/200717. 
Such  access  shall  cover  information  which  directly  identifies  the  operator  and  the 
aircraft  subject  to  an  occurrence  report.  EASA  shall  ensure  the  confidentiality  of 
such information, and shall limit its use to what is strictly necessary to discharge its 
safety related obligations. 

Article 16 

Use of recordings 

Except  with  the  consent  of  all  crew  members  concerned,  cockpit  voice  and  image 
recordings and their transcripts shall not be made available or used for purposes other 
than safety investigation. 

The flight data recorder recordings shall not be made available or used for purposes 
other than safety investigation, except when such records are: 

(a) 

(b) 

(c) 

used for airworthiness or maintenance purposes only; or 

de-identified; or 

disclosed under secure procedures. 

Article 17 

Publication of information 

The information covered by Articles 15 and 16 shall be included in the final report from the 
safety  investigation  only  when  pertinent  to  the  analysis  of  the  accident  or  incident. 
Information or parts of the information not relevant to the analysis shall not be disclosed. 

Article 18 

Communication of information 

1. 

2. 

3. 

The staff of the safety investigation authority, or any other expert or adviser called 
upon  to  participate  or  contribute  to  the  safety  investigation  shall  be  bound  by 
professional secrecy under the relevant applicable legislation. 

The  head  of  the  safety  investigation  authority  in  charge  of  the  safety  investigation 
shall communicate information, pertinent to the prevention of an accident or serious 
incident,  to  authorities  responsible  for  civil  aviation  safety,  persons  responsible  for 
aircraft or aircraft equipment manufacture or maintenance, and to individuals or legal 
entities responsible for operating aircraft or for training of personnel. 

The  head  of  the  safety  investigation  authority  is  authorised  to  inform  victims  and 
their  families  or  their  associations  or,  make  public  any  information  on  the  factual 
observations and the proceedings of the safety investigation and possibly preliminary 
conclusions  and/or  recommendations,  provided  that  it  does  not  compromise  the 
objectives of the investigation. 

17 

OJ L 294, 13.11.2007, p. 3. 

EN 

19 

   EN 

                                                 
1. 

2. 

3. 

4. 

5. 

6. 

7. 

1. 

2. 

3. 

Article 19 

Investigation report 

All safety investigations shall be the subject of a report in a form appropriate to the 
type and seriousness of the accident or incident. The report shall state that the sole 
objective  of  the  safety  investigation  is  the  prevention  of  future  accidents  and 
incidents  without  apportioning  blame  or  liability.  The  report  shall  contain,  where 
appropriate, safety recommendations. 

The  report  shall  protect  the  anonymity  of  the  persons  involved  in  the  accident  or 
incident. 

Before  publication  of  the  report,  the  safety  investigation  authority  shall  solicit 
observations from the undertakings concerned, which shall be bound by the rules of 
professional secrecy with regard to the contents of the consultation. In soliciting such 
observations, 
the  applicable 
international standards and recommended practices for aircraft accident and incident 
investigation. 

investigation  authority  shall  follow 

the  safety 

No  person  shall  disclose  or  permit  to  be  disclosed  any  information  contained  in  a 
report before its publication by the safety investigation authority to any other person 
without the prior consent in writing of the head of the safety investigation authority 
concerned. 

The  safety  investigation  authority  shall  make  public  the  final  report  in  the  shortest 
possible time and if possible within twelve months of the date of the accident at the 
latest. 

If  the  report  cannot  be  released  within  twelve  months,  the  safety  investigation 
authority shall release an interim report at least at each anniversary of the accident, 
detailing the progress of the investigation and any safety issues raised. 

The safety investigation authority shall forward a copy of the reports and the safety 
recommendations as soon as possible to the Commission and EASA, except if they 
are  publicly  available  through  electronic  means,  in  which  case  the  safety 
investigation authority shall only notify them accordingly. 

Article 20 

Safety recommendations 

At  any  stage  of  the  safety  investigation,  the  safety  investigation  authority  shall 
recommend  in  a  dated  transmittal  letter  to  the  undertakings  concerned,  including 
those  in  other  Member  States  or  third  countries,  any  preventive  action  that  it 
considers necessary to be taken promptly. 

A safety investigation authority may also issue safety recommendations on the basis 
of studies or analysis of a series of investigations or any other activities carried out in 
accordance with Article 5(4). 

A safety recommendation shall in no case create a presumption of blame or liability 
for an accident or incident. 

Follow-up to safety recommendations and safety recommendations database 

Article 21 

EN 

20 

   EN 

1. 

2. 

3. 

4. 

5. 

1. 

2. 

3. 

4. 

1. 

2. 

The addressee of a safety recommendation shall acknowledge its receipt and inform 
the safety investigation authority which issued the recommendation within 90 days of 
the  receipt  of  the  transmittal  letter,  of  the  actions  it  intends  to  take  and,  where 
appropriate, of the time necessary for their completion. 

Within  60  days  of  the  receipt  of  the  reply,  the  safety  investigation  authority  shall 
inform  the  addressee  whether  or  not  it  considers  the  reply  satisfactory  and  give 
justification thereto. 

Each  safety  investigation  authority  shall  implement  procedures  to  record  the 
responses to the safety recommendation issued. 

Each entity receiving safety recommendations, including the authorities responsible 
for civil aviation safety at the Member State and Community level shall implement 
procedures  to  monitor  the  progress  of  the  action  taken  in  response  to  the  safety 
recommendations received. 

Safety  investigation  authorities  shall  record  in  the  central  repository  established 
under  Regulation  (EC)  No  1321/2007  all  safety  recommendations  issued  in 
accordance  with  Article  20(1)  and  (2)  as  well  as  the  responses  thereto.  Safety 
investigation  authorities  shall  similarly  record  in  the  central  repository  all  safety 
recommendations received from third countries. 

Article 22 

Availability of passenger lists 

Community airlines and airlines departing from an airport located in the territory of a 
Member  State  to  which  the  Treaty  applies,  shall  implement  procedures  allowing  to 
produce  a  list  of  all  the  persons  on  board  an  aircraft  within  one  hour  of  the 
notification of the occurrence of an accident to this aircraft. 

The  list  shall  be  available  for  the  safety  investigation  authority  in  charge  of  the 
investigation,  the  authority  designated  by  each  Member  State  to  liaise  with  the 
families  of  the  passengers  and,  if  necessary,  to  medical  units  which  may  need  the 
information for the treatment of victims. 

The list shall not be publicly available before all families of the passengers have been 
informed  by  the  relevant  authorities.  Member  States  may  decide  to  keep  the  list 
confidential. 

Processing  of  the  data  contained  in  the  list  shall  be  without  prejudice  to  Directive 
95/46/EC. 

Article 23 

Assistance to the victims of air accidents and their families 

The Member States shall ensure that a plan for the assistance of the victims of civil 
aviation accidents and their families is set up at national level. 

Member  State  or  a  third  country,  which  has  a  special  interest  in  an  accident  which 
has  occurred  in  the  territory  of  the  Community  by  virtue  of  fatalities  or  serious 
injuries to its citizens shall be entitled to appoint an expert who shall have the right 
to: 

(a) 

visit the scene of the accident, 

EN 

21 

   EN 

(b) 

have access to the relevant factual information, which is approved for 
public  release  by  the  safety  investigation  authority  in  charge  of  the 
investigation, and information on the progress of the investigation, 

(c) 

receive a copy of the final report. 

An expert appointed in accordance with paragraph 2 may assist, subject to applicable 
legislation in force, in identification of the victims and in meetings with the survivors 
of its State. 

Article 24 

Committee 

The Commission shall be assisted by a committee 

Where  reference  is  made  to  this  paragraph,  Articles  3  and  7  of  Decision 
1999/468/EC shall apply, having regard to the provisions of Article 8 thereof. 

3. 

1. 

2. 

Article 25 

Penalties 

Member  States  shall  lay  down  the  rules  on  penalties  applicable  to  infringement  of  the 
provisions of this Regulation. The penalties provided for shall be effective, proportionate and 
dissuasive  and  shall,  in  particular,  allow  sanctioning  any  person  who,  contrary  to  this 
Regulation: 

–  releases information protected by this Regulation; 

–  obstructs the actions of a safety investigation authority, in particular by preventing 
the  investigators  from  performing  their  duties  or  refusing  to  provide  useful 
recordings,  material,  information  and  documents,  hiding,  altering  or  destroying 
them; 

–  having knowledge of an occurrence of the accident or incident does not inform the 

relevant authorities of this fact. 

Council Directive No 94/56/EC is repealed. 

Article 26 

Repeals 

Article 27 

Entry into force 

This Regulation shall enter into force on the twentieth day following that of its publication in 
the Official Journal of the European Union. 

This Regulation shall be binding in its entirety and directly applicable in all Member States. 

EN 

22 

   EN 

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

EN 

23 

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LIST OF EXAMPLES OF SERIOUS INCIDENTS 

ANNEX  

The incidents listed are typical examples of incidents that are likely to be serious incidents. 
The list is not exhaustive and only serves as guidance to the definition of 'serious incident': 

–  A  near  collision  requiring  an  avoidance  manoeuvre  to  avoid  a  collision  or  an  unsafe 

situation or when an avoidance action would have been appropriate. 

–  Controlled flight into terrain only marginally avoided. 

–  Aborted take-off on a closed or engaged runway. 

–  Take-offs from a closed or engaged runway with marginal separation from obstacle(s). 

–  Landing or attempted landing on a closed or engaged runway. 

–  Gross failures to achieve predicted performance during take-off or initial climb. 

–  Fires  and  smoke  in  the  passenger  compartment,  in  cargo  compartments  or  engine  fires, 

even though such fires were extinguished by the use of extinguishing agents. 

–  Events requiring the emergency use of oxygen by the flight crew. 

–  Aircraft  structural  failure  or  engine  disintegration,  including  uncontained  turbine  engine 

failures, not classified as an accident. 

–  Multiple malfunctions of one or more aircraft systems seriously affecting the operation of 

the aircraft. 

–  Flight crew incapacitation in flight. 

–  Fuel quantity requiring the declaration of an emergency by the pilot. 

–  Take-off or landing incidents. Incidents such as undershooting, overrunning or running off 

the side of runways. 

–  System  failures,  weather  phenomena,  operation  outside  the  approved  flight  envelope  or 

other occurrences which could have caused difficulties controlling the aircraft. 

–  Failure of more than one system in a redundancy system mandatory for flight guidance and 

navigation 

EN 

24 

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LEGISLATIVE FINANCIAL STATEMENT 

1. 

NAME OF THE PROPOSAL: 

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  on 
investigation and prevention of accidents and incidents in civil aviation 

2. 

ABM / ABB FRAMEWORK 

06:  Energy and Transport 

06 02: Inland, Air and Maritime Transport  

3. 

BUDGET LINES 

3.1.  Budget  lines  (operational  lines  and  related  technical  and  administrative 
assistance lines (ex- B..A lines)) including headings:  

06 02 03: Support activities to the European transport policy and passenger rights 

3.2.  Duration of the action and of the financial impact:  

Start: 2010  end: not determined 

3.3. 

Budgetary characteristics: 

Budget 
line 

Type of expenditure 

New 

EFTA 
contribution 

Contributions 
from applicant 
countries 

Heading in 
financial 
perspective 

06 02 03 

Non-
comp 

Diff 

NO 

NO 

NO 

No [1a] 

EN 

25 

   EN 

4. 

SUMMARY OF RESOURCES 

4.1. 

Financial Resources 

4.1.1. 

Summary of commitment appropriations (CA) and payment appropriations (PA) 

EUR million (to 3 decimal places) 

Expenditure type 

Section 
no. 

n + 1

n + 2

n + 3

n + 4 

Year 
n 

n + 5 
and 
later 

Total 

Operational expenditure18 

Commitment Appropriations 
(CA) 

8.1. 

Payment 
(PA) 

Appropriations 

a 

b 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

3.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

3.6 

Administrative expenditure within reference amount19 

Technical  &  administrative 
assistance (NDA) 

8.2.4. 

c 

TOTAL REFERENCE AMOUNT 

Commitment 
Appropriations 

Payment Appropriations 

a+c

b+c

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

3.6 

3.6 

Administrative expenditure not included in reference amount20 

Human 
associated 
(NDA) 

resources 

and 
expenditure 

Administrative  costs,  other 
than  human  resources  and 
not 
associated 
included 
reference 
in 
amount (NDA) 

costs, 

8.2.5. 

d 

8.2.6. 

e 

Total indicative financial cost of intervention 

TOTAL CA including cost 
of Human Resources 

TOTAL  PA  including  cost 
of Human Resources 

a+c
+d
+e 

b+c
+d
+e 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

3.6 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

3.6 

18 
19 
20 

Expenditure that does not fall under Chapter xx 01 of the Title xx concerned. 
Expenditure within article xx 01 04 of Title xx. 
Expenditure within chapter xx 01 other than articles xx 01 04 or xx 01 05. 

EN 

26 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Co-financing details 

If  the  proposal  involves  co-financing  by  Member  States,  or  other  bodies  (please 
specify  which),  an  estimate  of  the  level  of  this  co-financing  should  be  indicated  in 
the table below (additional lines may be added if different bodies are foreseen for the 
provision of the co-financing): 

Co-financing body 

All Member States (total) 

TOTAL  CA  including  co-
financing 

f 

a+c
+d
+e
+f 

EUR million (to 3 decimal places) 

Year 
n 

n + 1

n + 2

n + 3

n + 4 

n + 5 
and 
later 

Total 

0.6 

0.6 

0.6 

0.6 

0.6 

0.6 

3.6 

1.2 

1.2 

1.2 

1.2 

1.2 

1.2 

7.2 

4.1.2.  Compatibility with Financial Programming 

⌧  Proposal is compatible with existing financial programming. 

(cid:133) 

(cid:133) 

Proposal  will  entail  reprogramming  of  the  relevant  heading  in  the  financial 
perspective. 

Proposal  may  require  application  of  the  provisions  of  the  Interinstitutional 
Agreement21 (i.e. flexibility instrument or revision of the financial perspective). 

4.1.3.  Financial impact on Revenue 

⌧  Proposal has no financial implications on revenue 

(cid:133) 

Proposal has financial impact – the effect on revenue is as follows: 

Budget line 

Revenue 

EUR million (to one decimal place) 

Situation following action 

[Yea
r n] 

[n+1] [n+2]  [n+3

] 

[n+4] [n+5]

22

Prior to
action 
[Year 
n-1] 

a) Revenue in absolute terms 

b) Change in revenue 

 ∆ 

21 
22 

See points 19 and 24 of the Interinstitutional agreement. 
Additional columns should be added if necessary i.e. if the duration of the action exceeds 6 years 

EN 

27 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
4.2. 

Human Resources FTE (including officials, temporary and external staff) – see 
detail under point 8.2.1. 

Annual requirements 

Year n 

n + 1 

n + 2 

n + 3 

n + 4 

n + 5 
and 
later 

Total  number  of  human 
resources 

5. 

CHARACTERISTICS AND OBJECTIVES 

5.1. 

Need to be met in the short or long term 

The "European Network of the Civil Aviation Safety Investigation Authorities", to be 
established  under  the  proposed  Regulation,  will  be  responsible  for  facilitating, 
coordinating  and  strengthening  practical  cooperation  among  Member  States,  and 
between Member States, the Commission and the European Aviation Safety Agency 
in civil aviation accident and incident prevention and investigation. 

5.2. 

Value-added  of  Community  involvement  and  coherence  of  the  proposal  with 
other financial instruments and possible synergy 

This proposal responds to the recommendations of the Group of Experts to advise the 
Commission  on  a  strategy  to  deal  with  accidents  in  the  transport  sector",  and  is 
coherent with the of the Community transport policy as set out in the Communication 
from  the  Commission:  "Keep  Europe  moving  -  Sustainable  mobility  for  our 
continent  (Mid-term  review  of  the  European  Commission’s  2001  Transport  White 
Paper)" 

Compared  with  other  alternative  policy  options  analysed  in  the  Impact  Assessment 
accompanying  this  proposal,  the  proposed  regulation  has  the  biggest  added  value 
form  the  Community  perspective.  It  is  the  most  proportional  policy  option  which, 
while  fully  respecting  the  principle  of  independence  of  safety  investigations  would 
allow, by supporting voluntary cooperation and without establishing new structures 
at the Community level, to significantly enhance the overall efficiency of the current 
regulatory framework for civil aviation accident investigation in the EU. 

5.3. 

Objectives, expected results and related indicators of the proposal in the context 
of the ABM framework 

The aim of this proposal is to strengthen the Community framework for civil aviation 
accident  and  incident  investigation  and  prevention.  This  will  be  achieved  by 
replacing  and  updating  the  current  legislation  and  by  supporting  the  voluntary 
cooperation between the Member States in this respect. 

The  latter  objective,  which  has  the  main  budgetary  implication,  will  involve 
Community  support  to  the  Network  of  national  bodies  of  the  Member  States 
responsible  for  civil  aviation  accident  and incident  investigation.  This  will  be  done 
through  an  annual  grant  to  be  assigned  to  the  Network,  and  which  will  used  to 
implement  a  number  of  actions  agreed  with  the  Commission  in  an  annual  work 
programme.  

EN 

28 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
The  activities  of  the  Network  to  be  supported  under  this  proposal  will  involve  in 
particular  coordination  of  training  activities  for  the  national  investigators  and 
development  of  a  mechanism  for  sharing  of  investigation  resources  between  the 
Member States. 

5.4.  Method of Implementation (indicative) 

(cid:133)  Centralised Management 

(cid:133) 

(cid:133) 

directly by the Commission 

indirectly by delegation to: 

(cid:133) 

(cid:133) 

executive Agencies 

bodies set up by the Communities as referred to in art. 185 of the 
Financial Regulation 

(cid:133) 

national public-sector bodies/bodies with public-service mission 

⌧  Shared or decentralised management 

⌧  with Member states 

(cid:133)  with Third countries 

(cid:133) 

Joint management with international organisations (please specify) 

Relevant comments: 

EN 

29 

   EN 

6. 

MONITORING AND EVALUATION 

6.1.  Monitoring system 

The  "European  Network  of  Civil  Aviation  Safety  Investigation  Authorities"  will 
submit an annual report  to  the Commission concerning the execution of the agreed 
work programme. 

6.2. 

Evaluation 

6.2.1.  Ex-ante evaluation 

The ex-ante evaluation was carried out as part of the impact assessment report. 

6.2.2.  Measures taken  following  an intermediate/ex-post evaluation (lessons learned from 

similar experiences in the past) 

6.2.3.  Terms and frequency of future evaluation 

The  European  Network  of  Civil  Aviation  Safety  Investigation  Authorities  will 
submit an annual report  to  the Commission concerning the execution of the agreed 
work programme. 

7. 

ANTI-FRAUD MEASURES  

Grant  contracts  supporting  the  European  Network  of  Civil  Aviation  Safety 
Investigation Authorities will explicitly state that the European Court of Auditors and 
OLAF  may  carry  out,  if  necessary,  on-the-spot  checks  of  the  recipients  of  the 
funding and the agents responsible for its allocation. 

EN 

30 

   EN 

8. 

DETAILS OF RESOURCES 

8.1. 

Objectives of the proposal in terms of their financial cost 

(Headings  of  Objectives,  actions 
and outputs should be provided) 

Type of output 

Av. 
cost 

Year n 

Year n+1 

Year n+2 

Year n+3 

Year n+4 

Year n+5 and 
later 

TOTAL 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

No. 
outputs 

Total 
cost 

Commitment appropriations in EUR million (to 3 decimal places) 

OPERATIONAL 
OBJECTIVE 
No.1  23Support  to  the  national  civil 
investigation 
accident 
aviation 
authorities of the MS 

1:  Co-financing 
coordinating 

a 
Action 
secretariat 
the 
activities of national civil aviation 
accident investigation authorities 

TOTAL COST 

- Output 1  Grant contract 

1 

1 

0.6 

0.6 

1 

1 

0.6 

0.6 

1 

1 

0.6 

0.6 

1 

1 

0.6 

0.6 

1 

1 

0.6 

0.6 

1 

1 

0.6 

0.6 

6 

6 

3.6 

3.6 

23 

As described under Section 5.3 

EN 

31 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2. 

Administrative Expenditure 

8.2.1.  Number and type of human resources 

Types of post 

Staff to be assigned to management of the action using existing and/or 
additional resources (number of posts/FTEs) 

Year n 

Year n+1  Year n+2  Year n+3  Year n+4  Year n+5 

Officials or 
temporary 
staff24 (XX 01 
01) 

A*/AD 

B*, 
C*/AST 

Staff  financed25  by  art. 
XX 01 02 

Other  staff26  financed by 
art. XX 01 04/05 

TOTAL 

8.2.2.  Description of tasks deriving from the action 

8.2.3. 

Sources of human resources (statutory) 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

(cid:133) 

Posts currently allocated to the management of the programme to be replaced 
or extended 

Posts pre-allocated within the APS/PDB exercise for year n 

Posts to be requested in the next APS/PDB procedure 

Posts  to  be  redeployed  using  existing  resources  within  the  managing  service 
(internal redeployment) 

Posts required for year n although not foreseen in the APS/PDB exercise of the 
year in question 

24 
25 
26 

Cost of which is NOT covered by the reference amount 
Cost of which is NOT covered by the reference amount 
Cost of which is included within the reference amount 

EN 

32 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
8.2.4.  Other  Administrative  expenditure  included  in  reference  amount  (XX  01  04/05  – 

Expenditure on administrative management) 

Budget line 

(number and heading) 

EUR million (to 3 decimal places) 

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5  

and 
later 

TOTAL 

Technical 

1 
and 
assistance (including related staff costs) 

administrative 

Executive agencies27 

Other 

technical 

and 

administrative 

assistance 

- intra muros  

- extra muros 

Total  Technical  and  administrative 
assistance 

8.2.5.  Financial cost of human resources and associated costs not included in the reference 

amount 

EUR million (to 3 decimal places) 

Type of human resources 

Year n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5 

and later 

Officials  and  temporary  staff 
(XX 01 01) 

Staff  financed  by  Art  XX  01 
02  (auxiliary,  END,  contract 
staff, etc.) 

(specify budget line) 

cost 

of  Human 
Total 
Resources  and  associated 
costs 
in  reference 
amount) 

(NOT 

Calculation– Officials and Temporary agents 

27 

Reference should be made to the specific legislative financial statement for the Executive Agency(ies) 
concerned. 

EN 

33 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
Calculation– Staff financed under art. XX 01 02 

8.2.6. Other administrative expenditure not included in reference amount 

EUR million (to 3 decimal places)

Year 
n 

Year 
n+1 

Year 
n+2 

Year 
n+3 

Year 
n+4 

Year 
n+5 

and 
later 

TOTAL 

XX 01 02 11 01 – Missions 

XX 01 02 11 02 – Meetings & Conferences 

XX 01 02 11 03 – Committees28  

XX 01 02 11 04 – Studies & consultations 

XX 01 02 11 05 - Information systems 

2 

Total 

Other  Management 

Expenditure (XX 01 02 11) 

3  Other 

expenditure 

administrative 
including reference to budget line) 

nature 

of 

an 
(specify 

expenditure, 
than  human  resources  and 
in 

Total  Administrative 
other 
associated  costs  (NOT 
reference amount) 

included 

Calculation - Other administrative expenditure not included in reference amount 

28 

Specify the type of committee and the group to which it belongs. 

EN 

34 

   EN