COMMISSION STAFF WORKING PAPER The European Aviation Safety Programme
Date: 2011-10-25
Institutions: European Commission
Subjects: European Aviation Safety Agency, accident prevention, air safety, air traffic, air traffic control, roadworthiness tests

EUROPEAN COMMISSION 

Brussels, 25.10.2011 
SEC(2011) 1261 final 

COMMISSION STAFF WORKING PAPER 

The European Aviation Safety Programme 

{COM(2011) 670 final} 

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EUROPEAN AVIATION SAFETY PROGRAMME 

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TABLE OF CONTENTS  

Table of Contents 

List of Acronyms 

Preamble 

Introduction 

PART 1 

EUROPEAN SAFETY POLICIES AND OBJECTIVES 

1.1 

The Strategic Aim of the European Aviation Safety Programme 

1.2 

European Aviation Legislative Framework 

1.2.1  Harmonisation of Technical Requirements and Administrative Procedures 

1.2.2  Common Rules 

1.2.3  Single European Sky Regulations 

1.2.4 

Information on civil aviation occurrences 

1.2.5  The containment of safety risks by the use of a list of banned air carriers 

1.2.6  Aircraft Inspection (SAFA) Programme 

1.3 

Responsibilities and Accountabilities 

1.3.1  The Member States 

1.3.2  The European Institutions 

1.3.3  Cooperation, Assistance and Advisory mechanisms 

1.4 

Safety Investigation 

1.4.1  The European Network of Civil Aviation Safety Investigation Authorities 

1.4.2  The Role of EASA 

1.4.3  European Safety Recommendation Database. 

1.5 

Enforcement 

1.5.1  Action to prevent Infringements of EU law 

PART 2 

EUROPEAN SAFETY RISK MANAGEMENT 

2.1 

Safety Requirements for Organisations Safety Management Systems. 

2.2 

Safety Requirements for Member State's State Safety Programmes 

2.3 

Agreement on Organisations' Safety Performance. 

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2.3.1  ATM 

2.4 

Safety Planning 

2.4.1  Roles of the Member States & EASA 

2.4.2  Risk Assessment 

2.4.3  Risk Mitigation 

2.5 

Safety Performance Indicators 

PART 3 

EUROPEAN SAFETY ASSURANCE 

3.1 

Safety Oversight 

3.1.1  Member States 

3.1.2  EU  

3.2 

Safety Data, Analysis and Exchange 

PART 4 

EUROPEAN SAFETY PROMOTION 

4.1 

EU Initiatives 

4.1.1  European Strategic Safety Initiative (ESSI) 

4.1.2  Safety Research 

4.1.3  Communication and dissemination of safety information. 

4.2 

Training 

Annexes 

Annex A:  List of EU Aviation Safety Legislation 

Annex B: Relationship between ICAO SSP Framework and Deming Cycle - Plan, Do, Check, Act 

Annex C: Interactions between the 'players' in the EU aviation safety system 

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LIST OF ACRONYMS 

AIB 

Accident Investigation Body 

AMC 

Acceptable Means of Compliance 

ANSP 

Air Navigation Service Provider 

ATM 

Air Traffic Management 

BR 

Basic Regulations 

CAST 

Commercial Aviation Safety Team 

CS 

Certification Specification 

EASA 

European Aviation Safety Agency 

EASP 

European Aviation Safety Programme 

ECA 

European Court of Auditors 

ECAC 

European Civil Aviation Conference 

ECAST 

European Commercial Aviation Safety Team 

ECCAIRS  European Co-ordination Centre for Aviation Incident Reporting System 

EGAST 

European General Aviation Safety Team 

EHEST 

European Helicopter Safety Team 

ESARR 

European Safety Regulatory Requirements 

ESSI 

European Strategic Safety Initiative 

EU 

FAA 

FAB 

GM 

European Union 

Federal Aviation Administration 

Functional Airspace Block 

Guidance Material 

ICAO 

International Civil Aviation Organisation 

IR 

MS 

Implementing Rules 

Member States 

NAA 

National Aviation Authority 

NextGen  Next Generation Air Transportation System 

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PDCA 

Plan Do Check Act 

PRB 

Performance Review Body 

SARPS 

Standards And Recommended Practices 

SES 

Single European Sky 

SESAR 

Single European Sky ATM Research Programme 

SMS 

Safety Management System 

SPI 

SSC 

SSP 

Safety Performance Indicator 

Single Sky Committee  

State Safety Programme 

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PREAMBLE 

This document describes how aviation safety is managed at European Union level. It was prepared 
by the European Commission and the European Aviation Safety Agency.  It will be amended by the 
European  Commission  from  time  to  time  to  reflect  any  changes  that  occur  within  the  European 
aviation safety system. 

INTRODUCTION 

The Standards in Annexes to the Chicago Convention require the establishment of a State Safety 
Programme (SSP).  The SSP is a system for the management of safety by a State.  However, as 
the  Member  States1  of  the  European  Union  (EU)  have  vested  the  EU  with  legal  competence  in 
certain areas of aviation safety it is not possible for them to describe how safety is managed within 
their State without reference to the EU dimension.  This document describes this dimension. It will 
be continually updated as the various components of the aviation safety system in the EU evolve.   

In the EU standards are set at the level of the European Union in the fields of EU competence, and 
the  Member  States  and  the  European  Aviation  Safety  Agency  (EASA)  are  responsible  for  their 
implementation.  Safety  is  achieved  through  compliance  with  the  requirements  as  well  as 
performance to the desired safety levels. The activities contributing to the improvement of safety in 
Europe can be conceptually grouped into three complementary functions: the rulemaking function, 
the oversight function and the safety assurance and promotion function.  

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The rulemaking function consists of developing all the necessary regulatory material in 
order  to  not  only  take  action  where  a  specific  safety  risk  must  be  mitigated  through 
regulation, but also to create the proper environment for the aviation industry to function 
safely. In the EU aviation safety system the Commission makes proposals and the setting 
of  regulations  is  the  responsibility  of  the  European  Institutions.  EASA  is  responsible  for 
setting  the  complimentary  technical  rules  and  guidance  such  as  Acceptable  Means  of 
Compliance (AMC), Certification Specifications (CS)and Guidance Material (GM).  

The  oversight  function  involves  all  those  who  act  to  ensure  that  regulated  persons, 
products or services comply with the regulations.  Oversight encompasses both the review 
that  is  done  when  issuing  an  approval  for  the  first  time,  and  the  continuous  surveillance 
thereafter.  The  responsibility  for  carrying  out  oversight  rests  with  the  Member  States,  
EASA  and  the  Commission,  each  one  acting  according  to  the  division  of  responsibilities 
detailed in EU Regulations.  

The  safety  assurance  and  promotion  function  gathers,  shares  and  analyses  safety 
data  coming  from  accident  and  occurrence  reports,  issues  safety  recommendations  for 
the  improvement  of  safety,  fosters  research  in  particular  areas  where  safety  concerns 
initiatives  or 
exist  and  promotes  safety 
communication  campaigns.  Through  this  function  safety  data  is  fed  into  the  system 
enabling its performance to be measured. 

through  National  and  pan-European 

The EASP describes the integrated set of regulations at EU level, together with the activities and 
processes used to jointly manage safety at European level.  In doing so it first sets high level safety 

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When  reference  to  the  Member  States  is  used  in  this  document  it  also  refers  to  those  States  that  
have agreed to adopt the EU acquis in aviation safety.  The  States are Switzerland, Norway, Iceland 
and Liechtenstein. 

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policies  and  objectives.    It  describes  how  the  European  Commission,  the  Member  States  and 
EASA cooperate to detect unsafe conditions and take actions as appropriate in order to minimise 
safety risks. 

The  components  for  a  safe  aviation  system  in  Europe  comprise,  firstly,  of  a  set  of  rules  and 
regulations  that  reflect  the  complexity  and  variety  of  EU  aviation  activities,  enforced  by  action  at 
both Member State and EU level; and, secondly, a system of detailed investigations conducted by 
the  Member  States  into  the  causes  of  accidents  and  serious  incidents.  The  lessons  learned 
following such investigations are used by both Member States and EASA to prevent a repetition of 
such events.  These two pillars of sound regulation and detailed safety investigations, together with 
an  effective  system  of  safety  oversight  by  the  various  competent  authorities,  are  the  bedrock  on 
which the current high safety standards in Europe have been built. 

The system described above represents a, primarily, reactive approach to safety.  However, there 
is a need to add further tools to the armoury of safety management in order to continue to obtain 
improvements  in  safety  performance  to  cope  with  the  ever  expanding  scale  and  complexity  of 
commercial aviation.  Therefore the EU, with the active participation of the Member States and the 
Industry,  is  developing  a  more  systematic  and  proactive  system  which  utilises  modern  safety 
management techniques.  The cornerstone of this safety management system is a risk assessment 
using information from a variety of sources, analysing this data to identify significant risks to safety, 
and then taking specific actions to mitigate those risks.  In doing so it combines the work of both 
EASA and the Member States in order to obtain the greatest benefit for the EU as a whole.  

In addition, in order to continue to achieve a high level of safety in aviation it is necessary to view 
the  activities  in  the  various  aviation  domains  as  a  whole.    They  are  all,  to  a  degree,  dependent 
upon  each  other  and  consequently  actions  taken  in  one  domain  will  inevitably  effect  the  safety 
performance  in  another.    Thus  the EU  approach  to  safety  management  is  to  use  a  "total  system 
approach"  based  on  the  fact  that  the  aviation  system  components  –  products,  organisations, 
operators,  crews,  aerodromes,  ATM,  ANS,  on  the  ground  or  in  the  air  –  are  part  of  a  single 
network.  

The total system approach aims to reduce the risk of safety gaps or overlaps, and seeks to avoid 
conflicting  requirements  and  confused  responsibilities.  Rules  are  designed  to  be  interpreted  and 
applied in a standardised manner and best practices are provided. At the same time, the approach 
not only aims to protect EU citizens but also to provide the level playing field for the functioning of 
the  internal  market  and  to  permit  the  realisation  of  increased  interoperability  of  products  and 
services. The total system approach also streamlines the certification processes and reduces the 
burden on regulated persons and organisations. 

The  annexes  to  this  document  contain  a  matrix  of  interactions  showing  where  responsibilities  lie 
among  the  various  stakeholders  within  the  European  Aviation  Safety  Programme.  In  addition,  an 
annex is provided which shows the links between the EASP, which follows the ICAO framework for 
SSPs, and the Deming Cycle of Plan, Do, Check, Act (PDCA). The Deming cycle is a practical tool 
to  facilitate  a  process  of  continuous  improvement.    When  applied  to  the  system  of  European 
aviation safety management it enables a clear picture to emerge of how the various activities relate 
to one another, and how they contribute to the improvement in safety performance within the EU. 

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PART 1 

EUROPEAN SAFETY POLICIES AND OBJECTIVES 

1.1. 

The Objective of the European Aviation Safety Programme 

The objective of the European Aviation Safety Programme is to ensure that the system for 
the  management  of  aviation  safety  in  the  European  Union  (EU)  delivers  a  safety 
performance that is the best of any world region, uniformly enjoyed across the whole Union, 
and  continuing  to  improve  over  time.  In  doing  so  the  EU  will  use,  as  a  measurement  of 
success, the rate of fatal accidents per 10 million flights per world region. 

This high and uniform level of protection of the European citizen is ensured by the adoption 
of  common  safety  rules  and  by  measures  ensuring  that  products,  persons  and 
organisations  within  the  EU  comply  with  such  rules;  and  by  sound  accident  and  serious 
incident investigations that enable safety gaps to be identified and action taken to close the 
gap.    These  elements  are  complimented  by  the  analysis  of  safety  information,  including 
occurrence reports, and by other activities aimed at the promotion of safety. To this end the 
Member  States  have  vested  the  EU  with  legal  competence  in  certain  areas  of  aviation 
safety.  In  discharging  this  competence  the  EU  has  developed  a  set  of  Regulations 
applicable to all the Member States.  This regulatory framework is described in paragraph 
1.2 below. 

Furthermore,  the  EU  has  established  a  European  Aviation  Safety  Agency  (EASA)  to 
implement  the  provisions  of  Regulation  (EC)  No  216/20082  (the  Basic  Regulation)  by 
undertaking certain tasks and formulating opinions.   

Finally,  the  EU  intends  to  continue  to  develop  a  Safety  Management  System  at  EU  level 
which will assist Member States and EASA in acting pro-actively in identifying safety risks 
and in taking the appropriate action to mitigate those risks.   

1.2.  European Aviation Legislative Framework 

1.2.1  The Basic Regulation 

Regulation (EC) No 216/2008 is the foundation upon which the EU aviation safety system 
has been built.  It established common rules, enabled the mutual recognition of certificates, 
introduced a standardisation process and created EASA. The Essential Requirements were 
established  in  line  with  standards  and  recommended  practices  set  by  the  Chicago 
Convention  for  aeronautical  products,  parts  and  appliances,  operators  involved  in 
commercial  air  transport,  as  well  as  pilots  and  persons,  products  and  organisations 
involved  in  their  training  and  medical  examination.    The  Regulation  enables  them  to  be 
certified or licensed once they have been found to comply, and empowered the European 
Commission to develop the necessary implementing rules for establishing the conditions for 
the issue of a certificate or the conditions for its replacement by a declaration of capability, 
taking into account the risks associated with the different types of operations.  

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Regulation (EC) No 216/2008 of the European Parliament and of the Council of 20 February 2008 on 
common rules in the field of civil aviation and establishing a European Aviation Safety Agency, and 
repealing Council Directive 91/670/EEC, Regulation (EC) No 1592/2002 and Directive 2004/36/EC 

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In  addition,  Regulation  (EC)  1108/20093  enabled  the  EU  to  lay  down,  in  line  with  the 
the  Chicago  Convention,  essential 
Standards  and  Recommended  Practices  of 
requirements  applicable  to  aeronautical  products,  parts  and  appliances,  aerodromes  and 
the provision of ATM/ANS; essential requirements applicable to persons and organisations 
involved  in  the  operation  of  aerodromes  and  in  the  provision  of  ATM/ANS;  and  essential 
requirements  applicable  to  persons  and  products  involved  in  the  training  and  medical 
assessment of air traffic controllers. The Commission was empowered to adopt the related 
implementing rules on the basis of an opinion of EASA.  

Under the EU institutional system, implementation of EU law is primarily the responsibility 
of  the  Member  States.  Certification  and  oversight  tasks  required  by  Regulation  (EC)  No 
216/2008  and  its  implementing  rules  are  therefore  executed  at  national  level.  In  certain 
clearly defined cases, however, EASA is also empowered to conduct certification tasks as 
specified  in  Regulation  (EC)  No  216/2008  and  is  also  allowed  to  take  the  necessary 
measures related to the operation of aircraft, the qualification of crew or the safety of third-
country  aircraft  when  this  is  the  best  means  to  ensure  uniformity  and  facilitate  the 
functioning of the internal market. 

1.2.2  Hard and soft law 

The  European  Parliament  and  the  Council  act  as  the  EU  legislator,  with  the  Commission 
retaining  the  right  of  initiative  to  propose  legislation.    In  addition,  the  Commission  has,  in 
certain  specific  cases,  the  power  to  adopt  regulations.    These  legal  instruments  can  be 
described as 'hard law', and includes those codes and regulations that are legally binding. 

On  the  other  hand  'soft  law'  includes  recommended  practices,  such  as  CS,  AMC,  or  GM, 
which are explanations on the content of regulations. The latter, even though not binding, 
provide  a  presumption  of  compliance  with  the  legal  requirements.  Industry  and  Member 
States may deviate from 'soft law' provided they comply with the rule.  

The table below summarises the regulatory framework: 

Applicable to all  Member States  

Adopted by 

Status 

Regulations of the European Parliament 
and the Council 

The European 
Parliament and Council 

Legally 
binding 

Implementing Rules (IR) 

European Commission 

Legally 
binding 

Certification Specifications (CS) 
Acceptable Means of Compliance (AMC)
Guidance Materials (GM) 

EASA 

Not legally 
binding 

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Regulation (EC) No 1108/2009 of the European Parliament and of the Council  of 21 October 2009 
amending Regulation (EC) No 216/2008 in the field of aerodromes, air traffic management and air 
navigation services and repealing Directive 2006/23/EC 

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A  list  of  the  specific  aviation  safety  related  Regulations  currently  in  force  in  the  EU  is 
contained in Annex A. 

1.2.3  Flexibility Arrangements  

Article 14 of Regulation EC 216/2008 contains flexibility provisions enabling Member States 
to react immediately to a safety problem which involves a product, person or organisation 
subject  to  the  provisions  of  the  Basic  Regulation.  The  Member  State  are  required  to 
immediately  notify  EASA,  the  European  Commission  and  the  other  Member  States  of  the 
measures  taken  and  the  reasons  for  taking  such  action.  Upon  being  notified  of  such 
measures  EASA  decides  within  one  month  if  action  is  required  under  the  appropriate 
provisions of the Basic Regulation concerning airworthiness and environmental certification, 
air  operations  certification,  ATM/ANS,  air  traffic  controller  certification,  third  country 
operators, the Inspection of Member States and the Investigation of Undertakings.  If EASA 
concludes  that  the  safety  problem  cannot  be  addressed  by  such  action  it  will  issue  a 
recommendation regarding whether the Basic Regulation, or its implementing rules should 
be amended and whether the notified measures should be withdrawn or maintained. 

Article 14 also includes flexibility provisions allowing Member States to grant exemptions or 
to derogate, provided safety is not adversely affected. This provides the essential flexibility 
for  addressing  special  circumstances  such  as  urgent  safety  measures,  unforeseen  or 
limited operational needs. It also allows for proposals by the Member States to achieve an 
equivalent  level  of  safety  by  alternative  means.    If  a  Member  States  makes  use  of  this 
provision it informs EASA, the European Commission and the other Member States in the 
event  that  they  become  repetitive  or  where  exemptions  are  granted  for  periods  of  more 
than two months.  In such events EASA will assess whether the exemptions notified by a 
Member State are less restrictive than the applicable EU provisions and, within one month 
of  being  notified,  will  issue  a  recommendation  on  whether  these  exemptions  comply  with 
the  general  safety  objectives  of  the  Basic  Regulation  or  any  other  rule  of  EU  law.  If  an 
exemption  does  not  comply  with  the  general  safety  objectives  of  the  Basic  Regulation  or 
any  other  rule  of  EU  law,  the  European  Commission  will  decide  not  to  permit  the 
exemption.  In such a case, the Member State concerned must revoke the exemption. 

Where an equivalent level of safety can be achieved by other means, Member States may 
grant  an  approval  derogating  from  implementing  rules.  In  such  cases,  the  Member  State 
concerned will notify EASA and the European Commission that it intends to grant such an 
approval,  and  gives  the  reasons  demonstrating  the  need  to  derogate  as  well  as  the 
conditions  laid  down  to  ensure  that  an  equivalent  level  of  safety  is  achieved.  Within  two 
months of being notified EASA will issue a recommendation to the European Commission 
on  whether  the  approval  fulfils  the  condition  of  equivalent  safety.  The  European 
Commission then notifies its decision to all Member States, who will then also be entitled to 
apply that measure.  

1.2.4  Single European Sky Regulations 

The  Single  European  Sky  (SES)  legislative  package  comprises  four  basic  regulations, 
which reinforce safety and foster the restructuring of European airspace and air navigation 
services. The regulations provide the framework for the creation of additional capacity and 
for improved efficiency and interoperability of the ATM system in Europe.  

(a)  The  Framework  regulation  (EC  No  549/2004)  -  laying  down  the  framework  for 
the creation of the Single European Sky;  

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(b)  The  Service  provision  regulation  (EC  No  550/2004)  -  on  the  provision  of  air 
navigation services in the Single European Sky;  

(c)  The  Airspace  regulation  (EC  No  551/2004)  -  on  the  organisation  and  use  of 
airspace in the Single European Sky;  

(d) The Interoperability regulation (EC No 552/2004) - on the interoperability of the 
European Air Traffic Management network.  

The Framework regulation requires that the European Commission periodically reviews the 
application  of  the  SES  legislation  and  reports  on  the  progress  of  its  implementation.  The 
First  Report  on  the  implementation  of  the  Single  Sky  Legislation  was  published  in 
December 2007. Based on the report findings, the European Commission brought forward 
proposals for a second SES legislative package, including the extension of EASA's remit to 
ATM and airports and the adoption of the European ATM Master Plan.  

The second SES legislative package:  

(a)  Created  a  single  safety  framework  to  enable  the  harmonised  development  of 
safety regulations and their effective implementation;  

(b)  Aimed  to  improve  the  performance  of  the  ATM  system  through  the  setting  of 
targets;  

(c)  Opened  the  door  to  new  technologies  enabling  the  implementation  of  new 
operational concepts and aiming to increase safety levels by a factor of ten;  

(d) Launched initiatives with a view to improve the management of airport capacity.  

1.2.5 

Information on civil aviation occurrences. 

Mandatory Occurrence Reporting System in the EU.   

Experience  has  shown  that  often  before  an  accident  occurs,  a  number  of  incidents  and 
numerous  other  deficiencies  have  shown  the  existence  of  safety  hazards.    Therefore,  in 
order  to  achieve  an  improvement  in  the  safety  of  civil  aviation  knowledge  of  these 
occurrences  is  required  to  facilitate  analysis  and  trend  monitoring  in  order  to  initiate 
corrective action.   

In order for this to be possible within the EU the European Parliament and the Council of 
the  European  Union  adopted  a  Directive4  with  the  objective  of  contributing  to  the 
improvement  of  air  safety  by  ensuring  that  relevant  information  on  safety  is  reported, 
collected,  stored,  protected  and  disseminated.    The  Directive  made  clear  that  the  sole 
objective  of  occurrence  reporting  is  the  prevention  of  accidents  and  incidents  and  not  to 
attribute blame or liability.  

The  Directive  applied  to  occurrences  which  endanger  or  which,  if  not  corrected,  would 
endanger  an  aircraft,  its  occupants  or  any  other  person.    It  required  Member  States  to 

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Directive 2003/42/EC of the European Parliament and of the Council of 13 June 2003 on occurrence 
reporting in civil aviation. 

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introduce legislation whereby when an occurrence takes place involving aircraft registered 
in  a  Member  State  or  operated  by  an  undertaking  established  in  a  Member  State,  the 
occurrence is reported even when it happened outside the territory of the EU.  In addition 
the  Directive  required  Member  States  to  designate  one  or  more  competent  authorities  to 
put in place a mechanism to collect, evaluate, process and store reported occurrences. 

In  addition,  the  Directive  required  Member  States  to  participate  in  an  exchange  of 
information  by  making  all  the  relevant  safety-related  information  from  occurrence  reports 
available to the competent authorities of the other Member States and the Commission. To 
allow  this  exchange  of  information,  the  EU  has  made  available  a  European  Central 
Repository5(ECR)  in  which  Member  States  must  integrate  all  occurrences  contained  into 
their  national  databases  and  all  safety  relevant  data  linked  to  those  occurrences.  The 
access to this ECR is however currently limited and EASA and Member states cannot have 
access to occurrences narratives. 

The rules concerning the dissemination of information to interested parties on occurrences 
are set out in Commission Regulation (EC) No 1330/20076.  This Regulation defined those 
who  are  considered  to  be  interested  parties,  described  the  requirement  to  deal  with 
information requests in the safest and most efficient manner, including the need for those 
requesting information to ensure that the confidentiality of the system is protected.  

In order to enable entities entrusted with regulating civil aviation safety or with investigating 
civil  aviation  accidents  and  incidents  within  the  EU  the  Directive  provided  the  ability  for 
access  to  information  on  occurrences  in  order  to  enable  them  to  draw  safety  lessons. 
However,  the  decision  to  disseminate  information  is  limited  to  what  is  strictly  required  for 
the purpose of its user.  

The sensitive nature of safety information is such that the Directive required that Member 
States took effective action to guarantee the confidentiality of information provided in order 
to  ensure  the  protection  of  the  source  of  the  report  and  the  confidence  of  the  personnel 
working in civil aviation.  

Finally,  the  Directive  introduced  the  possibility,  but  did  not  mandate,  of  Member  States 
putting  in  place  a  system  of  voluntary  reporting  to  collect  and  analyse  information  on 
observed deficiencies in aviation which are not required to be reported under the system of 
mandatory  reporting,  but  which  are  perceived  by  the  reporter  as  an  actual  or  potential 
hazard.   

In  addition,  Part  21  of  Regulation  (EC)  No  1702/20037  contains  provisions  concerning 
requirements  for  design  approval  holders  to  report  failures,  malfunctions  and  effects  and 

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Commission Regulation (EC) No 1321/2007 of 12 November 2007 laying down implementing rules 
for the integration into a central repository of information on civil aviation occurrences exchanged in 
accordance with Directive 2003/42/EC of the European Parliament and of the Council 

Commission Regulation (EU) No 1330/2007 of 24 September 2007 laying down implementing rules 
for the dissemination to interested parties of information on civil aviation occurrences referred to in 
Article 7(2) of Directive 2003/42/EC of the European Parliament and of the Council 

Commission Regulation (EC) No 1702/2003 of 24 September 2003 laying down implementing rules 
for  the  airworthiness  and  environmental  certification  of  aircraft  and  related  products,  parts  and 
appliances, as well as for the certification of design and production organisations 

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have  in  place  a  system  to  collect,  analyze  and  propose  corrective  actions  and  reporting 
obligations  of  the  manufacturers  (production  without  POA,  POA,  and  DOA  holders).  
Furthermore,  Part  M  of  Regulation  (EC)  No  2042/20038  also  contains  requirements 
regarding  reporting  obligations  for  organisations  involved  in  continuing  airworthiness,  and 
Part 145 of Regulation (EC) No 2042/2003 contains requirements for occurrence reporting 
and analysis for Part-145 organizations. Finally Annex III to Council Regulation (EEC) No 
3922/91 contains specific occurrence reporting requirements for aeroplane operators. 

Furthermore,  Article  19  of  Regulation  (EU)  No  996/2010  requires  that  EASA  and  the 
competent  authorities  of  the  Member  States  collaborate  in  the  regular  exchange  and 
analysis of information covered by  Directive 2003/42/EC. In so doing they are required to  
ensure  the  confidentiality  of  such  information  and  limit  its  use  to  the  analysis  of  safety 
trends  which  can,  in  turn,  be  used  to  form  the  basis  for  safety  recommendations  or 
airworthiness directives. 

In summary, the EU has legislation that has created a system of ensuring that occurrences 
in civil aviation are reported, collected, stored, protected and disseminated. The information 
from the ECR, together with other safety related information, can be used by both Member 
States and EASA to determine safety risks and to help set priorities for mitigating actions.  

1.2.6  The containment of safety risks by the use of a list of banned air carriers. 

Regulation (EC) 2111/2005 on the establishment of a Community list of air carriers subject 
to  an  operating  ban  within  the  Community  and  on  informing  passengers  of  the  identity  of 
the carriers entered into force on 16 January 2006.   

In  deciding  which  air  carriers  should  be  placed  on  the  list  the  Annex  to  Regulation  (EC) 
2111/2005 contains the common criteria for imposing a total or partial operating ban, and 
for  updating  the  list  by  removing  an  individual  or  group  of  air  carriers.  Any  one  of  these 
criteria, on its own, or in combination with others, may be used as the basis for proposing 
the inclusion or exclusion of an air carrier, or a number of air carriers, in the list. The criteria 
themselves  are  all  based  upon  the  relevant  international  safety  standards  established  by 
the Chicago Convention and its Annexes where non-European air carriers are concerned, 
and  the  European  *Union  air  safety  acquis  where  European  Union  air  carriers  are 
concerned. 

The  Regulation  applies  to  all  air  carriers  which,  for  safety  reasons,  are  banned  from 
operating  into  the  EU  irrespective  of  their  nationality  and  the  network  of  operations. 
However,  the  Regulation  applies  only  to  air  carriers  engaged  in  commercial  air  transport. 
The  Regulation  also  applies  to  air  carriers  which  do  not  operate  into  the  Community, 
because the Regulation also requires that passengers be informed when they travel inside 
and outside the EU whether the airline they plan to use is banned from operating into the 
EU.  In  this  way  the  Regulation  pursues  a  twofold  objective:  ensuring  that  those  airlines 
which  do  not  meet  the  common  criteria  are  banned  from  operating  into  the  EU,  and 
informing European passengers about airlines banned and thus protecting them when they 
travel within and outside the Community.  

The  common  criteria  are  grouped  in  three  areas:  a)  objective  evidence  showing 
deficiencies on the part of the air carrier; b) lack of ability or willingness by an air carrier to 

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Regulation (EC) No 2042/2003 on the continuing airworthiness of aircraft and aeronautical products, 
parts and appliances, and on the approval of organisations and personnel involved in these tasks 

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address safety deficiencies and c) lack of ability or willingness of the civil aviation authority 
with responsibility of oversight of the air carrier(s) in question to address safety deficiencies. 

In addition, with the entry into force of Implementing Rules resulting from the application of 
Regulation (EC) No 216/2008, all operators intending to operate into the EU will be required 
to  hold  a  Third  Country  Operators  (TCO)  Authorisation.    This  authorisation,  issued  by 
EASA,  will  permit  operators  to  fly  into  the  EU  provided  their  aircraft,  crews,  and  their 
operations  comply  with  applicable  ICAO  Standards.  To  the  extent  that  there  are  no  such 
standards, these aircraft and their operations must comply with EU requirements provided 
these  requirements  are  not  in  conflict  with  the  rights  of  third  countries  under  international 
conventions.  The operator engaged in commercial operations are required to demonstrate 
their  capability  and  means  of  complying  with  the  requirements  detailed  above.  The 
privileges granted to the operator and the scope of the operations will be specified in that 
authorisation. 

1.2.7  SAFA Programme 

Directive  2004/36/EC  established  the  inspection  of  third country  aircraft  using  EU airports 
as  a  legal  obligation  on  Member  States.  The  Directive  also  introduced  a  harmonised 
approach  to  the  effective  enforcement  of  international  safety  standards  within  the  EU  by 
harmonising the rules and procedures for ramp inspections of third-country aircraft landing 
at  EU  airports.  Within  this  context,  it  also  laid  the  groundwork  for  the  facilitation  of 
harmonised  training  of  inspectors  and  personnel  participating  in  the  programme,  the 
development of procedures and proposals for improving the programme and its tools, and 
the reporting on the information gathered. 

Additionally,  the  Directive  has  promoted  and  facilitated  the  exchange  of  aviation-safety 
related  information  between  the  Member  States  themselves  together  with  the  European 
Commission  (EC)  and  EASA  as  well  as  foreign  civil  aviation  authorities  and  international 
organisations. 

EASA plays a key role in the SAFA programme by administering the data base in which all 
reports  of  ramp  checks  conducted  under  the  SAFA  programme  are  stored.    Using  these 
reports  EASA  provides  the  Commission  with  regular  analysis  reports  containing  factual 
details concerning the results of SAFA checks, and advice to the Commission concerning 
any follow-up action they consider appropriate.  In doing so EASA are advised by a group 
of technical experts from the Member States.  These reports, and other safety information, 
are  used  by  the  European  Commission  as  a  basis  for  their  investigations  under  the 
auspices of Regulation (EC) No 2111/2005. 

The  SAFA  programme  does  not  prevent  Member  Sates  from  conducting  ramp  checks  on 
air carriers certified by that State on their own territory. 

1.3.  Responsibilities and Accountabilities 

1.3.1  The Member States 

Member States are responsible for the aviation safety standards and performance in their 
States.  They should have in place a safety policy and objectives which describe how they 
oversee the management of safety in their State, and should also have a system of safety 
risk management, safety assurance and safety promotion.  

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However,  in  certain  areas  the  Member  States  have  agreed  to  transfer  competence  to  the 
EU,  nonetheless  the  implementation  of  EU  law  remains  primarily  the  responsibility  of  the 
Member  States.  Most  of  the  certification  tasks  required  by  Regulation  (EC)  No  216/2008 
and its implementing rules are therefore executed at national level, such as certification of 
individual  aircraft,  approvals  of  national  organisations  and  personnel.  The  Member  States 
oversee the organisations they approve, conduct inspections and take measures to prevent 
the continuation of an infringement. 

The Member States remain solely responsible for the regulation of: 

(a)  The  airworthiness  of  aircraft  listed  under  Annex  II  of  Regulation  (EC)  No 
216/2008 (e.g. certain historic aircraft, experimental aircraft, light unmanned aircraft, 
etc). 

(b)  Operations  of  aircraft  while  carrying  out  military,  customs,  police,  search  and 
rescue, fire fighting, coastguard or similar activities or services.  

(c)  ATM/ANS,  including  systems  and  constituents  that  are  provided  or  made 
available by the military. 

(d) Aerodromes that are controlled and operated by the military. 

(e)  Aerodromes  below  a  certain  size  (including  equipment,  personnel  and 
organisations involved in their operation) that do not meet the following criteria:   

(i) are open to public use; and 

(ii) serve Commercial Air Transport and  

(iii)  operations  using  instrument  approach  or  departure  procedures  are 
provided and 

a. have a paved runway of 800 meters or above; or 

b. exclusively serve helicopters. 

Member  States  should  set  out  all  of  the  components  above  in  their  State  Safety 
Programme, together with how their safety system takes account of EU acquis. 

1.3.2  The European Institutions and Bodies 

The  EU's  decision-making  process  in  general  and  the  co-decision  procedure  in  particular 
involve  three  main  institutions,  The  European  Parliament,  The  Council  of  the  European 
Union, and the European Commission. 

The European Parliament.   

The  European  Parliament  is  involved  in  adopting  European  laws  jointly  with  the  Council. 
The  European  Parliament  also  provides  impetus  for  new  legislation  by  examining  the 
European  Commission’s  annual  work  programme,  considering  what  new  laws  would  be 
appropriate, and asking the European Commission to put forward proposals. 

The Council of the European Union (The Council).   

The  Council  sets  the  objectives  for  the  EU,  and  the  Transport  Council  deals  with  issues 
concerning aviation safety.  Each transport minister in the Council is empowered to commit 

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his  or  her  government,  thus  the  minister’s  signature  is  the  signature  of  the  whole 
government that he/she represents. Moreover, each minister in the Council is answerable 
to his or her national parliament and to the citizens that parliament represents.  In aviation 
the  Council  only  acts  on  a  proposal  from  the  Commission,  and  the  Commission  normally 
has responsibility for ensuring that EU legislation, once adopted, is correctly applied. 

The European Commission (The Commission).   

The  Commission  is  independent  of  national  governments.  Its  role  is  to  represent  and 
uphold  the  interests  of  the  EU  as  a  whole.  It  drafts  proposals  for  new  European  aviation 
safety laws, which it presents to the European Parliament and the Council. 

The Commission is also the EU’s executive arm and has responsibility for implementing the 
decisions of the European Parliament and the Council. The Commission, with the technical 
assistance of EASA, therefore discharges its responsibilities for aviation safety on behalf of 
the EU by implementing its policies, running its programmes and spending its funds.  It is 
the  Commission,  therefore,  that  is  responsible  for  the  EASP.    It  discharges  this 
responsibility  by,  when  necessary,  making  proposals  to  the  European  Parliament  and  the 
Council  for  regulations  in  the  field  of  air  safety;  by  ensuring  that  the  Regulations  of  the 
European Parliament and of the Council are adhered to by the Member States; by ensuring 
the  implementing  measures  associated  with  such  regulations  are  appropriate;  and  by  the 
allocation of adequate funds for those activities conducted by EASA which are dependent 
upon EU funding. 

In order to provide for better arrangements in all the fields covered by the Basic Regulation 
so  that  certain  tasks  performed  at  EU  or  Member  State  level  are  carried  out  by  a  single 
specialised expert body the European Aviation Safety Agency (EASA) was established. 

The European Aviation Safety Agency (EASA) 

EASA  is  independent  in  relation  to  technical  matters  and  has  legal,  administrative  and 
financial  autonomy.  It  has  legal  personality  and  exercises  implementing  powers  conferred 
on  it  by  Regulation  (EC)  No  216/2008.    It  is  empowered  to  implement  the  provisions  of 
Regulation (EC) No 216/2008 by undertaking tasks and formulating opinions on: 

(a) the design, production, maintenance and operation of aeronautical products, 
parts and appliances, as well as personnel and organisations involved in the design, 
production and maintenance of such products, parts and appliances;  

(b) personnel and organisations involved in the operation of aircraft;  

(c) the design, maintenance and operation of aerodromes, as well as personnel and 
organisations involved therein and, without prejudice to EU and national legislation 
on environment and land-use planning, the safeguarding of surroundings of 
aerodromes;  

(d) the design, production and maintenance of aerodrome equipment, as well as 
personnel and organisations involved therein;  

(e) the design, production and maintenance of systems and constituents for air 
traffic management and air navigation services (ATM/ANS), as well as personnel 
and organisations involved therein;  

(f) ATM/ANS, as well as personnel and organisations involved therein.  

In addition, EASA was established to: 

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(g) assist the Commission by preparing measures to be taken for the 
implementation of the basic Regulation; 

(h) provide the Commission with the necessary technical, scientific and 
administrative support to carry out its tasks; 

(i) take the necessary measures within the powers conferred on it by the Basic 
Regulation or other EU legislation;  

(j) conduct inspections and investigations as necessary to fulfil its tasks; and  

(k) in its fields of competence, carry out, on behalf of Member States, functions and 
tasks  ascribed  to  them  by  applicable  international  conventions,  in  particular  the 
Chicago Convention 

In carrying out its duties EASA: 

(a) issues opinions addressed to the Commission; 

(b)  issues  recommendations  addressed  to  the  Commission  concerning  the  use  of 
flexibility provisions exercised by the Member States; 

(c) issues certification specifications and acceptable means of compliance, as well 
as any guidance material for the application of Regulation (EC) No 216/2008 and its 
implementing rules;  

(d)  takes  the  appropriate  decisions  concerning  airworthiness  and  environmental 
certification,  pilot  certification,  air  operation  certification  air  traffic  management/air 
navigation  services,  air  traffic  controller  certification,  third  country  operators,  the 
Inspections  of  Member  States  and  the  investigation  of  undertakings.  including  the 
granting of exemptions to holders of certificates it has issued, from the substantive 
requirements laid down in Regulation (EC) No 216/2008 and its implementing rules 
in the event of unforeseen urgent operational circumstances or operational needs of 
a limited duration.  

(e)  issues  the  reports  following  standardisation  inspections  carried  out  to  monitor 
the  application  by  the  competent  authorities  of  the  Member  States  of  Regulation 
(EC) No 216/2008 and its implementing rules. 

Eurocontrol 

Eurocontrol supports EASA and the Member States in achieving safe air traffic operations 
across  the  whole  of  the  European  region.  Eurocontrol  works  together  with  all  aviation 
partners  to  deliver  a  Single  European  Sky  which  aims  to  meet  the  safety,  capacity  and 
performance  challenges  of  European  aviation.  It  provides  the  technical  expertise  for 
building the Single European Sky.  

1.3.3  Cooperation, Assistance and Advisory mechanisms 

Aviation safety in Europe is ensured by cooperation among all the elements of the system, 
notably the industry, Member States, Eurocontrol, EASA and the European Institutions. 

Assistance and advice is provided to the European Institutions, EASA, and Eurocontrol by 
means of various procedures and bodies, including: 

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EASA  Committee.    The  EASA  Committee  is  established  under  Article  65  of 
Regulation  (EC)  No  216/2008  to  assist  the  Commission  in  dealing  with  issues 
associated with that Regulation. 

EASA  Management  Board.    The  EASA  Management  Board  brings  together 
representatives  of  the  Member  States  and  the  European  Commission  and  is 
responsible  for  the  definition  of  the  Agency’s  priorities,  the  establishment  of  the 
budget and for monitoring the Agency’s operation. 

its  work. 

EASA Advisory Board.  The EASA Advisory Board assists the Management Board 
in 
representing  aviation  personnel, 
manufacturers,  commercial  and  general  aviation  operators,  maintenance  industry, 
training organisations and air sports. 

It  comprises  organisations 

Rulemaking consultative bodies.  The drafting of EASA opinions on safety rules is 
assisted  by  two  consultative  bodies:  the  Safety  Standards  Consultative  Team 
(SSCC) and the Advisory Group of National Authorities (AGNA). They both provide 
advice  on  the  content,  priorities  and  execution  of  the  rulemaking  programme  of 
EASA.  The  SSCC  is  made  up  of  representatives  of  persons  and  organisations 
directly  subject  to  the  Basic  Regulation,  the  implementing  rules,  certification 
specifications  or  guidance  material.  AGNA  is  made  up  of  one  representative  per 
Member State. 

European Aviation Safety Advisory Committee. The EASAC was created in October 
2009  to  contribute  to  the  development  of  European  aviation  safety  by  providing  
advice on the EASP, and to facilitate the development and regular review, with the 
aim  of  continuous  improvement,  of  the  European  Aviation  Safety  Plan.  It  is 
composed  of  safety  experts  from  the  Member  States,  the  European  Commission, 
Eurocontrol, Industry and EASA. 

The  Performance  Review  Commission  (PRC)  was  established  by  the  Permanent 
Commission of Eurocontrol to provide advice to ensure the effective management of 
the  European  air  traffic  management  system  through  a  strong,  transparent  and 
independent ATM performance review and target setting system. The PRC advises 
on  the  development  of  the  ATM  performance  review  and  target  setting  system, 
which will is implemented and enforced by the Member States.  

1.4.  Safety Investigations 

Member  States  are  responsible  for  the  investigation  of  accidents  and  serious  incidents  in 
order  to  improve  aviation  safety  by  determining  their  causes  and  making  safety 
recommendations intended to prevent recurrence. The authority in charge of investigating 
accidents  and  incidents  is  independent  from  other  State  aviation  organizations  and  from 
any other party or entity whose activities could come into conflict with the task entrusted to 
the  safety  investigation  authority,  or  influence  its  objectivity.  An  Accident  Investigation 
Authority's  activities  may  be  extended  to  the  gathering  and  analysis  of  aviation  safety 
related information, in particular for accident prevention purposes. These investigations can 
also result in an Accident Investigation Authority issuing safety recommendations in relation 
to the management of safety in the EU. 

Building on the lessons learned from the implementation of Council Directive 94/56/EC the 
European  Parliament  and  European  Council  brought  into  force  Regulation  (EU)  No 

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996/20109  on  the  investigation  and  prevention  of  accidents  and  incidents  in  civil  aviation.  
This Regulation took into account the changes in the institutional and regulatory framework 
governing  civil  aviation  safety  in  the  European  Union  which  had  taken  place  since  the 
adoption  of  Directive  94/56/EC,  and  in  particular  the  establishment  of  the  European 
Aviation Safety Agency (EASA). It aimed to improve aviation safety by ensuring a high level 
of  efficiency,  expediency,  and  quality  of  European  civil  aviation  safety  investigations,  the 
sole  objective  being  the  prevention  of  future  accidents  and  incidents  without  apportioning 
blame or liability.  It established a European Network of Civil Aviation Safety Investigation 
Authorities,  ensured  that  safety  investigation  authorities,  on  the  one  hand,  and  other 
authorities likely to be involved in the activities related to the safety investigation, such as 
the judicial, civil aviation, search and rescue authorities, on the other hand, cooperate with 
each  other  through  advance  arrangements.  It  also    provided  rules  concerning  the  timely 
availability of information relating to all persons and dangerous goods on board an aircraft 
involved  in  an  accident.  It  also  aimed  to  improve  the  assistance  to  the  victims  of  air 
accidents and their relatives. 

1.4.1  The European Network of Civil Aviation Safety Investigation Authorities. 

Member  States  have  set  up  a  European  Network  of  Civil  Aviation  Safety  Investigation 
Authorities  (ENCASIA),  composed  of  the  heads  of  the  safety  investigation  authorities  in 
each  of  the  Member  States  and/or,  in  the  case  of  a  multimodal  authority,  the  head  of  its 
aviation branch, or their representatives.   

ENCASIA  seeks  to  further  improve  the  quality  of  investigations  conducted  by  safety 
investigation  authorities  and  to  strengthen  their  independence  by  encouraging  high 
standards in investigation methods and investigator training. In particular ENCASIA: 

(a) prepares suggestions to and advising EU institutions on all aspects of the 
development and implementation of EU policies and rules relating to safety 
investigations and the prevention of accidents and incidents;  

(b) promotes the sharing of information useful for the improvement of aviation safety 
and actively promotes structured cooperation between safety investigation 
authorities, the Commission, EASA and national civil aviation authorities;  

(c) coordinates and organises ‘peer reviews’, relevant training activities and skills 
development programmes for investigators;  

(d) promotes best safety investigation practices with a view to developing a common 
EU safety investigation methodology, and draws up an inventory of such practices;  

(e) strengthens the investigating capacities of the safety investigation authorities, in 
particular by developing and managing a framework for sharing resources;  

(f) provides, at the request of the safety investigation authorities, appropriate 
assistance, including, but not limited to, a list of investigators, equipment and 
capabilities available in other Member States for potential use by the authority 
conducting an investigation;  

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Commission Regulation (EU) No 996/2010 of 20 October 2010 on the investigation and prevention 
of accidents and incidents in civil aviation and repealing Directive 94/56/EC. 

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(g) has access to information contained in the EU central repository, and analyses 
the safety recommendations therein with a view to identifying important safety 
recommendations of EU-wide relevance.  

In  order  to  achieve  these  tasks  ENCASIA  draws  up  an  annual  work  programme  which 
complies with the objectives and responsibilities set out above. The Commission transmits 
the work programme to the European Parliament and the Council.  

1.4.2  The Role of EASA 

EASA 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.  Regulation  996/2010  therefore  placed  on  safety 
investigation  authorities  in  the  EU  the  obligation,  in  accordance  with  Annex  13  to  the 
Chicago  Convention,  of  inviting  EASA,  and  the  national  civil  aviation  authorities  of  the 
Member  State  concerned,  to  participate  in  safety  investigations  provided  that  the 
requirement of no conflict of interest is satisfied. EASA's role is to act as advisor so that it 
can  support  the  Investigator  in  Charge  or  the  Accredited  Representative  of  the  safety 
investigation  authority  conducting  or  participating  in  the  investigation  but  without  affecting 
the independent status of the investigation.   Likewise, national civil aviation authorities of 
the EU can also participate in the safety investigations as advisors. 

1.4.3  European Safety Recommendation Database. 

Safety  investigation  authorities  record  in  a  common  European  database  all  safety 
recommendations made at any stage of a safety investigation concerning preventive action 
that it considers necessary to be taken promptly to enhance aviation safety, and also any 
safety  recommendations  made  on  the  basis  of  studies  or  analysis  of  a  series  of 
investigations or any other activities conducted in the gathering and analysis of safety trend 
to  such  recommendations.  Safety 
information.  They  also 
investigation  authorities  equally  record  all  safety  recommendations  received  from  third 
countries in the common European database. 

the  responses 

include 

1.5.  Enforcement 

1.5.1  Action to prevent Infringements of EU law. 

Each  Member  State,  and  in  its  areas  of  responsibility  EASA,  are  responsible  for  the 
implementation  of  EU  law.    This  includes  such  issues  as  the  adoption  of  implementing 
measures before a specified deadline, and the conformity and correct application of EU law 
within its own legal system. The Commission, acting as guardian of the Treaties, may take 
action in cases of breaches with EU law and, consequently, has powers of its own to try to 
bring any infringement to an end and, where necessary, can refer the case to the European 
Court of Justice.  

The  Commission  takes  whatever  action  it  deems  appropriate  in  response  to  either  a 
complaint  or  indications  of  infringements  which  it  detects  itself.  Non-compliance  means 
failure  by  a  Member  State  to  fulfil  its  obligations  under  EU  law  and  may  consist  either  of 
action or omission.  

Under the non compliance procedure started by the Commission, the first phase is the pre 
litigation  administrative  phase,  also  called  “Infringement  proceedings”  The  purpose  of  this 
pre-litigation  stage  is  to  enable  the  Member  State  to  conform  voluntarily  with  the  legal 
requirements.  There  are  several  formal  stages  in  the  infringement  procedure.  The 
European  Commission  may  first  have  to  carry  out  some  investigation,  namely  when 
infringement  procedures  are  launched  further  to  a  complaint.  A  letter  of  formal  notice 

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represents  the  first  stage  in  the  pre-litigation  procedure,  during  which  the  Commission 
requests a Member State to submit its observations on an identified problem regarding the 
application of EU law within a given time limit.  

Following  this  the  Commission  may  set  out  a  reasoned  opinion.  The  purpose  of  the 
reasoned  opinion  is  to  describe  the  Commission’s  position  on  the  infringement  and  to 
determine the subject matter of any action, requesting the Member State to comply within a 
given time limit. The reasoned opinion gives a coherent and detailed statement, based on 
the letter of formal notice, of the reasons that have led it to conclude that the Member State 
concerned has failed to fulfil one or more of its obligations.  

In this respect the Commission enjoys a discretionary power in deciding whether or not to 
commence infringement proceedings and to refer a case to the Court. 

In  addition,  Regulation  (EC)  No  216/2008,  in  articles  10  and  11,  requires  the  Member 
States,  the  Commission  and  EASA  to  cooperate  with  a  view  to  ensuring  compliance  with 
the Regulation and its implementing rules.  Member States are required, in addition to the 
oversight  of  certificates  that  they  have  issued,  to  conduct  investigations,  including  ramp 
inspections,  and  take  any  measure,  including  the  grounding  of  aircraft,  to  prevent  the 
continuation of an infringement.  

In  terms  of  the  recognition  of  certificates,  the  Commission,  on  its  own  initiative  or  at  the 
request  of  a  Member  State  or  EASA,  may  initiate  proceedings  to  decide  whether  a 
certificate issued in accordance with Regulation (EC) No 216/2008 effectively complies the 
appropriate  rules.  In  case  of  non-compliance  or  ineffective  compliance,  the  Commission 
can  require  the  issuer  of  a  certificate  to  take  appropriate  corrective  action  and  safeguard 
measures, such as limitation or suspension of the certificate. 

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PART 2 

EUROPEAN SAFETY RISK MANAGEMENT 

2.1 

Safety Requirements for Organisations Safety Management Systems. 

The controls established to govern how service providers will identify hazards and manage 
safety  risks  are  the  province  of  the  Member  States  and,  where  appropriate,  EASA.    The 
Commission, with the help of EASA and the Member States, is in the process of developing 
Implementing Rules which will include requirements concerning management systems, and 
EASA is developing the AMC and guidance material which will support these implementing 
rules.  

2.2   Safety Requirements for Member State's State Safety Programmes 

The Commission, with the assistance of EASA and the Member States, is in the process of 
developing  Implementing  Rules  which  will  include  authority  requirements.    These 
requirements will contribute to the safety requirements of a Member State's SSP.  EASA is 
developing the AMC and guidance material which will support these implementing rules. 

2.3 

Agreement on  Safety Performance at EU level. 

With  the  exception  of  Air  Traffic  Management  (ATM)  the  EU  has  yet  to  decide  on  setting 
safety performance targets.  However, some work in this direction has been started and at 
the  ICAO  High  Level  Safety  Conference,  held  in  Montreal  on  March  2010,  the  EU 
presented  proposals  on  a  multi-layered  approach  to  measure  safety  performance  at 
European  level.    The  European  Commission,  drawing  on  this  work  and  the  experience  of 
the Member States, is considering how best to bring forward proposals in this area to cover 
other aviation domains.   

Thus, the current situation in the EU is that, with the exception of those described below for 
ATM,  the  setting  of  safety  performance  targets  remains  the  sole  responsibility  of  the 
Member States. 

2.3.1  ATM 

Regulation  (EC)  No  549/200410  required  that  a  performance  scheme  for  air  navigation 
services  and  network  functions  be  set  up  by  means  of  implementing  rules.    These 
Implementing Rules were published as Commission Regulation No 691/201011 laying down 
a performance scheme for air navigation services and network functions.  The performance 
scheme  aims  to  contribute  to  the  sustainable  development  of  the  air  transport  system  by 
improving overall efficiency of the air navigation services across the key performance areas 
of not only  safety, but also environment, capacity and cost-efficiency, all having regard to 
the overriding safety objectives. 

In setting up the scheme reference periods were agreed, the first being the calendar years 
2012 to 2014 inclusive, followed by periods of five calendar years.  The same periods are 

10 

11 

Regulation  (EC)  No  549/2004  of  the  European  Parliament  and  of  the  Council  of  10 March  2004 
laying down the framework for the creation of the single European sky (the framework Regulation) 
Commission Regulation (EU) No 691/2010 of 29 July 2010 laying down a performance scheme for 
air navigation services and network functions and amending Regulation (EC) No 2096/2005 laying 
down common requirements for the provision of air navigation services. 

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used  by  EU  wide  performance  targets  and  national  or  functional  airspace  blocks  (FAB) 
performance  plans  and  targets.    The  key  performance  indicators  (KPI),  used  for  the 
purpose  of  performance  target  setting,  remain  unchanged  during  a  reference  period  and 
the  performance  of  air  navigation  services  are  assessed  by  means  of  binding  targets  for 
each KPI. 

Under Regulation No 691/2010, the European Commission is responsible for managing the 
performance  scheme,  including  the  adoption  of  EU-wide  targets  and  the  consistency 
assessment  of  National/FAB  performance  plans.  In  this  role,  it  is  supported  by  a 
Performance  Review  Board  (PRB)12  providing  independent,  evidence  based  analysis  to 
contribute to assessments. 

No European Union-wide targets for key performance indicators will be set between 2012 
and 2014. During this period the Commission will use the data collected to validate these 
key  performance  indicators  and  assess  them  with  a  view  to  ensuring  that  safety  risk  is 
adequately  identified,  mitigated  and  managed.  On  this  basis  the  Commission  will,  if 
necessary, adopt new safety key performance indicators. 

2.4 

Safety Planning 

Safety  planning  closes  the  safety  management  cycle  by  connecting  the  safety  issues 
identified  through  the  analysis  of  safety  occurrences  with  the  action  plans  and  initiatives 
launched to mitigate the underlying risks.  

In the EU the result of this process is documented in a European Aviation Safety Plan13 It is 
developed,  agreed  and  implemented  in  collaboration  with  regulatory  bodies,  European 
safety  organisations  and  industry.  It  builds  on  their  input  and  relies  on  their  expertise.  It 
proposes a path for the next 4 years that depicts a comprehensive picture of how the EU is 
conducting  targeted  safety  work  in  Europe  across  all  domains  of  aviation.  Currently  the 
Plan,  drawn  up  by  EASA,  is  not  legally  binding  on  the  Member  States,  and  relies  on  a 
cooperative  framework  in  order  to  take  specific  actions,  with  Member  States  agreeing, 
informally, to support the actions identified in the Plan. 

The  Safety  Plan  establishes  the  first  layer  of  priorities  which  is  further  complemented  at 
national  level  by  local  safety  plans  and  programmes  and  at  Agency  level  by  an  internal 
safety programme. It builds a network for action. Coordination and close collaboration are 
key to keeping it up to date and effective. 

Ideally  the  EU  Safety  Plan  would  be  formulated  following  specific  data  analysis  work  to 
identify the major hazards within the European aviation system, a risk analysis to determine 
where the major risk lie, and mitigating actions addressed at those risks where action at EU 
level  can  be  effective.    However,  as  the  EU  system  for  safety  risk  management  is  under 
development,  the  first  safety  Planning  cycle,  covering  the  period  2011-2014,  is  based  on 
inputs from existing national plans, together with Eurocontrol and EASA safety priorities.  

For subsequent planning cycles the Member States and EASA will aim to: 

(a) Collect safety data 

(b) Develop a systematic method to identify hazards and potential new issues  

12  

13  

Commission  Decision  of  29  July  2010  on  the  designation  of  the  Performance  Review  Body  of  the 
Single European Sky. 
The European Aviation Safety Plan can be found at www.easa.europe.eu/sms 

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(c) Conduct a risk assessment to identify priorities. 

(d) Develop 2nd Tier Indicators (high level risks) to monitor key safety areas. 

(e) Establish achievable targets in accordance with available resources  

Note: Currently a process to set up targets has only been established in the ATM domain.  

2.4.1  Roles of the Member States & EASA. 

In developing a EU Safety Plan Member States endeavour to identify safety issues at the 
national level while EASA endeavours to identify issues at pan-European level. The EU will 
develop the mechanism to enable the coordination of pan-European issues to be achieved 
collectively by all stakeholders.  

2.4.2  Hazard Identification. 

Currently a systematic approach to identify hazards has yet to be implemented at European 
level.  However,  two  strategies  are  described  below  that  will  be  further  developed  by  EU 
stakeholders  as  experience  is  gained  in  order  to  develop  a  system  which  will  provide  the 
best results: 

a. 

A common approach at European level 

Top Down approach 

Data  is  collected  by  the  Member  States  and  EASA  and  hazards  are  identified  at 
European level using a common methodology. 

Bottom up approach 

The identification of hazards is performed by the States and EASA using a common 
methodology and then exchanged at European level. 

b. 

The use of existing approaches 

National inputs  

Member States use their own methodology to identify hazards and provide input. 

ESSI and other safety initiatives.  

ESSI uses its own methods for hazard identification and provides input.  

2.4.3  Risk Assessment 

In order to ensure a common approach to the process of risk assessment, it is necessary to 
use a common risk assessment methodology when gathering the inputs from the Member 
States. The EU is, to a degree, data rich but is hampered in dealing with issues at EU level 
by a variety of risk assessment methodologies used by Member States.  For the EU a key 
challenge  is  to  succeed  in  managing  a  large  amount  of  data  in  a  way  that  enables  the 
selection of key issues to be achieved as practically as possible. 

The EU will, collectively, have to develop a common risk assessment methodology in order 
to  be  more  effective  in  its  risk  assessments.    Meanwhile,  the  EU  relies  on  inputs  from 
Member States or other stakeholders.  

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2.4.4  Risk Mitigation 

Member  States  are  responsible  for  actions  required  to  mitigate  their  own  aviation  safety 
risks that they have identified  

At  EU  level,  mitigation  actions  are  proposed  by  EASA,  through  the  EASA  European 
Aviation  Safety  Advisory  Committee  (EASAC),  and  are  described  in  the  EU  Safety  Plan.  
The  EU  Safety  Plan  is  presented  to  the  EASA  Management  Board  where  the  Member 
States have the opportunity to discuss the proposals and to note the contents of the Plan.  
It  is  then  for  the  Member  States  to  incorporate  the  actions  in  their  own  safety  planning 
processes to ensure a coordinated approach to safety risks at EU level. 

2.5 

Safety Performance Indicators 

Activities  critical  to  safety  can  be  managed  effectively  provided  there  are  the  means  to 
measure  safety  performance.  With  a  vast  quantity  of  raw  data  available  to  the  various 
stakeholders in the Aviation System there is a need to develop specific indicators to provide 
clarity  on  safety  performance  and  to  aid  the  identification  of  areas  that  may  need 
intervention action.  Safety Performance Indicators can also be used to measure whether 
the actions taken have been effective. 

In  the  EU  a  multi-layered  approach  has  been  adopted  in  the  development  of  Safety 
Performance Indicators (SPIs). Since the information needs of interested stakeholders may 
differ, the chosen levels are based on the intended use and the reported data:  

• 

• 

• 

First tier SPIs aim to provide a general assessment of safety and inform the public 
or other stakeholders external to aviation about broad safety trends.  

Second  tier  SPIs  help  monitor  specific  areas  of  the  system  which  require  safety 
measures, initiatives or actions.  

Third  tier  SPIs  aim  to  provide  information  on  the  effectiveness  of  the  safety 
measures, initiatives or actions. 

First tier SPIs are used mainly for public information purposes. They measure the outcomes 
that  affect  the  public  (e.g.  accidents).  In  using  the  rate  of  fatal  accidents  per  10  million 
flights per world region as a measurement of success in terms of the EU's safety objective 
the Commission is making use of a first tier SPI.  

EASA  produces  an  Annual  Safety  Review14.    The  review  makes  use  of  safety  data  from 
ICAO  for  international  operations  and  safety  data  from  NAAs  for  general  aviation.    It 
presents  the  results  of  an  analysis  of  civil  aviation  safety  in  a  simple  and  easy  to 
understand form to indicate whether there is an increase in the safety risk. This information 
allows European safety levels to be compared with that of other world regions. 

14 

Article 15 (4) of European Regulation (EC) 216/2008 of the European Parliament and of the Council 
of 20 February 2008 - the EASA Basic Regulation.  The EASA Annual Safety Review is available at 
www.easa.europa.eu.  

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PART 3 

EUROPEAN SAFETY ASSURANCE 

3.1 

Safety Oversight 

3.1.1  Member States 

Member States are solely responsible for the oversight of aviation activities not covered by 
competencies  shared  at  EU  level.    They  are  also  responsible  for  the  oversight  of  all  the 
activities  covered  by  EU  regulation  providing  that  executive  powers  have  not  been 
transferred to the EU, and in particular the following : 

Airworthiness: 

(a). Airworthiness and noise certification of individual aircraft. 

(b)  Organisations  involved  in  production,  maintenance  and  maintenance 
management of aircraft; and the training of certifying staff 

(c) Certifying staff  

Flight Standards: 

(a) Air Operators. 

(b) Flight Crew Training Organisations and Aeromedical Centres. 

(c)  Flight  Simulation  Training  devices  used  by  the  training  organisations  it 
approves. 

(d) Flight crew. 

ATM and Aerodromes: 

(a) ATM service providers and aerodrome operators. 

(b) Aerodrome and ATM equipment. 

(c) Air traffic controllers and other ATM or aerodrome personnel. 

3.1.2  European Union  

EASA Oversight of Certificate holders 

EASA  is  responsible  for  the  oversight  of  activities  where  executive  powers  have  been 
transferred to the EU, and in particular the following: 

Airworthiness: 

(a) Design of aircraft; 

(b) Organisations involved in the design of aircraft; 

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(c)  Organisations  involved  in  the  production  of  aircraft  when  agreed  by  the 
member States. 

(d)  Organisations  based  outside  the  EU  that  are  involved  in  design, 
production, maintenance and maintenance management of aircraft; and the 
training of certifying staff 

Flight standards: 

(a) Third country operators 

(b)  Organisations  based  outside  the  EU  that  are  involved  in  the  training  of 
pilots 

(c)  Flight  Simulation  Training  Devices  (FSTD)  located  outside  the  EU  or 
used by organisations certified by EASA. 

ATM: 

(a)  Air  Navigation  Service  Providers  providing  services  of  pan-European 
nature 

(b) Air Navigation Service Providers located outside the EU, but providing a 
service inside the EU 

(c) Foreign Air Traffic Controller (ATCO) Training organisations. 

EASA may also be asked to perform oversight for certain activities at the request of 
the Member States 

Standardisation 

To  ensure  a  high  level  of  oversight  is  maintained  throughout  the  EU  the  Commission, 
assisted by EASA, monitors the application of the provisions contained in Regulation (EC) 
No 261/2008.  

EASA plays a key role in this process by conducting standardisation inspections of Member 
States.  In doing so the officials conducting the inspections are empowered to: 

(a) Examine the relevant records, data, procedures and any other material relevant 
to the achievement of aviation safety levels.  

(b)  To  take  copies  of  or  extracts  from  such  records,  data,  procedures  and  other 
material. 

(c) To ask for an oral explanation on the spot. 

(d) To enter any relevant premises, land or means of transport. 

The  working  methods  for  such  inspections  are  contained  in  Commission  Regulation  (EC) 
No  736/2006.15It  includes,  inter  alia,  the  ability  of  EASA  to  inspections  of  undertakings  or 
associations  of  undertakings  under  the  oversight  of  the  inspected  national  aviation 
authority,  as  well  as  the  authority  itself.  It  ensures  that  standardisation  inspections  are 

15 

Commission  Regulation  (EC)  No  736/2006  of  16  May  2006  on  working  methods  of  the  European 
Aviation Safety Agency for conducting standardisation inspections 

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conducted  in  a  transparent,  effective,  harmonised  and  consistent  manner.    In  addition  it 
requires  that  standardisation  inspections  are  conducted  by  EASA  on  both  a  regular  and, 
where  appropriate  and  requested  by  the  Commission,  an  ad-hoc  basis.  The  Regulation 
also  places  on  the  Member  States  the  obligation  to  provide  EASA  with  all  necessary 
information for the purpose of carrying out inspections. 

At  the  conclusion  of  the  inspection  EASA  provides  a  final  inspection  report  containing 
details  of  the  conduct  of  the  inspection  and  addressing  findings  identified  during  the 
inspection. The report also includes the comments, if any, of the national aviation authority 
inspected.  The  final  inspection  report  is  provided  to  the  national  aviation  authority 
inspected, to the Commission and to the Member State concerned. The Commission may 
subsequently transmit this report to all national aviation authorities. 

In the event where a preliminary inspection report requests immediate remedial actions and 
such requests are not answered satisfactorily by the national aviation authority concerned, 
the final inspection report contains evidence of such failure. 

In  following  up  the  final  report  EASA  agrees  an  action  plan  with  the  national  aviation 
authority  inspected  which  defines  any  remedial  action  and  the  relevant  timeframe  within 
which  such  action  has  to  be  undertaken  to  resolve  any  findings.  EASA  monitors  the 
progress of the agreed remedial actions.  

In  order  to  close  the  inspection  report  EASA  verifies  and  validates  the  satisfactory 
progressive implementation  of  the  action  plan, and  when  satisfied  the findings  have  been 
addressed  issues  a  statement  of  closure.    This  statement  is  addressed  to  the  aviation 
authority  inspected,  to  the  Member  State  concerned  and  to  the  Commission.  The 
Commission may subsequently transmit this report to all national aviation authorities. 

Following an inspection report EASA may at any time, or upon request from the European 
Commission, conduct inspections of national aviation authorities and, where necessary, of 
undertakings  or  associations  of  undertakings  to  assess  the  satisfactory  completion  of 
remedial  actions.  Such  inspections  are  announced  to  the  national  aviation  authority 
concerned  

3.2 

Safety Data, Analysis and Exchange 

As  described  in  Part  1  of  this  document  the  EU  has  in  place  legislation  to  ensure  that 
occurrences in civil aviation are reported, collected, stored, protected and disseminated.   

Information  on  occurrences  submitted  to  the  European  Central  Repository  is  made 
available  to  the  competent  authorities  of  the  other  Member  States,  EASA  and  the 
Commission. Information can also be disseminated to any entity entrusted with regulating 
civil  aviation  safety  or  with  investigating  accidents  and  incidents  within  the  EU.  
Furthermore,  Regulation  216/2008,  as  well  as  Regulation  1330/2007,  empowers  the 
Commission to disseminate safety information 'to interested parties on its own initiative'. 

An essential part of this entire safety reporting process is the creation and preservation of a 
'just culture'.  This is a complex area and cannot be resolved by legislation alone, however 
the  various  controls  that  have  been  established  are  aimed  to  encourage  a  more  open 
reporting culture in Europe. 

In  order  to  help  identify  safety  issues  the  various  sources  of  safety  data  collection  are 
available, including accident reports, ramp inspection reports (SAFA), the investigation and 
follow-up  of  incidents,  data  from  occurrence  reports  integrated  into  the  European  Central 
Repository  (ECR),  oversight  audits,  including  EASA  Standardisation  Inspections,  and 
information exchange. 

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3.3.   Safety-data-driven targeting of oversight of areas of greater concern or need 

The EU is putting in place the regulatory material which will enable EASA and the Member 
States to conduct oversight in the areas of their responsibility prioritised towards the areas 
of greater risks. This will also apply to the standardisation activities carried out by EASA.  

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PART 4 

EUROPEAN SAFETY PROMOTION 

4.1 

Activities at EU Level 

4.1.1  Communication and dissemination of safety information. 

Annual  Safety  Review.  As  required  by  Reg  (EC)  216/2008,  EASA  publishes  an  annual 
safety review to inform the public of the general safety level in the field of civil aviation.  The 
review presents statistics on European and worldwide civil aviation safety  

4.1.2  European Strategic Safety Initiative (ESSI) 

ESSI is an aviation safety partnership facilitated by EASA and powered by the industry. The 
ESSI  objective  is  to  further  enhance  safety  in  Europe  and  for  the  European  citizen 
worldwide.  Its current remit is to focus on the timeframe of 2007-2017, and it conducts its 
activities  through  the  analysis  of  safety  data,  the  coordination  with  safety  initiatives 
worldwide, and the implementation of action plans. 

ESSI  has  three  pillars:  the  European  Commercial  Aviation  Safety  Team  (ECAST),  the 
European  Helicopter  Safety  Team  (EHEST),  and  the  European  General  Aviation  Safety 
Team (EGAST). 

4.1.3  Safety Research 

Research  for  civil  aviation  in  Europe  is  financed,  subsidised  or  sponsored  by  various 
institutions  and  by  different  instruments.  In  the  first  place  there  are  the  EU  Framework 
Programmes (FP), and similar programmes at national level. 

Other  instruments  used  by  MS  governments  are  the  direct  funding  of  national  research 
institutes, and finally research projects launched by EASA and the NAAs Compared to the 
first two schemes, EASA’s and NAAs’ research projects are usually 100 % financed service 
contracts with a very focused objective and task oriented towards very specific issues whilst 
the  programmes  are  generally  more  oriented  towards  thematic  areas  of  certain  subjects 
which provide the potential tenderers more flexibility about what they are going to propose 
as a research project.  

The  main  objective  of  research  activities  in  aviation  safety  developed  by  EASA  and 
National  Aviation  Authorities  (NAA)  is  to  ensure  that  decisions,  regulations,  guidance 
material  and  recommendations  for  safety  improvements  and  environmental  protection 
measures  are  based  on  sound  scientific  grounds.  Simultaneously,  the  safety  regulator 
benefits  from  guaranteeing  its  independence  and  impartiality  in  developing  its  approach 
and policy. 

In  line  with  the  above,  a  European  Aviation  Research  Partnership  Group  (EARPG)  has 
been formed with representatives of EASA, National Aviation Authorities (NAA), European 
Commission DG MOVE and DG RTD and Eurocontrol with the following main objectives: 

(a)  Gather  information  from  the  EASA  member  states  on  on-going  and  planned 
research programmes, 

(b) Identify and coordinate priorities to avoid unnecessary duplication of work, 

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(c) Establish collaborative programmes where appropriate. 

At  the  front  end  of  conducting  research  are  the  aviation  industry,  research  institutes, 
universities and other kinds of science entities. It is common practice, or often required, that 
proposals are made by consortia, usually ones which are pan-European.  

4.1.4  Workshops.    EASA  regularly  conducts  workshops  which  are  used  to  disseminate  safety 
information to the European stakeholders and to provide an opportunity for discussions on 
safety related topics, including the results of standardisation inspections. 

4.2 

Training 

As the EU moves from the current compliance based system to a more performance-based 
system new training capabilities will need to be developed to ensure all those involved have 
the relevant skills to ensure the successful implementation of the new approach. 

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Annex A: List of EU Aviation Safety Legislation 

Reference 

Subject 

Date 

Council Regulation (EEC)  
No 3922/91  

on the harmonization of technical 
requirements and administrative procedures 
in the field of civil aviation 

16 December 1991 

Commission Regulation (EC) 
No 1702/2003  

Commission Regulation (EC) 
No 2042/2003  

laying down implementing rules for the 
airworthiness and environmental certification 
of aircraft and related products, parts and 
appliances, as well as for the certification of 
design and production organisations  

on the continuing airworthiness of aircraft and 
aeronautical products, parts and appliances, 
and on the approval of organisations and 
personnel involved in these tasks 

24 September 2003 

20 November 2003 

Commission Regulation (EC) 
No 2096/2005  

laying down common requirements for the 
provision of air navigation services 

20 December 2005 

Commission Regulation (EC) 
No 474/2006  

establishing the Community list of air carriers 
which are subject to an operating ban within 
the Community referred to in Chapter II of 
Regulation (EC) No 2111/2005 of the 
European Parliament and of the Council 

22 March 2006 

Commission Regulation (EC) 
No 736/2006  

on working methods of the European Aviation 
Safety Agency for conducting standardisation 
inspections 

16 May 2006 

Commission Regulation (EC) 
No 768/2006  

implementing Directive 2004/36/EC of the 
European Parliament and of the Council as 
regards the collection and exchange of 
information on the safety of aircraft using 
Community airports and the management of 
the information system 

19 May 2006 

Commission Regulation (EC) 
No 1315/2007  

on safety oversight in air traffic management 
and amending Regulation (EC) No 
2096/2005 

8 November 2007 

Commission Regulation (EC) 
No 1321/2007  

laying down implementing rules for the 
integration into a central repository of 
information on civil aviation occurrences 
exchanged in accordance with Directive 
2003/42/EC of the European Parliament and 
of the Council 

12 November 2007 

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Commission Regulation (EC) 
No 1330/2007  

Regulation (EC) No 216/2008 
of the European Parliament 
and of the Council  

Commission Regulation (EC) 
No 351/2008  

Commission Regulation (EU) 
No 691/2010   

laying down implementing rules for the 
dissemination to interested parties of 
information on civil aviation occurrences 
referred to in Article 7(2) of Directive 
2003/42/EC of the European Parliament and 
of the Council 

on common rules in the field of civil aviation 
and establishing a European Aviation Safety 
Agency, and repealing Council Directive 
91/670/EEC, Regulation (EC) No 1592/2002 
and Directive 2004/36/EC 

implementing Directive 2004/36/EC of the 
European Parliament and of the Council as 
regards the prioritisation of ramp inspections 
on aircraft using Community airports 

laying down a performance scheme for air 
navigation services and network functions 
and amending Regulation (EC) No 
2096/2005 laying down common 
requirements for the provision of air 
navigation services 

24 September 2007 

20 February 2008 

16 April 2008 

29 July 2010 

Regulation (EU) No 996/2010 
of the European Parliament 
and of the Council 

on the investigation and prevention of 
accidents and incidents in civil aviation and 
repealing Directive 94/56/EC 

20 October 2010 

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ANNEX B: RELATIONSHIP  BETWEEN ICAO STATE SAFETY PROGRAMME FRAMEWORK  AND 
DEMING CYCLE 

1. 

Introduction 

In obtaining a clear view of how aviation safety is managed in the EU it is convenient to use 
the Deming Cycle model to understand how each activity fits into the overall safety system.  
The Deming Cycle is arranged into four sections, namely Plan, Do, Check, and Act (PDCA).  
In essence the cycle commences with the activities that are necessary to collectively manage 
safety risks. The risks identified through this mechanism are mitigated by a set of measures 
compiled in a Safety Plan.  

2. 

Plan 

In  the  PLAN  phase,  Member  States  are  expected  to  identify  safety  issues  at  the  national 
level  while  EASA  would  identify  issues  at  pan-European  level.  The  coordination  of  pan-
European issues are done collectively by all stakeholders. 

3. 

Do 

The  DO  phase  comprises  of  the  activities  that  EASA,  the  Member  States  and  industry 
organisations do to manage safety at their level on a regular basis. These activities can be 
understood using the three pillar concept described in the Introduction, namely rulemaking, 
oversight and safety promotion (see picture below) 

4. 

Check 

This phase are the activities conducted to check the performance of the European Aviation 
Safety Programme in order to make sure that the initial expectations are being met. These 
mechanisms  should  include  the  selection  of  appropriate  safety  performance  indicators  to 
assess the effectiveness of the measures proposed in the Safety Plan as well as the setting 
of thresholds and targets when appropriate. In this phase, Member States should check their 
performance against their own safety plans. 

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This  phase  should  also  include  the  results  of  the  different  safety  studies  and  reviews 
performed  at  European  level,  the  different  proposals  for  safety  enhancements  and  the 
production of safety reports. Safety recommendations received from the Safety Investigation 
Authorities  contribute  to  checking  pan-European  performance  by  revealing  the  causes  of 
accidents and incidents.  

5. 

Act 

This  phase  is  the  process  to  take  decisions  regarding  the  actions  that  are  necessary  to 
incorporate  in  a  revision  of  the  Safety  Plan.  These  decisions  would  be  based  on  the 
oversight  data  collected  on  the  DO  phase  and  the  monitoring  of  performance  carried  out 
during the CHECK phase. 

Member  States  act  on  the  data  that  comes  out  of  their  own  State  Safety  Programmes  and 
should agree to ACT collectively on certain common issues.  

A review of the improvement actions is carried out on a yearly cycle, except when there is a 
need to ACT before  

The table below indicates where the descriptions contained in this document in accordance 
with the ICAO elements of the SSP framework can be linked to a Plan, Do, Check, Act cycle. 

EN 

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   EN 

 
ICAO SSP Framework 

R  O 

SP 

Do 

Plan 

Check  Act 

I 

EU safety policy and objectives  

1.1 State safety legislative framework 

1.2  State  safety  responsibilities  and 
accountabilities 

1.3 Accident and incident investigation 

1.4 Enforcement policy 

II 

EU’s safety risk management  

2.1  Safety  requirements  for  service 
providers SMS and States SSP. 

X 

X 

X 

X 

2.2  Agreement  on  States  safety 
performance 

X 

III 

EU’s safety assurance 

3.1 Safety oversight  

3.2 Safety data collection, analysis and 
exchange  

X 

3.3  Safety-data-driven 
targeting  of 
oversight of areas of greater concern or 
need 

IV  EU’s safety promotion 

Internal 

4.1 
training,  communication 
and dissemination of safety information 

X 

X 

X 

4.2  External  training,  communication 
and 
safety 
information. 

dissemination 

of 

R = Rule Making 

O = Oversight 

SP = Safety Promotion 

EN 

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ANNEX C: INTERACTIONS BETWEEN THE 'PLAYERS' IN THE EU AVIATION SAFETY SYSTEM 

EU Institutions

- Adopt Regulations
- Set policies
- Infringement procedures
- Decide on EASA resources.
- Conclude international treaties

Opinions

Reports

Enforcement

Assistance

EASA

- Assists EU Institutions
- Provides services and advice
- Proposes IR
- Adopts AMCs, CSs and GMs
- Issues certain certificates
- Mandates corrective action 
      (design)

- Oversees Organisations and 
      Products

- Standardisation
- Safety performance 

(pan-European level)

Standardisation

Advice

Safety
Recommendations

MEMBER STATES

- Assist EU
- Advise EASA
- Issue Certificates
- Oversee Organisations, 

    Products and 
    Individuals 
- Safety Performance 

    (State Level)
- Investigate Accidents and    
    Incidents

Enforcement

Regulates,
Overseees

Regulate,
Oversee

Enforcement

STAKEHOLDERS
(end users)

EN 

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