Proposal for a REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL on occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and repealing Directive No 2003/42/EC, Commission Regulation (EC) No 1321/2007 and Commission Regulation (EC) No 1330/2007
Date: 2012-12-18
Institutions: European Commission
Subjects: EU control, air safety, civil aviation, data protection, disclosure of information, dissemination of information, information network, transport accident

EUROPEAN 
COMMISSION 

Brussels, 18.12.2012  
COM(2012) 776 final 

2012/0361 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and 
repealing Directive No 2003/42/EC, Commission Regulation (EC) No 1321/2007 and 
Commission Regulation (EC) No 1330/2007 

(Text with EEA relevance) 

{SWD(2012) 441 final} 
{SWD(2012) 442 final} 

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EXPLANATORY MEMORANDUM 

1. 

CONTEXT OF THE PROPOSAL 

1.1. 

General background of the proposal 

In  the  European  Union  the  average  annual  rate  of  fatal  accidents  in  scheduled 
passenger  operations  has  remained  more  or  less  stable  for  the  past  years.  The  air 
traffic growth forecast for the next decades expects the number of aviation flights to 
almost  double  by  2030.  Therefore,  with  a  stable  fatal  accident  rate,  this  will  likely 
lead to an increase in the number of accidents as a by-product of steadily increasing 
traffic volumes. 

The  current  aviation  safety  system  is  primarily  a  reactive  system  relying  on 
technological  advances,  sound  legislation  underpinned  by  effective  regulatory 
oversight, and detailed accident investigations leading to recommendations for safety 
improvements.  However,  whilst  the  ability  to  learn  lessons  from  an  accident  is 
crucial,  purely  reactive  systems  have  now  shown  their  limit  in  continuing  to  bring 
forward improvements. In this context, the International Civil Aviation Organisation 
(ICAO) has encouraged the transition towards a more proactive and evidence-based 
safety approach. The effectiveness of such a proactive system greatly depends on the 
ability 
including 
information  on  civil  aviation  occurrences.  Indeed,  data  is  vital  to  identify  safety 
hazards, for without sound information any attempt to identify the hazards would be 
guess work. 

to  systematically  analyse  all  available  safety 

information, 

At  European  Union  level,  the  transition  towards  a  more  proactive  and  evidence-
based  aviation  safety  management  system  has  already  started  with  the  adoption  of 
Directive  2003/42/EC1  which  requires  each  Member  State  to  set  up  a  mandatory 
occurrence reporting system. Under this legislation Member States are requested to 
collect,  store,  protect  and  disseminate  between  themselves  information  on  certain 
civil aviation incidents and aviation professionals are obliged to report occurrences in 
their  daily  operational  work.  This  legislation  was  completed  in  2007  by  two 
implementing regulations2. The first one established a European Central Repository 
(ECR) regrouping all civil aviation occurrences collected by Member States, and the 
second one laid down rules regarding the dissemination of the information contained 
in  the  ECR.  Around  600,000  occurrences  are  currently  stored  in  the  ECR  and  this 
figure is growing daily.  

1.2. 

The reasons behind the proposal 

Directive  2003/42/EC  has  established  the  basis  for  a  proactive  and  evidence-based 
aviation safety management system in the European Union by imposing the reporting 

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2 

Directive 2003/42/EC of  the European  Parliament  and of  the  Council  of 13  June  2003 on  occurrence 
reporting in civil aviation; OJ L 167, 4.7.2003, p. 23. 
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,  OJ  L  294  of 
13.11.2007, p. 3; and Commission Regulation (EC) No 1330/2007 of 24 September 2007 laying down 
implementing  rules  for  the  dissemination  to  interested  parties  of  information  on  civil  aviation 
occurrences, OJ L 295 of 14.11.2007, p. 7. 

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of  occurrences.  However  the  European  Union  and  its  Member  States  are  currently 
not  sufficiently  able  to  use  experience  feedback  for  preventing  accidents  and  the 
current legislation is insufficient to prevent that the number of accidents and related 
fatalities would increase as a consequence of the expected traffic growth.  

A number of reasons in relation to the current European legislation can explain this 
situation. 

Firstly  it  appears  that,  whilst  data  is  vital  to  identify  safety  hazards,  there  is  not 
sufficient  awareness  of  all  safety  occurrences.  This  situation  is  partly  due  to  the 
discrepancy  in  the  scope  of  reportable  occurrences  between  the  Member  States.  It 
also  comes  from  the  fact  that  individuals  are  afraid  to  report  (the  "Just  Culture" 
issue).  Indeed  to  reach  the  goal  of  full  reporting,  individuals  must  have  full 
confidence in the system because they are notably asked to report mistakes they may 
have made or contributed to. However, individuals are not equally protected among 
the  Member  States  and  they  fear  being  punished  by  their  hierarchy  or  being 
prosecuted.  In  addition,  the  lack  of  EU  obligation  to  establish  voluntary  reporting 
scheme to complete the mandatory schemes and the insufficient clarity in occurrence 
reporting  obligations  and  in  the  flow  of  information  are  also  contributing  to  the 
insufficient collection of occurrences. 

Secondly, occurrence data integration is not harmonised and is unstructured causing 
a low quality of information and an incompleteness of data. This situation affects the 
consistency and the usefulness of information and limits its use for safety purposes.  

Thirdly there are legal and organisational  obstacles for ensuring adequate access to 
information  contained  in  the  European  Central  Repository.  Indeed  European 
legislation obliges the de-identification of certain information. Although the purpose 
of such provisions is to protect sensitive safety information, its practical consequence 
is that important safety related facts, such as the actual description of the occurrence, 
are not available to the authorities. 

Finally,  the  current  legislation  does  not  include  provisions  indicating  how  Member 
States  should  use  the  data  collected.  However,  since  the  adoption  of  the  Directive, 
principles related to the analysis and follow up of the information collected through 
occurrence  reporting  systems  have  been  agreed  at  international  level  but  not  yet 
transposed  into  European  legislation.  Therefore  this  has  led  to  quite  diverse  and 
divergent approaches among Member States. 

1.3. 

Objectives of the proposal 

The main objective of the initiative is to contribute to the reduction of the number of 
aircraft accidents and related fatalities, through the improvement of existing systems, 
both  at  national  and  European  level,  using  civil  aviation  occurrences  for  correcting 
safety deficiencies and prevent them from reoccurring. 

The specific objectives are the following: 

(1) 

Ensure  that  all  occurrences  which  endanger  or  would  endanger  aviation  safety  are 
collected  and  are  providing  a  complete  and  clear  picture  of  safety  risks  in  the 
European Union and its Member States; 

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(2) 

(3) 

(4) 

Ensure  that  data  issued  from  reported  occurrences  and  stored  in  the  national 
databases and in the ECR are complete and of high quality; 

Ensure  that  all  safety  information  stored  in  the  ECR  is  accessed  adequately  by 
appropriate  authorities  and  that  they  are  used  strictly  for  safety  enhancement 
purposes; 

Ensure  that  reported  occurrences  are  effectively  analysed,  that  safety  hazards  are 
identified  and  addressed  where  relevant  and  that  the  safety  effectiveness  of  actions 
taken is monitored. 

1.4. 

Existing provisions in the area of the proposal 

The proposal concerns the adoption of a regulation on occurrence reporting in civil 
aviation. The new regulation is intended to replace and repeal the existing Directive 
2003/42/EC,  its  implementing  rules,  Commission  Regulation  (EC)  No  1321/2007 
and Commission Regulation (EC) No 1330/2007, and to amend Regulation (EU) No 
996/20103. Establish a general framework for occurrence reporting in the European 
Union is not dealt with directly by any other provisions. 

1.5. 

Consistency with policies and objectives of the European Union 

This initiative is one of the actions necessary for the Single European Transport Area 
as described in the Commission's White Paper 2011 "Roadmap to a Single European 
Transport Area - Towards a competitive and resource efficient transport system"4. It 
has also been highlighted as point for action in the Commission Communication on 
"Setting up a Safety Management System for Europe"5. 

2. 

RESULTS OF CONSULTATIONS WITH THE INTERESTED PARTIES AND 
IMPACT ASSESSMENT 

2.1. 

Consultation of interested parties and use of expertise 

During  the  preparation  phase  extensive  consultations  took  place  in  respect  of  the 
general  principles  and  minimum  standards  for  consultation  of  the  interested  parties 
by the Commission.  

The Commission consulted all 27 Member States through a questionnaire sent out on 
7  April  2011.  The  Commission  received  answers  from  all  Member  States  but  one. 
The Commission also conducted some on site visits to Member States. 

The Commission consulted interested stakeholders and the general public through a 
public consultation which was opened from 24 June 2011 to 15 September 2011 on 

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Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on 
the  investigation  and  prevention  of  accidents  and  incidents  in  civil  aviation  and  repealing  Directive 
94/56/EC Text with EEA relevance; OJ L 295, 12.11.2010, p. 35. 
COM/2011/0144 final. 
COM/2011/0670 final. 

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the  "Your  Voice  in  Europe"  internet  website.  In  total,  61  replies  were  submitted  in 
response6.  

In  application  of  Commission  Decision  98/500/EC7  the  Civil  Aviation  Social 
Dialogue  Committee  was  invited  to  formalise  a  position  on  the  review  where 
necessary. In addition, the opinion of the European Network of Civil Aviation Safety 
Investigation  Authorities  (ENCASIA)  was  also  sought  in  accordance  with  Article 
7(3) of Regulation (EU) No 996/2010. 

All interested stakeholders and authorities were invited to a workshop organised by 
the Commission which focused on the "Just culture" issue and which took place on 
19 April 20128.  

The Commission also asked the opinion of the European Data Protection Supervisor. 
Finally,  a  study  on  the  establishment  of  a  common  risk  classification  of  civil 
occurrences has been carried out. 

All  these  contributions  have  been  used  by  the  Commission  for  the  drafting  of  the 
Impact Assessment and of the proposal. 

2.2. 

Impact Assessment 

The  Impact  Assessment  provides  an  overview  of  the  different  options  considered. 
Three policy packages, in addition to the option of not introducing any change to the 
current  situation,  were  considered  to  assess  how  Directive  2003/42/EC  could  be 
revised. 

Policy  package  1  aims  at  improving  the  current  system  in  establishing  the  basic 
elements of a complete occurrence reporting system and its contribution to aviation 
safety  improvement  through  amendment  to  the  legislation  only  to  the  necessary 
minimum  and  adoption  of  recommendations  and  guidance  wherever  possible.  It 
contains the less intense policy measures identified.  

Policy package 2 consists of a more ambitious package of policy measures entailing 
a substantial revision of EU legislation on occurrence reporting. It seeks to improve 
the current system by establishing the necessary legislative requirements for ensuring 
an  efficient  occurrence  reporting  system  at  all  levels  and  to  contribute  to  the 
reduction of aircraft accidents through the establishment of processes for the analysis 
of  data  collected,  the  adoption  of  appropriate  measures  and  the  monitoring  of  the 
system efficiency in terms of safety improvements.  

Policy  package  3  aims  at  improving  the  current  system  by  transferring  Member 
States occurrence reporting competencies to the EU level and establish, as in policy 
package  2,  requirements  for  occurrence  analysis  together  with  the  adoption  of 
necessary  safety  actions  and  improvement  monitoring.  Under  this  package,  the 

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of 

the 

summary 

A 
consultation 
http://ec.europa.eu/transport/air/consultations/2011_11_09_occurence_en.htm. 
Commission  Decision  of  20  May  1998  on  the  establishment  of  Sectoral  Dialogue  Committees 
promoting the Dialogue between the social partners at European level; OJ L 225, 12.8.1998, p. 27. 
The  meeting  summary  and  adopted  conclusions  are  available  on 
http://ec.europa.eu/transport/modes/air/events/2012-04-19-seminar-aviation-safety_en.htm 

the  following  webpage: 

following  webpage: 

available 

the 

on 

is 

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responsibility to establish and manage occurrence reporting schemes is transferred to 
the European Aviation Safety Agency (EASA). 

In  view  of  the  assessment  of  the  different  policy  packages  on  the  basis  of  the 
efficiency, effectiveness  and  consistency criteria, it  is  recommended that the policy 
package 2 should be implemented as its benefits would be considerably higher than 
the costs incurred. It is the only option which fully satisfies the identified objectives 
as demonstrated in the Impact Assessment. Therefore this policy package constitutes 
the basis for this proposal. 

3. 

LEGAL ELEMENTS OF THE PROPOSAL 

3.1. 

Summary of the proposal 

3.1.1.  Better collection of occurrences 

The  proposal  establishes  the  appropriate  environment  for  ensuring  that  all 
occurrences which endanger or would endanger aviation safety are reported.  

Firstly,  the  proposal  maintain  the  obligation  to  establish  mandatory  occurrence 
reporting  systems  (MORS)  and  lists  the  persons  obliged  to  report  as  well  as  the 
occurrences  to  be  reported  under  the  MORS.  Next  to  the  mandatory  system,  the 
proposal  imposes  the  establishment  of  voluntary  systems  whose  aim  is  to  collect 
occurrences which have not been captured by the MORS. 

The  proposal  also  contains  provisions  ensuring  the  appropriate  environment  for 
encouraging aviation professionals to report safety related information by protecting 
them from punishment except in cases of gross negligence.  

3.1.2.  Clarification of the flow of information 

The  current  Directive  imposes  on  individuals  to  report  occurrences  directly  to 
Member States Authorities while, in reality, Member States Authorities receive most 
occurrence reports from organisations which collect them from individuals as part of 
their safety management process. The proposal takes this evolution into account and 
introduces  requirements  for  organisations.  Organisations  and  Member  States  are 
obliged to establish occurrence reporting systems which will enable the identification 
of safety hazards. The occurrences collected by organisations shall be transmitted to 
Member  States  competent  authorities  or  to  the  European  Aviation  Safety  Agency 
(EASA)  when  relevant.  All  occurrences  collected  by  Member  States,  organisations 
and EASA are aggregated into the European Central Repository. 

3.1.3. 

Improved quality and completeness of data 

The  proposal  includes  a  number  of  provisions  aiming  at  improving  the  quality  and 
the completeness of occurrence reports and therefore enabling a better identification 
of key risk areas and of the need for action to be identified. 

Occurrence reports will have to contain minimum information with the definition of 
mandatory data fields such as the date of the occurrence, the occurrence category or 
the narrative of the occurrence. The proposal also includes the obligation to classify 

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occurrences  in  terms  of  risk  according  to  a  European  common  risk  classification 
scheme. In addition quality data checking processes should be implemented notably 
to  ensure  the  consistency  between  an  occurrence  report  and  the  initial  information 
collected from the  reporter. Finally the Commission will  support  Member States in 
reaching  higher  data  quality  and  completeness  standards  by  supporting  the 
development  of  guidance  material  and  the  use  of  workshops.  This  should  aim  at 
ensuring a consistent and uniform integration of data into databases.  

3.1.4.  Better exchange of information 

The proposal addresses the need for better exchange of information by strengthening 
the existing rules.  

In that perspective, the access by Member States and EASA to the European Central 
Repository, which contains all occurrences collected by Member States as well as by 
EASA, is extended to all data and information contained in the database. These new 
provisions  notably  allow  Member  States  to  have  access  to  safety  data  about 
occurrences  which  took  place  in  their  airspace  but  were  reported  and  assessed  by 
another Member State Authority. 

In addition, when, in the assessment of data collected through occurrence reporting 
systems, an authority identifies safety matters considered to be of interest for another 
authority, it shall forward the information in a timely manner. 

Finally, in order to facilitate the exchange of data and information, the text requests 
that  all  occurrence  reports  should  be  compatible  with  the  ECCAIRS  software  (this 
software is used by all Member States and for the European Central Repository) and 
with  the  ADREP  taxonomy  (the  ICAO  taxonomy  also  used  in  the  ECCAIRS 
software). 

3.1.5.  Better protection against inappropriate use of safety information 

The necessary corollary to a wider access to safety data and information contained in 
the  European  Central  Repository  is  to  ensure  that  they  are  used  for  appropriate 
purposes.  

In  that  sense,  the  proposal  strengthens  the  rules  on  ensuring  that,  beside  the 
obligation to guarantee the confidentiality of the data collected, it can only be made 
available and used for the purpose of maintaining or improving aviation safety. 

The  text  also  attempts  to  diminish  the  negative  effect  that  the  use  of  this  data  by 
judicial  authorities  may  have  on  aviation  safety  by  the  obligation  to  adopt  advance 
arrangements  establishing  provisions  which  should  find  the  right  balanced  between 
the two public interests at stake (justice and aviation safety). 

3.1.6.  Better protection of reporter to ensure the continued availability of information 

The proposal strengthens the rules related to the protection of occurrence reporter to 
ensure that people are confident in the system and that appropriate safety information 
is reported. 

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In that perspective, the text reaffirms the obligation to disidentify occurrence reports 
and  limits  the  access  to  fully  identified  data  only  to  certain  persons.  In  addition, 
Member  States  are  asked  to  refrain  from  instituting  proceedings  except  in  cases  of 
gross negligence.  

The  rule  under  which  employees  shall  not  be  subject  of  prejudice  from  their 
employer,  except  in  cases  of  gross  negligence,  on  the  basis  of  the  information 
reported  according  to  the  rules  provided  by  this  regulation  is  reinforced. 
Organisations  are  also  asked  to  adopt  a  policy  describing  how  the  employees' 
protection is guaranteed. 

Finally, national bodies are established, allowing employees to report infringements 
to the rules which guarantee their protection and penalties should be adopted where 
appropriate. 

3.1.7. 

Introduction  of  requirements  on  information  analysis  and  adoption  of  follow  up 
actions at national level 

The  proposal  advances  the  transition  towards  a  more  proactive  and  evidence  based 
safety  system  in  Europe  as  it  imposes  new  requirements  which  are  transposing  the 
rules related to the analysis and follow up of occurrences collected, which have been 
agreed at international level, into EU law. 

Organisations  and  Member  States  are  required  to  analyse  the  information  collected 
through  occurrence  reporting  systems  in  order  to  identify  safety  risks  and  to  take 
actions  in  order  to  remedy  to  any  safety  deficiency  identified.  The  effectiveness  of 
these  actions  in  terms  of  safety  improvement  shall  be  monitored  and  additional 
actions taken if necessary. 

3.1.8. 

Stronger analysis at EU level 

Article 19 of Regulation (EU) No 996/2010 has already established the principle that 
the  information  contained  in  the  European  Central  Repository  shall  be  analysed  by 
EASA  and  the  Member  States.  This  principle  is  reinforced  and  the  on-going 
collaboration  formalised  within  a  Network  of  Aviation  Safety  Analysts  chaired  by 
EASA.  

Analysis at EU level will complement what is done at national level notably by the 
identification of possible safety problems and key risk areas at European level. The 
common EU risk classification scheme will support this task by the classification of 
all occurrences collected by Member States in a harmonised manner. 

The  European  Aviation  Safety  Programme  and  the  European  Aviation  Safety  Plan 
will  both  benefit  from  the  analysis  and  activities  performed  by  the  Network  of 
Aviation Safety Analysts. 

3.1.9. 

Improved transparency towards the general public 

The  proposal,  while  respecting  the  necessary confidentiality  of  certain  information, 
brings  more  transparency  on  aviation  safety  matter  for  the  general  public  by  the 
publication  of  annual  safety  reviews  containing  information  about  actions  taken  in 
application of this regulation, trends and aggregated data. 

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3.2. 

Legal basis 

The proposal is based on Article 100(2) TFUE. 

3.3. 

Subsidiarity principle 

The  subsidiarity  principle  applies  insofar  as  the  proposal  does  not  fall  under  the 
exclusive competence of the European Union. The objectives of the proposal cannot 
be sufficiently achieved by the Member States individually. EU action is better able 
to achieve the objectives of the proposal.  

European action will better achieve the objectives of the proposal for the following 
reasons. First, there is a need to harmonise the reporting of occurrences and the rules 
related to use and protection of information and reporter's protection; and secondly, it 
is  necessary  for  safety  means  to  strengthen  the  system  of  information  exchange 
between Member States and to ensure that this information is analysed and that they 
are follow up actions taken in all Member States. In addition issues such as access to 
the  ECR  data  and  establishing  processes  and  tools  to  analyse  ECR  data  cannot  be 
achieved at national level as it involves a European database for which action should 
be  taken  at  EU  level.  Action  at  national  level  is  absolutely  necessary  but  is  not 
sufficient to ensure the good functioning of the system as a whole and subsequently 
contribute  to  improve  air  safety.  Indeed,  the  objective  of  air  safety  improvement 
cannot  be  sufficiently  achieved  by  the  Member  States  because  reporting  systems 
operated by Member States in isolation are less efficient than a coordinated network 
with exchange of information enabling an identification of possible safety problems 
and key risk areas at European level. 

Therefore, the proposal complies with the subsidiarity principle. 

3.4. 

Proportionality principle 

The proposal complies with the proportionality principle. The additional burdens for 
industry  and  national  authorities  are  limited  to  those  necessary  to  enhance  the 
efficiency and overall quality of the system. While the proposal involves costs with 
regards  to  the  implementation  of  provisions  related  to  analysis  and  follow  up  of 
occurrences these are expected to be offset by the economic benefits obtained by a 
decreased number of accidents and of related fatalities. 

3.5. 

Choice of legal instrument 

The  legal  instrument  would  have  to  be  of  general  application.  The  proposed 
instrument is a regulation.  

Other means would not be adequate notably for the following reasons: 

• 

• 

the  proposal  establishes  rights  and  obligations  for  the  European  Aviation 
Safety Agency which prevents the use of a directive; 

many  shortcomings  and  problem  areas  identified  with  the  current  legal 
framework are linked to divergent implementation among Member States. The 
variation in practices resulting from  the present directive clearly shows that a 

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directive is not the appropriate instrument to achieve unanimous and consistent 
application of the law in an area where it is needed for safety reasons. 

Therefore  the  most  appropriate  legal  instrument  is  a  regulation,  since  alternative 
options would not be sufficient to achieve the proposed objectives. 

4. 

BUDGETARY IMPLICATION  

The  budgetary  implications  related  by  the  development  of  a  common  EU  risk 
classification scheme and the extension of the budget allocated to the development of 
ECCAIRS  and  the  management  of  the  European  Central  Repository  are  already 
covered in the Multi-Annual financial framework. 

The budgetary implication of this proposal is related to additional human resources 
for the European Aviation Safety Agency (involved by the Network of Analysts) and 
additional budget for mission and outreach activities.  

Both  additional  human  resources  (2  posts  estimated  at  €300.000  per  year)  and 
additional budget (mission and outreach activities estimated at €65.000 per year) will 
fully  be  covered  by  redeployment  within  the  existing  resources  of  the  Agency, 
therefore having an impact on the EU budget which is neutral. 

5. 

OPTIONAL ELEMENTS  

5.1. 

Simplification 

The proposal provides for simplification of legislation, since it replaces a Directive 
and  two  Commission  Regulations  by  a  single  act,  a  Regulation  from  the  European 
Parliament and the Council, and will not require national implementing measures. 

5.2. 

Repeal of existing legislation 

Adoption of the proposal will lead to the repeal of the existing Directive 2003/42/EC, 
Commission  Regulation  (EC)  No  1321/2007  and  Commission  Regulation  (EC)  No 
1330/2007 and to the amendment of Regulation (EU) No 996/2010. 

5.3. 

European Economic Area 

The  proposed  act  concerns  an  EEA  matter  and  should  therefore  extend  to  the 
European Economic Area. 

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2012/0361 (COD) 

Proposal for a 

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL 

on occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and 
repealing Directive No 2003/42/EC, Commission Regulation (EC) No 1321/2007 and 
Commission Regulation (EC) No 1330/2007 

(Text with EEA relevance) 

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION, 

Having  regard  to  the  Treaty  on  the  Functioning  of  the  European  Union,  and  in  particular 
Article 100(2) thereof, 

Having regard to the proposal from the European Commission, 

After transmission of the draft legislative act to the national Parliaments, 

Having regard to the opinion of the European Economic and Social Committee9,  

Having regard to the opinion of the Committee of the Regions10,  

After consulting the European Data Protection Supervisor11, 

Acting in accordance with the ordinary legislative procedure, 

Whereas: 

(1) 

(2) 

(3) 

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10 
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12 

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

The rate of fatal accidents in civil aviation has overall remained fairly constant in the 
last  decade;  nevertheless  there  is  concern  that  the  forecasted  traffic  increase  for  the 
next decades could lead to an increase in the number of accidents. 

Regulation  (EU)  No  996/2010  of  the  European  Parliament  and  of  the  Council  of  20 
October  2010  on  the  investigation  and  prevention  of  accidents  and  incidents  in  civil 
aviation12  aims  at  preventing  accidents  by  facilitating  the  conduct  of  expeditious, 
efficient  and  qualitative  safety  investigations.  This  Regulation  should  not  interfere 

OJ C , , p. . 
OJ C , , p. . 
OJ C […], […], p. […]. 
OJ L 295, 12.11.2010, p. 35. 

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(4) 

(5) 

with the process of accidents and incidents investigations managed by national Safety 
Investigation Authorities as defined in Regulation (EU) No 996/2010. 

Experience has shown that often before an accident occurs, a number of incidents and 
numerous other deficiencies have shown the existence of safety hazards. In addition, 
whilst the ability to learn lessons from an accident is crucial, purely reactive systems 
have shown their limit in continuing to bring forward improvements. The Union and 
its  Member  States  should  move  towards  more  proactive  and  evidence  based  safety 
processes which focus on preventing an accident occurring by analysing all available 
safety information, including information on civil aviation occurrences. 

The  improvement  of  civil  aviation  safety  requires  that  relevant  civil  aviation  safety 
information should be reported, collected, stored, protected, exchanged, disseminated, 
analysed  and  that  appropriate  safety  actions  should  be  taken  on  the  basis  of  the 
information  collected.  This  proactive  and  evidence  based  approach  should  be 
implemented  by  Member  States  relevant  aviation  safety  authorities,  by  organisations 
as  part  of  their  safety  management  system  and  by  the  European  Aviation  Safety 
Agency (EASA). 

(6)  Mandatory  and  voluntary  reporting  systems  allowing  individuals  to  report  details  on 
occurrences should be set up and the information collected should be transferred to the 
authority competent for taking action on the basis of occurrences collected in order to 
enhance civil aviation safety.  

(7) 

(8) 

(9) 

(10) 

Various categories of personnel working in civil aviation observe events of interest for 
the prevention of accidents and should therefore report them. 

The  development  of  other  means  to  collect  safety  information  next  to  the  systems 
required  by  this  legislation  should  be  encouraged  in  order  to  capture  all  information 
which could contribute to the enhancement of aviation safety. 

Safety  investigation  authorities  should  get  full  access  to  details  on  occurrences 
collected or occurrence reports stored by their Member States in order to decide which 
incidents may require a safety investigation and produce safety lessons serving for the 
interest of aviation safety. 

It  is  crucial  to  get  good  quality  and  complete  data  as  analysis  and  trends  based  on 
inaccurate  data  may  involve  misleading  results  and  focus  efforts  where  no  action  is 
appropriate.  In  addition  such  inaccurate  data  may  lead  to  a  loss  of  confidence  in  the 
information issued from occurrences reporting schemes. In order to ensure the quality 
and  the  completeness  of  occurrences  reports,  they  should  contain  minimum 
information  which  may  vary  depending  on  the  occurrence  category.  In  addition, 
processes to check the quality of information and to ensure the consistency between an 
occurrence  report  and  the  initial  details  on  occurrence  collected  should  be 
implemented.  In  addition,  with  the  support  of  the  Commission,  adequate  guidance 
material should be developed notably to ensure the quality and completeness of data as 
well as a consistent and uniform integration of data into databases. Workshops should 
also be organised, notably by the Commission, to provide the necessary support. 

(11)  A common European risk classification scheme should be developed in order to allow 
support  for  the  identification  of  necessary  quick  action  when  looking  at  high  risk 
single safety occurrences. It should also allow the identification of key risk areas when 

EN 

12 

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looking  at  aggregated  information.  Such  a  scheme  should  support  Member  States  in 
their assessment of occurrences and in determining where to best focus their efforts. It 
should  also,  when  looking  at  aggregated  information  from  a  European  perspective, 
allow the identification of key risk areas within the Union and support the work done 
in the area of the European Aviation Safety Programme and of the European Aviation 
Safety Plan. Appropriate support should be given to ensure a consistent and a uniform 
risk classification across Member States. 

(12)  Occurrence reports should be stored in databases which should be a system compatible 
with  ECCAIRS  (the  software  used  by  all  Member  States  and  the  European  Central 
Repository  to  store  occurrence  reports)  and  with  the  ADREP  taxonomy  (the  ICAO 
taxonomy,  also  used  for  the  ECCAIRS  software)  in  order  to  facilitate  information 
exchange.  

(13)  Occurrences  involving  an  aircraft  registered  in  a  Member  State  or  operated  by  an 
organisation established in a Member State should be reported even when it happened 
outside the territory of the Member States. 

(14) 

Information  on  occurrences  should  be  exchanged  within  the  Union.  This  should 
notably  greatly  enhance  the  detection  of  actual  or  potential  hazards.  In  addition,  this 
should  allow  Member  States  to  receive  all  necessary  information  on  occurrences 
occurring in their territory but which are reported to another Member State. 

(15)  The  exchange  of  information  on  occurrences  should  respect  the  objective  of 
preventing aviation accidents and incidents, excluding as a consequence the attribution 
of blame and liability as well as benchmarking of safety performance. 

(16)  The  most  efficient  way  to  ensure  the  exchange  of  a  large  amount  of  information 
between  all  the  Member  States,  the  Commission  and  EASA  is  the  European  Central 
Repository. 

(17)  All  safety  related  information  issued  from  occurrence  reports  collected  in  the  Union 
should  be  transferred  in  the  European  Central  Repository  in  a  timely  manner.  This 
should include the collection of incidents but also information derived from accidents 
and serious incidents investigated in accordance with Regulation (EU) No 966/2010. 

(18) 

Information concerning national occurrences, stored in the national databases, should 
be subject to the present Regulation. 

(19)  Safety  information  contained  in  the  European  Central  Repository  should  be  fully 
available  to  entities  entrusted  with  regulating  civil  aviation  safety,  including  EASA, 
and  to  the  authorities  in  charge  of  investigating  accidents  and  incidents  within  the 
Union. 

(20) 

Interested parties may request access to certain information contained in the European 
Central Repository. 

(21)  As national points of contacts have the best knowledge of interested parties established 
in  their  own  Member  State,  each  national  point  of  contact  should  deal  with  requests 
from interested parties established in the territory of that Member State while requests 
from interested parties from third countries or from international organisations should 
be dealt with by the Commission.  

EN 

13 

   EN 

 
(22) 

Information  contained  in  occurrence  reports  should  be  analysed  and  safety  risks 
identified.  As  a  result,  appropriate  actions  for  improving  aviation  safety  should  be 
determined  and  implemented  in  a  timely  manner.  Information  on  the  analysis  and 
follow  up  of  occurrences  should  be  disseminated  within  organisations  and  Member 
States  authorities  as  providing  feedback  on  occurrences  reported  is  a  good  incentive 
for individuals to report occurrences. 

(23)  The  effectiveness  of  safety  measures  adopted  should  be  monitored  and,  where 
necessary,  additional  actions  should  be  taken  to  ensure  that  the  safety  deficiencies 
have  been  correctly  addressed.  Information  contained  in  occurrence  reports  should 
also be used in the form of aggregated data to detect trends. 

(24)  When determining the actions to be included within their State Safety Programme and 
in order to ensure that the actions are evidence based, Member States should use the 
information coming from the occurrence reports collected and their analysis. 

(25)  Since the objective of air safety improvement cannot be sufficiently  achieved by the 
Member States because reporting systems operated by Member States in isolation are 
less  efficient  than  a  coordinated  network  with  exchange  of  information  enabling  an 
identification  of  possible  safety  problems  and  key  risk  areas  at  Union  level,  the 
analysis  at  national  level  should  be  complemented  by  an  analysis  and  follow-up  at 
Union  level  in  order  to  ensure  better  prevention  of  aviation  accidents  and  incidents. 
This  task  at  Union  level  should  be  carried  out  by  a  Network  of  Aviation  Safety 
Analysts.  

(26)  The  European  Aviation  Safety  Programme  and  the  European  Aviation  Safety  Plan 
should notably benefit from the work of the Network of Aviation Safety Analysts to 
determine  the  actions  to  be  implemented  at  Union  level  in  an  evidence  based 
perspective. 

(27)  The  general  public  should  be  provided  with  general  aggregated  information  on  the 
level of aviation safety in Member States and in the Union. This information should in 
particular  cover  trends  and  analysis  resulting  from  the  implementation  of  this 
Regulation  by  the  Member  States,  as  well  as  information  on  the  content  of  the 
European Central Repository in an aggregated manner. 

(28)  The  civil  aviation  safety  system  is  based  on  feedback  and  lessons  learned  from 
accidents  and  incidents.  Occurrence  reporting  and  the  use  of  occurrences  for  the 
benefit  of  safety  are  built  on  a  relation  of  confidence  between  the  reporter  of  the 
occurrence and the entity in charge of its collection and assessment. This requires the 
strict  application  of  rules  on  confidentiality.  The  purpose  of  protecting  safety 
information  from  inappropriate  use  and  the  limited  access  to  the  European  Central 
Repository only to interested parties participating in the improvement of civil aviation 
safety  are  there  to  ensure  continued  availability  of  safety  information  so  that  proper 
and  timely  preventive  actions  can  be  taken  and  aviation  safety  improved.  In  this 
context, sensitive safety information should be protected in an appropriate way and its 
collection ensured by guaranteeing its confidentiality, the protection of its source and 
the  confidence  of  the  personnel  working  in  civil  aviation.  Appropriate  measures 
should  be  put  in  place  to  enable  the  confidentiality  of  information  collected  through 
occurrence  reporting  schemes  and  the  access  to  the  European  Central  Repository 
should be restricted. National freedom of information acts should take into account the 

EN 

14 

   EN 

 
necessary  confidentiality  of  such  information.  The  information  collected  should  be 
adequately protected from unauthorised use or disclosure. It should strictly be used for 
the  purpose  of  maintaining  or  improving  aviation  safety  and  should  not  be  used  to 
attribute blame or liability. 

(29)  A person who has reported an occurrence in application of this Regulation should be 
adequately  protected.  In  this  context  occurrence  reports  should  be  disidentified  and 
details related to the reporter should not be registered into databases. 

(30) 

In  addition  the  civil  aviation  system  should  promote  a  non-punitive  environment 
facilitating  the  spontaneous  reporting  of  occurrences  and  thereby  advancing  the 
principle  of  ‘Just  Culture’.  A  non-punitive  environment  should  not  prevent  the 
adoption of actions necessary to maintain or enhance the level of aviation safety. 

(31)  A  'Just  Culture'  environment  should  encourage  individuals  to  report  safety  related 
information.  It  should  however  not  absolve 
their  normal 
responsibilities.  In  this  context,  employees  should  not  be  punished  on  the  basis  of 
information  they  have  provided  in  application  of  this  Regulation,  expect  in  case  of 
gross negligence. 

individuals  from 

(32) 

It  is  important  to  clearly  set  the  line  which  protects  the  reporter  from  prejudice  or 
prosecution by providing a common understanding of the term gross negligence. 

(33)  Occurrences reported should be handled by designated persons working independently 
from other departments in order to contribute  to  the  implementation  of  'Just  Culture' 
and enhance the confidence of individuals in the system. 

(34)  Employees should have the possibility to report breaches to the principles delimiting 
their  protection  as  established  by  this  legislation.  Member  States  should  define  the 
consequences  for  those  having  infringed  the  principles  of  protection  of  reporter  and 
should adopt penalties when relevant. 

(35) 

(36) 

Individuals  may  be  refrained  to  report  occurrences  by  the  fear  of  self-incrimination 
and their potential consequences in terms of prosecution before judicial authorities. In 
this  context  Member  States  should  not  institute  proceeding  against  a  reporter  on  the 
basis  of  its  report,  except  in  case  of  gross  negligence.  In  addition,  the  cooperation 
between  safety  and  judicial  authorities  should  be  enhanced  and  formalised  by  the 
means of advance arrangements which should respect the balance between the various 
public  interests  at  stake  and  notably  cover  the  access  and  use  of  occurrence  reports 
contained in the national databases. 

In order to ensure the appropriate flexibility and update of the information contained 
in  the  Annexes  to  this  Regulation  as  well  as  to  define  the  common  European  risk 
classification  scheme,  to  update  the  measures  concerning  the  integration  into  the 
European Central Repository and to extend or restrict the dissemination of information 
contained in the European Central Repository, the power to adopt acts in accordance 
with  Article  290  of  the  Treaty  on  the  Functioning  of  the  European  Union  should  be 
delegated to the Commission. It is of particular importance that the Commission carry 
out  appropriate  consultations  during  its  preparatory  work,  including  at  expert  level. 
The  Commission,  when  preparing  and  drawing-up  delegated  acts,  should  ensure  a 
simultaneous,  timely  and  appropriate  transmission  of  relevant  documents  to  the 
European Parliament and Council. 

EN 

15 

   EN 

 
(37) 

In  order  to  ensure  uniform  conditions  for  the  implementation  of  this  Regulation, 
implementing  powers  should  be  conferred  on  the  Commission  relating  to  the 
implementation  of  the  common  European  risk  classification  scheme  and  to  the 
management of the European Central Repository. Those powers should be exercised in 
accordance with Regulation (EU) No 182/2011 of the European Parliament and of the 
Council of 16 February 2011 laying down the rules and general principles concerning 
mechanisms  for  control  by  the  Member  States  of  the  Commission's  exercise  of 
implementing powers13. 

(38)  The rules on data processing and the protection of individuals as defined in Directive 
95/46  of  the  European  Parliament  and  of  the  Council  of  24  October  1995  on  the 
protection of individuals with regard to the processing of personal data and on the free 
movement  of  such  data14  and  in  Regulation  (EU)  No  45/2001  of  the  European 
Parliament and of the Council of 18 December 2000 on the protection of individuals 
with regard to the processing of personal data by the EU institutions and bodies and on 
the free movement of such data15 should be fully respected in the application of this 
Regulation. The rules on access to data as defined in Regulation (EC) No 1049/2001 
of  the  European  Parliament  and  of  the  Council  of  30  May  2001  regarding  public 
access to European Parliament, Council and Commission documents16 should be fully 
respected  in  the  application  of  this  Regulation  expect  when  it  relates  to  the 
dissemination  of  data  and  information  contained  in  the  European  Central  Repository 
which are protected under stricter access rules laid down in this Regulation.  

(39)  Penalties should, in particular, allow for the sanctioning of any person or entity who, 
contrary  to  this  Regulation,  misuses  information  protected  by  this  Regulation;  adopt 
prejudice  against  the  reporter  of  an  occurrence  except  in  case  of  gross  negligence; 
does not establish an environment appropriate for allowing the collection of details on 
occurrences; does not analyse the information collected and does not act to address the 
safety  or  potential  safety  deficiencies  detected;  does  not  share  the  information 
collected in application of this Regulation. 

(40)  Since the objective of this Regulation, namely the establishment of common rules in 
the  field  of  occurrence  reporting  in  civil  aviation  be  sufficiently  achieved  by  the 
Member States and can therefore, by reason of its Europe-wide scale and effects, be 
better achieved at Union level, the Union may adopt measures, in accordance with the 
principle  of  subsidiarity  as  set  out  in  Article  5  of  the  Treaty  on  European  Union.  In 
accordance  with  the  principle  of  proportionality,  as  set  out  in  that  Article,  this 
Regulation does not go beyond what is necessary in order to achieve that objective. 

(41)  Regulation (EU) No 996/2010 should be amended. 

(42)  Directive 2003/42/EC of the European Parliament and of the Council of 13 June 2003 
on  occurrence  reporting  in  civil  aviation17,  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  18, Commission 

13 
14 
15 
16 
17 
18 

OJ L 55, 28.2.2011, p. 13. 
OJ L 281, 23.11.1995, p. 31. 
OJ L 8, 12.1.2001, p. 1. 
OJ L 145, 31.5.2001, p. 43. 
OJ L 167, 4.7.2003, p. 23. 
OJ L 294 of 13.11.2007, p. 3. 

EN 

16 

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Regulation  (EC)  No  1330/2007  of  24  September  2007  laying  down  implementing 
rules  for  the  dissemination  to  interested  parties  of  information  on  civil  aviation 
occurrences19 should be repealed. 

HAVE ADOPTED THIS REGULATION: 

Article 1 

Subject matter 

1. 

This  Regulation  aims  to  improve  aviation  safety  by  ensuring  that  relevant  civil 
aviation  safety  information  is  reported,  collected,  stored,  protected,  exchanged, 
disseminated,  analysed  and  that  safety  actions  are  taken  on  the  basis  of  the 
information  collected  where  appropriate.  It  also  provides  for  rules  concerning  the 
integration  of  information  collected  into  a  European  Central  Repository  and 
concerning  their  dissemination  to  interested  parties  with  the  objective  of  providing 
such parties with the information they need to improve civil aviation safety. 

2. 

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

Article 2  

Definitions 

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

(1) 

(2) 

(3) 

(4) 

(5) 

(6) 

‘disidentification’  means  removing  from  occurrence  reports  submitted  all  personal 
details pertaining to the reporter and technical details which are leading to the identity 
of the reporter, or of third parties, being inferred from the information; 

'European  Aviation  Safety  Programme'  means  the  integrated  set  of  regulations  at 
Union level, together with the activities and processes used to jointly manage safety at 
European level; 

'European  Aviation  Safety  Plan'  means  safety  issues  assessment  and  related  action 
plan at European level; 

'gross  negligence'  means  a  manifest  and  wilful  violation  of  the  duty  of  care  directly 
causing foreseeable damage to a person or to a property, or which seriously lowers the 
level of aviation safety; 

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

‘interested  party’  means  any  natural  person,  any  legal  person  or  any  official  body, 
whether having its own legal personality or not, that is in a position to participate in 
the  improvement  of  civil  aviation  safety  by  having  access  to  information  on 

19 

OJ L 295 of 14.11.2007, p. 7. 

EN 

17 

   EN 

 
                                                 
occurrences  exchanged  by  the  Member  States  and  which  is  included  in  one  of  the 
categories of interested parties established by this Regulation; 

(7) 

(8) 

(9) 

(10) 

(11) 

(12) 

‘Just Culture’ means a culture in which front line operators or others are not punished 
for  actions,  omissions  or  decisions  taken  by  them  that  are  commensurate  with  their 
experience and training, but where gross negligence, wilful violations and destructive 
acts are not tolerated;  

‘occurrence’  means  any  event  which  is  or  could  be  significant  in  the  context  of 
aviation  safety  and  includes  notably  accident  and  serious  incident,  as  defined  in 
Articles 2(1) and (16) of Regulation (EU) No 996/2010, and incident; 

'organisation' means any organisation providing aviation products and/or services and 
encompasses  notably  aircraft  operators,  approved  maintenance  organisations, 
organisations responsible for type design and/or manufacture of aircraft, air navigation 
service providers and certified aerodromes; 

‘point of contact’ means the competent authority designated by each Member State in 
accordance with Article 6(2) when a request for information is made by an interested 
party established in a Member State and the Commission when a request is made by 
an interested party not established in the Union; 

'safety  investigation  authority'  means  the  permanent  national  civil  aviation  safety 
investigation  authority  conducting  or  supervising  safety  investigations  as  defined  by 
Article 4 of Regulation (EU) No 996/2010; 

'safety  management  system  (SMS)'  means  a  systematic  approach  to  managing  safety 
including  the  necessary  organisational  structures,  accountabilities,  policies  and 
procedures; 

(13) 

'State  Safety  Programme  (SSP)'  means  an  integrated  set  of  legislations  and  activities 
developed by a Member State aimed at managing civil aviation safety. 

Article 3 

Scope 

This Regulation shall apply to occurrences which endanger or which, if not corrected, would 
endanger  an  aircraft,  its  occupants  or  any  other  person.  A  list  of  incidents  to  be  reported  is 
detailed in Annex I. 

Article 4 

Mandatory reporting 

A  mandatory  reporting  system  to  facilitate  the  collection  of  details  on  occurrences 
shall set up by each organisation established in a Member State. 

A  mandatory  reporting  system  to  facilitate  collection  of  details  on  occurrences 
including  collection  of  details  on  occurrences  gathered  by  organisations  in 
application of paragraph 1 shall be set up by each Member State. 

18 

   EN 

1. 

2. 

EN 

 
3. 

(a) 

(b) 

(c) 

(d) 

(e) 

(f) 

(g) 

4. 

5. 

6. 

1. 

20 

The following persons shall report occurrences through the system established by the 
organisation which employs that person in accordance with paragraph 1 or through 
the system established by Member States in accordance with paragraph 2: 

the  pilot-in-command  of  an  aircraft  registered  in  a  Member  State  or  an  aircraft 
registered  outside  the  Union  but  used  by  an  operator  for  which  a  Member  State 
ensures oversight of operations or an operator established in the Union; 

a  person  who  carries  on  the  business  of  designing,  manufacturing,  maintaining  or 
modifying a turbine-powered or a public transport aircraft, or any equipment or part 
thereof,  under  the  oversight  of  a  Member  State  or  under  the  oversight  of  the 
European Aviation Safety Agency (EASA); 

a  person  who  signs  a  certificate  of  maintenance  review,  or  of  release  to  service  in 
respect  of  a  turbine-powered  or  an  aircraft  used  for  public  transport,  or  any 
equipment  or  part  thereof,  under  the  oversight  of  a  Member  State  or  under  the 
oversight of EASA; 

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

a  manager  of  an  airport  to  which  Regulation  (EC)  No  1008/2008  of  the  European 
Parliament and of the Council20 applies; 

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

a  person  who  performs  a  function  connected  with  the  ground  handling  of  aircraft, 
including fuelling,  servicing, loadsheet  preparation, loading, de-icing  and towing at 
an airport covered by Regulation (EC) No 1008/2008. 

Every person listed in paragraph 3 shall report occurrences within the time-limit and 
in accordance with the requirements specified in Annex II point1.  

Each  organisation  certified  or  approved  by  a  Member  State  shall  report  to  the 
competent authority of that Member State, as referred to in Article 6(2) the details on 
occurrences collected in accordance with paragraph 1. 

Each  organisation  certified  or  approved  by  EASA  shall  report  to  the  EASA  the 
details on occurrences collected in accordance with paragraph 1. 

Article 5 

Voluntary reporting 

A  voluntary  reporting  system  shall  set  up  by  each  organisation  established  in  a 
Member  State  to  facilitate  collection  of  details  on  occurrences  that  may  not  be 

Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 
on  common  rules  for  the  operation  of  air  services  in  the  Community  (Recast)  (Text  with  EEA 
relevance); OJ L 293, 31.10.2008, p. 3. 

EN 

19 

   EN 

 
                                                 
2. 

3. 

4. 

5. 

6. 

1. 

2. 

captured by the mandatory reporting system but which are perceived by the reporter 
as an actual or potential hazard. 

A  voluntary  reporting  system  shall  be  set  up  by  each  Member  State  to  facilitate 
collection  of  details  on  occurrences  that  may  not  be  captured  by  the  mandatory 
reporting  system  but  which  are  perceived  by  the  reporter  as  an  actual  or  potential 
hazard  including  collection  of  details  on  occurrences  gathered  by  organisations  in 
application of paragraph 1.  

The voluntary reporting systems shall allow the collection of details on occurrences 
do not have to be mandatory reported in accordance with Annex I and the reporting 
of occurrences by persons which are not listed in Article 4(3). 

Each  organisation  certified  or  approved  by  a  Member  State  shall  report  to  the 
competent authority of that Member State, as referred to in Article 6(2), the details 
on occurrences collected in accordance with paragraph 1. 

Each organisation certified or approved by EASA shall report to EASA the details on 
occurrences collected in accordance with paragraph 1. 

Member  States  and  organisations  may  establish  other  safety  information  collection 
and processing systems to collect details on occurrences that may not be captured by 
the  reporting  systems  mentioned  in  Article  4  and  in  paragraphs  1  and  2  of  this 
Article.  These  systems  may  include  the  reporting  to  other  entities  than  the  ones 
described in Article 6(2) and may involve an active participation of the industry. 

Article 6 

Collection and storage of information 

Each organisation established in a Member State shall designate one or more persons 
to  handle  the  collection,  evaluation,  processing,  analysis  and  storage  of  details  on 
occurrences reported in accordance with Articles 4 and 5. These designated persons 
shall work separately and independently from other departments of the organisation. 

Each Member State shall designate one or more competent authorities to put in place 
a  mechanism  to  collect,  evaluate,  process,  analyse  and  store  details  on  occurrences 
reported in accordance with Articles 4 and 5. The designated competent authorities 
shall work separately and independently from other departments when handling the 
information reported. 

The  authorities  which  may  be  entrusted  with  that  responsibility,  either  together  or 
separately, are the following: 

(a) 

the national civil aviation authority; and/or 

(b) 

the safety investigation authority; and/or 

(c) 

any other independent body or entity entrusted with this function.  

EN 

20 

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If a Member State designates more than one body or entity, it shall designate one of 
these as point of contact for the transfer of information mentioned in Article 8(2). 

Organisations  shall  store  occurrence  reports  coming  from  details  on  occurrences 
collected in accordance with Articles 4 and 5 in a database. 

The  competent  authorities  referred  to  in  paragraph  2  shall  store  occurrence  reports 
coming from details on occurrences collected in accordance with Articles 4 and 5 in 
a national database.  

Accidents and serious incidents shall also be stored in that national database. 

Member  State  authorities  responsible  for  the  implementation  of  the  State  Safety 
Programme shall have full access to the national database referred to in paragraph 4 
to support their safety responsibilities. 

Safety investigation authorities shall have full access to the national database referred 
to in  paragraph  4  in order  to discharge the obligations laid down in Article 5(4) of 
Regulation (EU) No 996/2010.  

Article 7 

Quality and completeness of occurrence reports 

Occurrence reports referred to in Article 6 shall contain at least the information listed 
in Annex II point 2. 

Each occurrence report referred to in paragraph 4 of Article 6 shall contain the safety 
risk classification of the occurrence collected. The classification shall be determined 
in  accordance  with  the  common  European  risk  classification  scheme  laid  down  in 
paragraph 5. 

Organisations  and  Member  States  shall  establish  data  quality  checking  processes 
notably to ensure consistency between the different data contained in an occurrence 
report and the initial details on occurrence reported by the reporter. 

The  databases  mentioned  in  paragraphs  3  and  4  of  Article  6  shall  use  standardised 
formats  to  facilitate  information  exchange  and  shall  be  an  ECCAIRS  and  an 
ADREP-compatible system.  

The  Commission  shall  develop  a  common  European  risk  classification  scheme  in 
order  to  classify  occurrences  in  terms  of  safety  risk.  In  doing  so  the  Commission 
shall  take  into  account  the  need  for  compatibility  with  existing  risk  classification 
schemes.  

The  Commission  shall  be  empowered  to  adopt,  where  necessary,  delegated  acts  in 
accordance  with  Article  18  for  defining  the  common  European  risk  classification 
scheme. 

The Commission shall, by means of implementing acts, adopt the arrangements for 
the  implementation  of  the  common  European  risk  classification  scheme.  Those 

3. 

4. 

5. 

6. 

7. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

EN 

21 

   EN 

 
8. 

1. 

2. 

3. 

4. 

5. 

1. 

21 

implementing  acts  shall  be  adopted  in  accordance  with  the  examination  procedure 
referred to in Article 19(2). 

The  Commission  shall  support  competent  authorities  of  the  Member  States  in  their 
task  of  data  integration,  notably,  but  not  limited  to,  the  integration  of  minimum 
information referred to in paragraph 1, the risk classification of occurrences referred 
to in paragraph 2 and the establishment of data quality checking processes referred to 
in paragraph 3. This support from the Commission, provided notably in the form of 
guidance  material  and  workshops,  shall  contribute  to  harmonise  the  data  entry 
process across Member States. 

Article 8 

European Central Repository 

The Commission shall manage a European Central Repository to store all occurrence 
reports collected in the Union. 

Each Member State shall agree with the Commission the technical protocols for the 
update  of  the  European  Central  Repository  by  transfer  of  all  safety  related 
information contained in the national databases referred to in Article 6(4). 

EASA shall agree with the Commission the technical protocols for transferring into 
the  European  Central  Repository  all  occurrence  reports  collected  under  Regulation 
(EC)  No  216/2008  of  the  European  Parliament  and  of  the  Council21  and  its 
implementing  rules  as  well  as  the  information  collected  in  application  of  Articles 
4(6) and 5(5). 

The Commission shall, by means of implementing acts, adopt the arrangements for 
the  management  of  the  European  Central  Repository  as  referred  to  in  paragraph  1. 
Those  implementing  acts  shall  be  adopted  in  accordance  with  the  examination 
procedure referred to in Article 19(2). 

The  Commission  shall  be  empowered  to  adopt,  where  necessary,  delegated  acts  in 
accordance with Article 18 for updating the measures concerning the integration into 
the European Central Repository referred to in paragraphs 2 and 3.  

Article 9 

Exchange of information 

Member States and EASA shall participate in an exchange of information by making 
all safety related information stored in their respective reporting databases available 
to the competent authorities of the other Member States, EASA and the Commission, 
through the means of the European Central Repository. Occurrence reports shall be 
transferred  to  the  European  Central  Repository  within  30  days  after  the  initial 

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 
(Text with EEA relevance); OJ L 79, 19.3.2008, p. 1. 

EN 

22 

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2. 

3. 

1. 

2. 

3. 

1. 

2. 

3. 

4. 

collection  of  details  on  the  occurrence.  Occurrence  reports  shall  be  updated 
whenever necessary with additional safety related information. 

Information related to accidents and serious incidents shall also be transferred in the 
European  Central  Repository.  Basic  factual  information  on  accidents  and  serious 
incidents  shall  be  transferred  while  an  investigation  thereon  is  on-going.  When  the 
investigation is completed, all information including, when available, a summary in 
English of the final investigation report shall be added. 

If a Member State or EASA, in the collection of details on occurrences or storage of 
occurrence  reports,  identifies  safety  matters  considered  to  be  of  interest  to  other 
Member  States  or  EASA  and  possibly  requiring  safety  action  to  be  taken,  that 
Member  State  or  EASA  shall  forward  all  pertinent  safety  related  information  to 
relevant Member States authorities or EASA as soon as possible. 

Article 10 

Dissemination of information 

Any entity entrusted with regulating civil aviation safety or with investigating civil 
aviation  accidents  and  incidents  within  the  Union  shall  have  online  access  to 
information on occurrences contained in the European Central Repository. 

Interested  parties  listed  in  Annex  III  may  request  access  to  certain  information 
contained  in  the  European  Central  Repository.  Interested  parties  established  within 
the  Union  shall  address  requests  for  information  to  the  point  of  contact  of  the 
Member State in which they are established. Interested parties not established in the 
Union shall address their request to the Commission. 

For  security  reasons,  direct  access  to  the  European  Central  Repository  shall  not  be 
granted to interested parties. 

Article 11 

Processing of requests and decisions 

Requests  shall  be  submitted  using  forms  approved  by  the  point  of  contact.  These 
forms shall contain at least the items set out in Annex IV. 

A  point  of  contact  which  receives  a  request  shall  check  that  it  is  made  by  an 
interested party and that the point of contact is competent to deal with such request. 

A  point  of  contact  which  receives  a  request  shall  evaluate  on  a  case-by-case  basis 
whether  the  request  is  justified  and  practicable.  The  points  of  contact  may  supply 
information  to  interested  parties  on  paper  or  by  using  secure  electronic  means  of 
communication. 

If  the  request  is  accepted,  the  point  of  contact  shall  determine  the  amount  and  the 
level  of  information  to  be  supplied.  The  information  shall  be  limited  to  what  is 
strictly required for the purpose of the request, without prejudice to Articles 15 and 

EN 

23 

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5. 

6. 

7. 

8. 

9. 

1. 

2. 

1. 

16. Information unrelated to the interested party’s own equipment, operations or field 
of  activity  shall  be  supplied  only  in  aggregated  or  disidentified  form.  Information 
under  non  aggregated  form  may  be  provided  to the interested party  if  it provides a 
detailed justification. 

Interested parties listed in Annex III point (b) may be supplied only with information 
relating to the interested party’s own equipment, operations or field of activity. 

A  point  of  contact  receiving  a  request  from  an  interested  party  listed  in  Annex  III 
point  (a)  may  take  a  decision  of  general  nature  to  supply  information  on  a  regular 
basis  to  that  interested  party.  The  information  requested  shall  be  related  to  the 
interested  party’s  own  equipment,  operations  and  field  of  activity.  The  decision  of 
general nature cannot grant access to the whole content of the database and shall only 
cover access to disidentified information. 

The interested party shall only use the information received for the purpose specified 
in the request form, which should be compatible with the objective of this Regulation 
as stated in Article 1. The interested party shall not disclose the information received 
without the written consent of the provider and shall take the necessary measures to 
ensure appropriate confidentiality of the information received.  

The decision to disseminate information under this Article shall be limited to what is 
strictly required for the purpose of its user. 

The  Commission  shall  be  empowered  to  adopt,  where  necessary,  delegated  acts  in 
accordance  with  Article  18  to  update  the  rules  on  the  dissemination  of  information 
contained  in  the  European  Central  Repository  in  order  to  extend  or  restrict  the 
dissemination of information. 

Article 12 

Record of requests and exchange of information 

Each point of contact shall record each request received and  the action taken.  That 
information  shall  be  transmitted  to  the  Commission  whenever  a  request  is  received 
and/or action taken. 

The  Commission  shall  make  available  to  all  points  of  contact  the  updated  list  of 
requests  received  and  action  taken  by  the  various  points  of  contact  and  by  the 
Commission itself. 

Article 13 

Occurrence analysis and follow up at national level 

Each organisation established in a Member State shall develop a process to analyse 
the details on occurrences collected in accordance with Articles 4 and 5 in order to 
identify  the  safety  hazards  associated  with  identified  occurrences.  Based  on  this 
analysis  it  shall  determine  any  appropriate  corrective  or  preventive  action  required 
for the enhancement of safety. 

EN 

24 

   EN 

 
2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

Each organisation established in a Member State shall, following the identification of 
actions  required  to  address  actual  or  potential  safety  deficiencies,  implement  these 
actions  in  a  timely  manner  and  establish  a  process  to  monitor  implementation  and 
effectiveness of the responses.  

Each  organisation  certified  or  approved  by  a  Member  State  shall  report,  where 
required, to the competent authority Member State, as referred to in Article 6(2), the 
result  of  the  analysis  performed  in  accordance  with  paragraph  1  and  the  actions 
required in accordance with paragraph 2 within 30 days. 

Each  Member  State  shall  develop  a  process  to  analyse  the  details  on  occurrences 
collected in accordance with Articles 4 and 5 in order to identify the safety hazards 
associated with identified occurrences. Based on this analysis it shall determine any 
appropriate corrective or preventive action required for the enhancement of safety. 

Each Member State shall, following the identification of actions required to address 
actual  or  potential  safety  deficiencies,  implement  these  actions  in  a  timely  manner 
and establish a process to monitor implementation and effectiveness of the responses. 

Each  Member  State  shall  also  monitor  the  implementation  and  effectiveness  of 
organisations responses pursuant to paragraph 2. When a Member State assesses that 
the responses are inappropriate to address the actual or potential safety deficiencies, 
it shall ensure that additional appropriate actions are taken and implemented by the 
relevant organisation. 

Information  related  to  the  analysis  and  follow-up  of  individual  occurrences  as 
described  in  this  Article  shall  be  stored  in  the  European  Central  Repository  in  a 
timely  manner  and  no  later  than  two  months  after  their  storage  in  the  national 
database. 

Information  obtained  from  the  analysis  of  occurrence  reports  shall  be  used  by 
Member States to help determine remedial actions to be taken within the State Safety 
Programme.  

Member  States  shall  publish,  at  least  annually,  a  safety  review  containing 
information  on  the  type  of  occurrences  collected  by  their  national  mandatory  and 
voluntary reporting systems to inform the general public of the level of safety in civil 
aviation and the actions they have taken to address any safety issue in that context. 

10. 

Member States may also publish disidentified occurrence reports. 

Article 14 

Occurrence analysis and follow up at European Union level 

1. 

The Commission, EASA and the competent authorities of the Member States shall, 
in  collaboration,  participate  regularly  in  the  exchange  and  analysis  of  information 
contained in the European Central Repository. 

2. 

The collaboration shall be carried out by a Network of Aviation Safety Analysts.  

EN 

25 

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3. 

4. 

5. 

1. 

2. 

3. 

4. 

1. 

EASA  shall  support  the  Network  of  Aviation  Safety  Analysts  activities  including, 
but not limited to, assistance for the preparation and organisation of its meetings. 

The  Network  of  Aviation  Safety  Analysts  shall  contribute  to  the  enhancement  of 
aviation safety in the Union notably by performing safety analysis activity to support 
the European Aviation Safety Programme and the European Aviation Safety Plan. 

EASA shall include information about the result of information analysis referred to 
in paragraph 1 in the annual safety review mentioned in Article 15(4) of Regulation 
(EC) No 216/2008. 

Article 15 

Protection and appropriate use of the information 

Member  States  and  organisations  shall  take  the  necessary  measures  to  ensure 
appropriate confidentiality of the details on occurrences received by them pursuant to 
Articles 4, 5 and 10. 

The  details  on  occurrences  shall  only  be  used  for  the  purpose  for  which  they  have 
been collected. Member States and organisations shall not make available and use the 
information for another purpose than maintaining or improving aviation safety. The 
information shall not be used to attribute blame or liability. 

The Commission, EASA and the competent authorities of the Member States, when 
discharging their obligations referred to in Article 14, shall ensure the confidentiality 
of the information contained in the European Central Repository, and shall limit its 
use to what is strictly necessary to discharge their safety related obligations. In this 
respect, that information shall notably be used for analysis of safety trends which can 
form  the  basis  for  anonymous  safety  recommendations  or  airworthiness  directives 
without apportioning blame or liability. 

Member States shall ensure that their competent authorities referred to in Article 6(2) 
and their competent authorities for the administration of justice cooperate with each 
other  through  advance  arrangements.  These  advance  arrangements  shall  seek  to 
ensure the correct balance between the need for proper administration of justice on 
the  one  hand,  and  the  necessary  continued  availability  of  safety  information  on  the 
other.  

Article 16 

Protection of the information source 

Each organisation established in a Member State shall  ensure that all personal data 
such  as  names  or  addresses  of  individual  persons  are  only  available  to  the  persons 
referred to in Article 6(1). Disidentified information shall be disseminated within the 
organisation  as  appropriate.  Each  organisation  established  in  a  Member  State  shall 
processes  personal  data  only  to  such  an  extent  as  necessary  for  the  purpose  of  this 
Regulation and without prejudice to the national legislations implementing Directive 
95/46/EC. 

EN 

26 

   EN 

 
2. 

3. 

4. 

5. 

6. 

Each Member State shall ensure all personal data such as that names or addresses of 
individual persons are never recorded in the national database mentioned in Article 
6(4). Disidentified information shall be made available to all relevant parties notably 
to allow them to discharge their obligations in terms of aviation safety improvement. 
Each Member State shall processes personal data only to such an extent as necessary 
for the purpose of this Regulation and without prejudice to the national legislations 
implementing Directive 95/46/EC. 

respect  of 
Member  States  shall 
unpremeditated or inadvertent infringements of the law which come to their attention 
only  because  they  have  been  reported  in  application  of  Articles  4  and  5.  This  rule 
shall not apply in cases of gross negligence. 

instituting  proceedings 

refrain 

from 

in 

Employees  who  report  incidents  in  accordance  with  Articles  4  and  5  shall  not  be 
subject to any prejudice by their employer on the basis of the information they have 
reported, except in cases of gross negligence. 

Each organisation established in a Member State shall adopt internal rules describing 
how Just Culture principles, in particular the principle referred to in paragraph 4, are 
guaranteed and implemented within their organisation. 

Each Member State shall establish a body responsible for the implementation of this 
Article. Employees can report to this body infringements to the rules established by 
this  Article.  Where  appropriate,  the  designated  body  shall  propose  to  its  Member 
State the adoption of penalties as referred to in Article 21 towards the employer. 

Article 17 

Update of the Annexes 

The Commission shall be empowered to adopt delegated acts in accordance with Article 18 
concerning  the  Annexes  to  this  Regulation  in  order  to  adapt  the  Annexes  to  technical 
progress,  to  align  the  Annexes  with  the  international  agreed  taxonomy  ADREP,  with  other 
legislations  adopted  by  the  Union  and  with  international  agreements,  to  update  the  list  of 
interested parties and  the  request  for  European Central Repository information form, and to 
ensure  that  the  scope  of  incidents  to  be  reported  under  the  mandatory  scheme  remains 
appropriate.  

Article 18 

Exercise of the delegation 

1. 

2. 

3. 

The  power  to  adopt  delegated  acts  is  conferred  on  the  Commission  subject  to  the 
conditions laid down in this Article.  

The  power  to  adopt  delegated  acts  referred  to  in  Articles  7(6),  8(5),  11(9)  and  17 
shall be conferred on the Commission for an indeterminate period of time. 

The  delegation  of  power  referred  to  in  Articles  7(6),  8(5),  11(9)  and  17  may  be 
revoked  at  any  time  by  the  European  Parliament  or  by  the  Council.  A  decision  of 

EN 

27 

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revocation shall put an end to the delegation of the power specified in that decision. 
It  shall  take  effect  the  day  following  the  publication  of  the  decision  in  the  Official 
Journal of the European Union or at a later date specified therein. It shall not affect 
the validity of any delegated acts already in force.  

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to 
the European Parliament and to the Council.  

A delegated act adopted pursuant to Articles 7(6), 8(5), 11(9) and 17 shall enter into 
force only if no objection has been expressed either by the European Parliament or 
the Council within a  period  of  2 months of notification of that act to the European 
Parliament  and  the  Council  or  if,  before  the  expiry  of  that  period,  the  European 
Parliament  and  the  Council  have  both  informed  the  Commission  that  they  will  not 
object. That  period  shall  be  extended  by  2  months at the initiative of the European 
Parliament or the Council. 

Article 19 

Committee procedure  

The  Commission  shall  be  assisted  by  the  committee  established  by  Article  65  of 
Regulation  (EC)  No  216/2008.  That  committee  shall  be  a  committee  within  the 
meaning of Regulation (EU) No 182/2011. 

Where  reference  is  made  to  this  paragraph,  Article  5  of  Regulation  (EU)  No 
182/2011 shall apply. 

Article 20 

Access to documents and protection of personal data 

With the exception of Articles 10 and 11 which establish stricter access rules to the 
data and information contained in the European Central Repository, this Regulation 
shall apply without prejudice to Regulation (EC) No 1049/2001.  

This Regulation shall apply without prejudice to national legislations implementing 
Directive 95/46/EC and in accordance with Regulation (EC) No 45/2001. 

4. 

5. 

1. 

2. 

1. 

2. 

Article 21 

Penalties 

Member  States  shall  lay  down  the  rules  on  penalties  applicable  to  infringements  of  this 
Regulation.  The  penalties  provided  for  shall  be  effective,  proportionate  and  dissuasive. 
Member States shall inform the Commission when penalties are adopted in application of this 
Article. 

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Article 22 

Amendment to Regulation (EU) No 996/2010 

Article 19 is deleted. 

Article 23 

Repeals 

Directive  2003/42/EC,  Commission  Regulation  (EC)  No  1321/2007  and  Commission 
Regulation (EC) No 1330/2007 are repealed. 

Article 24 

Entry into force 

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

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

Done at Brussels,  

For the European Parliament 
The President 

For the Council 
The President 

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ANNEX I: LIST OF INCIDENTS TO BE REPORTED UNDER THE MANDATORY 
OCCURRENCE REPORTING SCHEME 

Part A: List of aircraft operations, maintenance, repair, and manufacture-related incidents 
to be reported 

Note 1: Although this Part lists the majority of reportable incidents, it cannot be completely 
comprehensive.  Any  other  incident,  which  is  considered  by  those  involved  to  meet  the 
criteria, should also be reported. 

Note  2:  This  Part  does  not  include  accidents  and  serious  incidents  as  defined  in  Regulation 
(EU)  No  996/2010.  In  addition  to  other  requirements  covering  the  notification  of  accidents 
and  serious  incidents  as  defined  by  Regulation  (EU)  No  996/2010,  accidents  and  serious 
incidents shall also be reported through mandatory occurrence reporting systems. 

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

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

Note  5:  Occurrences  to  be  reported  may  concern  occurrences  involving  manned  aircrafts  as 
well as those involving Remotely Piloted Air System. 

CONTENTS 

1: AIRCRAFT FLIGHT OPERATIONS 

2: AIRCRAFT TECHNICAL 

3: AIRCRAFT MAINTENANCE AND REPAIR 

4: AIR NAVIGATION SERVICES, FACILITIES AND GROUND SERVICES 

1. 

AIRCRAFT FLIGHT OPERATIONS 

1.1. 

Operation of the aircraft 

(a) 

avoidance manoeuvres: 

–  risk of collision with another aircraft, terrain or other object or an unsafe situation 

when avoidance action would have been appropriate; 

–  an avoidance manoeuvre required to avoid a collision with another aircraft, terrain 

or other object; 

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30 

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–  an avoidance manoeuvre to avoid other unsafe situations. 

(b)  Take-off  or  landing  incidents,  including  precautionary  or  forced  landings. 
Incidents  such  as  under-shooting,  overrunning  or  running  off  the  side  of 
runways.  Take-offs,  rejected  take-offs,  landings  or  attempted  landings  on  a 
closed, occupied or incorrect runway. Runway incursions. 

(c) 

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

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

usable fuel. 

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

(f) 

Incidents  close  to  or  above  V1  resulting  from  or  producing  a  hazardous  or 
potentially hazardous situation (e.g. rejected take-off, tail strike, engine-power 
loss etc.). 

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

(h)  Unintentional  significant  deviation  from  airspeed,  intended  track  or  altitude 

(more than 300 ft) regardless of cause. 

(i)  Descent  below  decision  height/altitude  or  minimum  descent  height/altitude 

without the required visual reference. 

(j)  Loss of position awareness relative to actual position or to other aircraft. 

(k)  Breakdown  in  communication  between  flight  crew  (CRM)  or  between  flight 

crew and other parties (cabin crew, ATC, engineering). 

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

(m)  Exceedance of fuel imbalance limits. 

(n) 

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

(o) 

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

(p) 

Incorrect receipt or interpretation of radio-telephony messages. 

(q)  Fuel system malfunctions or defects, which had an effect on fuel supply and/or 

distribution. 

(r)  Aircraft unintentionally departing from a paved surface. 

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

object. 

(t) 

Inadvertent and/or incorrect operation of any controls. 

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(u) 

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

(v)  A hazard or  potential hazard which  arises as a consequence of any deliberate 
simulation  of  failure  conditions  for  training,  system  checks  or  training 
purposes. 

(w)  Abnormal vibration. 

(x)  Operation  of  any  primary  warning  system  associated  with  manoeuvring  the 
aircraft  e.g.  configuration  warning,  stall  warning  (stick  shaker),  over-speed 
warning etc. unless: 

(1) 

the  crew  conclusively  established  that  the  indication  was  false  and 
provided  that  the  false  warning  did  not  result  in  difficulty  or  hazard 
arising from the crew response to the warning; or 

(2)  operated for training or test purposes. 

(y)  GPWS/TAWS ‘warning’ when: 

(1) 

(2) 

(3) 

(4) 

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

the warning is experienced in instrument meteorological conditions or at 
night and is established as having been triggered by a high rate of descent 
(mode 1); or 

the warning results from failure to select landing gear or landing flaps by 
the appropriate point on the approach (mode 4); or 

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

(z)  GPWS/TAWS ‘alert’ when any difficulty or hazard arises or might have arisen 

as a result of crew response to the ‘alert’. 

(aa)  ACAS RAs. 

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

1.2. 

Emergencies 

(a)  Fire, explosion, smoke or toxic or noxious fumes, abnormal smell, even though 

fires were extinguished. 

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

an emergency when: 

(1) 

the procedure exists but is not used; 

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32 

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(2) 

the procedure does not exist; 

(3) 

the procedure exists but is incomplete or inappropriate; 

(4) 

the procedure is incorrect; 

(5) 

the incorrect procedure is used. 

(c) 

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

(d)  An event leading to an emergency evacuation. 

(e)  Depressurisation. 

(f)  The  use  of  any  emergency  equipment  or  prescribed  emergency  procedures  in 

order to deal with a situation. 

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

(h)  Failure  of  any  emergency  system  or  equipment,  including  all  exit  doors  and 
lighting, to perform satisfactorily, including when being used for maintenance, 
training or test purposes. 

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

1.3. 

Crew incapacitation 

(a) 

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

(b) 

Incapacitation of any member of the cabin crew which renders them unable to 
perform essential emergency duties. 

1.4. 

Injury 

(a) 

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

(b)  Severe health event affecting crew member or passengers 

1.5.  Meteorology 

(a)  A  lightning  strike  which  resulted  in  damage  to  the  aircraft  or  loss  or 

malfunction of any essential service. 

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

any essential service. 

(c)  Severe  turbulence  encounter,  an  encounter  resulting  in  injury  to  occupants  or 

deemed to require a ‘turbulence check’ of the aircraft. 

EN 

33 

   EN 

 
(d)  A windshear encounter. 

(e) 

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

1.6. 

Security 

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

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

(c)  Discovery of a stowaway. 

1.7. 

Other incidents 

(a)  Repetitive instances of a specific type of incident which in isolation would not 
be  considered  ‘reportable’  but  which  due  to  the  frequency  with  which  they 
arise, form a potential hazard. 

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

any essential service. 

(c)  Wake-turbulence encounters.  

(d)  Crew fatigue considered to have endangered or which might have endangered 

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

(e)  Any other incident of any type considered to have endangered or which might 
have  endangered  the  aircraft  or  its  occupants  on  board  the  aircraft  or  on  the 
ground. 

2. 

AIRCRAFT TECHNICAL 

2.1. 

Structural 

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

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

(b)  defect  or  damage  exceeding  admissible  damages  to  a  PSE  that  has  been 

designated as damage-tolerant; 

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

EN 

34 

   EN 

 
(d)  damage to or defect of a structural element, which could result in the liberation 

of items of mass that may injure occupants of the aircraft; 

(e)  damage  to  or  defect  of  a  structural  element,  which  could  jeopardise  proper 

operation of systems. See (2) below; 

(f) 

loss of any part of the aircraft structure in flight. 

2.2. 

Systems 

The following general criteria applicable to all systems are proposed: 

(a) 

loss,  significant  malfunction  or  defect  of  any  system,  subsystem  or  set  of 
equipment  when  standard  operating  procedures,  drills  etc.  could  not  be 
satisfactorily accomplished; 

(b) 

inability of the crew to control the system, for example: 

(1)  uncommanded actions, 

(2) 

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

(3) 

runaway, 

(4)  mechanical disconnection or failure; 

(c) 

failure  or  malfunction  of  the  exclusive  function(s)  of  the  system  (one  system 
could integrate several functions); 

(d) 

interference within or between systems; 

(e) 

failure or malfunction of the protection device or emergency system associated 
with the system; 

(f)  Loss of redundancy of the system. 

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

(h)  For aircraft types with single main systems, subsystems or sets of equipment: 
loss, significant malfunction or defect in any main system, subsystem or set of 
equipment. 

(i) 

For aircraft types with multiple independent main systems, subsystems or sets 
of equipment: the loss, significant malfunction or defect of more than one main 
system, subsystem or set of equipment. 

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

EN 

35 

   EN 

 
(k)  Leakage  of  hydraulic  fluids,  fuel,  oil  or  other  fluids  which  resulted  in  a  fire 
hazard  or  possible  hazardous  contamination  of  aircraft  structure,  systems  or 
equipment, or risk to occupants. 

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

possibility of misleading indications to the crew. 

(m)  Any  failure,  malfunction  or  defect  if  it  occurs  at  a  critical  phase  of  the  flight 

and is relevant to the system operation. 

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

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

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

2.3. 

Propulsion  (including  engines,  propellers  and  rotor  systems)  and  auxiliary 
power units (APUs) 

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

(b)  Overspeed  or  inability  to  control  the  speed  of  any  high-speed  rotating 
component (for example: APU, air starter, air cycle machine, air turbine motor, 
propeller or rotor). 

(c)  Failure or malfunction of any part of an engine or powerplant resulting in any 

one or more of the following: 

(1)  non-containment of components/debris; 

(2)  uncontrolled internal or external fire, or hot gas breakout; 

(3) 

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

(4) 

thrust-reversing system failing to operate or operating inadvertently; 

(5) 

inability to control power, thrust or rpm; 

(6) 

failure of the engine mount structure; 

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

(8)  dense  visible  fumes  or  concentrations  of  toxic  products  sufficient  to 

incapacitate crew or passengers; 

(9) 

inability, by use of normal procedures, to shut down an engine; 

(10)  inability to restart a serviceable engine. 

EN 

36 

   EN 

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

as a loss of thrust or power control (LOTC): 

(1) 

for a single-engine aircraft; or 

(2)  where it is considered excessive for the application; or 

(3)  where this could affect more than one engine in a multi-engine aircraft, 

particularly in the case of a twinengine aircraft; or 

(4) 

for a multi-engine aircraft where the same, or similar, engine type is used 
in  an  application  where  the  event  would  be  considered  hazardous  or 
critical. 

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

its full life. 

(f)  Defects  of  common  origin  which  could  cause  an  in-flight  shut-down  rate  so 
high that there is the possibility of more than one engine being shut down on 
the same flight. 

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

operating inadvertently. 

(h)  Exceedance of engine parameters. 

(i) 

FOD resulting in damage. 

Propellers and transmission 

(j) 

Failure or malfunction of any part of a propeller or powerplant resulting in any 
one or more of the following: 

(1) 

an overspeed of the propeller; 

(2) 

the development of excessive drag; 

(3) 

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

(4) 

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

(5) 

a failure that results in excessive imbalance; 

(6) 

the  unintended  movement  of  the  propeller  blades  below  the  established 
minimum in-flight low-pitch position; 

(7) 

an inability to feather the propeller; 

(8) 

an inability to change propeller pitch; 

(9) 

an uncommanded change in pitch; 

(10)  an uncontrollable torque or speed fluctuation; 

EN 

37 

   EN 

 
 
(11)  the release of low-energy parts. 

Rotors and transmission 

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

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

APUs 

(m)  Shut down or failure when the APU is required to be available by operational 

requirements, e.g. ETOPS, MEL. 

(n) 

Inability to shut down the APU. 

(o)  Overspeed. 

(p) 

Inability to start the APU when needed for operational reasons. 

2.4. 

Human factors 

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

2.5. 

Other incidents 

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

(b)  An  incident  not  normally  considered  as  reportable  (e.g.,  furnishing  and  cabin 
equipment,  water  systems),  where  the  circumstances  resulted  in  endangering 
the aircraft or its occupants. 

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

(d)  Any other event which could endanger the aircraft, or affect the safety of the 
occupants of the aircraft, or people or property in the vicinity of the aircraft or 
on the ground. 

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

passenger address system. 

(f)  Loss of pilot seat control during flight. 

3. 

AIRCRAFT MAINTENANCE AND REPAIR 

(a) 

Incorrect  assembly  of  parts  or  components  of  the  aircraft  found  during  an 
inspection or test procedure not intended for that specific purpose. 

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

EN 

38 

   EN 

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

full life. 

(d)  Any  damage  or  deterioration  (e.g.  fractures,  cracks,  corrosion,  delamination, 
disbonding  etc.)  resulting  from  any  cause  (e.g.  as  flutter,  loss  of  stiffness  or 
structural failure) to: 

(1) 

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

(2) 

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

(3) 

the engine, propeller or rotorcraft rotor system. 

(e)  Any failure, malfunction or defect of any system or equipment, or damage or 
deterioration  thereof  found  as  a  result  of  compliance  with  an  airworthiness 
directive or other mandatory instruction issued by a regulatory authority, when: 

(1) 

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

(2)  on  any  subsequent  compliance,  it  exceeds  the  permissible  limits  quoted 
in the instruction and/or published repair/rectification procedures are not 
available. 

(f)  Failure  of  any  emergency  system  or  equipment,  including  all  exit  doors  and 
lighting, to perform satisfactorily, including when being used for maintenance 
or test purposes. 

(g)  Non-compliance or significant errors in compliance with required maintenance 

procedures. 

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

(i)  Misleading, incorrect or insufficient maintenance data or procedures that could 

lead to maintenance errors. 

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

4. 

AIR NAVIGATION SERVICES, FACILITIES AND GROUND SERVICES 

4.1. 

Air navigation services (ANS) 

See Annex IB, list of reportable ANS-related incidents. 

EN 

39 

   EN 

 
4.2. 

Aerodrome and aerodrome facilities 

(a)  Loss of radio communication between ground personnel and air traffic service. 

(b) 

loss of fire station alarm system. 

(c) 

rescue and fire fighting services not available according to requirements. 

(d) 

a  significant  change  in  aerodrome  operating  conditions  that  could  lead  to 
hazardous situations, not reported to air traffic service. 

4.3. 

Handling of passengers, baggage and cargo 

(a)  Significant contamination of aircraft structure, systems and equipment arising 

from the carriage of baggage or cargo. 

(b) 

(c) 

Incorrect loading of passengers, baggage or cargo, likely to have a significant 
effect on aircraft mass and/or balance. 

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

(d) 

Inadequate stowage of cargo containers or other substantial items of cargo. 

(e)  Carriage  or  attempted  carriage  of  dangerous  goods  in  contravention  of 
labelling  and  packaging  of 

including 

incorrect 

applicable  regulations, 
dangerous goods. 

4.4. 

Aircraft ground handling and servicing 

(a)  Significant spillage during fuelling operations. 

(b)  Loading  of  incorrect  fuel  quantities  likely  to  have  a  significant  effect  on 

aircraft endurance, performance, balance or structural strength. 

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

(d)  Non-compliance  or  significant  errors  in  compliance  with  required  servicing 

procedures. 

(e)  Loading  of  contaminated  or  incorrect  type  of  fuel  or  other  essential  fluids 

(including oxygen and potable water). 

EN 

40 

   EN 

 
Appendix to Part A of ANNEX I 

The  following  subparagraphs  give  examples  of  reportable  incidents  resulting  from  the 
application  of  the  general  criteria  to  specific  systems  listed  in  paragraph  2.2  of  Part  A  of 
Annex I. 

1. 

Air conditioning/ventilation 

(a) 

complete loss of avionics cooling 

(b)  depressurisation. 

2. 

Autoflight system 

(a) 

(b) 

failure  of  the  autoflight  system  to  achieve  the  intended  operation  while 
engaged 

significant  reported  crew  difficulty  to  control  the  aircraft  linked  to  autoflight 
system functioning 

(c) 

failure of any autoflight system disconnect device 

(d)  uncommanded autoflight mode change. 

3. 

Communications 

(a) 

failure  or  defect  of  passenger  address  system  resulting  in  loss  of  or  inaudible 
passenger address 

(b) 

total loss of communication in flight. 

4. 

Electrical system 

(a) 

loss of one electrical distribution system (AC/DC) 

(b) 

total loss or loss of more than one electrical generation system 

(c) 

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

5. 

Cockpit/Cabin/Cargo 

(a)  pilot seat control loss during flight 

(b) 

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

(c) 

emergency lighting, etc. 

(d) 

loss of retention capability of the cargo loading system. 

6. 

Fire protection system 

(a) 

fire warnings, except those immediately confirmed as false 

EN 

41 

   EN 

 
(b)  undetected  failure  or  defect  of  fire/smoke  detection/protection  system,  which 

could lead to loss or reduced fire detection/protection 

(c) 

absence of warning in case of actual fire or smoke. 

7. 

Flight controls 

(a) 

asymmetry of flaps, slats, spoilers, etc. 

(b) 

limitation of movement, stiffness or poor or delayed response in the operation 
of primary flight control systems or their associated tab and lock systems 

(c) 

flight control surface runaway 

(d) 

flight control surface vibration felt by the crew 

(e)  mechanical flight control disconnection or failure 

(f) 

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

8. 

Fuel system 

(a) 

(b) 

fuel  quantity  indicating  system  malfunction  resulting  in  total  loss  or  wrong 
indication of fuel quantity on board 

leakage  of  fuel  which  resulted  in  major  loss,  fire  hazard,  significant 
contamination 

(c)  malfunction  or  defects  of  the  fuel  jettisoning  system  which  resulted  in 
inadvertent loss of significant quantity, fire hazard, hazardous contamination of 
aircraft equipment or inability to jettison fuel 

(d) 

fuel  system  malfunctions  or  defects  which  had  a  significant  effect  on  fuel 
supply and/or distribution 

(e) 

inability to transfer or use total quantity of usable fuel. 

9. 

Hydraulics 

(a) 

loss of one hydraulic system (ETOPS only) 

(b) 

failure of the isolation system 

(c) 

loss of more than one hydraulic circuit 

(d) 

failure of the back-up hydraulic system 

(e) 

inadvertent ram air turbine extension. 

10. 

Ice detection/protection system 

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

EN 

42 

   EN 

 
(b) 

loss of more than one of the probe-heating systems 

(c) 

inability to obtain symmetrical wing de-icing 

(d) 

abnormal  ice  accumulation  leading  to  significant  effects  on  performance  or 
handling qualities 

(e) 

crew vision significantly affected. 

11. 

Indicating/warning/recording systems 

(a)  malfunction  or  defect  of  any  indicating  system  when  the  possibility  of 
significant misleading indications to the crew could result in an inappropriate 
crew action on an essential system 

(b) 

loss of a red warning function on a system 

(c) 

for  glass  cockpits:  loss  or  malfunction  of  more  than  one  display  unit  or 
computer involved in the display/ warning function. 

12. 

Landing gear system/brakes/tyres 

(a)  brake fire 

(b) 

significant loss of braking action 

(c) 

asymmetrical braking action leading to significant path deviation 

(d) 

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

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

(f)  multiple tyre burst. 

13. 

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

(a) 

total loss or multiple navigation equipment failures 

(b) 

total or multiple air data system equipment failures 

(c) 

significant misleading indications 

(d) 

significant  navigation  errors  attributed  to  incorrect  data  or  a  database  coding 
error 

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

(f) 

problems  with  ground  navigational  facilities  leading  to  significant  navigation 
errors  not  associated  with  transitions  from  inertial  navigation  mode  to  radio 
navigation mode. 

14. 

Oxygen for pressurised aircraft 

EN 

43 

   EN 

 
(a) 

loss of oxygen supply in the cockpit 

(b) 

loss of oxygen supply to a significant number of passengers (more than 10 %), 
including when found during maintenance or training or test purposes. 

15. 

Bleed air system 

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

(b) 

loss of all bleed air systems 

(c) 

failure of bleed air leak detection system. 

EN 

44 

   EN 

 
Part B: List of air navigation services related incidents to be reported 

Note 1: Although this Part lists the majority of reportable incidents, it cannot be completely 
comprehensive.  Any  other  incidents,  which  are  considered  by  those  involved  to  meet  the 
criteria, shall also be reported. 

Note 2: This Part does not include accidents and serious incidents as defined by Regulation 
(EU)  No  996/2010.  In  addition  to  other  requirements  covering  the  notification  of  accidents 
and  serious  incidents  as  defined  by  Regulation  (EU)  No  996/2010,  accidents  and  serious 
incidents shall also be reported through mandatory occurrence reporting systems. 

Note  3:  This  Part  includes  ANS  incidents  which  pose  an  actual  or  potential  threat  to  flight 
safety, or can compromise the provision of safe ANS services. 

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

(1) 

Near  collision  incidents  (encompassing  specific  situations  where  one  aircraft  and 
another aircraft/the ground/a vehicle/person or object are perceived to be too close to 
each other): 

(a) 

separation minima infringement; 

(b) 

inadequate separation; 

(c)  near-controlled flight into terrain (near CFIT); 

(d) 

runway incursion where avoiding action was necessary. 

(2) 

Potential for collision or near collision (encompassing specific situations having the 
potential to be an accident or a near collision, if another aircraft is in the vicinity): 

(a) 

runway incursion where no avoiding action is necessary; 

(b) 

runway excursion; 

(c) 

aircraft deviation from ATC clearance; 

(d) 

aircraft deviation from applicable air traffic management (ATM) regulation: 

(1) 

aircraft deviation from applicable published ATM procedures; 

(2)  unauthorised penetration of airspace; 

(3)  deviation from aircraft ATM-related equipment carriage and operations, 

as mandated by applicable regulation(s). 

(3) 

ATM-specific incidents (encompassing those situations where the ability to provide 
safe  ATM  services  is  affected,  including  situations  where,  by  chance,  the  safe 
operation of aircraft has not been jeopardised). 

This shall include the following incidents: 

EN 

45 

   EN 

 
 
(a) 

inability to provide ATM services: 

(1) 

inability to provide air traffic services; 

(2) 

inability to provide airspace management services; 

(3) 

inability to provide air traffic flow management services; 

(b) 

failure of Communication function; 

(c) 

failure of Surveillance function; 

(d) 

failure of Data Processing and Distribution function; 

(e) 

failure of Navigation function; 

(f)  ATM system security. 

EN 

46 

   EN 

 
Appendix to Part B of Annex I 

The  following  points  give  examples  of  reportable  ATM  incidents  resulting  from  the 
application  of  the  general  criteria  listed  in  paragraph  3  of  Part  B  of  Annex  I  to  aircraft 
operations. 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

10. 

11. 

Provision of significantly incorrect, inadequate or misleading information from any 
ground sources, e.g. air traffic service (ATS), automatic terminal information service 
(ATIS),  meteorological  services,  navigation  databases,  maps,  charts,  aeronautical 
information service (AIS), manuals, etc. 

Provision of less than prescribed terrain clearance. 

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

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

Separation minima infringement. 

Unauthorised penetration of airspace. 

Unlawful radio communication transmission. 

Failure of ANS ground or satellite facilities. 

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

Aerodrome movement areas and/or navigational aids obstructed by aircraft, vehicles, 
animals, persons or foreign objects, resulting in a hazardous or potentially hazardous 
situation. 

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

12. 

Failure, significant malfunction or unavailability of aerodrome lighting 

EN 

47 

   EN 

 
ANNEX II: LIST OF DEADLINES AND REQUIREMENTS APPLICABLE TO THE 
MANDATORY OCCURRENCE REPORTING SCHEME 

1. 

DEADLINE FOR REPORTING 

1.1. 

General rule 

The maximum period to report an occurrence in application of Article 4 is 72 hours. 

1.2. 

Specific cases 

(a) 

(b) 

(c) 

(d) 

(e) 

In  the  case  of  a  "near  collision  with  any  other  flying  device;  faulty  air  traffic 
procedures or lack of compliance with applicable procedures by air traffic services or 
by  the  flight  crew;  failure  of  air  traffic  services  facilities",  according  to  Regulation 
No 859/200822 (EU-OPS) 1.420 d) 1, the report shall be made without delay. 

In  the  case  of  a  potential  bird  hazard,  according  to  Regulation  No  859/2008  (EU-
OPS) 1.420 d) 3, the report shall be made immediately. 

In the case of a bird strike involving significant damage to the aircraft or the loss or 
malfunction  of  any  essential  service,  according  to  Regulation  No  859/2008  (EU-
OPS) 1.420 d) 3, the report shall be made after landing. 

In  the  case  of  an  act  of  unlawful  interference  on  board  an  aircraft,  according  to 
Regulation No 859/2008 (EU-OPS) 1.420  d)  5,  the  report  shall  be  made  as  soon  as 
practicable. 

In the case of a potentially hazardous condition such as an irregularity in a ground or 
navigational  facility,  a  meteorological  phenomenon  or  a  volcanic  ash  cloud  is 
encountered during flight, according to Regulation No 859/2008 (EU-OPS) 1.420 d) 
6, the report shall be made as soon as practicable. 

2. 

MANDATORY DATA FIELDS 

2.1. 

Common data fields 

Every occurrence report collected in application of Articles 4 and 5 shall contain at 
least the following information: 

(1)  Headline  

• 

Headline 

(2)  Filing Information  

• 

Responsible Entity 

22 

Commission Regulation (EC) No 859/2008 of 20 August 2008 amending Council Regulation (EEC) No 
3922/91  as  regards  common  technical  requirements  and  administrative  procedures  applicable  to 
commercial transportation by aeroplane; OJ L 254, 20.9.2008, p. 1. 

EN 

48 

   EN 

 
                                                 
• 

• 

File Number 

Occurrence Status 

(3)  When 

• 

• 

• 

• 

Local Date 

Local Time 

UTC Date  

UTC Time 

(If only one Date/ Time is selected – this should be UTC) 

(4)  Where 

• 

• 

State/ Area of Occurrence 

Location of Occurrence 

(5)  Classification 

• 

• 

Occurrence Class 

Occurrence Category 

(6)  Severity 

• 

• 

• 

• 

Highest Damage 

Injury Level 

Third Party Damage – (Recommended field - Not always relevant)  

Damage Aerodrome – (Recommended field - Not always relevant) 

(7)  ATM relation (when relevant) 

• 

ATM contribution 

(8)  Weather (when relevant) 

•  Weather Relevant 

If Yes  

•  Weather Conditions 

• 

Light Conditions 

•  Wind Speed 

EN 

49 

   EN 

 
 
 
• 

• 

Visibility 

Air Temperature 

(9)  Narrative 

• 

• 

Narrative Language 

Narrative 

(10)  Events  

• 

• 

Event Type 

Event Phase 

(11)  Risk classification  

2.2. 

Specific data fields 

In  case  an  aircraft  is  involved  in  the  occurrence  the  following  information  shall  be
specified: 

(1)  Aircraft Identification 

• 

State of Registry 

•  Make/ Model/ Series 

• 

• 

Aircraft serial number 

Aircraft Registration 

(2)  Aircraft Operation 

• 

• 

Operator 

Operator Type 

(3)  Aircraft Description 

• 

• 

• 

Aircraft Category 

Propulsion Type 

Number of Engines 

•  Mass Group 

(4)  History of Flight 

• 

Last Departure Point 

EN 

50 

   EN 

 
 
 
• 

• 

• 

• 

• 

Planned Destination 

Flight Phase 

Occurrence on Ground 

Type of Landing (Recommended field - Not always relevant) 

Landing Location (Recommended field - Not always relevant) 

(5)  ATS 

• 

• 

Current Flight Rules 

Current Traffic Type 

EN 

51 

   EN 

 
(a) 

1. 

2. 

3. 

4. 

5. 

6. 

7. 

8. 

9. 

ANNEX III: LIST OF INTERESTED PARTIES 

List of interested parties which may receive information on the basis of a case 
by  case  decision  in  accordance  with  Article  11(4)  or  on  the  basis  of  a  general 
decision under Article 11(6) 

Manufacturers:  designers  and  manufacturers  of  aircraft,  engines,  propellers  and 
aircraft  parts  and  appliances;  designers  and  manufacturers  of  Air  Traffic 
Management  (ATM)  systems  and  constituents;  designers  and  manufacturers  of 
systems  and  constituents  for  Air  Navigation  Services  (ANS);  designers  and 
manufacturers of systems and equipments used on the air side of aerodromes 

Maintenance:  organisations  involved  with  the  maintenance  or  overhaul  of  aircraft, 
engines,  propellers  and  aircraft  parts  and  appliances;  with  the  installation, 
modification,  maintenance,  repair,  overhaul,  flight  checking  or  inspection  of  air 
navigation facilities; or with maintenance or overhaul of aerodrome air side systems, 
constituents and equipment 

Operators:  airlines  and  operators  of  aircraft  and  associations  of  airlines  and 
operators; aerodrome operators and associations of aerodrome operators 

Air navigation services providers and providers of ATM specific functions 

Aerodrome service providers: organisations in charge of ground handling of aircraft, 
including fuelling,  servicing, loadsheet  preparation, loading, de-icing  and towing at 
an aerodrome, as well as rescue and fire fighting, or other emergency services 

Aviation training organisations 

Third-country  organisations:  governmental  aviation  authorities  and  accident 
investigation authority from third countries 

International aviation organisations 

Research: public  or private  research laboratories, centres or entities; or universities 
engaged in aviation safety research or studies 

(b) 

List of interested parties which may receive information on the basis of a case 
by case decision in accordance with Articles 11(4) and 11(5) 

1. 

2. 

3. 

4. 

Pilots (on personal basis) 

Air  traffic  controllers  (on  personal  basis)  and  other  ATM/ANS  staff  carrying  out 
safety related tasks 

Engineers/technicians/air traffic safety electronics personnel/aviation (or aerodrome) 
managers (on personal basis) 

Professional representative bodies of staff carrying out safety-related tasks 

EN 

52 

   EN 

 
ANNEX IV: REQUEST FOR INFORMATION FROM THE EUROPEAN CENTRAL 
REPOSITORY 

1. 

Name: 

Function/position 

Company: 

Address: 

Tel: 

E-mail: 

Date: 

Nature of Business: 

Category of interested party you fall into (see Annex III of Regulation (EU) No…/…
of  the  European  Parliament  and  of  the  Council  on  occurrence  reporting  in  civil
aviation): 

2. 

Information requested (please be as specific as possible in your request, stating the 
relevant date/period over which you are interested): 

3. 

Reason for the request: 

4. 

Explain the purpose the information will be used for: 

5. 

6. 

7. 

Date by which the information is requested:  

Completed form should be sent, via e-mail, to: (point of contact) 

Access to information 

The point of contact is not required to make available any requested information. It 
may do so only if it is confident that the request is compatible with Regulation (EU) 
No…/… of the European Parliament and of the Council on occurrence reporting in 
civil aviation. The requestor commits itself and its organisation to restrict the use of 
the information to the purpose it has described under point 4. It is also recalled that 
information  provided  on  the  basis  of  this  request  are  made  available  only  for  the 
purposes of flight safety as provided in Regulation (EU) No…/… and not for other 
purposes including attributing blame or liability or commercial purposes. 

EN 

53 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
The requestor is not allowed to disclose information provided to it to anyone without 
written consent of the provider 

Failure  to  meet  the  above  requirements  may  lead  to  the  denial  of  access  to  further 
information  from  the  European  Central  Repository  and  to  any  sanction  where 
applicable. 

8. 

Date, place and signature:  

EN 

54 

   EN 

 
EN 

55 

   EN 

 
 
LEGISLATIVE FINANCIAL STATEMENT 

1. 

FRAMEWORK OF THE PROPOSAL/INITIATIVE  

1.1. 

Title of the proposal  

Proposal  for  a  Regulation  of  the  European  Parliament  and  of  the  Council  on 
occurrence  reporting  in  civil  aviation  amending  Regulation  (EU)  No  996/2010  and 
repealing  Directive  No  2003/42/EC,  Commission  Regulation  (EC)  No  1321/2007 
and Commission Regulation (EC) No 1330/2007 

1.2. 

Policy area concerned in the ABM/ABB structure23  

0602 : Inland, air and maritime transport 

1.3. 

Nature of the proposal  

 The proposal/initiative relates to a new action  

  The  proposal/initiative  relates  to  a  new  action  following  a  pilot  project/preparatory 

action24 

 The proposal/initiative relates to the extension of an existing action  

 The proposal/initiative relates to an action redirected towards a new action  

1.4. 

Objectives 

1.4.1.  The Commission's multiannual strategic objective(s) targeted by the proposal  

"Promote safe and secure transport" (Specific objective 2 of inland, air and maritime 
transport, DG MOVE Management Plan 2012). 

DG  MOVE  policies  aim  to  provide  European  citizens  and  businesses  with 
competitive, sustainable, secure and safe transport services. The transport sector is a 
key element of the Commission's 2020 strategy.  

Under  the  general  objective  of  providing  European  citizens  and  businesses  with 
competitive  transport  services  as  a  factor  for  growth  and  jobs,  the  proposal  for  a 
Regulation on occurrence reporting in civil aviation within the ABB activity "Inland, 
air and maritime transport" contributes directly to attaining the specific objective of 
promoting safe and secure transport. 

1.4.2. 

Specific objective and ABM/ABB activity concerned  

Specific objective 

23 
24 

ABM: Activity-Based Management – ABB: Activity-Based Budgeting. 
As referred to in Article 49(6)(a) or (b) of the Financial Regulation. 

EN 

56 

   EN 

 
                                                 
To  strengthen  and  formalise  the  actions  at  Union  level  related  to  occurrence 
reporting  and  in  particular  the  analysis  of  safety  information  contained  in  the 
European  Central  Repository  in  order  notably  to  determine  key  risk  areas  in  the 
Union.  

The European Aviation Safety Agency will coordinate the activities. 

ABM/ABB activity concerned 

Chapter 0602 : Inland, air and maritime transport 

1.4.3.  Expected results and impact 

Specify the effects which the proposal/initiative should have on the beneficiaries/groups targeted. 

The analysis of data contained in the European Central Repository at Union level and 
the formalisation of the Network of Analysts would produce the following benefits: 

-  The  identification  of  possible  aviation  safety  problems  and  key  risk  areas  at  the 
Union level; 

- Enable the European Union to focus its efforts from a data driven perspective; 

-  Support  the  European  Aviation  Safety  Programme  (EASP)  and  the  European 
Aviation Safety Plan (EASp); 

- Support Member States with their own obligations, notably by giving them access 
to a larger set of data. 

1.4.4. 

Indicators of results and impact  

Specify the indicators for monitoring implementation of the proposal/initiative. 

N/A 

1.5. 

Grounds for the proposal/initiative  

1.5.1.  Requirement(s) to be met in the short or long term  

Contribute to achieve an increased level of civil aviation safety. 

1.5.2.  Added value of EU involvement 

The EU action coordinates and completes the actions of Member States. 

1.5.3.  Lessons learned from similar experiences in the past 

N/A 

1.5.4.  Coherence and possible synergy with other relevant instruments 

N/A 

EN 

57 

   EN 

 
1.6. 

Duration and financial impact  

(cid:133) Proposal/initiative of limited duration  

–  (cid:133)  Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY  

–  (cid:133)  Financial impact from YYYY to YYYY  

 Proposal/initiative of unlimited duration 

–  Implementation with a start-up period from 2014 to YYYY, 

–  followed by full-scale operation. 

1.7.  Management mode(s) envisaged25  

(cid:133) Centralised direct management by the Commission  

 Centralised indirect management with the delegation of implementation tasks to: 

–  (cid:133) executive agencies  

– 

 bodies set up by the Communities26 (European Aviation Safety Agency) 

–  (cid:133)  national public-sector bodies/bodies with public-service mission  

–  (cid:133)  persons entrusted with the implementation of specific actions pursuant to Title 
V of the Treaty on European Union and identified in the relevant basic act within 
the meaning of Article 49 of the Financial Regulation  

(cid:133) Shared management with the Member States  

(cid:133) Decentralised management with third countries  

(cid:133) Joint management with international organisations (to be specified) 

If more than one management mode is indicated, please provide details in the "Comments" section. 

Comments  

The  achievement  of  specific  objective  No1  will  notably  require  additional  human  resources 
for the European Aviation Safety Agency which are estimated at two persons (€300,000 per 
year  including  2  x  €130,000  on  the  budget  line  “ staff  expenditure”  and  2  x  €20,000  on  the 
budget  line  “infrastructure  and  operating  expenditure”).  An  additional  mission  budget  of 
€40,000 will be used to support Member States on-site and €25,000 will be used to support 
outreach activities such as workshops and seminars across Europe.  

Therefore the total estimated additional budget costs for EASA will amount to €365,000 that 
will fully be covered by redeployment within the existing resources of the Agency. 

25 

26 

Details  of  management  modes  and  references  to  the  Financial  Regulation  may  be  found  on  the 
BudgWeb site: http://www.cc.cec/budg/man/budgmanag/budgmanag_en.html 
As referred to in Article 185 of the Financial Regulation. 

EN 

58 

   EN 

 
                                                 
2. 

MANAGEMENT MEASURES  

2.1.  Monitoring and reporting rules  

Specify frequency and conditions. 

Each year, the work of the EASA is monitored and evaluated in the annual general 
report  (for  the  previous  year)  and  the  work  programme  (for  the  following  year). 
These  two  documents  are  adopted  by  the  Agency's  Management  Board  and  sent  to 
the  European  Parliament,  the  Council,  the  Commission,  the  Court  of  Auditors  and 
the Member States. 

Every five years, an independent external evaluation is carried out to see how well 
the EASA has fulfilled its tasks and evaluate the impact of the common rules and the 
Agency's work on the general level of aviation safety. 

2.2.  Management and control system  

2.2.1.  Risk(s) identified  

N/A 

2.2.2.  Control method(s) envisaged  

Each year, the work of the EASA is monitored and evaluated in the annual general 
report  (for  the  previous  year)  and  the  work  programme  (for  the  following  year). 
These  two  documents  are  adopted  by  the  Agency's  Management  Board  and  sent  to 
the  European  Parliament,  the  Council,  the  Commission,  the  Court  of  Auditors  and 
the Member States. 

2.3.  Measures to prevent fraud and irregularities  

Specify existing or envisaged prevention and protection measures. 

The  Executive  Director  implements  the  Agency's  budget.  Each  year,  he  presents 
detailed  accounts  for  the  previous  year  showing  revenue  and  expenditure  to  the 
Commission,  the  Court  of  Auditors  and  the  Agency's  Management  Board.  In 
addition,  the  Commission's  internal  auditor  has  the  same  terms  of  reference  with 
respect to the EASA as it does with respect to the Commission departments, and the 
Agency has an internal audit system similar to that of the Commission. 

Regulation (EC) No 1073/1999 of the European Parliament and of the Council of 25 
May  1999  concerning  investigations  conducted  by  the  European  Anti-Fraud  Office 
(OLAF)27, and the interinstitutional agreement of 25 May 1999 concerning internal 
investigations conducted by OLAF apply without restriction to the EASA. 

27 

OJ L 136, 31.5.1999, p. 1. 

EN 

59 

   EN 

 
                                                 
3. 

ESTIMATED FINANCIAL IMPACT OF THE PROPOSAL/INITIATIVE  

3.1. 

Heading(s)  of  the  multiannual  financial  framework  and  expenditure  budget 
line(s) affected (new multiannual financial framework 2014-2020) 

•  Existing expenditure budget lines  

In order of multiannual financial framework headings and budget lines (2014-2020). 

Budget line 

Type of  
expenditure

Contribution  

Number  
[Description………………………...……….] 

Diff./non-
diff. 
(28) 

from 
EFTA29 
countries 

from 
candidate 
countries30 

from third 
countries 

within the 
meaning of Article 
18(1)(aa) of the 
Financial 
Regulation  

Heading of 
multiannual 
financial 
framework 

1 

(New) 06.02.02 EASA subsidies 

Diff/non
-diff. 

YES 

NO31 

NO 

NO 

28 
29 
30 
31 

Diff. = Differentiated appropriations / Non-diff. = Non-Differentiated Appropriations 
EFTA: European Free Trade Association.  
Candidate countries and, where applicable, potential candidate countries from the Western Balkans. 
Participation  from  European  third  countries  associated  with  the  Agency  (Switzerland,  Norway  and 
Iceland). 

EN 

60 

   EN 

 
                                                 
3.2. 

Estimated impact on expenditure  

3.2.1. 

Summary of estimated impact on expenditure32  

Heading of multiannual financial 
framework:  

1 

Smart and inclusive growth 

EUR million (to 3 decimal places) 

DG: MOVE 

(cid:121) Operational appropriations  

Budget line : new 06.02.02 

administrative 
Appropriations 
 from the envelope for specific programmes34  

an 

of 

TOTAL appropriations 
for DG MOVE 

Year 
N33 

Year 
N+1 

Year 
N+2 

Year 
N+3 

Year N + 4 and later (indefinite) 

TOTAL 

Commitments 

Payments 

(1) 

(2) 

0.365 
0.365 

0.365 
0.365 

0.365 
0.365 

0.365 
0.365 

0.365 

nature 

financed 

Commitments 

=1+1a 
+3 

=2+2a 

0.365 

0.365 

0.365 

0.365 

0.365 

Payments 

0.365 

0.365 

0.365 

0.365 

 (cid:121) TOTAL operational appropriations  

Commitments 

Payments 

(cid:121)  TOTAL  appropriations  of  an  administrative  nature 
financed from the envelope for specific programmes  

+3 

(4) 

(5) 

(6) 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

32 
33 
34 

EN 

These amounts will be covered by redeployment. 
Assuming that year N is 2014, year of possible adoption. 
Technical and/or administrative assistance and expenditure in support of the implementation of EU programmes and/or actions (former "BA" lines), indirect research, 
direct research. 

61 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
TOTAL appropriations  
under HEADING 1 
of the multiannual financial framework 

Commitments 

=4+ 6 

0.365 

0.365 

0.365 

0.365 

Payments 

=5+ 6 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

Heading of multiannual financial 
framework:  

5 

" Administrative expenditure "35 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6)  

TOTAL 

EUR million (to 3 decimal places) 

DG: <…….> 

(cid:121) Human resources  
(cid:121) Other administrative expenditure  

TOTAL DG <…….> 

Appropriations  

TOTAL appropriations 
under HEADING 5 
of the multiannual financial framework  

(Total 
= Total payments) 

commitments 

Year 
N36 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

TOTAL 

EUR million (to 3 decimal places) 

TOTAL appropriations  

Commitments 

35 
36 

No administrative expenditure for DG MOVE. 
Year N is the year in which implementation of the proposal/initiative starts. 

EN 

62 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
under HEADINGS 1 to 5 
of the multiannual financial framework  

Payments 

EN 

63 

EN 

 
  
 
 
 
 
 
 
 
 
3.2.2.  Estimated impact on operational appropriations  

–  (cid:133)  The proposal/initiative does not require the use of operational appropriations  

– 

 The proposal/initiative requires the use of operational appropriations, as explained below: 

Indicate 
objectives and 
outputs  

Year N37 

Year 
N+1 

Year 
N+2 

Year 
N+3 

OUTPUTS 

(cid:216) 

Type 
of 
output
38 

Avera
ge 
cost  
of the 
output 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

Cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

SPECIFIC OBJECTIVE No 139… 

- Output 

See * 

0.365 

TOTAL COST 

0.365 

0.365 

0.365 

0.365 

0.365 

0.365 

Cost 

0.365 

0.365 

Commitment appropriations in EUR million (to 3 decimal places) 

Year N + 4 and later (indefinite) 

TOTAL 

Total 
numbe
r of 
output
s 

Total  
cost 

r
e
b
m
u
N

s
t
u
p
t
u
o

f
o

t
s
o
C

0.365 

0.365 

* The output is not quantifiable and is defined as "contribution to the improvement of aviation safety". 

37 
38 
39 

Assuming that year N is 2014, year of possible adoption. 
Outputs are products and services to be supplied (e.g.: number of student exchanges financed, number of km of roads built, etc.). 
As described in Section 1.4.2. "Specific objective(s)…" 

EN 

64 

EN 

 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.  Estimated impact on appropriations of an administrative nature 

3.2.3.1.  Summary  

– 

 The  proposal/initiative  does  not 

require 

the  use  of  administrative 

appropriations  

–  (cid:133)  The  proposal/initiative  requires  the  use  of  administrative  appropriations,  as 

explained below: 

EUR million (to 3 decimal places) 

Year 
N 40 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as necessary 
to show the duration of the impact 
(see point 1.6) 

TOTAL 

HEADING 5 
of the multiannual 
financial framework 

Human resources  

Other administrative 
expenditure  

Subtotal HEADING 5 
of the multiannual 
financial framework  

Outside HEADING 541 
of the multiannual 
financial framework  

Human resources  

Other expenditure  
of an administrative 
nature 

Subtotal  
outside HEADING 5 
of the multiannual 
financial framework  

TOTAL 

40 
41 

Year N is the year in which implementation of the proposal/initiative starts. 
Technical  and/or  administrative  assistance  and  expenditure  in  support  of  the  implementation  of  EU 
programmes and/or actions (former "BA" lines), indirect research, direct research. 

EN 

65 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.3.2.  Estimated requirements of human resources  

– 

 The  proposal/initiative  does  not  require  the  use  of  human  resources  for  DG 

MOVE 

–  (cid:133)  The  proposal/initiative  requires  the  use  of  human  resources,  as  explained 

below: 

Estimate to be expressed in full amounts (or at most to one decimal place) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the 
duration of the impact 
(see point 1.6) 

(cid:121) Establishment plan posts (officials and temporary agents) 

XX 01 01 01 (Headquarters and Commission’s 
Representation Offices) 

XX 01 01 02 (Delegations) 

XX 01 05 01 (Indirect research) 

10 01 05 01 (Direct research) 

(cid:121) External personnel (in Full Time Equivalent unit: FTE)42 

XX 01 02 01 (CA, INT, SNE from the "global 
envelope") 

XX 01 02 02 (CA, INT, JED, LA and SNE in 
the delegations) 

XX 01 04 yy 43 

- at Headquarters44 

- in delegations  

XX 01 05 02 (CA, INT, SNE - Indirect 
research) 

10 01 05 02 (CA, INT, SNE - Direct research) 

Other budget lines (specify) 

TOTAL 

XX is the policy area or budget title concerned. 

The human resources required will be met by staff from the DG who are already assigned to 
management of the action and/or have been redeployed within the DG, together if necessary 
with any additional allocation which may be granted to the managing DG under the annual 
allocation procedure and in the light of budgetary constraints. 

Description of tasks to be carried out: 

Officials and temporary agents 

External personnel 

42 

43 
44 

CA= Contract Agent; INT= agency staff ("Intérimaire"); JED= "Jeune Expert en Délégation" (Young 
Experts in Delegations); LA= Local Agent; SNE= Seconded National Expert;  
Under the ceiling for external personnel from operational appropriations (former "BA" lines). 
Essentially  for  Structural  Funds,  European  Agricultural  Fund  for  Rural  Development  (EAFRD)  and 
European Fisheries Fund (EFF). 

EN 

66 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.2.4.  Compatibility with the future multiannual financial framework  

– 

 Proposal/initiative  is  compatible  the  future  multiannual  financial  framework 

(2014-2020)45. 

–  (cid:133)  Proposal/initiative  will  entail  reprogramming  of  the  relevant  heading  in  the 

future multiannual financial framework. 

Explain what reprogramming is required, specifying the budget lines concerned and the corresponding 
amounts. 

–  (cid:133)  Proposal/initiative requires application of the flexibility instrument or revision 

of the multiannual financial framework46. 

Explain what is required, specifying the headings and budget lines concerned and the corresponding 
amounts. 

3.2.5.  Third-party contributions  

–  The proposal/initiative does not provide for co-financing by third parties  

–  The proposal/initiative provides for the co-financing estimated below: 

Appropriations in EUR million (to 3 decimal places) 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… enter as many years as 
necessary to show the duration 
of the impact (see point 1.6) 

Total 

Specify  the  co-financing 
body  

TOTAL appropriations 
cofinanced  

45 
46 

Discussions on the multiannual financial framework (2014-2020) are still on-going. 
See points 19 and 24 of the Interinstitutional Agreement. 

EN 

67 

   EN 

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
                                                 
3.3. 

Estimated impact on revenue  

– 

 Proposal/initiative has no financial impact on revenue. 

–  (cid:133)  Proposal/initiative has the following financial impact: 

– 

– 

(cid:133) 

(cid:133) 

on own resources  

on miscellaneous revenue  

Appropriation
s available for 
the ongoing 
budget year 

Budget revenue line: 

Article …………. 

EUR million (to 3 decimal places) 

Impact of the proposal/initiative47 

Year 
N 

Year 
N+1 

Year 
N+2 

Year 
N+3 

… insert as many columns as necessary 
in order to reflect the duration of the 
impact (see point 1.6) 

For miscellaneous assigned revenue, specify the budget expenditure line(s) affected. 

Specify the method for calculating the impact on revenue.  

47 

As regards traditional own resources (customs duties, sugar levies), the amounts indicated must be net 
amounts, i.e. gross amounts after deduction of 25% for collection costs. 

EN 

68 

   EN