CELEX: 52012PC0776
Language: en
Date: 2012-12-18
Title: 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

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		52012PC0776
		
			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 /* COM/2012/0776 final - 2012/0361 (COD) */
			
				
		
		
			
			   	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 to systematically analyse all available safety
information, 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.
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/EC[1] 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 regulations[2]. 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 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;
(2)                   
Ensure that data issued from reported
occurrences and stored in the national databases and in the ECR are complete
and of high quality;
(3)                   
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;
(4)                   
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 996/2010[3]. 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 the "Your Voice in
Europe" internet website. In total, 61 replies were submitted in
response[6].

In application of Commission Decision 98/500/EC[7] 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 2012[8]. 
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 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 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.
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.
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 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.
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 Committee[9],

Having regard to the opinion of the
Committee of the Regions[10],

After consulting the European Data Protection
Supervisor[11],
Acting in accordance with the ordinary
legislative procedure,
Whereas:
(1)       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.
(2)       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.
(3)       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[12] aims at preventing accidents
by facilitating the conduct of expeditious, efficient and qualitative safety investigations.
This Regulation should not interfere with the process of accidents and
incidents investigations managed by national Safety Investigation Authorities
as defined in Regulation (EU) No 996/2010.
(4)       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.
(5)       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)       Various categories of
personnel working in civil aviation observe events of interest for the
prevention of accidents and should therefore report them.
(8)       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.
(9)       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.
(10)     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 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. 
(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
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 individuals from 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.
(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)     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.
(36)     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.
(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 powers[13].
(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 data[14]
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 data[15]
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 documents[16]
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 aviation[17],
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
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[19]
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)              
‘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;
(2)              
'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;
(3)              
'European Aviation Safety Plan' means safety
issues assessment and related action plan at European level;
(4)              
'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;
(5)              
‘incident’ means an occurrence, other than an
accident, associated with the operation of an aircraft which affects or could
affect the safety of operation; 
(6)              
‘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
occurrences exchanged by the Member States and which is included in one of the
categories of interested parties established by this Regulation;
(7)              
‘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; 
(8)              
‘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;
(9)              
'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;
(10)          
‘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;
(11)          
'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;
(12)          
'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
1.           A
mandatory reporting system to facilitate the collection of details on occurrences shall set up by each organisation
established in a Member State.
2.           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.
3.           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:
(a)                   
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;
(b)                   
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);
(c)                   
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;
(d)                   
a person who performs a function which requires
him to be authorised by a Member State as an air traffic controller or as a
flight information officer;
(e)                   
a manager of an airport to which Regulation (EC)
No 1008/2008 of the European Parliament and of the Council[20] applies;
(f)                     
a person who performs a function connected with
the installation, modification, maintenance, repair, overhaul, flight-checking
or inspection of air navigation facilities for which a Member State ensures
responsibility;
(g)                   
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.
4.           Every
person listed in paragraph 3 shall report occurrences within the time-limit and
in accordance with the requirements specified in Annex II point1. 
5.           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.
6.           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
1.           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 captured by
the mandatory reporting system but
which are perceived by the reporter as an actual or potential hazard.
2.           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. 
3.           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).
4.           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.
5.           Each
organisation certified or approved by EASA shall report to EASA the details on occurrences
collected in accordance with paragraph 1.
6.           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
1.           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.
2.           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. 
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).
3.           Organisations
shall store occurrence reports coming from details on occurrences collected in
accordance with Articles 4 and 5 in a database.
4.           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. 
5.           Accidents
and serious incidents shall also be stored in that national database.
6.           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.
7.           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
1.           Occurrence
reports referred to in Article 6 shall contain at least the information listed
in Annex II point 2.
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.
3.           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.
4.           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. 
5.           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. 
6.           The Commission shall be
empowered to adopt, where necessary, delegated acts in accordance with Article 18
for defining the common European risk classification
scheme.
7.           The
Commission shall, by means of implementing acts, adopt the arrangements for the
implementation of the common European risk classification scheme. Those
implementing acts shall be adopted in accordance with the examination procedure
referred to in Article 19(2).
8.           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
1.           The
Commission shall manage a European Central Repository to store all occurrence
reports collected in the Union.
2.           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).
3.           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 Council[21]
and its implementing rules as well as the information collected in application
of Articles 4(6) and 5(5).
4.           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).
5.           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
1.           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 collection of details on
the occurrence. Occurrence reports shall be updated whenever necessary with
additional safety related information.
2.           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.
3.           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
1.           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.
2.           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.
3.           For
security reasons, direct access to the European Central Repository shall not be
granted to interested parties.
Article 11
Processing of requests and decisions
1.           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.
2.           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.
3.           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.
4.           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 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.
5.           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.
6.           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.
7.           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. 
8.           The
decision to disseminate information under this Article shall be limited to what
is strictly required for the purpose of its user.
9.           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
1.           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.
2.           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
1.           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.
2.           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. 
3.           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.
4.           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.
5.           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.
6.           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.
7.           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.
8.           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. 
9.           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. 
3.           EASA
shall support the Network of Aviation Safety Analysts activities including, but
not limited to, assistance for the preparation and organisation of its
meetings.
4.           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.
5.           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
1.           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.
2.           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.
3.           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.
4.           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
1.           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.
2.           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.
3.           Member
States shall refrain from instituting proceedings in respect of 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.
4.           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.
5.           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.
6.           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.           The power to adopt
delegated acts is conferred on the Commission subject to the conditions laid
down in this Article. 
2.           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.
3.           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 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. 
4.           As soon as it adopts a
delegated act, the Commission shall notify it simultaneously to the European
Parliament and to the Council. 
5.           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 
1.           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.
2.           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
1.           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. 
2.           This
Regulation shall apply without prejudice to national legislations implementing
Directive 95/46/EC and in accordance with Regulation (EC) No 45/2001.
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.
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                       For
the Council
The President                                                 The
President
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;
–     
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.
(u)         
Inability to achieve the intended aircraft
configuration for any flight phase (e.g. landing gear and gear doors, flaps,
stabilisers, slats etc.).
(v)         
A hazard or potential hazard which arises as a
consequence of any deliberate simulation of failure conditions for training,
system checks or training purposes.
(w)       
Abnormal vibration.
(x)         
Operation of any primary warning system
associated with manoeuvring the aircraft e.g. configuration warning, stall
warning (stick shaker), over-speed warning etc. unless:
(1)         
the crew conclusively established that the
indication was false and provided that the false warning did not result in
difficulty or hazard arising from the crew response to the warning; or
(2)         
operated for training or test purposes.
(y)         
GPWS/TAWS ‘warning’ when:
(1)         
the aircraft comes into closer proximity to the
ground than had been planned or anticipated; or
(2)         
the warning is experienced in instrument
meteorological conditions or at night and is established as having been
triggered by a high rate of descent (mode 1); or
(3)         
the warning results from failure to select
landing gear or landing flaps by the appropriate point on the approach (mode
4); or
(4)         
any difficulty or hazard arises or might have
arisen as a result of crew response to the ‘warning’ e.g. possible reduced
separation from other traffic. This could include warning of any mode or type
i.e. genuine, nuisance or false.
(z)          
GPWS/TAWS ‘alert’ when any difficulty or hazard
arises or might have arisen as a result of crew response to the ‘alert’.
(aa)      
ACAS RAs.
(bb)     
Jet or prop blast incidents resulting in
significant damage or serious injury.
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;
(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.
(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;
(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.
(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.
(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;
(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.
(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.
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)         
Incorrect loading of passengers, baggage or
cargo, likely to have a significant effect on aircraft mass and/or balance.
(c)         
Incorrect stowage of baggage or cargo (including
hand baggage) likely in any way to endanger the aircraft, its equipment or
occupants or to impede emergency evacuation.
(d)         
Inadequate stowage of cargo containers or other
substantial items of cargo.
(e)         
Carriage or attempted carriage of dangerous
goods in contravention of applicable regulations, including incorrect labelling
and packaging of dangerous goods.
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).
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)         
failure of the autoflight system to achieve the
intended operation while engaged
(b)         
significant reported crew difficulty to control
the aircraft linked to autoflight system functioning
(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
(b)         
undetected failure or defect of fire/smoke
detection/protection system, which could lead to loss or reduced fire detection/protection
(c)         
absence of warning in case of actual fire or
smoke.
7.           Flight controls
(a)         
asymmetry of flaps, slats, spoilers, etc.
(b)         
limitation of movement, stiffness or poor or
delayed response in the operation of primary flight control systems or their
associated tab and lock systems
(c)         
flight control surface runaway
(d)         
flight control surface vibration felt by the
crew
(e)         
mechanical flight control disconnection or
failure
(f)           
significant interference with normal control of
the aircraft or degradation of flying qualities.
8.           Fuel system
(a)         
fuel quantity indicating system malfunction
resulting in total loss or wrong indication of fuel quantity on board
(b)         
leakage of fuel which resulted in major loss,
fire hazard, significant contamination
(c)         
malfunction or defects of the fuel jettisoning
system which resulted in inadvertent loss of significant quantity, fire hazard,
hazardous contamination of aircraft equipment or inability to jettison fuel
(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
(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
(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.
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:
(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.
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.           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.
2.           Provision of less than
prescribed terrain clearance.
3.           Provision of incorrect
pressure reference data (i.e. altimeter setting).
4.           Incorrect transmission,
receipt or interpretation of significant messages when this results in a
hazardous situation.
5.           Separation minima
infringement.
6.           Unauthorised penetration
of airspace.
7.           Unlawful radio
communication transmission.
8.           Failure of ANS ground or
satellite facilities.
9.           Major ATC/ATM failure or
significant deterioration of aerodrome infrastructure.
10.         Aerodrome movement areas and/or navigational aids obstructed by
aircraft, vehicles, animals, persons or foreign objects, resulting in a
hazardous or potentially hazardous situation.
11.         Errors or inadequacies in
marking of obstructions or hazards on aerodrome movement areas resulting in a hazardous
situation.
12.         Failure, significant
malfunction or unavailability of aerodrome lighting
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)                   
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 859/2008[22] (EU-OPS) 1.420 d) 1, the
report shall be made without delay.
(b)                   
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.
(c)                   
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.
(d)                   
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.
(e)                   
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
·              
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
·              
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
·              
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
Annex III:
LIST OF INTERESTED PARTIES
(a)                   
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)
1.           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
2.           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
3.           Operators: airlines
and operators of aircraft and associations of airlines and operators; aerodrome
operators and associations of aerodrome operators
4.           Air navigation services
providers and providers of ATM specific functions
5.           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
6.           Aviation training
organisations
7.           Third-country
organisations: governmental aviation authorities and accident investigation
authority from third countries
8.           International aviation
organisations
9.           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.           Pilots (on personal
basis)
2.           Air traffic controllers
(on personal basis) and other ATM/ANS staff carrying out safety related
tasks
3.           Engineers/technicians/air
traffic safety electronics personnel/aviation (or aerodrome) managers (on
personal basis)
4.           Professional representative
bodies of staff carrying out safety-related tasks
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.           Date by which the information
is requested: 
6.           Completed form should be
sent, via e-mail, to: (point of contact)
7.           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.
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:

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 structure[23] 
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 action[24]
 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
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
1.6.        Duration and financial
impact 
¨ Proposal/initiative of limited
duration 
–     
¨  Proposal/initiative in effect from [DD/MM]YYYY to [DD/MM]YYYY 
–     
¨  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)
envisaged[25] 
¨ Centralised direct management by the Commission 
 Centralised
indirect management with the delegation of implementation tasks to:
–     
¨ executive agencies 
–       bodies set up by the Communities[26] (European Aviation Safety
Agency)
–     
¨  national public-sector bodies/bodies with public-service mission 
–     
¨  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

¨ Shared management with the Member States 
¨ Decentralised management with third countries 
¨ 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.
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.
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).
 Heading of multiannual financial framework || Budget line || Type of expenditure || Contribution 
 Number [Description………………………...……….] || Diff./non-diff. ([28]) || from EFTA[29] countries || from candidate countries[30] || from third countries || within the meaning of Article 18(1)(aa) of the Financial Regulation 
 1 || (New) 06.02.02 EASA subsidies || Diff/non-diff. || YES || NO[31] || NO || NO 
3.2.        Estimated impact on
expenditure 
3.2.1.     Summary of estimated impact
on expenditure[32]

EUR million (to 3 decimal places)
 Heading of multiannual financial framework: || 1 || Smart and inclusive growth 
 DG: MOVE ||   ||   || Year N[33] || Year N+1 || Year N+2 || Year N+3 || Year N + 4 and later (indefinite) || TOTAL 
  Operational appropriations ||   ||   ||   ||   ||   ||   
 Budget line : new 06.02.02 || Commitments || (1) || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
 Payments || (2) || 0.365 || 0.365 || 0.365 || 0.365 ||   ||   
 Appropriations of an administrative nature financed  from the envelope for specific programmes[34] ||   ||   ||   ||   ||   ||   
 TOTAL appropriations for DG MOVE || Commitments || =1+1a +3 || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
 Payments || =2+2a +3 || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
    TOTAL operational appropriations || Commitments || (4) || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
 Payments || (5) || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
  TOTAL appropriations of an administrative nature financed from the envelope for specific programmes || (6) ||   ||   ||   ||   ||   ||   
 TOTAL appropriations under HEADING 1 of the multiannual financial framework || Commitments || =4+ 6 || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
 Payments || =5+ 6 || 0.365 || 0.365 || 0.365 || 0.365 || 0.365 ||   
 Heading of multiannual financial framework: || 5 || " Administrative expenditure "[35] 
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 
 DG: <…….> || 
  Human resources ||   ||   ||   ||   ||   ||   ||   ||   
  Other administrative expenditure ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL DG <…….> || Appropriations ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL appropriations under HEADING 5 of the multiannual financial framework || (Total commitments = Total payments) ||   ||   ||   ||   ||   ||   ||   ||   
EUR million (to 3 decimal places)
   ||   ||   || Year N[36] || 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 
 TOTAL appropriations under HEADINGS 1 to 5 of the multiannual financial framework || Commitments ||   ||   ||   ||   ||   ||   ||   ||   
 Payments ||   ||   ||   ||   ||   ||   ||   ||   
3.2.2.     Estimated impact on
operational appropriations 
–     
¨  The proposal/initiative does not require the use of operational
appropriations 
–       The proposal/initiative requires the use of
operational appropriations, as explained below:
Commitment appropriations in EUR million (to 3 decimal
places)
 Indicate objectives and outputs   ò ||   ||   || Year N[37] || Year N+1 || Year N+2 || Year N+3 || Year N + 4 and later (indefinite) || TOTAL 
 OUTPUTS 
 Type of output[38] || Average cost of the output || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs || Cost || Number of outputs Cost || Total number of outputs || Total cost 
 SPECIFIC OBJECTIVE No 1[39]… ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   ||   
 - Output || See * || 0.365 ||   || 0.365 ||   || 0.365 ||   || 0.365 ||   || 0.365 || 0.365 ||   ||   
 TOTAL COST ||   || 0.365 ||   || 0.365 ||   || 0.365 ||   || 0.365 || 0.365 ||   ||   
* The output is not quantifiable and is
defined as "contribution to the improvement of aviation safety".
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 
–     
¨  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 5[41] of the multiannual financial framework ||   ||   ||   ||   ||   ||   ||   ||   
 Human resources ||   ||   ||   ||   ||   ||   ||   ||   
 Other expenditure of an administrative nature ||   ||   ||   ||   ||   ||   ||   ||   
 Subtotal outside HEADING 5 of the multiannual financial framework ||   ||   ||   ||   ||   ||   ||   ||   
 TOTAL ||   ||   ||   ||   ||   ||   ||   ||   
3.2.3.2.  Estimated requirements of
human resources 
–     
 The proposal/initiative does not require the use of human resources for
DG MOVE
–     
¨  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) 
  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) ||   ||   ||   ||   ||   ||   ||   
  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 Headquarters[44] ||   ||   ||   ||   ||   ||   ||   
 - 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 ||   
3.2.4.     Compatibility with the future
multiannual financial framework 
–     
 Proposal/initiative is compatible the future multiannual financial
framework (2014-2020)[45].
–     
¨  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.
–     
¨  Proposal/initiative requires application of the flexibility
instrument or revision of the multiannual financial framework[46].
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 ||   ||   ||   ||   ||   ||   ||   ||   
3.3.        Estimated impact on
revenue 
–     
 Proposal/initiative has no financial impact on
revenue.
–     
¨  Proposal/initiative has the following financial impact:
–                   
¨         on own resources 
–                   
¨         on miscellaneous revenue 
EUR million (to 3 decimal places)
 Budget revenue line: || Appropriations available for the ongoing budget year || Impact of the proposal/initiative[47] 
 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) 
 Article …………. ||   ||   ||   ||   ||   ||   ||   ||   
For miscellaneous
assigned revenue, specify the budget expenditure line(s) affected.
Specify the method for
calculating the impact on revenue. 
[1]               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.
[2]               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.
[3]               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.
[4]               COM/2011/0144 final.
[5]               COM/2011/0670 final.
[6]               A summary of the consultation is available on the
following webpage: http://ec.europa.eu/transport/air/consultations/2011_11_09_occurence_en.htm.
[7]               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.
[8]               The meeting summary and adopted conclusions are
available on the following webpage: http://ec.europa.eu/transport/modes/air/events/2012-04-19-seminar-aviation-safety_en.htm
[9]               OJ C , , p. .
[10]             OJ C , , p. .
[11]             OJ C […], […], p. […].
[12]             OJ L 295, 12.11.2010, p. 35.
[13]             OJ L 55, 28.2.2011, p. 13.
[14]             OJ L 281, 23.11.1995, p. 31.
[15]             OJ L 8, 12.1.2001, p. 1.
[16]             OJ L 145, 31.5.2001, p. 43.
[17]             OJ L 167, 4.7.2003, p. 23.
[18]             OJ L 294 of 13.11.2007, p. 3.
[19]             OJ L 295 of 14.11.2007, p. 7.
[20]             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.
[21]             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.
[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.
[23]             ABM: Activity-Based Management – ABB: Activity-Based
Budgeting.
[24]             As referred to in Article 49(6)(a) or (b) of the
Financial Regulation.
[25]             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
[26]             As referred to in Article 185 of the Financial
Regulation.
[27]             OJ L 136, 31.5.1999, p. 1.
[28]             Diff. = Differentiated appropriations / Non-diff. =
Non-Differentiated Appropriations
[29]             EFTA: European Free Trade Association. 
[30]             Candidate countries and, where applicable, potential
candidate countries from the Western Balkans.
[31]             Participation from European third countries associated
with the Agency (Switzerland, Norway and Iceland).
[32]             These amounts will be covered by redeployment.
[33]             Assuming that year N is 2014, year of possible
adoption.
[34]             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.
[35]             No administrative expenditure for DG MOVE.
[36]             Year N is the year in which implementation of the
proposal/initiative starts.
[37]             Assuming that year N is 2014, year of possible adoption.
[38]             Outputs are products and services to be supplied (e.g.:
number of student exchanges financed, number of km of roads built, etc.).
[39]             As described in Section 1.4.2. "Specific
objective(s)…"
[40]             Year N is the year in which implementation of the
proposal/initiative starts.
[41]             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.
[42]             CA= Contract Agent; INT= agency staff ("Intérimaire");
JED= "Jeune Expert en Délégation" (Young Experts in
Delegations); LA= Local Agent; SNE= Seconded National Expert; 
[43]             Under
the ceiling for external personnel from operational
appropriations (former "BA" lines).
[44]             Essentially for Structural Funds, European Agricultural
Fund for Rural Development (EAFRD) and European Fisheries Fund (EFF).
[45]             Discussions on the multiannual financial framework
(2014-2020) are still on-going.
[46]             See points 19 and 24 of the Interinstitutional
Agreement.
[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.