Regulation (EU) No 376/2014 of the European Parliament and of the Council of 3 April 2014 on the reporting, analysis and follow-up of occurrences in civil aviation, amending Regulation (EU) No 996/2010 of the European Parliament and of the Council and repealing Directive 2003/42/EC of the European Parliament and of the Council and Commission Regulations (EC) No 1321/2007 and (EC) No 1330/2007 Text with EEA relevance

Article 1

Objectives

This Regulation ensures:

(a) that, where appropriate, safety action is taken in a timely manner based on analysis of the information collected;

(b) the continued availability of safety information by introducing rules on confidentiality and on the appropriate use of information and through the harmonised and enhanced protection of reporters and persons mentioned in occurrence reports; and

(c) that aviation safety risks are considered and dealt with at both Union level and national level.

Article 2

Definitions

For the purposes of this Regulation the following definitions apply:

(1) ‘reporter’ means a natural person who reports an occurrence or other safety-related information pursuant to this Regulation;

(2) ‘aircraft’ means any machine that can derive support in the atmosphere from the reactions of the air other than the reactions of the air against the earth's surface;

(3) ‘incident’ means an incident within the meaning of Regulation (EU) No 996/2010;

(4) ‘serious incident’ means a serious incident within the meaning of Regulation (EU) No 996/2010;

(5) ‘accident’ means an accident within the meaning of Regulation (EU) No 996/2010;

(6) ‘disidentified information’ means information arising from occurrence reports from which all personal data such as names or addresses of natural persons have been removed;

(7) ‘occurrence’ means any safety-related event which endangers or which, if not corrected or addressed, could endanger an aircraft, its occupants or any other person and includes in particular an accident or serious incident;

(8) ‘organisation’ means any organisation providing aviation products and/or which employs, contracts or uses the services of persons required to report occurrences in accordance with Article 4(6);

(9) ‘anonymisation’ means the removal from occurrence reports of all personal details relating to the reporter and to the persons mentioned in occurrence reports and any details, including the name of the organisation(s) involved in the occurrence, which may reveal the identity of the reporter or of a third party or lead to that information being inferred from the occurrence report;

(10) ‘hazard’ means a situation or an object with the potential to cause death or injury to a person, damage to equipment or a structure, loss of material, or a reduction of ability to perform a prescribed function;

(11) ‘safety investigation authority’ means the permanent national civil aviation safety investigation authority conducting or supervising safety investigations as referred to in Article 4 of Regulation (EU) No 996/2010;

(12) ‘just culture’ means a culture in which front-line operators or other persons are not punished for actions, omissions or decisions taken by them that are commensurate with their experience and training, but in which gross negligence, wilful violations and destructive acts are not tolerated;

(13) ‘point of contact’ means: (a) where a request for information is made by an interested party established in a Member State, the competent authority designated by each Member State in accordance with Article 6(3); (b) where a request for information is made by an interested party established outside the Union, the Commission;

(14) ‘interested party’ means any natural or legal person or any official body, whether or not having its own legal personality, that is in a position to participate in the improvement of aviation safety by having access to information on occurrences exchanged by the Member States and which falls within one of the categories of interested parties set out in Annex II;

(15) ‘State Safety Programme’ means an integrated set of legal acts and activities aimed at managing civil aviation safety in a Member State;

(16) ‘European Aviation Safety Plan’ means safety issues assessment and the related action plan at European level;

(17) ‘European Aviation Safety Programme’ means the integrated set of regulations at Union level, together with the activities and processes used to jointly manage the safety of civil aviation at European level;

(18) ‘safety management system’ means a systematic approach to managing aviation safety including the necessary organisational structures, accountabilities, policies and procedures, and includes any management system that, independently or integrated with other management systems of the organisation, addresses the management of safety.

Article 3

Subject matter and scope

This Regulation lays down rules on:

(a) the reporting of occurrences which endanger or which, if not corrected or addressed, would endanger an aircraft, its occupants, any other person, equipment or installation affecting aircraft operations; and the reporting of other relevant safety-related information in that context;

(b) analysis and follow-up action in respect of reported occurrences and other safety-related information;

(c) the protection of aviation professionals;

(d) appropriate use collected safety information;

(e) the integration of information into the European Central Repository; and

(f) the dissemination of anonymised information to interested parties for the purpose of providing such parties with the information they need in order to improve aviation safety.

However, this Regulation shall not apply to occurrences and other safety-related information involving unmanned aircraft for which a certificate or declaration is not required pursuant to Article 56(1) and (5) of Regulation (EU) 2018/1139, unless the occurrence or other safety-related information involving such unmanned aircraft resulted in a fatal or serious injury to a person or it involved aircraft other than unmanned aircraft.

Member States may decide to apply this Regulation also to occurrences and other safety-related information involving the aircraft to which Regulation (EU) 2018/1139 does not apply.

Article 4

Mandatory reporting

Occurrences which may represent a significant risk to aviation safety and which fall into the following categories shall be reported by the persons listed in paragraph 6 through the mandatory occurrence reporting systems pursuant to this Article:

(a) occurrences related to the operation of the aircraft, such as: (i) collision-related occurrences; (ii) take-off and landing-related occurrences; (iii) fuel-related occurrences; (iv) in-flight occurrences; (v) communication-related occurrences; (vi) occurrences related to injury, emergencies and other critical situations; (vii) crew incapacitation and other crew-related occurrences; (viii) meteorological conditions or security-related occurrences;

(b) occurrences related to technical conditions, maintenance and repair of aircraft, such as: (i) structural defects; (ii) system malfunctions; (iii) maintenance and repair problems; (iv) propulsion problems (including engines, propellers and rotor systems) and auxiliary power unit problems;

(c) occurrences related to air navigation services and facilities, such as: (i) collisions, near collisions or potential for collisions; (ii) specific occurrences of air traffic management and air navigation services (ATM/ANS); (iii) ATM/ANS operational occurrences;

(d) occurrences related to aerodromes and ground services, such as: (i) occurrences related to aerodrome activities and facilities; (ii) occurrences related to handling of passengers, baggage, mail and cargo; (iii) occurrences related to aircraft ground handling and related services.

The Commission shall include in those implementing acts a separate list classifying occurrences applicable to aircraft other than complex motor-powered aircraft. The list shall be a simplified version of the list referred to in the first subparagraph and shall, where appropriate, be adapted to the specificities of that branch of aviation.

The following natural persons shall report the occurrences referred to in paragraph 1 through the system established in accordance with paragraph 2 by the organisation which employs, contracts or uses the services of the reporter or, failing that, through the system established in accordance with paragraph 3 by the Member State of establishment of their organisation, or by the State which issued, validated or converted the pilot's licence, or through the system established in accordance with paragraph 4 by the Agency:

(a) the pilot in command, or, in cases where the pilot in command is unable to report the occurrence, any other crew member next in the chain of 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 engaged in designing, manufacturing, continuous airworthiness monitoring, maintaining or modifying an aircraft, or any equipment or part thereof, under the oversight of a Member State or of the Agency;

(c) a person who signs an airworthiness review certificate, or a release to service in respect of an aircraft or any equipment or part thereof, under the oversight of a Member State or of the Agency;

(d) a person who performs a function which requires him or her to be authorised by a Member State as a staff member of an air traffic service provider entrusted with responsibilities related to air navigation services or as a flight information service officer;

(e) a person who performs a function connected with the safety management of an airport to which Regulation (EC) No 1008/2008 of the European Parliament and of the Council (²) 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 the oversight;

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

Article 5

Voluntary reporting

Each organisation established in a Member State shall establish a voluntary reporting system to facilitate the collection of:

(a) details of occurrences that may not be captured by the mandatory reporting system;

(b) other safety-related information which is perceived by the reporter as an actual or potential hazard to aviation safety.

Each Member State shall establish a voluntary reporting system to facilitate the collection of:

(a) details of occurrences that may not be captured by the mandatory reporting system;

(b) other safety-related information which is perceived by the reporter as an actual or potential hazard to aviation safety.

That system shall also include, but shall not be limited to, the collection of information transferred by organisations pursuant to paragraph 6.

The Agency shall establish a voluntary reporting system to facilitate the collection of:

(a) details of occurrences that may not be captured by the mandatory reporting system;

(b) other safety-related information which is perceived by the reporter as an actual or potential hazard to aviation safety.

That system shall also include, but shall not be limited to, the collection of information transferred by organisations certified or approved by the Agency pursuant to paragraph 5.

The voluntary reporting systems shall be used to facilitate the collection of details of occurrences and safety-related information:

(a) not subject to mandatory reporting pursuant to Article 4(1);

(b) reported by persons who are not listed in Article 4(6).

Member States, the Agency and organisations may establish other safety information collection and processing systems to collect details of occurrences that might not be captured by the reporting systems referred to in Article 4 and in paragraphs 1, 2 and 3 of this Article. Those systems may include reporting to entities other than those set out in Article 6(3) and may involve the active participation of:

(a) the aviation industry;

(b) professional organisations of aviation staff.

Article 6

Collection and storage of information

The handling of the reports shall be done with a view to preventing the use of information for purposes other than safety, and shall appropriately safeguard the confidentiality of the identity of the reporter and of the persons mentioned in occurrence reports, with a view to promoting a ‘just culture’.

The handling of the reports shall be done with a view to preventing the use of information for purposes other than safety, and shall appropriately safeguard the confidentiality of the identity of the reporter and of the persons mentioned in occurrence reports, with a view to promoting a ‘just culture’.

The authorities which may be designated pursuant to the first subparagraph, either jointly 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 based in the Union that is entrusted with this function.

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

The handling of the reports shall be done with a view to preventing the use of information for purposes other than safety, and shall appropriately safeguard the confidentiality of the identity of the reporter and of the persons mentioned in occurrence reports, with a view to promoting a ‘just culture’.

Article 7

Quality and content of occurrence reports

The databases referred to in paragraphs 5, 6 and 8 of Article 6 shall use formats which are:

(a) standardised to facilitate information exchange; and

(b) compatible with the ECCAIRS software and the ADREP taxonomy.

The Commission shall develop that scheme by 15 May 2017.

The Commission and the Agency shall support the competent authorities of the Member States in their task of data integration, including for example in:

(a) the integration of the minimum information referred to in paragraph 1;

(b) the risk classification of occurrences referred to in paragraph 2; and

(c) the establishment of data quality checking processes referred to in paragraph 3.

The Commission and the Agency shall provide that support in such a way as to contribute to the harmonisation of the data entry process across Member States, in particular by providing to staff working in the bodies or entities referred to in Article 6(1), (3) and (4):

(a) guidance material;

(b) workshops; and

(c) appropriate training.

Article 8

European Central Repository

Article 9

Exchange of information

Occurrence reports shall be transferred to the European Central Repository no later than 30 days after having been entered in the national database.

Occurrence reports shall be updated whenever necessary with additional information relating to safety.

Member States shall also transfer information related to accidents and serious incidents to the European Central Repository as follows:

(a) during the course of the investigation: preliminary factual information on accidents and serious incidents;

(b) when the investigation is completed: (i) the final investigation report; and (ii) when available, a summary in English of the final investigation report.

A Member State or the Agency shall forward all pertinent safety-related information to the relevant authority of the Member State or the Agency as soon as possible if, while collecting details of occurrences or when storing occurrence reports or carrying out an analysis in accordance with Article 13(6), it identifies safety matters which it considers either:

(a) to be of interest to other Member States or the Agency; or

(b) to possibly require safety action to be taken by other Member States or the Agency.

Article 10

Dissemination of information stored in the European Central Repository

The information shall be used in accordance with Articles 15 and 16.

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 established outside the Union shall address their request to the Commission.

The Commission shall inform the competent authority of the Member State concerned when a request is made pursuant to this paragraph.

Article 11

Processing of requests and decisions

A point of contact which receives a request shall verify that:

(a) the request is made by an interested party;

(b) it is competent to deal with that request.

Where the point of contact determines that another Member State or the Commission is competent to deal with the request, it shall transfer it to that Member State or to the Commission, as appropriate.

A point of contact may supply information to interested parties on paper or by using secure electronic means of communication.

Information unrelated to the interested party's own equipment, operations or field of activity shall be supplied only in aggregated or anonymised form. Information in non-aggregated form may be provided to the interested party if it provides a detailed written justification. That information shall be used in accordance with Articles 15 and 16.

A point of contact receiving a request from an interested party listed in point (a) of Annex II may take a general decision to supply information on a regular basis to that interested party, provided that:

(a) the information requested is related to the interested party's own equipment, operations or field of activity;

(b) the general decision does not grant access to the entire content of the database;

(c) the general decision relates only to anonymised information.

The interested party shall use the information received pursuant to this Article subject to the following conditions:

(a) the interested party shall use the information only for the purpose specified in the request form, which should be compatible with the objective of this Regulation as stated in Article 1; and

(b) the interested party shall not disclose the information received without the written consent of the information provider and shall take the necessary measures to ensure appropriate confidentiality of the information received.

Article 12

Record of requests and exchange of information

That information shall be transmitted in a timely manner to the Commission whenever a request is received and/or action is taken.

Article 13

Occurrence analysis and follow-up at national level

Based on that analysis, each organisation shall determine any appropriate corrective or preventive action, required to improve aviation safety.

When, following the analysis referred to in paragraph 1, an organisation established in a Member State identifies any appropriate corrective or preventive action required to address actual or potential aviation safety deficiencies, it shall:

(a) implement that action in a timely manner; and

(b) establish a process to monitor the implementation and effectiveness of the action.