REPORT on the 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 proposed by the Commission

Amendment

(7) 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 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.

(7) 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 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. In particular, the obligation to notify the occurrence of an accident or serious incident pursuant to Article 9(1) of Regulation (EU) No 996/2010 is not affected by this Regulation.

Text proposed by the Commission

Amendment

(3a) Some organisations covered by this Regulation are subject to other civil aviation occurrence reporting obligations under other legal acts of the Union, in particular Regulation (EC) No 216/2008 of the European Parliament and of the Council¹ and its implementing rules. Those obligations complement each other and must all be complied with, respectively, by the organisations to which those legal acts apply.

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¹ 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 (OJ L 79, 19.3.2008, p. 1).

Text proposed by the Commission

Amendment

(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.

(6) Mandatory and voluntary reporting systems allowing individuals to report details on aviation safety occurrences should be set up and the information collected should be analysed and followed up so that preventive or corrective action may be taken on the basis of occurrences collected in order to enhance civil aviation safety. That information should be passed on to the competent authority so that larger-scale action may be taken where necessary and so that the authority can assess whether appropriate action is in fact taken.

Text proposed by the Commission

Amendment

(6a) While the whole aviation sector should be covered by this Regulation, it is also necessary to ensure that its obligations are proportionate to the sphere of activity and complexity of the individual aircraft concerned. Accordingly, details of occurrences involving a non-complex aircraft should be collected in accordance with this Regulation, but should be subject to specific reporting obligations better suited to that branch of the aviation sector.

Text proposed by the Commission

Amendment

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

(7) Various categories of personnel working in civil aviation observe events of interest for the prevention of accidents and should therefore have access to tools enabling them to report such events, while also guaranteeing their protection. In order to encourage personnel to report occurrences and enable them to appreciate more fully the positive impact of reporting on air safety, they should be regularly informed about action taken under occurrence reporting systems.

Text proposed by the Commission

Amendment

(7a) It is necessary to ensure that occurrences representing a major risk to aviation safety are reported as a matter of course by front-line operators via mandatory reporting systems. In order to enable details to be collected in respect of all occurrences relevant to aviation safety, voluntary reporting systems should be put in place for the collection of details of occurrences reported by other air transport operators, as well as occurrences entailing a lower risk than those reported under the mandatory systems.

Text proposed by the Commission

Amendment

(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.

(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 the relevant entities 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 by the Commission to ensure a consistent and a uniform risk classification across Member States.

Text proposed by the Commission

Amendment

(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.

Does not affect English text. Linguistic correction to French version.

Text proposed by the Commission

Amendment

(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.

(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, thereby enabling the competent national authorities to have precise information about occurrences in their airspace so that, where necessary, corrective action can be taken to counteract a risk identified on their territory.

Text proposed by the Commission

Amendment

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

(18) Information concerning occurrences, stored in the databases of organisations, Member States and EASA, should be subject to the present Regulation.

Text proposed by the Commission

Amendment

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

(20) Interested parties may request access to certain information contained in the European Central Repository, subject to the rules of confidentiality of such information and the anonymity of the persons involved in the reported occurence.

Text proposed by the Commission

Amendment

(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.

(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 and to propose and implement appropriate preventive or corrective action.

Text proposed by the Commission

Amendment

(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.

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

Text proposed by the Commission

Amendment

(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.

(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 and contracted personnel should not be punished on the basis of information provided in application of this Regulation, except in case of gross negligence.

Text proposed by the Commission

Amendment

(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.

(32) It is important to clearly set the line which protects persons involved in the reported occurrence from prejudice or prosecution by providing a common understanding of the term gross negligence.

Text proposed by the Commission

Amendment

(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.

(34) Employees and contracted personnel should have the possibility to report breaches to the principles delimiting their protection as established by this legislation, and should not be penalised for reporting such breaches. Member States should define the consequences for those having infringed the principles of protection of persons involved in the reported occurence and should adopt penalties when relevant.

Text proposed by the Commission

Amendment

(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.

Does not affect English text.Linguistic correction to French.

Text proposed by the Commission

Amendment

(35a) In order to enable EASA to exercise effectively the increased powers conferred on it by this Regulation, and to carry out the additional tasks entrusted to it, it should be given adequate resources.

Text proposed by the Commission

Amendment

(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.

(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. The Commission should provide full information and documentation concerning its meetings with experts within the framework of its work on the preparation and implementation of delegated acts. In this respect, the Commission should ensure that the European Parliament is duly involved, drawing on best practices from previous experience in other policy areas in order to create the best possible conditions for future scrutiny of delegated acts by the European Parliament.

Text proposed by the Commission

Amendment

(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.

(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 persons involved in a reported 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.

Text proposed by the Commission

Amendment

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.

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 as quickly as possible 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. This Regulation also seeks to ensure the continued availability of safety information by means of rules on the confidentiality and appropriate use of such information and by means of harmonised and enhanced protection of persons involved in the reported occurrence. This Regulation ensures that aviation safety risks are considered and dealt with also at European level.

Text proposed by the Commission

Amendment

(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;

(1) ‘disidentification’ means removing from occurrence reports submitted all personal details pertaining to the persons involved in the occurrence and technical details which are leading to the identity of those persons, or of third parties, being inferred from the information;

Text proposed by the Commission

Amendment

(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;

(4) 'gross negligence' means a manifest and intentional serious disregard of the duty of care or of an obvious risk, and grave failure to take such care as is evidently required in the circumstances by the applicable standards of professional responsibility, causing foreseeable damage to a person or to a property, or which seriously lowers the level of aviation safety;

Text proposed by the Commission

Amendment

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.

1. This Regulation shall apply to occurrences which endanger or which, if not corrected, would endanger an aircraft, its occupants or any other person.

Text proposed by the Commission

Amendment

2. A detailed list of the incidents to be reported under the mandatory reporting system referred to in Article 4 appears in Annex I. That list sets out specific reporting obligations concerning the notification of incidents to be reported by the persons referred to in point (a) of Article 4(3) involving a non-complex aircraft. Any other incident considered to be relevant by the parties involved shall be notified under the voluntary reporting system referred to in Article 5.

Text proposed by the Commission

Amendment

2a. A mandatory reporting system shall be set up by EASA to facilitate collection of details of occurrences, including collection of details of occurrences gathered by organisations certified or approved by European Aviation Safety Agency (EASA).

Text proposed by the Commission

Amendment

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:

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 the Member State of establishment of their organisation or by the state which issued their pilot’s licence, in accordance with paragraph 2, or through the system established by EASA in accordance with paragraph 2a:

Text proposed by the Commission

Amendment

(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;

(a) the pilot-in-command or, where appropriate, any other crew member 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;

Text proposed by the Commission

Amendment

(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);

(b) a person who carries on the business of designing, manufacturing, maintaining or modifying an aircraft, or any equipment or part thereof, under the oversight of a Member State or under the oversight of the EASA;

Text proposed by the Commission

Amendment

(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;

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

Text proposed by the Commission

Amendment

(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;

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

Text proposed by the Commission

Amendment

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

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

Text proposed by the Commission

Amendment

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.

4. Every person listed in paragraph 3 shall report occurrences within not more than 72 hours after becoming aware of the occurrence, unless prevented from doing so by exceptional circumstances.

Text proposed by the Commission

Amendment

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.

5. Each organisation established in a Member State which is not covered by paragraph 6 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. It shall do so as soon as possible, but in any case not more than 72 hours after becoming aware of the occurrence.

Text proposed by the Commission

Amendment

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

6. Each organisation certified or approved by EASA shall report to EASA the details on occurrences collected in accordance with paragraph 1. It shall do so as soon as possible, but in any case not more than 72 hours after becoming aware of the occurrence.

Text proposed by the Commission

Amendment

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.

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 to aviation safety.

Text proposed by the Commission

Amendment

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.

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 to aviation safety, including collection of details on occurrences gathered by organisations in application of paragraph 1.

Text proposed by the Commission

Amendment

2a. A voluntary reporting system shall be set up by EASA to facilitate collection of details on occurrences that may not be captured by the mandatory reporting system but which are perceived by the person reporting them as an actual or potential hazard to aviation safety, including collection of details on occurrences gathered by organisations certified or approved by EASA.

Text proposed by the Commission

Amendment

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.

4. Each organisation established in a Member State and not covered by paragraph 5 shall report as soon as possible 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.

Text proposed by the Commission

Amendment

5. Each organisation certified or approved by EASA shall report to EASA 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 within 72 hours of the actual or potential danger to aviation safety being identified.

Text proposed by the Commission

Amendment

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.

6. Member States, EASA 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 reporting to entities other than the ones described in Article 6(2) and may involve active participation by the industry and by professional organisations of aviation staff.

Text proposed by the Commission

Amendment

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.

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 so as to appropriately safeguard the confidentiality of the reporter and of the personnel involved, with a view to fostering a Just Culture. Such process shall ensure the confidentiality of the information and the anonymity of the person reporting the occurrence. Small organisations, by agreement with the competent authority, can put in place a simplified mechanism in this regard in accordance with paragraph 1a.

Text proposed by the Commission

Amendment

1a. Organisations of the same nature may share the tasks of collecting, evaluating, processing, analysing and storing details on occurrences reported in accordance with Articles 4 and 5, while observing the rules on independence, confidentiality and protection referred to in paragraph 1.

Text proposed by the Commission

Amendment

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.

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 persons shall work separately and independently from other departments of the organisation when handling the information reported, in order to ensure the confidentiality of the information and the anonymity of the persons involved in the reported occurrence.

Text proposed by the Commission

Amendment

2a. EASA shall designate one or more persons 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 persons shall work separately and independently from other departments of the organisation when handling the information reported, in order to ensure the confidentiality of the information and the anonymity of the persons involved in the reported occurrence.

Text proposed by the Commission

Amendment

2b. EASA shall be given adequate resources to enable it to carry out the tasks entrusted to it by this Regulation.

Text proposed by the Commission

Amendment

5a. EASA shall store in a database occurrence reports arising from the collection of details of occurrences in accordance with Articles 4 and 5.

Text proposed by the Commission

Amendment

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

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

Text proposed by the Commission

Amendment

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.

2. Each occurrence report referred to in paragraphs 3, 4 and 5a of Article 6 shall contain the safety risk classification level of the occurrence collected. The competent authorities of the Member States and EASA shall amend, where appropriate, and endorse the risk classification of the occurrence, in accordance with the common European risk classification scheme laid down in paragraph 5.

Text proposed by the Commission

Amendment

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.

3. Organisations, Member States and EASA 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.

Text proposed by the Commission

Amendment

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.

4. The databases mentioned in paragraphs 3, 4 and 5a of Article 6 shall use standardised formats to facilitate information exchange and shall be an ECCAIRS and an ADREP-compatible system.

Text proposed by the Commission

Amendment

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.

5. The Commission, in close cooperation with the Network of Aviation Safety Analysts referred to in Article 14, shall develop within two years a common European risk classification scheme enabling the Member States and EASA 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.

Text proposed by the Commission

Amendment

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.

8. The Commission and EASA 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 and EASA, provided notably in the form of guidance material, workshops and appropriate training for staff working in the bodies or entities referred to in Article 6(1), (2) and (2a), shall contribute to harmonising the data entry process across Member States.

Text proposed by the Commission

Amendment

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).

2. The Commission shall agree with the Member States the common technical protocols used 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).

Text proposed by the Commission

Amendment

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 and its implementing rules as well as the information collected in application of Articles 4(6) and 5(5).

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 and its implementing rules, particularly for occurrences in respect of which data are contained in the Internal Occurrence Reporting System (IORS), as well as the information collected in application of Articles 4(6) and 5(5).

Text proposed by the Commission

Amendment

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.

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

Text proposed by the Commission

Amendment

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.

1. Any entity entrusted with regulating civil aviation safety or with investigating civil aviation accidents and incidents within the Union shall have secure online access to information on occurrences contained in the European Central Repository. That information shall be used in accordance with Articles 15 and 16.

Text proposed by the Commission

Amendment

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.

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. If the point of contact to which the request is made is not competent, it shall forward the request to the competent point of contact as referred to in Article 10(2).

Text proposed by the Commission

Amendment

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.

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

Text proposed by the Commission

Amendment

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.

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 as quickly as possible and establish a process to monitor implementation and effectiveness of the responses.

Text proposed by the Commission

Amendment

2a. Each organisation shall regularly provide its employees with information concerning the analysis of, and follow-up to, the various occurrences for which preventive or corrective action is taken.

Text proposed by the Commission

Amendment

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.

3. Each organisation established in a Member State, which is not covered by this paragraph, shall report to the competent authority of the Member State, as referred to in Article 6(2), the initial result of the analysis performed in accordance with paragraph 1 and any action to be taken in accordance with paragraph 2 within 30 days from the day of notification of the occurrence. The final result of the analysis shall be reported as soon as it is available and no later than three months from the day of notification of the occurrence.

Text proposed by the Commission

Amendment

3a. Each organisation certified or approved by EASA shall report to EASA the initial results of the analysis performed in accordance with paragraph 1 and any action to be taken in accordance with paragraph 2 within 30 days from the day of notification of the occurrence. The final result of the analysis shall be reported as soon as it is available and no later than three months from the day of notification of the occurrence.

Text proposed by the Commission

Amendment

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.

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

Text proposed by the Commission

Amendment

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.

5. Each Member State and EASA shall, following the identification of actions required to address actual or potential safety deficiencies, implement these actions as quickly as possible and establish a process to monitor implementation and effectiveness of the responses.

Text proposed by the Commission

Amendment

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.

6. For each occurrence monitored in accordance with paragraphs 1 and 2, each Member State shall carry out stringent checks on the analysis made and action taken by the organisations for which it is responsible. In particular, it shall monitor the implementation and effectiveness of the responses. 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.

Text proposed by the Commission

Amendment

6a. For each occurrence monitored in accordance with paragraphs 1 and 2, EASA shall carry out stringent checks on the analysis made and action taken by the organisations for which it is responsible. In particular, it shall monitor the implementation and effectiveness of the responses. When EASA 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.

Text proposed by the Commission

Amendment

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.

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 as quickly as possible and no later than two months after their storage in the national database.

Text proposed by the Commission

Amendment

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.

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 and penalties for failure on the part of the organisation concerned to adopt and implement the necessary additional measures.

Text proposed by the Commission

Amendment

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.

9. Member States shall publish, at least annually, a safety review containing aggregated and disidentified 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.

Text proposed by the Commission

Amendment

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

2. The collaboration shall be carried out by a Network of Aviation Safety Analysts from all the Member States.

Text proposed by the Commission

Amendment

2a. Without prejudice to the obligations of confidentiality established by this Regulation, the Network of Aviation Safety Analysts may invite one or two observers on a case-by-case basis if it deems it necessary.

Text proposed by the Commission

Amendment

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.

1. Member States, EASA 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.

Text proposed by the Commission

Amendment

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.

2. The details on occurrences shall only be used for the purpose for which they have been collected. Member States, EASA 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.

Text proposed by the Commission

Amendment

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.

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 be put in place no later than 24 months from the entry into force of this Regulation. They shall 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.

Text proposed by the Commission

Amendment

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.

1. Each organisation established in a Member State shall ensure that all personal data such as names or addresses of individual persons are only made available to the staff of the organisations designated in accordance with Article 6(1) and that they are never recorded in the database of the organisation referred to in Article 6(3). 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.

Text proposed by the Commission

Amendment

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.

2. Each Member State shall ensure that all personal data such as names or addresses of individual persons are only made available, when they are forwarded, to the staff of the competent authorities designated in accordance with Article 6(2) and that they are never recorded in the national database referred to 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 process 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.

Text proposed by the Commission

Amendment

2a. EASA shall ensure that all personal data, such as names or addresses of individual persons, are only made available, when they are forwarded, to competent staff of EASA designated in accordance with Article 6(2a) and that they are not recorded in the EASA database referred to in Article 6(5a). Disidentified information shall be made available to all relevant parties, in particular in order to enable them to discharge their obligations in terms of aviation safety improvement. EASA shall process personal data only to the extent necessary for the purposes of this Regulation and without prejudice to Directive 95/46/EC.

Text proposed by the Commission

Amendment

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.

3. Member States and EASA 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. Member States may choose not to apply this rule in cases of gross negligence. Where a Member State or EASA institutes proceedings, the information contained in the occurrence report shall not be used by the Member State or EASA against the person reporting, or persons involved in, the occurrence.

Text proposed by the Commission

Amendment

3a. The Member States may adopt or maintain in force national rules guaranteeing a higher level of protection for the person reporting, or persons involved in, the occurrence than that afforded by the rules laid down in this Regulation.

Text proposed by the Commission

Amendment

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.

4. Employees and contracted personnel who report incidents or are involved in occurrences reported in accordance with Articles 4 and 5 shall not be subject to any prejudice by their employer or by the organisation for which the services are provided on the basis of the information supplied by the person reporting the occurrence, except in cases of gross negligence.

Text proposed by the Commission

Amendment

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.

5. Each organisation established in a Member State shall, after consulting staff representatives, adopt internal rules describing how Just Culture principles, in particular the principle referred to in paragraph 4, are guaranteed and implemented within their organisation. The body referred to in paragraph 6 shall approve the internal rules of the organisations established in its Member State before they are implemented.

Text proposed by the Commission

Amendment

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.

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 and shall not be penalised for so doing. They may copy the Commission when reporting such infringements and/or report them directly to the Commission. Where appropriate, the designated body shall propose to its Member State the adoption of penalties as referred to in Article 21 towards the employer.

Text proposed by the Commission

Amendment

6a. Each Member State shall send the Commission annually a report on the application of this Article, and in particular on the activities of the body referred to in paragraph 6. That report may not contain any personal data.

Text proposed by the Commission

Amendment

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.

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; to ensure that the list of occurrences to be reported under the mandatory scheme remains appropriate, contains a specific section on operations involving non-complex aircraft, and in particular reflects the emergence of new safety risks; and to supplement accordingly the list of mandatory data fields. Before adopting a delegated act in respect of Annexes I and II, the Commission shall consult EASA and the Network of Aviation Safety Analysts.

Text proposed by the Commission

Amendment

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.

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 a period of five years from the date of entry into force of this Regulation. The Commission shall draw up a report in respect of the delegation of power not later than nine months before the end of the five-year period. The delegation of power shall be tacitly extended for periods of an identical duration, unless the European Parliament or the Council opposes such extension not later than three months before the end of each period.

Text proposed by the Commission

Amendment

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.

Member States and EASA 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 and EASA shall inform the Commission when penalties are adopted in application of this Article.

Text proposed by the Commission

Amendment

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 enter into force on the twentieth day following that of its publication in the Official Journal of the European Union. Article 7(2) shall enter into force following the adoption of the delegated acts and implementing acts referred to in Article 7(6) and (7) concerning the deployment of a common European risk classification scheme.

Text proposed by the Commission

Amendment

Review

1a. The Commission shall monitor and review the application of this Regulation. Within five years from the entry into force of this Regulation, the Commission shall publish an evaluation report on the implementation of the Regulation and send it to the European Parliament and the Council. That report shall cover, in particular, the contribution made by this Regulation to reducing the number of aircraft accidents and related fatalities. Where appropriate and on the basis of that report, the Commission shall make proposals for amendment of this Regulation.

Text proposed by the Commission

Amendment

(ka) Insufficient cross-border communication between different national ATC bodies.

Text proposed by the Commission

Amendment

(wa) Abnormal noise.

Text proposed by the Commission

Amendment

(ha) Failure of any rescue system or equipment.

Text proposed by the Commission

Amendment

(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.

(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. In such cases, the number of working, flight and rest hours of the crew concerned during the two days before the incident shall be included in the report.

Text proposed by the Commission

Amendment

(ea) Any inadequate handling of dangerous or polluting goods.

Text proposed by the Commission

Amendment

(ea) Any inadequate handling of dangerous and polluting goods.

Text proposed by the Commission

Amendment

(ca) contaminated air in the cockpit/cabin that can have an impact on the safety of the flight and/or the health of the crew.

Text proposed by the Commission

Amendment

List of deadlines and requirements applicable to the Mandatory Occurrence Reporting Scheme

List of mandatory fields applicable to the Occurrence Reporting Scheme

Text proposed by the Commission

Amendment

1. Deadline for reporting

deleted

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 859/200822 (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.

Text proposed by the Commission

Amendment

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

1. Manufacturers: designers and manufacturers of aircraft, engines, propellers and aircraft parts and appliances, and their respective associations; 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