5.1 Why shall I report occurrences?
GM to Reg. (EU) No 376/2014 and its IRs
The reporting of aviation safety occurrences is vital to the prevention of aircraft accidents. It contributes to understand where safety risks lie in the aviation system and helps decision makers in organisations and competent authorities (both at national and European level) to adopt relevant measures (see also Section 1.1).
The information and safety intelligence needed to support safety improvement in the Member States and in the EU largely relies on individuals reporting occurrences when they happen. Without this information, the realities of aviation safety issues cannot be properly understood and addressed.
Therefore, the reporting of safety occurrences by private pilots directly contribute to make aviation safer and to the prevention of accidents.
5.2 Am I required by law to report occurrences?
GM to Reg. (EU) No 376/2014 and its IRs
Regulation 376/2014 (Article 4(6)a) requires pilots 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, to report certain defined occurrences.
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Key principle Private pilots flying on an aircraft registered in a Member State are subject to the requirement to report occurrences under EU law. |
5.3 What occurrences shall I report?
GM to Reg. (EU) No 376/2014 and its IRs
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Key principle It is understood that the reporting of any safety relevant occurrence should be encouraged. |
For the sake of clarifying legal obligations, Regulation 376/2014 differentiates between occurrences that should always be reported (mandatorily reportable occurrences) and those that may be reported if judged relevant by potential reporters (voluntarily reportable occurrences).
The occurrences to be reported in the context of mandatory reporting systems are those which may represent a significant risk to aviation safety and which fall into defined categories (Article 4(1)). To facilitate the identification of those occurrences, the Commission was required to adopt a list classifying occurrences to be referred to (Article 4(5)).
These occurrences to be reported are therefore be listed in the Commission Implementing Regulation 2015/1018 classifying the occurrences to be reported in the context of mandatory reporting schemes. The occurrences contained in Regulation 2015/1018 are those which have been considered by the legislator as potentially representing a significant risk to aviation safety. The division in the various Annexes of the Regulation 2015/1018 intends to support the identification by reporters of the occurrences they are required to report.
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Key principle The occurrences that shall always be reported are those listed in Annex V of Regulation 2015/1018. |
Regulation 2015/1018 in its Annex V.1, V.2 and V.3 states that the structure of the Section is made to ensure that the ‘‘pertinent occurrences are linked with categories of activities during which they are normally observed, according to experience, in order to facilitate the reporting of those occurrences’’.
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Key principle It is therefore understood that all occurrences listed in a specific Section of Annex V to Regulation 2015/1018 are reportable, independently of the circumstances in which these occurrences may occur. |
There is no legal obligation for the reporting of occurrences outside those contained in Annex V to Regulation 2015/1018. It is nevertheless understood that reporting of any safety relevant occurrence by anyone aware of it should be encouraged.
The Commission has prepared and published promotional material with the view to promoting and encouraging the reporting of safety occurrences. This material is available here72 www.aviationreporting.eu.
5.4 How can I know if an occurrence is reportable?
GM to Reg. (EU) No 376/2014 and its IRs
The obligation of reporting is linked with the awareness of the situation by the person subject to the reporting obligation. It is understood that ‘‘being aware’’ of an occurrence refers to situations where the individual has been directly involved in the occurrence.
Annex V to Regulation 2015/1018 contains certain occurrences which are factual events easily identifiable such as ‘‘unintentional loss of control’’. In such cases, as soon as the occurrence happens the obligation to report applies. Annex V to Regulation 2015/1018 also includes situations in which a judgement has to be made by the reporter to assess whether the aircraft or its occupants have or might have been endangered. This is for example the following occurrence: ‘‘Any flight which has been performed with an aircraft which was not airworthy, or for which flight preparation was not completed, which has or could have endangered the aircraft, its occupants or any other person’’. In such cases, the occurrence is reportable if the potential reporter has assessed that the aircraft, its occupants or any other person have or might have been endangered. In such situations it is more difficult to identify if the occurrence should be reported.
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Key principle In situations where the reporter is aware about an occurrence and suspects it is reportable but cannot determine it with certainty, he/she is expected to report it. |
5.5 Am I required report occurrences that happened outside of the EU?
GM to Reg. (EU) No 376/2014 and its IRs
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Key principle Occurrences should be reported even if they happen outside of the European Union. |
5.6 To what authority shall I report occurrences?
GM to Reg. (EU) No 376/2014 and its IRs
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Key principle Private pilots are required to report occurrences to the Member State that issued, validated or converted their pilot’s licence. |
These pilots may also be required to comply with other applicable reporting obligations under other rules. In addition, they may be encouraged to share their occurrence reports with the Member State best placed to act on the safety issue behind the occurrence (for example the State of occurrence or of registry).
5.7 Under what format shall I report an occurrence?
GM to Reg. (EU) No 376/2014 and its IRs
There is no obligation for private pilots to report in any specific format. They can choose the most suitable reporting form among the ones available in the State they report to.
To facilitate the reporting of occurrences by private pilots, the European Commission, with the support of EASA, has developed a European Reporting Portal which is available here73 http://www.aviationreporting.eu/. It allows, depending on the method chosen by the State, on-line reporting of occurrences directly on the Portal or transfer to the national Portal of the State.
5.8 Is my report confidential?
GM to Reg. (EU) No 376/2014 and its IRs
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Key principle Member States are not allowed to record personal details in their database. Furthermore, they are required to take the necessary measures to ensure the appropriate confidentiality of occurrences they collect and to comply with rules on the processing of personal data. |
Regulation 376/2014 prohibits the recording of personal details (e.g. name of the reporter or anyone else mentioned in the report, addresses of natural persons) in the Member State database (Article 16(1), (2) and (3) and Recital 35).
In addition, there are requirements applicable to the Member States on the confidentiality of information and processing of personnel data. Finally, Recital 33 highlights the need for national rules on freedom of information to take into account the necessary confidentiality of information.
5.9 Can my report be used against me or anyone mentioned in it?
GM to Reg. (EU) No 376/2014 and its IRs
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Key principle Regulation 376/2014 includes strong protection rules for occurrence reporters and persons mentioned in occurrence reports. These rules include limitations to the possibility of disclosing or using occurrence reports. |
Regulation 376/2014 includes a number of provisions aimed at encouraging the reporting of occurrences by preventing their use against reporters and other persons mentioned in occurrence reports.
Regulation 376/2014 states that the aviation safety system is based on feedback and lessons learned from accidents and incidents and that the reporting of information by front line professionals is crucial to bringing safety improvements. It also highlights the need to establish an environment in which potential reporters feel confident in the existing systems and to report the relevant safety information. The necessity to create such an environment supports the protection principles in the Regulation (limitation to information use or availability, Just Culture principles within an organisation, non‑self‑incrimination principle etc). The objective of such rules is to create an environment in which people will feel confident to report and therefore ensure a continued availability of safety information.
The objective is not to exonerate individuals from their responsibilities but to find a balance between full impunity and blame culture. This balance is notably supported by the definition of ‘Just Culture’ (Article 2), by Article 16 and by several recitals.
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Key principle A ‘Just Culture’ should encourage individuals to report safety-related information but should not absolve individuals of their normal responsibilities (Recital 37). It is defined as 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 (Article 2). |
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Key principle States cannot institute disciplinary, administrative or legal proceedings in respect of unpremeditated or inadvertent infringements of the law which come to their attention only because they have been reported pursuant to Regulation 376/2014 unless where otherwise provided by applicable national criminal law (Article 16(6) and Recital 43). In the cases where disciplinary or administrative proceedings have been instituted under national law, information contained in occurrence reports cannot be used against the reporters or the persons mentioned in occurrence reports (Article 16(7) and Recital 44). |
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Key principle Regulation 376/2014 recognises two exceptions to these principles (Article 16(10)): — wilful misconduct; and — situations where there has been a manifest, severe and serious disregard of an obvious risk and profound failure of professional responsibility to take such care as is evidently required in the circumstances, causing foreseeable damage to a person or property, or which seriously compromises the level of aviation safety. |
The Member States are allowed to provide, at national level, a more protective framework (Article 16(8)) which may in particular provide full impunity to reporters.
This means that outside those unacceptable behaviours situations, a State is not allowed to open a proceeding if it is only made aware of a situation because an occurrence was reported under Regulation 376/2014. It is however understood that in those cases where the opening of a criminal proceeding on the basis of an occurrence report is allowed under national law, national law has precedent and applies. But limitation to the possibility of disclosing information on occurrences (see below) remains applicable in all cases.
The objective is to clearly set, in the legislation, the line between acceptable behaviours (which shall not be punished) and unacceptable behaviours (which can be punished).
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Key principle States can only use an occurrence report for the purpose for which it has been collected (Article 15(1)). They are not allowed to make available or use occurrence reports: — in order to attribute blame or liability; or — for any purpose other than the maintenance or improvement of aviation safety (Article 15(2)). |
It is therefore understood that sharing information on occurrences with press and media is not allowed by Regulation 376/2014. Disclosure of information on occurrence reports to judicial authorities is similarly not allowed.
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Key principle There are however few exceptions to those principles. Firstly, it is understood that in a situation where safety might be endangered, information on occurrences may be shared or used with a view to maintain or improve aviation safety. It is therefore understood that sharing or using information on occurrences in the cases detailed in Article 16(10) with the view to address the risks to safety is allowed by the Regulation. Secondly, exception may apply in a situation where an investigation under Regulation (EU) No 996/2010 has been instituted, as the provisions of Regulation 996/2010 have precedent in such case (Article 15(2)). |
Regulation 996/2010 foresees in its Article 14(2) and (3) that, in cases where it applies (opening of a formal technical accident or incident investigation), occurrences reports shall not be made available or used for purposes other than aviation safety unless the administration of justice or the authority competent to decide on the disclosure of records according to national law decides that the benefits of the disclosure of the occurrence report outweigh the adverse domestic and international impact that such action may have on that or any future safety investigation (balancing test). If this balancing test concludes that the information on occurrences should be disclosed, then the organisation should make it available to the requesting authority.
5.10 What can I do if I consider that the above protection rules have been infringed?
GM to Reg. (EU) No 376/2014 and its IRs
There may be situation where a private pilot will consider that the protection principles have not been complied with, for example if a proceeding has been open by a Member State. Regulation 376/2014 addresses such situation and requires each Member State to put in place an entity to which employees and contracted personnel may report alleged infringements of the protection rules contained in the Regulation (Article 16(12)).
GM to Reg. (EU) No 376/2014 and its IRs
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ATM/ANS |
Air Traffic Management / Air Navigation Services |
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EASA |
European Aviation Safety Agency |
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ECR |
European Central Repository |
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FDM |
Flight Data Monitoring |
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ICAO |
International Civil Aviation Organization |
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IORS |
Internal Occurrence Reporting System |
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LOSA |
Line Operation Safety Audit |
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MORS |
Mandatory Occurrence Reporting System |
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MS |
Member State |
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NAA |
National Aviation Authority |
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NoA |
Network of aviation safety Analysts |
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RIT |
Reduced Interface Taxonomy |
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SIA |
Safety Investigation Authority |
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SMS |
Safety Management System |
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SSP |
State Safety Programme |
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VORS |
Voluntary Occurrence Reporting System |
[27] Obstacle includes vehicle.