Easa Ear Occurence Rep 2022

Easy Access Rules for Occurrence Reporting
(Regulation (EU) No 376/2014)

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Published December 20221

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Occurrence Reporting
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‘the Agency’) to provide its stakeholders with an updated, consolidated, and easy-to-read publication.
It has been prepared by putting together the officially published EU regulations with the related EASA
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Easy Access Rules for Note from the editor
NOTE FROM THE EDITOR

The content of this document is arranged as follows: the cover regulation (recitals and articles) and
the implementing rule (IR) or delegated rule (DR) appear first, then the IR and/or DR annex points,
followed by the guidance material (GM).
All elements (i.e. articles, IRs, DRs, and GM) are colour-coded and can be identified according to the
illustration below. The EU regulation or Commission GM through which the article, IR, DR, or GM was
introduced or last amended is indicated below the article, IR, DR, or GM title in italics.
Cover regulation article

EU regulation
Regulation
EU regulation
Guidance material
Commission GM
Please note that Commission Implementing Regulation (EU) 2021/2082 applies from
1 January 2023.
This document will be updated regularly to incorporate further amendments.

The format of this document has been adjusted to make it user-friendly and for reference purposes.
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Easy Access Rules for Incorporated amendments
INCORPORATED AMENDMENTS
IMPLEMENTING AND DELEGATED REGULATIONS (IRS)
Incorporated Implementing Regulation Affected Part Applicability date1
Regulation (EU) No 376/2014 N/a 15/11/2015
Implementing Regulation (EU) 2015/1018 N/a 15/11/2015
Regulation (EU) 2018/1139 Article 3 of Regulation (EU) No 376/2014 11/09/2018
Delegated Regulation (EU) 2020/2034 Supplementing Regulation (EU) No 376/2014 1/01/2021

Laying down the arrangements for the
Implementing Regulation (EU) 2021/2082 implementation of Regulation (EU) 1/01/2023
No 376/2014
GUIDANCE MATERIAL (GM) (COMMISSION GM)

ED Decision Issue No Applicability date
Guidance Material — Regulation (EU)

Version 1 December 2015
No 376/2014 and its implementing rules
Note: To access the official source documents, please use the links provided above.
1 This date is the earliest applicability date for this regulation. Some provisions of the regulation may be applicable at a
later date. Besides, there may be some opt-out filed by the Member States.

Easy Access Rules for Table of Contents
TABLE OF CONTENTS
Disclaimer ...................................................................................... 3
Note from the editor ...................................................................... 4
Incorporated amendments ............................................................. 5
Table of Contents ........................................................................... 6
Regulation (EU) No 376/2014 ....................................................... 11
Cover Regulation .............................................................................................................. 11
Powers and recitals .......................................................................................................... 11
Article 1 — Objectives ...................................................................................................... 19
Article 2 — Definitions ..................................................................................................... 20
Article 3 — Subject matter and scope .............................................................................. 21
Article 4 — Mandatory reporting ..................................................................................... 22
Article 5 — Voluntary reporting ....................................................................................... 24
Article 6 — Collection and storage of information .......................................................... 25
Article 7 — Quality and content of occurrence reports ................................................... 26
Article 8 — European Central Repository ........................................................................ 27
Article 9 — Exchange of information ............................................................................... 27
Article 10 — Dissemination of information stored in the European Central Repository 28
Article 11 — Processing of requests and decisions .......................................................... 28
Article 12 — Record of requests and exchange of information ....................................... 29
Article 13 — Occurrence analysis and follow-up at national level................................... 30
Article 14 — Occurrence analysis and follow up at Union level ...................................... 31
Article 15 — Confidentiality and appropriate use of information ................................... 32
Article 16 — Protection of the information source.......................................................... 32
Article 17 — Updating of the annexes ............................................................................. 34
Article 18 — Exercise of the delegation ........................................................................... 34
Article 19 — Committee procedure ................................................................................. 35
Article 20 — Access to documents and protection of personal data ............................... 35
Article 21 — Penalties ...................................................................................................... 35
Article 22 — Amendment to Regulation (EU) No 996/2010 ............................................ 35

Article 23 — Repeals ........................................................................................................ 35

Article 24 — Entry into force and application .................................................................. 36
ANNEXES .......................................................................................................................... 37
ANNEX I — LIST OF REQUIREMENTS APPLICABLE TO THE MANDATORY AND VOLUNTARY
OCCURRENCE REPORTING SCHEMES ............................................................................... 37
ANNEX II — INTERESTED PARTIES .................................................................................... 40
ANNEX III — REQUEST FOR INFORMATION FROM THE EUROPEAN CENTRAL REPOSITORY
.......................................................................................................................................... 41
Commission Implementing Regulation (EU) 2015/1018 ................ 43

Powers and recitals .......................................................................................................... 43
Article 1 ............................................................................................................................ 44
Article 2 ............................................................................................................................ 44
ANNEXES .......................................................................................................................... 45
ANNEX I — OCCURRENCES RELATED TO THE OPERATION OF THE AIRCRAFT ................. 45
ANNEX II — OCCURRENCES RELATED TO TECHNICAL CONDITIONS, MAINTENANCE AND
REPAIR OF THE AIRCRAFT ................................................................................................. 49
ANNEX III — OCCURRENCES RELATED TO AIR NAVIGATION SERVICES AND FACILITIES .. 51
ANNEX IV — OCCURRENCES RELATED TO AERODROMES AND GROUND SERVICES ....... 53
ANNEX V— OCCURRENCES RELATED TO AIRCRAFT OTHER THAN COMPLEX MOTOR-
POWERED AIRCRAFT, INCLUDING SAILPLANES AND LIGHTER-THAN-AIR VEHICLES........ 56
Commission Delegated Regulation (EU) 2020/2034 ...................... 61

Article 1 – Subject matter................................................................................................. 62
Article 2 – Definitions ....................................................................................................... 62
Article 3 – Common European risk classification scheme ................................................ 62
Article 4 – Entry into force ............................................................................................... 63
ANNEX ............................................................................................................................. 64
The common European risk classification scheme........................................................... 64
Commission Implementing Regulation (EU) 2021/2082 ................ 74

Article 1 — Subject matter ............................................................................................... 75
Article 2 — Definitions ..................................................................................................... 76
Article 3 — Review, amendment, and endorsement of the safety risk classification...... 76

Article 4 — Monitoring and improvement of the ERCS ................................................... 77

Article 5 — Monitoring of compatibility with other risk classification schemes ............. 77
Article 6 — Entry into force .............................................................................................. 77
ANNEX ............................................................................................................................. 78
Conversion procedures from the Risk Analysis Tool (RAT) and Aviation Risk Management
Solutions — Event Risk Classification (ARMS-ERC) scores into the European Risk
Classification Scheme (ERCS) scores................................................................................. 78
Guidance Material — Regulation (EU) No 376/2014 and its

implementing rules ....................................................... 84
SECTION 1 — INTRODUCTION ........................................................................................... 84
1.1 How will Regulation (EU) No 376/2014 contribute to enhance aviation safety? .. 84
1.2 Why developing guidance material for Regulation 376/2014? ............................. 85
1.3 When did Regulation 376/2014 become applicable? ............................................ 86
1.4 Is the application of Regulation 376/2014 compulsory? ....................................... 87
1.5 Can Member States adopt rules in areas covered by Regulation 376/2014? ....... 87
1.6 Are Member States allowed to adopt national rules which are stricter than
Regulation 376/2014? ...................................................................................................... 87
1.7 What type of aircraft is covered under the Regulation? ....................................... 88
1.8 What type of information is covered under the Regulation? ................................ 89
SECTION 2 — AVIATION PROFESSIONALS .......................................................................... 90
2.1 Why should I report safety occurrences? .............................................................. 90
2.2 Am I under the legal obligation to report occurrences? ........................................ 90
2.3 What types of occurrences shall be reported? ...................................................... 95
2.4 How can I know if an occurrence is reportable? .................................................... 98
2.5 Am I required report occurrences that happened outside of the EU? .................. 99
2.6 If I report an accident or serious incident under Regulation 376/2014, am I also
required to report it to the State of Occurrence? ............................................................ 99
2.7 If several reporters are aware of the same reportable occurrence, are they all
required to report it? ..................................................................................................... 100
2.8 To what entity shall I report occurrences? .......................................................... 101
2.9 What is the deadline to report an occurrence? ................................................... 101
2.10 What is the format to report an occurrence? ........................................... 102
2.11 What information should be included in an occurrence report? .............. 102
2.12 Is my report confidential? .......................................................................... 103
2.13 Can my report be used against me or anyone mentioned in it? ............... 104

2.14 What can I do if I consider that the above protection rules have been
infringed? 108
SECTION 3 — ORGANISATIONS ....................................................................................... 109
3.1 What may be the safety benefit of sharing occurrence reports with the
competent authority? .................................................................................................... 109
3.2 How can information be shared with the industry? ............................................ 109
3.3 What are the organisations subject to Regulation 376/2014? ............................ 110
3.4 What is the reporting flow implied by the Regulation? ....................................... 111
3.5 Which occurrences shall be collected by organisations?..................................... 112
3.6 How do these reporting requirements interact with those contained in other
rules? 112
3.7 What information shall be transferred to the competent authority? ................. 113
3.8 To whom should organisations report occurrences? .......................................... 116
3.9 What is the required format to record and transfer occurrences? ..................... 116
3.10 How to comply with the ADREP/ ECCAIRS compatibility requirement? ... 117
3.11 How to comply with the standardised format requirement? ................... 118
3.12 How to comply with the mandatory data fields requirement? ................. 118
3.13 What is the requirement related to risk classification?............................. 119
3.14 How to apply the requirement related to data quality checking processes?
120
3.15 How to apply the requirement related to transfer of analysis and follow-
up? 120
3.16 How shall information collected be handled? ........................................... 121
3.17 How is information transferred to the competent authority protected? . 124
SECTION 4 — COMPETENT AUTHORITIES ......................................................................... 125
4.1 What is the reporting flow implied by the Regulation? ....................................... 125
4.2 What information shall be collected by the competent authority and how should
it be handled? ................................................................................................................. 125
4.3 How is the information shared among the competent authorities? ................... 126
4.4 When shall information be transferred to the ECR?............................................ 127
4.5 What is the required format to record and transfer occurrences? ..................... 128
4.6 What are the competent authority obligations in terms of oversight? ............... 129
4.7 How shall information collected be handled? ..................................................... 130
4.8 Can the competent authority share information contained in the ECR and under
what conditions? ............................................................................................................ 132
4.9 How shall States implement Article 16(12) of Regulation 376/2014? ................. 133

SECTION 5 — PRIVATE PILOTS ......................................................................................... 134

5.1 Why shall I report occurrences? .......................................................................... 134
5.2 Am I required by law to report occurrences? ...................................................... 134
5.3 What occurrences shall I report? ......................................................................... 134
5.4 How can I know if an occurrence is reportable? .................................................. 135
5.5 Am I required report occurrences that happened outside of the EU? ................ 136
5.6 To what authority shall I report occurrences? ..................................................... 136
5.7 Under what format shall I report an occurrence? ............................................... 136
5.8 Is my report confidential? .................................................................................... 136
5.9 Can my report be used against me or anyone mentioned in it? ......................... 137
5.10 What can I do if I consider that the above protection rules have been
infringed? 139
LIST OF ACRONYMS ........................................................................................................ 140

Easy Access Rules for Regulation (EU) No 376/2014
Cover Regulation
REGULATION (EU) NO 376/2014

COVER REGULATION
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
Powers and recitals

Regulation (EU) No 376/2014
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 100(2)
thereof,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee (1),
After consulting the Committee of the Regions,
Acting in accordance with the ordinary legislative procedure (2),
Whereas:
(1) A high general level of safety should be ensured in civil aviation in the Union and every effort
should be made to reduce the number of accidents and incidents with a view to ensuring public
confidence in aviation transport.
(2) The rate of fatal accidents in civil aviation has remained fairly constant over the last decade.
Nevertheless, the number of accidents could rise over the decades to come, due to an increase
in air traffic and an increase in the technical complexity of aircraft.
(3) Regulation (EU) No 996/2010 of the European Parliament and of the Council (3) aims to prevent
accidents by facilitating the prompt holding of efficient and high-quality safety investigations.
This Regulation should not interfere with the process of accident and incident investigations
managed by national safety investigation authorities as defined in Regulation (EU) No 996/2010.
In the event of an accident or a serious incident, notification of the occurrence is also subject to
Regulation (EU) No 996/2010.
(4) Existing legislative acts of the Union, in particular Regulation (EC) No 216/2008 of the European
Parliament and of the Council (4) and its implementing regulations, impose obligations on
1 OJ C 198, 10.7.2013, p. 73.

2 Position of the European Parliament of 26 February 2014 (not yet published in the Official Journal) and decision of the
Council of 14 March 2014.
3 Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and
prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (OJ L 295, 12.11.2010, p. 35).
4 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).

Cover Regulation
certain organisations to establish occurrence reporting systems in the context of their safety
management systems. Compliance with Regulation (EC) No 216/2008 and its implementing
regulations should not exempt organisations from compliance with this Regulation. Likewise,
compliance with this Regulation should not exempt organisations from compliance with
Regulation (EC) No 216/2008 and its implementing regulations. However, this should not give
rise to two parallel reporting systems, and Regulation (EC) No 216/2008, its implementing
regulations, and this Regulation should be seen as complementary.
(5) Experience has shown that accidents are often preceded by safety-related incidents and
deficiencies revealing the existence of safety hazards. Safety information is therefore an
important resource for the detection of potential safety hazards. In addition, whilst the ability
to learn from an accident is crucial, purely reactive systems have been found to be of limited
use in continuing to bring forward improvements. Reactive systems should therefore be
complemented by proactive systems which use other types of safety information to make
effective improvements in aviation safety. The Union, its Member States, the European Aviation
Safety Agency (‘the Agency’) and organisations should contribute to the improvement of
aviation safety through the introduction of more proactive and evidence based safety systems
which focus on accident prevention based on the analysis of all relevant safety information,
including information on civil aviation occurrences.
(6) In order to improve aviation safety, relevant civil aviation safety information should be
reported, collected, stored, protected, exchanged, disseminated and analysed, and appropriate
safety action should be taken on the basis of the information collected. This proactive and
evidence-based approach should be implemented by the relevant aviation safety authorities of
Member States, by organisations as part of their safety management system and by the Agency.
(7) The imposition on organisations of occurrence reporting obligations should be proportionate to
the size of the organisation concerned and the scope of its activity. It should therefore be
possible, in particular for smaller organisations, to decide to join or merge functions related to
occurrence handling within the organisation, to share occurrence reporting tasks with other
organisations of the same nature or to outsource the collection, evaluation, processing, analysis
and storage of details of occurrences to specialised entities approved by the competent
authorities of the Member States. Such entities should comply with the protection and
confidentiality principles established by this Regulation. The outsourcing organisation should
maintain appropriate control of the outsourced tasks and should be ultimately accountable and
responsible for the application of the requirements prescribed by this Regulation.
(8) It is necessary to ensure that front-line aviation professionals report occurrences that pose a
significant risk to aviation safety. Voluntary reporting systems should complement the
mandatory reporting systems, and both should allow individuals to report details of aviation
safety-related occurrences. Mandatory and voluntary reporting systems should be set up within
organisations, the Agency and competent authorities of the Member States. The information
collected should be transferred to the authority competent for appropriate monitoring in order
to enhance aviation safety. Organisations should analyse those occurrences that could have an
impact on safety, in order to identify safety hazards and take any appropriate corrective or
preventive action. Organisations should send the preliminary results of their analyses to the
competent authority of their Member States or to the Agency and should also send them the
final results if those results identify an actual or potential aviation safety risk. The competent
authorities of the Member States and the Agency should put in place a similar procedure for
those occurrences that have been directly submitted to them and should adequately monitor
the organisation’s assessment and any corrective or preventive action taken.

Cover Regulation
(9) Various categories of staff working or otherwise engaged in civil aviation witness events which
are of relevance to accident prevention. They should therefore have access to tools enabling
them to report such events, and their protection should be guaranteed. In order to encourage
staff to report occurrences and enable them to appreciate more fully the positive impact which
occurrence reporting has on air safety, they should be regularly informed about action taken
under occurrence reporting systems.
(10) The hazards and risk associated with complex motor-powered aircraft are very different from
those associated with other types of aircraft. Therefore, while the entire aviation sector should
be covered by this Regulation, the obligations imposed by it should be proportionate to the
sphere of activity and the complexity of different types of aircraft. Accordingly, information
collected on occurrences involving aircraft other than complex motor-powered ones should be
subject to simplified reporting obligations which are better suited to that branch of aviation.
(11) The development of other means of collecting safety information in addition to the systems
required by this Regulation should be encouraged, with a view to collecting further information
which could contribute to the improvement of aviation safety. Where organisations have
existing and well-functioning safety information collection systems, they should be allowed to
continue to use those systems alongside the systems to be established for the purpose of this
Regulation.
(12) Safety investigation authorities and any entity entrusted with regulating civil aviation safety
within the Union should have full access to details of occurrences collected and occurrence
reports stored by their Member States, in order to decide which incidents require a safety
investigation, as well as to identify where lessons can be learned in the interest of aviation
safety and to fulfil their oversight obligations.
(13) It is essential to have high-quality and complete data, as analysis and trends derived from
inaccurate data may show misleading results and may lead to effort being focused on
inappropriate action. In addition, such inaccurate data may lead to a loss of confidence in the
information produced by occurrence reporting schemes. In order to ensure the quality of
occurrence reports, and to facilitate their completeness, they should contain certain minimum
information, which may vary depending on the occurrence category. In addition, procedures
should be implemented for checking the quality of information and avoiding inconsistency
between an occurrence report and the details of the occurrence that were initially collected.
Moreover, with the support of the Commission, adequate guidance material should be
developed, notably to ensure the quality and to facilitate the completeness of data as well as
the consistent and uniform integration of data into databases. Workshops should also be
organised, notably by the Commission, to provide necessary support.
(14) The Commission should develop a common European risk classification scheme to ensure the
identification of any rapid action needed when looking at high-risk individual safety
occurrences. That scheme should also enable key risk areas to be identified from aggregated
information. Such a scheme should help the relevant entities in their assessment of occurrences
and in determining where best to focus their efforts. A common European risk classification
scheme should facilitate an integrated and harmonised approach to risk management across
the European aviation system and thus enable organisations, Member States, the Commission
and the Agency to focus on safety improvement efforts in a harmonised manner.
(15) A common European risk classification scheme should also both enable key risk areas within the
Union to be identified on the basis of aggregated information from a European perspective and
support the work done in the area of the European Aviation Safety Programme and the

Cover Regulation
European Aviation Safety Plan. Appropriate support should be given by the Commission to
ensure consistent and uniform risk classification across Member States.
(16) To facilitate information exchange, occurrence reports should be stored in databases which
should be compatible with the European Coordination Centre for Aircraft Incident Reporting
Systems (ECCAIRS) (the software used by all Member States and by the European Central
Repository to store occurrence reports) and with the ADREP taxonomy (the International Civil
Aviation Organisation (ICAO) taxonomy, also used for the ECCAIRS software). The Agency and
the Commission should provide technical support for the interoperability of the systems.
(17) Organisations should store occurrence reports derived from details of occurrences collected
under the mandatory and, where applicable, the voluntary reporting systems in one or more
databases. It should be possible for the complexity of the database to be proportionate to the
size of the organisation concerned and/or its significance with respect to the objectives of this
Regulation, and it should at least consist of a data file containing common mandatory data fields
and, where applicable, specific mandatory data fields.
(18) An occurrence involving an aircraft registered in a Member State or operated by an organisation
established in a Member State should be reported even if it happened outside the territory of
that Member State.
(19) Information on occurrences should be exchanged within the Union to enhance the detection of
actual or potential hazards. This information exchange should also enable Member States to
have access to all information on occurrences which occur on their territory or in their airspace
but which are reported to another Member State. It should also allow the Agency to obtain
precise information about occurrences and access to all occurrence reports collected in the
Union in order, where necessary, to take corrective action to counteract a risk identified in the
Union. This information exchange should enable the competent authorities of the Member
States to obtain precise information about occurrences in their airspace and, where necessary,
to take corrective action to counteract a risk identified on their territory.
(20) The objective of the exchange of information on occurrences should be the prevention of
aviation accidents and incidents. It should not be used to attribute blame or liability or to
establish benchmarks for safety performance.
(21) The most efficient way to ensure the exchange of large quantities of safety information between
the Member States, the Commission and the Agency is through the European Central
Repository, provided that the Member States, the Commission and the Agency have full access
to it.
(22) All safety-related information derived from occurrence reports collected in the Union should be
transferred in the European Central Repository in a timely manner. This should include the
collection of information on incidents but also information on accidents and serious incidents
investigated pursuant to Regulation (EU) No 996/2010.
(23) This Regulation should apply to information on occurrences which is stored in the databases of
organisations, Member States or the Agency.
(24) All safety-related information contained in the European Central Repository should be available
to entities entrusted with regulating civil aviation safety within the Union, including the Agency,
and to the authorities responsible for investigating accidents and incidents within the Union.
(25) It should be possible for interested parties to request access to certain information contained
in the European Central Repository, subject to the rules concerning the confidentiality of such
information and the anonymity of the persons involved.

Cover Regulation
(26) As national points of contact have the best knowledge of interested parties established in a
given Member State, it should be for each national point of contact to deal with requests from
interested parties established in the territory of its own Member State. The Commission should
deal with requests from interested parties from third countries or from international
organisations.
(27) Information contained in occurrence reports should be analysed, and safety risks identified. Any
appropriate consequent action for improving aviation safety should be identified and
implemented in a timely manner. Information on the analysis and follow-up of occurrences
should be disseminated within organisations, competent authorities of the Member States and
the Agency, since providing feedback on occurrences that have been reported incentivises
individuals to report occurrences. Where applicable and when possible, information on the
analysis and follow-up of occurrences should also be provided to individuals who have directly
reported occurrences to the competent authorities of the Member States or to the Agency.
Such feedback should comply with the rules on confidentiality and protection of the reporter
and the persons mentioned in occurrence reports pursuant to this Regulation.
(28) This Regulation should assist Member States, the Agency and organisations in managing
aviation safety risks. The safety management systems of organisations are complemented by
the safety management systems of the Member States and of the Agency. While organisations
manage safety risks associated with their specific activities, the competent authorities of the
Member States and the Agency manage safety risks for the aviation systems of, respectively,
entire Member States and of the Union as a whole, addressing common safety risks for aviation
in the Member State concerned or at Union level. The responsibilities of the Agency and of the
competent authorities of the Member States should not exonerate organisations from their
direct responsibilities in managing safety inherent in the products and in the services they
provide. For that purpose, organisations should collect and analyse information on occurrences
in order to identify and mitigate hazards associated with their activities. They should also assess
associated safety risks and allocate resources to take prompt and appropriate safety risk
mitigation measures. The overall process should be monitored by the relevant competent
authority, which should, when necessary, require that additional action be taken to ensure that
the safety deficiencies are correctly addressed. On the other hand, the competent authorities
of the Member States and the Agency should complement the safety management systems of
the organisations at Member State and European levels respectively.
(29) When determining the action to be included within their State Safety Programme and State
Safety Plan, and in order to ensure that the action is evidence-based, Member States should
use the information derived from the occurrence reports that have been collected and from
their analysis. State Safety Programmes and State Safety Plans are complemented at European
level by the European Aviation Safety Programme and the European Aviation Safety Plan.
(30) Since the objective of aviation safety improvement cannot be sufficiently achieved by the
Member States because reporting systems operated by Member States in isolation are less
efficient than a coordinated network with exchange of information allowing identification of
possible safety problems and key risk areas at Union level, analysis at national level should be
complemented by analysis and follow-up at Union level in order to ensure better prevention of
aviation accidents and incidents. This Union-level task should be carried out by a network of
aviation safety analysts in coordination with the Agency and the Commission. It should be
possible for that network to decide, by consensus, to invite observers to their meetings,
including industry employees or representatives.
(31) The European Aviation Safety Programme and the European Aviation Safety Plan should benefit
in particular from the work of the network of aviation safety analysts for the purpose of

Cover Regulation
determining what action needs to be implemented at Union level from an evidence-based

perspective.
(32) The general public should be provided with general aggregated information on the level of
aviation safety in Member States and in the Union. That information should cover, in particular,
trends and analysis deriving from the implementation of this Regulation by the Member States,
as well as information in an aggregated form on the content of the European Central Repository,
and may be provided by publishing safety performance indicators (SPI).
(33) The civil aviation safety system is established on the basis of feedback and lessons learned from
accidents and incidents. Occurrence reporting and the use of occurrence information for the
improvement of safety depend on a relationship of trust between the reporter and the entity
in charge of the collection and assessment of the information. This requires strict application of
rules on confidentiality. The purpose of protecting safety information from inappropriate use,
and of limiting access to the European Central Repository solely to interested parties
participating in the improvement of civil aviation safety, is to ensure the continuing availability
of safety information so that appropriate and timely preventive action can be taken and aviation
safety improved. In this context, sensitive safety information should be protected in an
appropriate way and its collection should be ensured by guaranteeing its confidentiality,
protecting its source and ensuring the confidence of staff working in civil aviation in occurrence
reporting systems. Appropriate measures should be put in place to ensure that information
collected through occurrence reporting schemes is kept confidential and that access to the
European Central Repository is restricted. National rules on freedom of information should take
into account the necessary confidentiality of such information. The information collected
should be adequately protected from unauthorised use or disclosure. It should be used strictly
for the purpose of maintaining or improving aviation safety and should not be used to attribute
blame or liability.
(34) In order to ensure the confidence of employees or contracted personnel in the occurrence
reporting system of the organisation, the information contained in occurrence reports should
be protected appropriately and should not be used for purposes other than maintaining or
improving aviation safety. The internal ‘just culture’ rules adopted by organisations pursuant to
this Regulation should contribute in particular to the achievement of this objective. In addition,
the limitation of the transmission of personal details, or of information allowing the
identification of the reporter or of the other persons mentioned in occurrence reports, by a
clear separation between the departments handling occurrence reports and the rest of the
organisation, may be an efficient way to achieve this objective.
(35) A reporter or a person mentioned in occurrence reports should be adequately protected. In this
context, occurrence reports should be disidentified and details relating to the identity of the
reporter and of the persons mentioned in occurrence reports should not be entered into
databases.
(36) In addition, the civil aviation system should promote a ‘safety culture’ facilitating the
spontaneous reporting of occurrences and thereby advancing the principle of a ‘just culture’.
‘Just culture’ is an essential element of a broader ‘safety culture’, which forms the basis of a
robust safety management system. An environment embracing ‘safety culture’ principles
should not prevent action being taken where necessary to maintain or improve the level of
aviation safety.
(37) A ‘just culture’ should encourage individuals to report safety-related information. It should not,
however, absolve individuals of their normal responsibilities. In this context, employees and
contracted personnel should not be subject to any prejudice on the basis of information

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provided pursuant to this Regulation, except in cases of wilful misconduct or where there has
been manifest, severe and serious disregard with respect to 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 to property, or seriously compromising the level of
aviation safety.
(38) In order to encourage reporting of occurrences, it should be appropriate to protect not only
reporters, but also persons mentioned in the occurrence reports concerned. However, such
protection should not exonerate those persons from their reporting obligations under this
Regulation. In particular, in a situation where a person is mentioned in an occurrence report
and has himself or herself the obligation to report that same occurrence, and intentionally fails
to report it, then that person should lose his or her protection and face penalties in application
of this Regulation.
(39) Without prejudice to national criminal law and the proper administration of justice, it is
important to clearly demarcate the extent of the protection of the reporter and other persons
mentioned in occurrence reports from prejudice or prosecution.
(40) In order to enhance the confidence of individuals in the system, the handling of occurrence
reports should be organised in such a way as to appropriately safeguard the confidentiality of
the identity of the reporter and other persons mentioned in occurrence reports with regard to
fostering a ‘just culture’. The aim, wherever possible, should be to enable an independent
occurrence handling system to be established.
(41) Staff of organisations, of the competent authorities of the Member States and of the Agency
who are involved in the evaluation, processing or analysis of occurrences have a significant role
to play in the identification of safety hazards and safety deficiencies. Experience shows that
when occurrences are analysed with the benefit of hindsight following an accident, the analysis
leads to the identification of risks and deficiencies that might otherwise not have been
identified. It is possible, therefore, that the persons involved in the evaluation, processing or
analysis of occurrences may fear potential consequences in terms of prosecution before judicial
authorities. Without prejudice to national criminal law and the proper administration of justice,
Member States should not institute proceedings against persons who, in the competent
authorities of the Member States, are involved in the evaluation, processing or analysis of
occurrences in respect of decisions taken as part of their duties which subsequently, and with
the benefit of hindsight, prove to have been erroneous or ineffective but which, when they
were taken and on the basis of the information available at that time, were proportional and
appropriate.
(42) Employees and contracted personnel should have the opportunity to report breaches of the
principles delimiting their protection as established by this Regulation, and should not be
penalised for so doing. Member States should define the consequences for those who infringe
the principles of protection of the reporter and of other persons mentioned in occurrence
reports and should adopt remedies or impose penalties as appropriate.
(43) Individuals may be discouraged from reporting occurrences by the fear of self-incrimination and
the potential consequences in terms of prosecution before judicial authorities. The objectives
of this Regulation can be achieved without interfering unduly with the justice systems of the
Member States. It is therefore appropriate to provide that unpremeditated or inadvertent
infringements of the law that come to the attention of the authorities of the Members States
solely through reporting pursuant to this Regulation should not be the subject of disciplinary,
administrative or legal proceedings, unless where otherwise provided by applicable national

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criminal law. However, the rights of third parties to institute civil proceedings should not be
covered by this prohibition and should be subject only to national law.
(44) Nevertheless, in the context of developing a ‘just culture’ environment, Member States should
retain the option of extending the prohibition on using occurrence reports as evidence against
reporters in administrative and disciplinary proceedings to civil or criminal proceedings.
(45) In addition, the cooperation between safety authorities and judicial authorities should be
enhanced and formalised by means of advance arrangements between themselves which
should respect the balance between the various public interests at stake and which should in
particular cover, for example, access to and the use of occurrence reports contained in the
national databases.
(46) To support the increased responsibilities of the Agency under this Regulation, it should be given
sufficient resources to enable it to carry out the additional tasks assigned to it.
(47) In order to supplement or amend this Regulation, 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 to the Council.
(48) In applying this Regulation, the Commission should consult the Agency and the network of
aviation safety analysts referred to herein.
(49) In order to ensure uniform conditions for the implementation of this Regulation, implementing
powers should be conferred on the Commission. Those powers should be exercised in
accordance with Regulation (EU) No 182/2011 of the European Parliament and of the
Council (1).
(50) The rules on data processing and the protection of individuals as laid down in Directive 95/46/EC
of the European Parliament and of the Council (2) and in Regulation (EC) No 45/2001 of the
European Parliament and of the Council (3) should be fully respected in the application of this
Regulation. The rules on access to data as laid down in Regulation (EC) No 1049/2001 of the
European Parliament and of the Council (4) should be fully respected in the application of this
Regulation except as regards the dissemination of data and information contained in the
European Central Repository, which are protected under stricter access rules laid down in this
Regulation.
(51) Penalties should, in particular, be applicable against any person who or entity which, contrary
to this Regulation, misuses information protected by this Regulation; acts in a prejudicial
manner against the reporter or other persons mentioned in occurrence reports, except in cases
where the exemptions laid down in this Regulation apply; does not establish an environment
1 Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules
and general principles concerning mechanisms for control by Member States of the Commission’s exercise of
implementing powers (OJ L 55, 28.2.2011, p. 13).
2 Directive 95/46/EC of the European Parliament and of the Council of 24 October 1995 on the protection of individuals
with regard to the processing of personal data and on the free movement of such data (OJ L 281, 23.11.1995, p. 31).
3 Regulation (EC) No 45/2001 of the European Parliament and of the Council of 18 December 2000 on the protection of
individuals with regard to the processing of personal data by the Community institutions and bodies and on the free
movement of such data (OJ L 8, 12.1.2001, p. 1).
4 Regulation (EC) No 1049/2001 of the European Parliament and of the Council of 30 May 2001 regarding public access to
European Parliament, Council and Commission documents (OJ L 145, 31.5.2001, p. 43).

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appropriate for allowing the collection of details of occurrences; does not analyse the
information collected; does not act to address any safety or potential safety deficiencies
detected; or does not share the information collected in application of this Regulation.
(52) Since the objective of this Regulation, namely the establishment of common rules in the field of
occurrence reporting in civil aviation, cannot be sufficiently achieved by the Member States but
can rather, by reason of its Union-wide scale and effects, be better achieved at Union level, the
Union may adopt measures, in accordance with the principle of subsidiarity as set out in
Article 5 of the Treaty on the European Union. In accordance with the principle of
proportionality, as set out in that Article, this Regulation does not go beyond what is necessary
in order to achieve that objective.
(53) Regulation (EU) No 996/2010 should therefore be amended accordingly.
(54) Directive 2003/42/EC of the European Parliament and of the Council (1), Commission Regulation
(EC) No 1321/2007 (2) and Commission Regulation (EC) No 1330/2007 (3) should therefore be
repealed.
(55) The European Data Protection Supervisor was consulted in accordance with Article 28(2) of
Regulation (EC) No 45/2001 and delivered an opinion on 10 April 2013 (4),
HAVE ADOPTED THIS REGULATION:
Article 1 — Objectives
1. This Regulation aims to improve aviation safety by ensuring that relevant safety information
relating to civil aviation is reported, collected, stored, protected, exchanged, disseminated and
analysed.
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.
2. The sole objective of occurrence reporting is the prevention of accidents and incidents and not
to attribute blame or liability.
1 Directive 2003/42/EC of the European Parliament and of the Council of 13 June 2003 on occurrence reporting in civil
aviation (OJ L 167, 4.7.2003, p. 23).
2 Commission Regulation (EC) No 1321/2007 of 12 November 2007 laying down implementing rules for the integration
into a central repository of information on civil aviation occurrences exchanged in accordance with Directive 2003/42/EC
of the European Parliament and of the Council (OJ L 294, 13.11.2007, p. 3).
3 Commission Regulation (EC) No 1330/2007 of 24 September 2007 laying down implementing rules for the dissemination
to interested parties of information on civil aviation occurrences referred to in Article 7(2) of Directive 2003/42/EC of
the European Parliament and of the Council (OJ L 295, 14.11.2007, p. 7).
4 OJ C 358, 7.12.2013, p. 19.

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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

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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

Regulation (EU) 2018/1139
1. 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.
2. This Regulation applies to occurrences and other safety-related information involving civil
aircraft to which Regulation (EU) 2018/1139 of the European Parliament and of the Council (1)
applies.
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.
1 Regulation (EU) 2018/1139 of the European Parliament and of the Council of 4 July 2018 on common rules in the field of
civil aviation and establishing a European Union Aviation Safety Agency, and amending Regulations (EC) No 2111/2005,
(EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European
Parliament and of the Council, and repealing Regulations (EC) No 552/2004 and (EC) No 216/2008 of the European
Parliament and of the Council and Council Regulation (EEC) No 3922/91 (OJ L 212, 22.8.2018, p. 1).

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Article 4 — Mandatory reporting

1. 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.
2. Each organisation established in a Member State shall establish a mandatory reporting system
to facilitate the collection of details of occurrences referred to in paragraph 1.
3. Each Member State shall establish a mandatory reporting system to facilitate the collection of
details of occurrences including the collection of details of occurrences collected by
organisations pursuant to paragraph 2.
4. The European Aviation Safety Agency (‘the Agency’) shall establish a mandatory reporting
system to facilitate the collection of details of occurrences, including the collection of details of
occurrences collected pursuant to paragraph 2 by organisations which have been certified or
approved by the Agency.

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5. The Commission shall, by means of implementing acts, adopt a list classifying occurrences to be
referred to when reporting occurrences pursuant to paragraph 1. Those implementing acts shall
be adopted in accordance with the examination procedure referred to in Article 19(2).
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.
6. 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 (1)
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.
7. The persons listed in paragraph 6 shall report occurrences within 72 hours of becoming aware
of the occurrence, unless exceptional circumstances prevent this.
8. Following notification of an occurrence, any organisation established in a Member State which
is not covered by paragraph 9 shall report to the competent authority of that Member State, as
referred to in Article 6(3), the details of occurrences collected in accordance with paragraph 2
1 Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules
for the operation of air services in the Community (OJ L 293, 31.10.2008, p. 3).

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of this Article as soon as possible, and in any event no later than 72 hours after becoming aware
of the occurrence.
9. Following notification of an occurrence, each organisation established in a Member State which
is certified or approved by the Agency shall report to the Agency the details of occurrences
collected in accordance with paragraph 2 as soon as possible, and in any event no later than
72 hours after becoming aware of the occurrence.
Article 5 — Voluntary reporting

1. 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.
2. Each Member State shall establish a voluntary reporting system to facilitate the collection of:
That system shall also include, but shall not be limited to, the collection of information
transferred by organisations pursuant to paragraph 6.
3. The Agency shall establish a voluntary reporting system to facilitate the collection of:
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.
4. 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).
5. Each organisation established in a Member State and certified or approved by the Agency shall
report to the Agency, in a timely manner, details of occurrences and safety-related information
which have been collected pursuant to paragraph 1 and which may involve an actual or
potential aviation safety risk.
6. Each organisation established in a Member State that is not certified or approved by the Agency
shall, in a timely manner, report to the competent authority of that Member State, as
designated pursuant to Article 6(3), the details of occurrences and other safety-related
information which have been collected pursuant to paragraph 1 of this Article and which may
involve an actual or potential aviation safety risk. Member States may require any organisation
established in their territory to report the details of all occurrences collected pursuant to
paragraph 1 of this Article.

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7. 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.
8. Information received from voluntary and mandatory reporting may be integrated into a single
system.
Article 6 — Collection and storage of information

1. Each organisation established in a Member State shall designate one or more persons to handle
independently the collection, evaluation, processing, analysis and storage of details of
occurrences reported pursuant to Articles 4 and 5.
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’.
2. By agreement with the competent authority, small organisations may put in place a simplified
mechanism for the collection, evaluation, processing, analysis and storage of details of
occurrences. They may share those tasks with organisations of the same nature, while
complying with the rules on confidentiality and protection pursuant to this Regulation.
3. Each Member State shall designate one or more competent authorities to establish a
mechanism to independently collect, evaluate, process, analyse and store details of occurrences
reported pursuant to Articles 4 and 5.
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).
4. The Agency shall designate one or more persons to establish a mechanism to independently
collect, evaluate, process, analyse and store details of occurrences reported in accordance with
Articles 4 and 5.

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5. Organisations shall store occurrence reports drawn up on the basis of details of occurrences
collected in accordance with Articles 4 and 5 in one or more databases.
6. The competent authorities referred to in paragraph 3 shall store occurrence reports drawn up
on the basis of details of occurrences collected in accordance with Articles 4 and 5 in a national
database.
7. Relevant information on accidents and serious incidents collected or issued by safety
investigation authorities shall also be stored in the national database.
8. The Agency shall store occurrence reports drawn up on the basis of details of occurrences
collected in accordance with Articles 4 and 5 in a database.
9. Safety investigation authorities shall have full access to their respective national database
referred to in paragraph 6 for the purpose of discharging their responsibilities pursuant to
Article 5(4) of Regulation (EU) No 996/2010.
10. Civil aviation authorities of Member States shall have full access to their respective national
database referred to in paragraph 6 for the purposes of their safety-related responsibilities.
Article 7 — Quality and content of occurrence reports

1. Occurrence reports referred to in Article 6 shall contain at least the information listed in Annex I.
2. Occurrence reports referred to in paragraphs 5, 6 and 8 of Article 6 shall include a safety risk
classification for the occurrence concerned. That classification shall be reviewed and if
necessary amended, and shall be endorsed by the competent authority of the Member State or
the Agency, in accordance with the common European risk classification scheme referred to in
paragraph 5 of this Article.
3. Organisations, Member States and the Agency shall establish data quality checking processes
to improve data consistency, notably between the information collected initially and the report
stored in the database.
4. 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.
5. The Commission, in close cooperation with the Member States and the Agency through the
network of aviation safety analysts, referred to in Article 14(2), shall develop a common
European risk classification scheme to enable the organisations, Member States and the Agency
to classify occurrences in terms of safety risk. In so doing, the Commission shall take into
account the need for compatibility with existing risk classification schemes.
The Commission shall develop that scheme by 15 May 2017.
6. The Commission shall be empowered to adopt delegated acts in accordance with Article 18 to
define the common European risk classification scheme.
7. The Commission shall, by means of implementing acts, adopt the arrangements for the
implementation of the common European risk classification scheme. Those implementing acts
shall be adopted in accordance with the examination procedure referred to in Article 19(2).

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8. 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

1. The Commission shall manage a European Central Repository to store all occurrence reports
collected in the Union.
2. Each Member State shall, in agreement with the Commission, update the European Central
Repository by transferring to it all information relating to safety stored in the national databases
referred to in Article 6(6).
3. The Agency shall agree with the Commission the technical protocols for transferring to the
European Central Repository all occurrence reports collected by the Agency under Regulation
(EC) No 216/2008 and its implementing rules, particularly for occurrences stored in the Internal
Occurrence Reporting System (IORS), as well as the information collected pursuant to
Articles 4(9) and 5(5).
4. The Commission shall, by means of implementing acts, adopt the arrangements for the
management of the European Central Repository as referred to in paragraph 1 and 2. Those
implementing acts shall be adopted in accordance with the examination procedure referred to
in Article 19(2).
Article 9 — Exchange of information

1. Member States and the Agency shall participate in an exchange of information by making all
information relating to safety stored in their respective reporting databases available to the
competent authorities of the other Member States, the Agency and the Commission, through
the European Central Repository.
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.
2. 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;

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(b) when the investigation is completed:

(i) the final investigation report; and
(ii) when available, a summary in English of the final investigation report.
3. 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
1. Any entity entrusted with regulating civil aviation safety, or any safety investigation authority,
within the Union shall have secure full online access to information on occurrences contained
in the European Central Repository.
The information shall be used in accordance with Articles 15 and 16.
2. Interested parties listed in Annex II may request access to certain information contained in the
European Central Repository.
Interested parties established within the Union shall address requests for information to the
point of contact of the Member State in which they are established.
Interested parties 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.
3. Subject to Article 15(2) of Regulation (EU) No 996/2010, information contained in the European
Central Repository relating to ongoing safety investigations conducted in accordance with that
Regulation shall not be disclosed to interested parties pursuant to this Article.
4. For security reasons, interested parties shall not be granted direct access to the European
Central Repository.
Article 11 — Processing of requests and decisions

1. Requests for information contained in the European Central Repository shall be submitted using
forms approved by the point of contact. Those forms shall contain at least the items set out in
Annex III.
2. 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.

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3. A point of contact which receives a request shall evaluate on a case-by-case basis whether the
request is justified and practicable.
A point of contact may supply information to interested parties on paper or by using secure
electronic means of communication.
4. Where the request is accepted, the point of contact shall determine the amount and the level
of information to be supplied. Without prejudice to Articles 15 and 16, the information shall be
limited to what is strictly required for the purpose of the request.
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.
5. The point of contact shall supply interested parties listed in point (b) of Annex II only with
information relating to the interested party’s own equipment, operations or field of activity.
6. A point of contact receiving a request from an interested party listed in 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.
7. 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.
8. The decision to disseminate information pursuant to this Article shall be limited to what is
strictly required for the purpose of its user.
Article 12 — Record of requests and exchange of information

1. The point of contact shall record each request received and the action taken pursuant to that
request.
That information shall be transmitted in a timely manner to the Commission whenever a
request is received and/or action is taken.
2. The Commission shall make available the updated list of requests received and action taken by
the various points of contact and by the Commission itself to all points of contact.

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Article 13 — Occurrence analysis and follow-up at national level

1. Each organisation established in a Member State shall develop a process to analyse occurrences
collected in accordance with Articles 4(2) and 5(1) in order to identify the safety hazards
associated with identified occurrences or groups of occurrences.
Based on that analysis, each organisation shall determine any appropriate corrective or
preventive action, required to improve aviation safety.
2. 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.
3. Each organisation established in a Member State shall regularly provide its employees and
contracted personnel with information concerning the analysis of, and follow-up on,
occurrences for which preventive or corrective action is taken.
4. Where an organisation established in a Member State which is not covered by paragraph 5
identifies an actual or potential aviation safety risk as a result of its analysis of occurrences or
group of occurrences reported pursuant to Articles 4(8) and 5(6), it shall transmit to the
competent authority of that Member State, within 30 days from the date of notification of the
occurrence by the reporter:
(a) the preliminary results of the analysis performed pursuant to paragraph 1, if any; and
(b) any action to be taken pursuant to paragraph 2.
The organisation shall report the final results of the analysis, where required, as soon as they
are available and, in principle, no later than three months from the date of notification of the
occurrence.
A competent authority of a Member State may request organisations to transmit to it the
preliminary or final results of the analysis of any occurrence of which it has been notified but in
relation to which it has received no follow-up or only the preliminary results.
5. Where an organisation established in a Member State and certified or approved by the Agency
identifies an actual or potential aviation safety risk as a result of its analysis of occurrences or
group of occurrences reported pursuant to Articles 4(9) and 5(5), it shall transmit to the Agency,
within 30 days from the date of notification of the occurrence by the reporter:
(a) the preliminary results of the analysis performed pursuant to paragraph 1, if any; and
(b) any action to be taken pursuant to paragraph 2.
The organisation certified or approved by the Agency shall transmit to the Agency the final
results of the analysis, where required, as soon as they are available and, in principle, no later
than three months from the date of notification of the occurrence.
The Agency may request organisations to transmit to it the preliminary or final results of the
analysis of any occurrence of which it has been notified but in relation to which it has received
no follow-up or only the preliminary results.
6. Each Member State and the Agency shall develop a process to analyse the information relating
to occurrences which are directly reported to them in accordance with Articles 4(6), 5(2) and

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5(3) in order to identify the safety hazards associated with those occurrences. Based on that
analysis, they shall determine any appropriate corrective or preventive action required to
improve aviation safety.
7. When, following the analysis referred to in paragraph 6, a Member State or the Agency
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.
8. For each occurrence or group of occurrences monitored in accordance with paragraph 4 or 5,
each Member State and the Agency shall have access to the analysis made and shall
appropriately monitor action taken by the organisations for which it is respectively responsible.
If a Member State or the Agency concludes that the implementation and the effectiveness of
the reported action is inappropriate to address actual or potential safety deficiencies, it shall
ensure that additional appropriate action is taken and implemented by the relevant
organisation.
9. Where available, information relating to the analysis and the follow-up of individual
occurrences or groups of occurrences obtained pursuant to this Article shall be stored in the
European Central Repository, in accordance with Article 8(2) and (3), in a timely manner and no
later than two months after their storage in the national database.
10. Member States shall use information obtained from the analysis of occurrence reports to
identify remedial action to be taken, if any, within the State Safety Programme.
11. In order to inform the public of the level of safety in civil aviation, each Member State shall
publish a safety review at least once a year. The safety review shall:
(a) contain aggregated and anonymised information on the type of occurrences and
safety-related information reported through its national mandatory and voluntary
reporting systems;
(b) identify trends;
(c) identify the action it has taken.
12. Member States may also publish anonymised occurrence reports and risk analysis outcomes.
Article 14 — Occurrence analysis and follow up at Union level

1. The Commission, the Agency and the competent authorities of the Member States shall, in
collaboration, participate regularly in the exchange and analysis of information contained in the
European Central Repository.
Without prejudice to the confidentiality requirements laid down in this Regulation, observers
may be invited on a case-by-case basis, where appropriate.
2. The Commission, the Agency and the competent authorities of the Member States shall
collaborate through a network of aviation safety analysts.
The network of aviation safety analysts shall contribute to the improvement of aviation safety
in the Union, in particular by performing safety analysis in support of the European Aviation
Safety Programme and the European Aviation Safety Plan.

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3. The Agency shall support the activities of the network of aviation safety analysts by, for
example, providing assistance for the preparation and organisation of the meetings of the
network.
4. The Agency shall include information about the result of information analysis referred to in
paragraph 1 in the annual safety review referred to in Article 15(4) of Regulation (EC)
No 216/2008.
Article 15 — Confidentiality and appropriate use of information

1. Member States and organisations, in accordance with their national law, and the Agency shall
take the necessary measures to ensure the appropriate confidentiality of the details of
occurrences received by them pursuant to Articles 4, 5 and 10.
Each Member State, each organisation established in a Member State, or the Agency shall
process personal data only to the extent necessary for the purposes of this Regulation and
without prejudice to national legal acts implementing Directive 95/46/EC.
2. Without prejudice to the provisions relating to the protection of safety information in
Articles 12, 14 and 15 of Regulation (EU) No 996/2010, information derived from occurrence
reports shall be used only for the purpose for which it has been collected.
Member States, the Agency and organisations shall not make available or use the information
on occurrences:
(a) in order to attribute blame or liability; or
(b) for any purpose other than the maintenance or improvement of aviation safety.
3. The Commission, the Agency and the competent authorities of the Member States, when
discharging their obligations under Article 14 in relation to the information contained in the
European Central Repository, shall:
(a) ensure the confidentiality of the information; and
(b) limit the use of the information to what is strictly necessary in order to discharge their
safety-related obligations without attributing blame or liability; in this respect, the
information shall be used in particular for risk management and for analysis of safety
trends which may lead to safety recommendations or actions, addressing actual or
potential safety deficiencies.
4. Member States shall ensure that their competent authorities referred to in Article 6(3) and their
competent authorities for the administration of justice cooperate with each other through
advance administrative arrangements. These advance administrative arrangements shall seek
to ensure the correct balance between the need for proper administration of justice, on the one
hand, and the necessary continued availability of safety information, on the other.
Article 16 — Protection of the information source

1. For the purposes of this Article, ‘personal details’ includes in particular names or addresses of
natural persons.
2. Each organisation established in a Member State shall ensure that all personal details are made
available to staff of that organisation other than persons designated in accordance with

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Article 6(1) only where absolutely necessary in order to investigate occurrences with a view to
enhancing aviation safety.
Disidentified information shall be disseminated within the organisation as appropriate.
3. Each Member State shall ensure that no personal details are ever recorded in the national
database referred to in Article 6(6). Such disidentified information shall be made available to all
relevant parties, for example to allow them to discharge their obligations in relation to aviation
safety improvement.
4. The Agency shall ensure that no personal details are ever recorded in the Agency database
referred to in Article 6(8). Such disidentified information shall be made available to all relevant
parties, for example to allow them to discharge their obligations in relation to aviation safety
improvement.
5. Member States and the Agency shall not be prevented from taking any action necessary for
maintaining or improving aviation safety.
6. Without prejudice to applicable national criminal law, 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 pursuant to
Articles 4 and 5.
The first subparagraph shall not apply in the cases referred to in paragraph 10. Member States
may retain or adopt measures to strengthen the protection of reporters or persons mentioned
in occurrence reports. Member States may in particular apply this rule without the exceptions
referred to in paragraph 10.
7. If disciplinary or administrative proceedings are instituted under national law, information
contained in occurrence reports shall not be used against:
(a) the reporters; or
(b) the persons mentioned in occurrence reports.
The first subparagraph shall not apply in the cases referred to in paragraph 10.
Member States may retain or adopt measures to strengthen the protection of reporters or
persons mentioned in occurrence reports. Member States may in particular extend that
protection to civil or criminal proceedings.
8. Member States may adopt or maintain in force legislative provisions ensuring a higher level of
protection for reporters or for persons mentioned in occurrence reports than those established
in this Regulation.
9. Except where paragraph 10 applies, employees and contracted personnel who report or are
mentioned in occurrence reports collected 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 reporter.
10. The protection under paragraphs 6, 7 and 9 of this Article shall not apply to any of the following
situations:
(a) in cases of wilful misconduct;
(b) 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.

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11. Each organisation established in a Member State shall, after consulting its staff representatives,
adopt internal rules describing how ‘just culture’ principles, in particular the principle referred
to in paragraph 9, are guaranteed and implemented within that organisation.
The body designated pursuant to paragraph 12 may ask to review the internal rules of the
organisations established in its Member State before those internal rules are implemented.
12. Each Member State shall designate a body responsible for the implementation of paragraphs 6,
9 and 11.
Employees and contracted personnel may report to that body alleged infringements of the rules
established by this Article. Employees and contracted personnel shall not be penalised for
reporting alleged infringements. Employees and contracted personnel may inform the
Commission about such alleged infringements.
Where appropriate, the designated body shall advise the relevant authorities of its Member
State concerning remedies or penalties in application of Article 21.
13. On 15 May 2019 and every five years thereafter, each Member State shall send the Commission
a report on the application of this Article, and in particular on the activities of the body
designated pursuant to paragraph 12. The report shall not contain any personal data.
Article 17 — Updating of the annexes

The Commission shall be empowered to adopt delegated acts in accordance with Article 18 in order
to:
(a) update the list of mandatory data fields in occurrence reports laid down in Annex I where, in
the light of experience gained in the application of this Regulation, changes prove necessary in
order to improve aviation safety;
(b) update the request for European Central Repository information form provided in Annex III, to
take account of experience gained and of new developments;
(c) align any of the Annexes with the ECCAIRS software and the ADREP taxonomy, as well as with
legal acts adopted by the Union and with international agreements.
With a view to updating the list of mandatory fields, the Agency and the network of aviation safety
analysts referred to in Article 14(2) shall provide the Commission with appropriate opinion(s).
Article 18 — Exercise of the delegation

1. The power to adopt delegated acts is conferred on the Commission subject to the conditions
laid down in this Article.
2. The power to adopt delegated acts referred to in Article 7(6) and Article 17 shall be conferred
on the Commission for a period of five years from the 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.
3. The delegation of power referred to in Article 7(6) and Article 17 may be revoked at any time
by the European Parliament or by the Council. A decision to revoke shall put an end to the
delegation of the power specified in that decision. It shall take effect the day following the

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publication of the decision in the Official Journal of the European Union or at a later date
specified therein. It shall not affect the validity of any delegated acts already in force.
4. As soon as it adopts a delegated act, the Commission shall notify it simultaneously to the
European Parliament and to the Council.
5. A delegated act adopted pursuant to Article 7(6) and Article 17 shall enter into force only if no
objection has been expressed either by the European Parliament or the Council within a period
of two months of notification of that act to the European Parliament and the Council or if,
before the expiry of that period, the European Parliament and the Council have both informed
the Commission that they will not object. That period shall be extended by two months at the
initiative of the European Parliament or of the Council.
Article 19 — Committee procedure

1. The Commission shall be assisted by the committee established by Article 65 of Regulation (EC)
No 216/2008. That committee shall be a committee within the meaning of Regulation (EU)
No 182/2011.
2. Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
Where the committee delivers no opinion, the Commission shall not adopt the draft
implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011
shall apply.
Article 20 — Access to documents and protection of personal data

1. With the exception of Articles 10 and 11, which establish stricter rules on access to the data and
information contained in the European Central Repository, this Regulation shall apply without
prejudice to Regulation (EC) No 1049/2001.
2. This Regulation shall apply without prejudice to national legal acts implementing
Directive 95/46/EC and in accordance with Regulation (EC) No 45/2001.
Article 21 — Penalties
Member States shall lay down the rules on penalties applicable to infringements of this Regulation.
The penalties provided for shall be effective, proportionate and dissuasive. Member States shall notify
to the Commission those provisions and any subsequent amendment affecting them.
Article 22 — Amendment to Regulation (EU) No 996/2010

Article 19 of Regulation (EU) No 996/2010 is deleted.

However, that Article shall remain applicable until the date of application of this Regulation in
accordance with Article 24(3).
Article 23 — Repeals
Directive 2003/42/EC, Regulation (EC) No 1321/2007 and Regulation (EC) No 1330/2007 are repealed.
They shall remain applicable until the date of application of this Regulation in accordance with
Article 24(3).

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Article 24 — Entry into force and application

1. This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Union.
2. By 16 November 2020, the Commission shall publish and send to the European Parliament and
to the Council an evaluation report on the implementation of this Regulation. That report shall
cover, in particular, the contribution made by this Regulation to reducing the number of aircraft
accidents and related fatalities. If appropriate and on the basis of that report, the Commission
shall make proposals for amending this Regulation.
3. This Regulation shall apply from 15 November 2015 and not before the entry into force of the
implementing measures referred to in Article 4(5). Article 7(2) shall apply once the delegated
and implementing acts specifying and developing the European common risk classification
scheme referred to in Article 7(6) and (7) enter into force.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels, 3 April 2014.
For the European Parliament
The President
M. SCHULZ
For the Council
The President
D. KOURKOULAS

ANNEX I — LIST OF REQUIREMENTS
APPLICABLE TO THE MANDATORY AND
VOLUNTARY OCCURRENCE REPORTING
SCHEMES
ANNEXES
ANNEX I — LIST OF REQUIREMENTS APPLICABLE TO THE

MANDATORY AND VOLUNTARY OCCURRENCE REPORTING SCHEMES
Note: The data fields must be completed with the information requested. If it is not possible for the
competent authorities of the Member States or the Agency to include that information because
it has not been provided by the organisation or the reporter, the data field may be completed
with the value ‘unknown’. However, with a view to ensuring that the appropriate information
is transmitted, use of that ‘unknown’ value should, to the best extent possible, be avoided, and
the report should, where possible, be completed with the information later.
1. COMMON MANDATORY DATA FIELDS
When entering, in their respective databases, information on every occurrence mandatorily
reported and, to the best extent possible, every occurrence voluntarily reported, organisations,
Member States and the Agency must ensure that occurrence reports recorded in their
databases contain at least the following information:
(1) Headline
— Headline
(2) Filing Information
— Responsible Entity
— File Number
— Occurrence Status
(3) When
— UTC Date
(4) Where
— State/Area of Occurrence
— Location of Occurrence
(5) Classification
— Occurrence Class
— Occurrence Category
(6) Narrative
— Narrative Language
— Narrative
(7) Events
— Event Type
(8) Risk classification

SCHEMES
2. SPECIFIC MANDATORY DATA FIELDS

2.1. Aircraft-related data fields
When entering, in their respective databases, information on every occurrence
mandatorily reported and, to the best extent possible, every occurrence voluntarily
reported, organisations, Member States and the Agency must ensure that occurrence
reports recorded in their databases contain at least the following information:
(1) Aircraft Identification
— State of Registry
— Make/Model/Series
— Aircraft serial number
— Aircraft Registration
— Call sign
(2) Aircraft Operation
— Operator
— Type of operation
(3) Aircraft Description
— Aircraft Category
— Propulsion Type
— Mass Group
(4) History of Flight
— Last Departure Point
— Planned Destination
— Flight Phase
(5) Weather
— Weather relevant
2.2. Data fields relating to air navigation services
(1) ATM relation
— ATM contribution
— Service affected (effect on ATM service)
(2) ATS Unit Name

SCHEMES
2.2.1. Separation Minima Infringement/Loss of Separation and Airspace

Infringement-related data fields
reported, organisations, Member States and the Agency must ensure that
occurrence reports recorded in their databases contain at least the following
information:
(1) Airspace
— Airspace type
— Airspace class
— FIR/UIR name
2.3. Aerodrome-related data fields
(1) Location Indicator (ICAO indicator of the airport)
(2) Location on the aerodrome
2.4. Aircraft damage or personal injury-related data fields
(1) Severity
— Highest Damage
— Injury Level
(2) Injuries to persons
— Number of injuries on ground (fatal, serious, minor)
— Number of injuries on aircraft (fatal, serious, minor)

ANNEX II — INTERESTED PARTIES
ANNEX II — INTERESTED PARTIES

(a) List of interested parties which may receive information on the basis of a case-by-case decision
under Article 11(4) or on the basis of a general decision under Article 11(6):
1. Manufacturers: designers and manufacturers of aircraft, engines, propellers and aircraft
parts and appliances, 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 equipment used on the air side of aerodromes
2. Maintenance: organisations involved in the maintenance or overhaul of aircraft, engines,
propellers and aircraft parts and appliances; in the installation, modification,
maintenance, repair, overhaul, flight checking or inspection of air navigation facilities; or
in the maintenance or overhaul of aerodrome air side systems, constituents and
equipment
3. Operators: airlines and operators of aircraft and associations of airlines and operators;
aerodrome operators and associations of aerodrome operators
4. Air navigation services providers and providers of ATM-specific functions
5. Aerodrome service providers: organisations in charge of ground handling of aircraft,
including fuelling, loadsheet preparation, loading, de-icing and towing at an aerodrome,
as well as rescue and firefighting, or other emergency services
6. Aviation training organisations
7. Third-country organisations: governmental aviation authorities and accident
investigation authorities from third countries
8. International aviation organisations
9. Research: public or private research laboratories, centres or entities; or universities
engaged in aviation safety research or studies
(b) List of interested parties which may receive information on the basis of a case-by-case decision
under Article 11(4) and (5):
1. Pilots (on a personal basis)
2. Air traffic controllers (on a personal basis) and other ATM/ANS staff carrying out
safety-related tasks
3. Engineers/technicians/air traffic safety electronics staff/aviation (or aerodrome)
managers (on a personal basis)
4. Professional representative bodies of staff carrying out safety-related tasks

ANNEX III — REQUEST FOR INFORMATION
FROM THE EUROPEAN CENTRAL
REPOSITORY
ANNEX III — REQUEST FOR INFORMATION FROM THE EUROPEAN

CENTRAL REPOSITORY
1. Name:
Function/position:
Company:
Address:
Tel.:
E-mail:
Date:
Nature of business:
Category of interested party (see Annex II to 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 (1)):
2. Information requested (please be as specific as possible; include the relevant date/period in
which you are interested):
3. Reason for the request:
4. Explain the purpose for which the information will be used:
5. Date by which the information is requested:

6. The completed form should be sent, via e-mail, to: (point of contact)
7. Access to information
The point of contact is not required to supply any requested information. It may do so only if it
is confident that the request is compatible with Regulation (EU) No 376/2014. The requestor
commits itself and its organisation to restrict the use of the information to the purpose it has
described under point 4. It is also recalled that information provided on the basis of this request
is made available only for the purposes of flight safety as provided in Regulation (EU)
No 376/2014 and not for other purposes such as, in particular, attributing blame or liability or
for commercial purposes.
The requestor is not allowed to disclose information provided to it to anyone without the
written consent of the point of contact.
Failure to comply with these conditions may lead to a refusal of access to further information
from the European Central Repository and, where applicable, to the imposition of penalties.
1 OJ L 122, 24.4.2014, p. 18.

ANNEX III — REQUEST FOR INFORMATION
FROM THE EUROPEAN CENTRAL
REPOSITORY
8. Date, place and signature:

Easy Access Rules for Commission Implementing Regulation
Occurrence Reporting (EU) 2015/1018
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COMMISSION IMPLEMENTING REGULATION (EU) 2015/1018

COVER REGULATION
COMMISSION IMPLEMENTING REGULATION (EU) 2015/1018 of 29 June 2015 laying down a list classifying
occurrences in civil aviation to be mandatorily reported according to Regulation (EU) No 376/2014 of the
European Parliament and of the Council
Powers and recitals

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,
Having regard to 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 (1), and in particular Article 4(5) thereof,
Whereas:
(1) Regulation (EU) No 376/2014 requires occurrence reporting systems to be established at
organisation, Member State and Union levels, in view for all relevant civil aviation safety
information to be reported, collected, stored, protected, exchanged, disseminated, analysed
and followed-up. In addition, it provides for rules limiting the use of information collected to
the enhancement of aviation safety and appropriately protecting the reporter and other
persons mentioned in occurrence reports in view of ensuring a continued availability of safety
information. Regulation (EU) No 376/2014 applies to all aircraft defined and covered by that
Regulation, including manned aircraft and Remotely Piloted Aircraft Systems.
(2) According to the first subparagraph of Article 4(5) of Regulation (EU) No 376/2014, the
Commission is required to adopt a list classifying occurrences to be referred to when reporting
occurrences, under mandatory reporting systems set out in that Regulation, and which fall
within the categories of Article 4(1) of that Regulation. A second list should contain, in
accordance with the second subparagraph of Article 4(5) of Regulation (EU) No 376/2014, a
classification of occurrences applicable to aircraft other than complex motor-powered aircraft.
This second list should where appropriate, be adapted to the specificities of that aviation sector.
(3) The division in categories of occurrences to be reported provided for in Regulation (EU)
No 376/2014 was established in order to allow the identification, by the persons designated by
that Regulation, of the occurrences to be reported by each of them. In line with that objective,
the lists of occurrences should be divided following the categories to which reporters should
refer, according to their respective situation, in accordance with Regulation (EU) No 376/2014.
1 OJ L 122, 24.4.2014, p. 18.

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(4) The measures provided for in this Regulation are in accordance with the opinion of the
Committee established by Article 65 of Regulation (EC) No 216/2008 of the European
Parliament and of the Council (1).
HAS ADOPTED THIS REGULATION:
Article 1
The detailed classification of the occurrences to be referred to when reporting, through mandatory
reporting systems, occurrences pursuant to Article 4(1) of Regulation (EU) No 376/2014 is set out in
Annexes I to V to this Regulation.
Article 2
This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union.
It shall apply from 15 November 2015.
Done at Brussels, 29 June 2015.
For the Commission
The President
Jean-Claude JUNCKER
Regulation (EC) No 1592/2002 and Directive 2004/36/EC (OJ L 79, 19.3.2008, p. 1).

ANNEX I — OCCURRENCES RELATED TO
THE OPERATION OF THE AIRCRAFT
ANNEXES
ANNEX I — OCCURRENCES RELATED TO THE OPERATION OF THE

AIRCRAFT
Remark: This Annex is structured in such a way 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. However, this presentation must not be understood as
meaning that occurrences must not be reported in case they take place outside the category of
activities to which they are linked in the list.
1. AIR OPERATIONS
1.1. Flight preparation
(1) Use of incorrect data or erroneous entries into equipment used for navigation or
performance calculations which has or could have endangered the aircraft, its
occupants or any other person.
(2) Carriage or attempted carriage of dangerous goods in contravention of applicable
legislations including incorrect labelling, packaging and handling of dangerous
goods.
1.2. Aircraft preparation
(1) Incorrect fuel type or contaminated fuel.
(2) Missing, incorrect or inadequate De-icing/Anti-icing treatment.
1.3. Take-off and landing
(1) Taxiway or runway excursion.
(2) Actual or potential taxiway or runway incursion.
(3) Final Approach and Take-off Area (FATO) incursion.
(4) Any rejected take-off.
(5) Inability to achieve required or expected performance during take-off, go-around
or landing.
(6) Actual or attempted take-off, approach or landing with incorrect configuration
setting.
(7) Tail, blade/wingtip or nacelle strike during take-off or landing.
(8) Approach continued against air operator stabilised approach criteria.
(9) Continuation of an instrument approach below published minimums with
inadequate visual references.
(10) Precautionary or forced landing.
(11) Short and long landing.
(12) Hard landing.

1.4. Any phase of flight

(1) Loss of control.
(2) Aircraft upset, exceeding normal pitch attitude, bank angle or airspeed
inappropriate for the conditions.
(3) Level bust.
(4) Activation of any flight envelope protection, including stall warning, stick shaker,
stick pusher and automatic protections.
(5) Unintentional deviation from intended or assigned track of the lowest of twice the
required navigation performance or 10 nautical miles.
(6) Exceedance of aircraft flight manual limitation.
(7) Operation with incorrect altimeter setting.
(8) Jet blast or rotor and prop wash occurrences which have or could have endangered
the aircraft, its occupants or any other person.
(9) Misinterpretation of automation mode or of any flight deck information provided
to the flight crew which has or could have endangered the aircraft, its occupants
or any other person.
1.5. Other types of occurrences
(1) Unintentional release of cargo or other externally carried equipment.
(2) Loss of situational awareness (including environmental, mode and system
awareness, spatial disorientation, and time horizon).
(3) Any occurrence where the human performance has directly contributed to or could
have contributed to an accident or a serious incident.
2. TECHNICAL OCCURRENCES
2.1. Structure and systems
(1) Loss of any part of the aircraft structure in flight.
(2) Loss of a system.
(3) Loss of redundancy of a system.
(4) Leakage of any fluid which resulted in a fire hazard or possible hazardous
contamination of aircraft structure, systems or equipment, or which has or could
have endangered the aircraft, its occupants or any other person.
(5) Fuel system malfunctions or defects, which had an effect on fuel supply and/or
distribution.
(6) Malfunction or defect of any indication system when this results in misleading
indications to the crew.
(7) Abnormal functioning of flight controls such as asymmetric or stuck/jammed flight
controls (for example: lift (flaps/slats), drag (spoilers), attitude control (ailerons,
elevators, rudder) devices).

2.2. Propulsion (including engines, propellers and rotor systems) and auxiliary power units
(APUs)
(1) Failure or significant malfunction of any part or controlling of a propeller, rotor or
powerplant.
(2) Damage to or failure of main/tail rotor or transmission and/or equivalent systems.
(3) Flameout, in-flight shutdown of any engine or APU when required (for example:
ETOPS (Extended range Twin engine aircraft Operations), MEL (Minimum
Equipment List)).
(4) Engine operating limitation exceedance, including overspeed or inability to control
the speed of any high-speed rotating component (for example: APU, air starter, air
cycle machine, air turbine motor, propeller or rotor).
(5) Failure or malfunction of any part of an engine, powerplant, APU or transmission
resulting in any one or more of the following:
(a) thrust-reversing system failing to operate as commanded;
(b) inability to control power, thrust or rpm (revolutions per minute);
(c) non-containment of components/debris.
3. INTERACTION WITH AIR NAVIGATION SERVICES (ANS) AND AIR TRAFFIC MANAGEMENT
(ATM)
(1) Unsafe ATC (Air Traffic Control) clearance.
(2) Prolonged loss of communication with ATS (Air Traffic Service) or ATM Unit.
(3) Conflicting instructions from different ATS Units potentially leading to a loss of
separation.
(4) Misinterpretation of radio-communication which has or could have endangered the
aircraft, its occupants or any other person.
(5) Intentional deviation from ATC instruction which has or could have endangered the
aircraft, its occupants or any other person.
4. EMERGENCIES AND OTHER CRITICAL SITUATIONS
(1) Any event leading to the declaration of an emergency (‘Mayday’ or ‘PAN call’).
(2) Any burning, melting, smoke, fumes, arcing, overheating, fire or explosion.
(3) Contaminated air in the cockpit or in the passenger compartment which has or could have
endangered the aircraft, its occupants or any other person.
(4) Failure to apply the correct non-normal or emergency procedure by the flight or cabin
crew to deal with an emergency.
(5) Use of any emergency equipment or non-normal procedure affecting in-flight or landing
performance.
(6) Failure of any emergency or rescue system or equipment which has or could have
(7) Uncontrollable cabin pressure.

(8) Critically low fuel quantity or fuel quantity at destination below required final reserve
fuel.
(9) Any use of crew oxygen system by the crew.
(10) Incapacitation of any member of the flight or cabin crew that results in the reduction
below the minimum certified crew complement.
(11) Crew fatigue impacting or potentially impacting their ability to perform safely their flight
duties.
5. EXTERNAL ENVIRONMENT AND METEOROLOGY
(1) A collision or a near collision on the ground or in the air, with another aircraft, terrain or
obstacle (1).
(2) ACAS RA (Airborne Collision Avoidance System, Resolution Advisory).
(3) Activation of genuine ground collision system such as GPWS (Ground Proximity Warning
System)/TAWS (Terrain Awareness and Warning System) ‘warning’.
(4) Wildlife strike including bird strike.
(5) Foreign object damage/debris (FOD).
(6) Unexpected encounter of poor runway surface conditions.
(7) Wake-turbulence encounters.
(8) Interference with the aircraft by firearms, fireworks, flying kites, laser illumination, high
powered lights, lasers, Remotely Piloted Aircraft Systems, model aircraft or by similar
means.
(9) A lightning strike which resulted in damage to the aircraft or loss or malfunction of any
aircraft system.
(10) A hail encounter which resulted in damage to the aircraft or loss or malfunction of any
aircraft system.
(11) Severe turbulence encounter or any encounter resulting in injury to occupants or deemed
to require a ‘turbulence check’ of the aircraft.
(12) A significant wind shear or thunderstorm encounter which has or could have endangered
the aircraft, its occupants or any other person.
(13) Icing encounter resulting in handling difficulties, damage to the aircraft or loss or
malfunction of any aircraft system.
(14) Volcanic ash encounter.
6. SECURITY
(1) Bomb threat or hijack.
(2) Difficulty in controlling intoxicated, violent or unruly passengers.
(3) Discovery of a stowaway.
1 Obstacle includes vehicle.

ANNEX II — OCCURRENCES RELATED TO
TECHNICAL CONDITIONS, MAINTENANCE
AND REPAIR OF THE AIRCRAFT
ANNEX II — OCCURRENCES RELATED TO TECHNICAL CONDITIONS,

MAINTENANCE AND REPAIR OF THE AIRCRAFT
1. MANUFACTURING
Products, parts or appliances released from the production organisation with deviations from
applicable design data that could lead to a potential unsafe condition as identified with the
holder of the type-certificate or design approval.
2. DESIGN
Any failure, malfunction, defect or other occurrence related to a product, part, or appliance
which has resulted in or may result in an unsafe condition.
Remark: This list is applicable to occurrences occurring on a product, part, or appliance covered
by the type-certificate, restricted type-certificate, supplemental type-certificate, ETSO
authorisation, major repair design approval or any other relevant approval deemed to have
been issued under Commission Regulation (EU) No 748/2012 (1).
3. MAINTENANCE AND CONTINUING AIRWORTHINESS MANAGEMENT
(1) Serious structural damage (for example: cracks, permanent deformation, delamination,
debonding, burning, excessive wear, or corrosion) found during maintenance of the
aircraft or component.
(2) Serious leakage or contamination of fluids (for example: hydraulic, fuel, oil, gas or other
fluids).
(3) Failure or malfunction of any part of an engine or powerplant and/or transmission
resulting in any one or more of the following:
(a) non-containment of components/debris;
(b) failure of the engine mount structure.
(4) Damage, failure or defect of propeller, which could lead to in-flight separation of the
propeller or any major portion of the propeller and/or malfunctions of the propeller
control.
(5) Damage, failure or defect of main rotor gearbox/attachment, which could lead to in-flight
separation of the rotor assembly and/or malfunctions of the rotor control.
(6) Significant malfunction of a safety-critical system or equipment including emergency
system or equipment during maintenance testing or failure to activate these systems
after maintenance.
(7) Incorrect assembly or installation of components of the aircraft found during an
inspection or test procedure not intended for that specific purpose.
(8) Wrong assessment of a serious defect, or serious non-compliance with MEL and Technical
logbook procedures.
1 Commission Regulation (EU) No 748/2012 of 3 August 2012 laying down implementing rules for the airworthiness and
environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design
and production organisations (OJ L 224, 21.8.2012, p. 1).

ANNEX II — OCCURRENCES RELATED TO
TECHNICAL CONDITIONS, MAINTENANCE
AND REPAIR OF THE AIRCRAFT
(9) Serious damage to Electrical Wiring Interconnection System (EWIS).

(10) Any defect in a life-controlled critical part causing retirement before completion of its full
life.
(11) The use of products, components or materials, from unknown, suspect origin, or
unserviceable critical components.
(12) Misleading, incorrect or insufficient applicable maintenance data or procedures that
could lead to significant maintenance errors, including language issue.
(13) Incorrect control or application of aircraft maintenance limitations or scheduled
maintenance.
(14) Releasing an aircraft to service from maintenance in case of any non-compliance which
endangers the flight safety.
(15) Serious damage caused to an aircraft during maintenance activities due to incorrect
maintenance or use of inappropriate or unserviceable ground support equipment that
requires additional maintenance actions.
(16) Identified burning, melting, smoke, arcing, overheating or fire occurrences.
(17) Any occurrence where the human performance, including fatigue of personnel, has
directly contributed to or could have contributed to an accident or a serious incident.
(18) Significant malfunction, reliability issue, or recurrent recording quality issue affecting a
flight recorder system (such as a flight data recorder system, a data link recording system
or a cockpit voice recorder system) or lack of information needed to ensure the
serviceability of a flight recorder system.

ANNEX III — OCCURRENCES RELATED TO
AIR NAVIGATION SERVICES AND
FACILITIES
ANNEX III — OCCURRENCES RELATED TO AIR NAVIGATION SERVICES

AND FACILITIES
Remark: This Annex is structured in such a way 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. However, this presentation must not be understood as
activities to which they are linked in the list.
1. AIRCRAFT-RELATED OCCURRENCES
(1) A collision or a near collision on the ground or in the air, between an aircraft and another
aircraft, terrain or obstacle (1), including near-controlled flight into terrain (near CFIT).
(2) Separation minima infringement (2).
(3) Inadequate separation (3).
(4) ACAS RAs.
(8) Final Approach and Take-off Area (FATO) incursion.
(9) Aircraft deviation from ATC clearance.
(10) Aircraft deviation from applicable air traffic management (ATM) regulation:
(a) aircraft deviation from applicable published ATM procedures;
(b) airspace infringement including unauthorised penetration of airspace;
(c) deviation from aircraft ATM-related equipment carriage and operations, as
mandated by applicable regulations.
(11) Call sign confusion related occurrences.
2. DEGRADATION OR TOTAL LOSS OF SERVICES OR FUNCTIONS
(1) Inability to provide ATM services or to execute ATM functions:
(a) inability to provide air traffic services or to execute air traffic services functions;
(b) inability to provide airspace management services or to execute airspace
management functions;

2 This refers to a situation in which prescribed separation minima were not maintained between aircraft or between
aircraft and airspace to which separation minima is prescribed.
3 In the absence of prescribed separation minima, a situation in which aircraft were perceived to pass too close to each
other for pilots to ensure safe separation.

ANNEX III — OCCURRENCES RELATED TO
AIR NAVIGATION SERVICES AND
FACILITIES
(c) inability to provide air traffic flow management and capacity services or to execute
air traffic flow management and capacity functions.
(2) Missing or significantly incorrect, corrupted, inadequate or misleading information from
any support service (1), including relating to poor runway surface conditions.
(3) Failure of communication service.
(4) Failure of surveillance service.
(5) Failure of data processing and distribution function or service.
(6) Failure of navigation service.
(7) Failure of ATM system security which had or could have a direct negative impact on the
safe provision of service.
(8) Significant ATS sector/position overload leading to a potential deterioration in service
provision.
(9) Incorrect receipt or interpretation of significant communications, including lack of
understanding of the language used, when this had or could have a direct negative impact
on the safe provision of service.
(10) Prolonged loss of communication with an aircraft or with other ATS unit.
3. OTHER OCCURRENCES
(1) Declaration of an emergency (‘Mayday’ or ‘PAN’ call).
(2) Significant external interference with Air Navigation Services (for example radio
broadcast stations transmitting in the FM band, interfering with ILS (instrument landing
system), VOR (VHF Omni Directional Radio Range) and communication).
(3) Interference with an aircraft, an ATS unit or a radio communication transmission
including by firearms, fireworks, flying kites, laser illumination, high-powered lights
lasers, Remotely Piloted Aircraft Systems, model aircraft or by similar means.
(4) Fuel dumping.
(5) Bomb threat or hijack.
(6) Fatigue impacting or potentially impacting the ability to perform safely the air navigation
or air traffic duties.
(7) Any occurrence where the human performance has directly contributed to or could have
contributed to an accident or a serious incident.
1 For example: air traffic service (ATS), automatic terminal information service (ATIS), meteorological services, navigation
databases, maps, charts, aeronautical information service (AIS), manuals.

ANNEX IV — OCCURRENCES RELATED TO
AERODROMES AND GROUND SERVICES
ANNEX IV — OCCURRENCES RELATED TO AERODROMES AND

GROUND SERVICES
1. SAFETY MANAGEMENT OF AN AERODROME

Remark: This Section is structured in such a way 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. However, this presentation must not be
understood as meaning that occurrences must not be reported in case they take place outside
the category of activities to which they are linked in the list.
1.1. Aircraft- and obstacle-related occurrences
(1) A collision or near collision, on the ground or in the air, between an aircraft and
another aircraft, terrain or obstacle (1).
(5) Final Approach and Take-off Area (FATO) incursion or excursion.
(6) Aircraft or vehicle failure to follow clearance, instruction or restriction while
operating on the movement area of an aerodrome (for example: wrong runway,
taxiway or restricted part of an aerodrome).
(7) Foreign object on the aerodrome movement area which has or could have
(8) Presence of obstacles on the aerodrome or in the vicinity of the aerodrome which
are not published in the AIP (Aeronautical Information Publication) or by NOTAM
(Notice to Airmen) and/or that are not marked or lighted properly.
(9) Push-back, power-back or taxi interference by vehicle, equipment or person.
(10) Passengers or unauthorised person left unsupervised on apron.
(11) Jet blast, rotor down wash or propeller blast effect.
(12) Declaration of an emergency (‘Mayday’ or ‘PAN’ call).
1.2. Degradation or total loss of services or functions
(1) Loss or failure of communication between:
(a) aerodrome, vehicle or other ground personnel and air traffic services unit or
apron management service unit;
(b) apron management service unit and aircraft, vehicle or air traffic services
unit.
(2) Significant failure, malfunction or defect of aerodrome equipment or system which
has or could have endangered the aircraft or its occupants.

(3) Significant deficiencies in aerodrome lighting, marking or signs.

(4) Failure of the aerodrome emergency alerting system.
(5) Rescue and firefighting services not available according to applicable
requirements.
1.3. Other occurrences
(1) Fire, smoke, explosions in aerodrome facilities, vicinities and equipment which has
or could have endangered the aircraft, its occupants or any other person.
(2) Aerodrome security related occurrences (for example: unlawful entry, sabotage,
bomb threat).
(3) Absence of reporting of a significant change in aerodrome operating conditions
which has or could have endangered the aircraft, its occupants or any other person.
(4) Missing, incorrect or inadequate de-icing/anti-icing treatment.
(5) Significant spillage during fuelling operations.
(6) Loading of contaminated or incorrect type of fuel or other essential fluids
(including oxygen, nitrogen, oil and potable water).
(7) Failure to handle poor runway surface conditions.
2. GROUND HANDLING OF AN AIRCRAFT
2.1. Aircraft- and aerodrome-related occurrences
(1) A collision or near collision, on the ground or in the air, between an aircraft and
another aircraft, terrain or obstacle (1).
(2) Runway or taxiway incursion.
(3) Runway or taxiway excursion.
(4) Significant contamination of aircraft structure, systems and equipment arising
from the carriage of baggage, mail or cargo.
(5) Push-back, power-back or taxi interference by vehicle, equipment or person.
(6) Foreign object on the aerodrome movement area which has or could have
(7) Passengers or unauthorised person left unsupervised on apron.
(8) Fire, smoke, explosions in aerodrome facilities, vicinities and equipment which has
or could have endangered the aircraft, its occupants or any other person.

(9) Aerodrome security-related occurrences (for example: unlawful entry, sabotage,

bomb threat).
2.2. Degradation or total loss of services or functions
(1) Loss or failure of communication with aircraft, vehicle, air traffic services unit or
apron management service unit.
(2) Significant failure, malfunction or defect of aerodrome equipment or system which
has or could have endangered the aircraft or its occupants.
(3) Significant deficiencies in aerodrome lighting, marking or signs.
2.3. Ground handling specific occurrences
(1) Incorrect handling or loading of passengers, baggage, mail or cargo, likely to have
a significant effect on aircraft mass and/or balance (including significant errors in
loadsheet calculations).
(2) Boarding equipment removed leading to endangerment of aircraft occupants.
(3) Incorrect stowage or securing of baggage, mail or cargo likely in any way to
endanger the aircraft, its equipment or occupants or to impede emergency
evacuation.
(4) Transport, attempted transport or handling of dangerous goods which resulted or
could have resulted in the safety of the operation being endangered or led to an
unsafe condition (for example: dangerous goods incident or accident as defined in
the ICAO Technical Instructions (1)).
(5) Non-compliance on baggage or passenger reconciliation.
(6) Non-compliance with required aircraft ground handling and servicing procedures,
especially in de-icing, refuelling or loading procedures, including incorrect
positioning or removal of equipment.
(7) Significant spillage during fuelling operations.
(8) Loading of incorrect fuel quantities likely to have a significant effect on aircraft
endurance, performance, balance or structural strength.
(9) Loading of contaminated or incorrect type of fuel or other essential fluids
(including oxygen, nitrogen, oil and potable water).
(10) Failure, malfunction or defect of ground equipment used for ground handling,
resulting into damage or potential damage to the aircraft (for example: tow bar or
GPU (Ground Power Unit)).
(11) Missing, incorrect or inadequate de-icing/anti-icing treatment.
(12) Damage to aircraft by ground handling equipment or vehicles including previously
unreported damage.
1 Technical Instructions For The Safe Transport of Dangerous Goods by Air (ICAO — Doc 9284).

ANNEX V— OCCURRENCES RELATED TO
AIRCRAFT OTHER THAN COMPLEX
MOTOR-POWERED AIRCRAFT, INCLUDING
SAILPLANES AND LIGHTER-THAN-AIR
VEHICLES
ANNEX V— OCCURRENCES RELATED TO AIRCRAFT OTHER THAN

COMPLEX MOTOR-POWERED AIRCRAFT, INCLUDING SAILPLANES
AND LIGHTER-THAN-AIR VEHICLES
For the purposes of this Annex:

(a) ‘Aircraft other than complex motor-powered aircraft’ means any aircraft other than that
defined in Article 3(j) of Regulation (EC) No 216/2008;
(b) ‘Sailplane’ has the meaning assigned in Article 2(117) of Commission Implementing Regulation
(EU) No 923/2012 (1);
(c) ‘Lighter-than-air vehicles’ has the meaning assigned in point ML10 of the section ‘Definitions of
terms used in this list’ of the Annex to Directive 2009/43/EC of the European Parliament and of
the Council (2).
1. AIRCRAFT OTHER THAN COMPLEX MOTOR-POWERED AIRCRAFT EXCLUDING SAILPLANES AND
LIGHTER-THAN-AIR VEHICLES
1.1. Air operations
(1) Unintentional loss of control.
(2) Landing outside of intended landing area.
(3) Inability or failure to achieve required aircraft performance expected in normal
conditions during take-off, climb or landing.
(4) Runway incursion
(5) Runway excursion.
(6) 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
(7) Unintended flight into IMC (Instrument Meteorological Conditions) conditions of
aircraft not IFR (Instrument flight rules) certified, or a pilot not qualified for IFR,
which has or could have endangered the aircraft, its occupants or any other person.
1 Commission Implementing Regulation (EU) No 923/2012 of 26 September 2012 laying down the common rules of the air
and operational provisions regarding services and procedures in air navigation and amending Implementing Regulation
(EU) No 1035/2011 and Regulations (EC) No 1265/2007, (EC) No 1794/2006, (EC) No 730/2006, (EC) No 1033/2006 and
(EU) No 255/2010 (OJ L 281, 13.10.2012, p. 1).
2 Directive 2009/43/EC of the European Parliament and of the Council of 6 May 2009 simplifying terms and conditions of
transfers of defence-related products within the Community (OJ L 146, 10.6.2009, p. 1).

VEHICLES
(8) Unintentional release of cargo (1).

1.2. Technical occurrences
(1) Abnormal severe vibration (for example: aileron or elevator ‘flutter’, or of
propeller).
(2) Any flight control not functioning correctly or disconnected.
(3) A failure or substantial deterioration of the aircraft structure.
(4) A loss of any part of the aircraft structure or installation in flight.
(5) A failure of an engine, rotor, propeller, fuel system or other essential system.
(6) Leakage of any fluid which resulted in a fire hazard or possible hazardous
contamination of aircraft structure, systems or equipment, or risk to occupants.
1.3. Interaction with air navigation services and air traffic management
(1) Interaction with air navigation services (for example: incorrect services provided,
conflicting communications or deviation from clearance) which has or could have
(2) Airspace infringement.
1.4. Emergencies and other critical situations
(1) Any occurrence leading to an emergency call.
(2) Fire, explosion, smoke, toxic gases or toxic fumes in the aircraft.
(3) Incapacitation of the pilot leading to inability to perform any duty.
1.5. External environment and meteorology
(1) A collision on the ground or in the air, with another aircraft, terrain or obstacle (2).
(2) A near collision, on the ground or in the air, with another aircraft, terrain or
obstacle (1) requiring an emergency avoidance manoeuvre to avoid a collision.
(3) Wildlife strike including bird strike which resulted in damage to the aircraft or loss
or malfunction of any essential service.
(4) Interference with the aircraft by firearms, fireworks, flying kites, laser illumination,
high powered lights lasers, Remotely Piloted Aircraft Systems, model aircraft or by
similar means.
(5) A lightning strike resulting in damage to or loss of functions of the aircraft.
(6) Severe turbulence encounter which resulted in injury to aircraft occupants or in
the need for a post-flight turbulence damage check of the aircraft.
(7) Icing including carburettor icing which has or could have endangered the aircraft,
its occupants or any other person.
1 This item applies only to commercial operations within the meaning of Article 3(i) of Regulation (EC) No 216/2008.

VEHICLES
2. SAILPLANES (GLIDERS)
2.1. Air operations
(1) Unintentional loss of control.
(2) An occurrence where the sailplane pilot was unable to release either the winch
cable or the aerotow rope and had to do so using emergency procedures.
(3) Any release of the winch cable or the aerotow rope if the release has or could have
endangered the sailplane, its occupants or any other person.
(4) In the case of a powered sailplane, an engine failure during take-off.
(5) Any flight which has been performed with a sailplane which was not airworthy, or
for which an incomplete flight preparation has or could have endangered the
sailplane, its occupants or any other person.
(1) Abnormal severe vibration (for example: aileron or elevator ‘flutter’, or of
propeller).
(2) Any flight control not functioning correctly or disconnected.
(3) A failure or substantial deterioration of the sailplane structure.
(4) A loss of any part of the sailplane structure or installation in flight.
endangered the sailplane, its occupants or any other person.
(2) Airspace infringements.
(2) Any situation where no safe landing area remains available.
(3) Fire, explosion, smoke, or toxic gases or fumes in the sailplane.
(1) A collision on the ground or in the air, with an aircraft, terrain or obstacle (1).

VEHICLES
(2) A near collision, on the ground or in the air, with an aircraft, terrain or obstacle (1)
requiring an emergency avoidance manoeuvre to avoid a collision.
(3) Interference with the sailplane by firearms, fireworks, flying kites, laser
illumination, high powered lights lasers, Remotely Piloted Aircraft Systems, model
aircraft or by similar means.
(4) A lightning strike resulting in damage to the sailplane.
3. LIGHTER-THAN-AIR VEHICLES (BALLOONS AND AIRSHIPS)
3.1. Air operations
(1) Any flight which has been performed with a lighter-than-air vehicle which was not
airworthy, or for which an incomplete flight preparation has or could have
endangered the lighter-than-air vehicle, its occupants or any other person.
(2) Unintended permanent extinction of the pilot light.
(1) Failure of any of the following parts or controls: dip tube on fuel cylinder, envelope
pulley, control line, tether rope, valve seal leak on burner, valve seal leak on fuel
cylinder, carabiner, damage to fuel line, lifting gas valve, envelope or ballonet,
blower, pressure relief valve (gas balloon), winch (tethered gas balloons).
(2) Significant leakage or loss of lifting gas (for example: porosity, unseated lifting gas
valves).
(2) Airspace infringement.
(2) Fire, explosion, smoke or toxic fumes in the lighter-than-air vehicle (beyond the
normal operation of the burner).
(3) Lighter-than-air vehicle’s occupants ejected from basket or gondola.
(5) Unintended lift or drag of ground crew, leading to fatality or injury of a person.

VEHICLES

(1) A collision or near collision on the ground or in the air, with an aircraft, terrain or
obstacle (1) which has or could have endangered the lighter-than-air vehicle, its
occupants or any other person.
(2) Interference with the lighter-than-air vehicle by firearms, fireworks, flying kites,
laser illumination, high powered lights lasers, Remotely Piloted Aircraft Systems,
model aircraft or by similar means.
(3) Unexpected encounter of adverse weather conditions which has or could have

Easy Access Rules for Commission Delegated Regulation (EU)
Occurrence Reporting 2020/2034
Cover Regulation
COMMISSION DELEGATED REGULATION (EU) 2020/2034

COVER REGULATION
COMMISSION DELEGATED REGULATION (EU) 2020/2034 of 6 October 2020 supplementing Regulation (EU)
No 376/2014 of the European Parliament and of the Council as regards the common European risk
classification scheme

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)
Whereas:
(1) The Commission, in close cooperation with the Member States and the European Union
Aviation Safety Agency (‘Agency’) through the network of aviation safety analysts, developed a
methodology for the classification of occurrences in terms of safety risk, by taking into account
the need for compatibility with existing risk classification schemes. The common European risk
classification scheme (‘ERCS’) was developed by 15 May 2017 in accordance with the target date
set out in Article 7(5) of Regulation (EU) No 376/2014. The ERCS should be now set out in this
Regulation.
(2) It should support the competent authorities of the Member States and the Agency in their
assessment of occurrences, its key purpose should be the identification and classification in a
harmonised manner of the level of risk posed by each occurrence to aviation safety. Its purpose
should not be the identification of the outcome of the occurrence.
(3) The ERCS should also allow for the identification of rapid actions needed in reply to high-risk
safety occurrences. It should also enable the identification of key risk areas from aggregated
information and the identification and comparison of their risk levels.
(4) The ERCS should facilitate an integrated and harmonised approach to risk management across
the European aviation system and therefore enable the competent authorities of Member
States and the Agency to focus on safety improvement efforts in a harmonised manner as part
of the European Plan for Aviation Safety referred to in Article 6 of Regulation (EU) 2018/1139
of the European Parliament and of the Council(2).
1 OJ L 122, 24.4.2014, p. 18.

(EC) No 1008/ 2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European

Cover Regulation
(5) Commission Implementing Regulation (EU) 2019/317(1) laying down a performance and
charging scheme in the single European sky establishes the rate of runway incursions and
separation minima infringement at Union level with a safety impact as the indicators to be
monitored on an annual basis during the third reference period (RP3) that covers the calendar
years 2020 to 2024 inclusive. This Regulation should be applied as of 1 January 2021 to align the
use of the ERCS with the start of the RP3 second annual monitoring period and ensure the
harmonised assessment of occurrences,
Article 1 – Subject matter

This Regulation sets out the common European risk classification scheme (ERCS) for the determination
of the safety risk of an occurrence.
Article 2 – Definitions
For the purposes of this Regulation, the following definitions shall apply:
(1) ‘European risk classification scheme’ or ‘ERCS’ means the methodology applied for the
assessment of the risk posed by an occurrence to civil aviation in the form of a safety risk score;
(2) ‘ERCS matrix’ means a grid made up of the variables described in Article 3(3) which serves for
the illustrative representation of the safety risk score;
(3) ‘safety risk score’ means the result of the risk classification of an occurrence by combining the
values of the variables described in Article 3(3);
(4) ‘high-risk area’ means an area where an aircraft impact would cause numerous injuries, result
in a high number of fatalities, or both because of the nature of the activities in that area, such
as nuclear or chemical plants;
(5) ‘populated area’ means an area with clustered or scattered buildings and a permanent human
population, such as city, settlement, town, or village;
(6) ‘life changing injury’ means an injury reducing the person’s quality of life in regard to reduced
mobility or reduced cognitive or physical ability in daily life.
Article 3 – Common European risk classification scheme

1. The ERCS is set out in the Annex.

2. The ERCS shall address the safety risk of an occurrence and not its actual outcome. The
assessment of each occurrence shall determine the worst likely accident outcome that the
occurrence might have led to, and how close to that accident outcome the occurrence was.
3. The ERCS shall be based on the ERCS matrix composed of the following two variables:
(a) severity: identification of the worst likely accident outcome that would have resulted if
the occurrence under assessment had escalated into an accident;
1 Commission Implementing Regulation (EU) 2019/317 of 11 February 2019 laying down a performance and charging
scheme in the single European sky and repealing Implementing Regulations (EU) No 390/2013 and (EU) No 391/2013 (OJ
L 56, 25.2.2019, p. 1).

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(b) probability: identification of the likelihood of the occurrence under assessment to

escalate into the worst likely accident outcome referred to in point (a).
Article 4 – Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the
Official Journal of the European Union.
It shall apply from 1 January 2021.
Done at Brussels, 6 October 2020.
For the Commission
The President
Ursula VON DER LEYEN

ANNEX
ANNEX
The common European risk classification scheme

The ERCS shall consist of the following two steps:

STEP 1: Determination of the values of the two variables: severity and probability.
STEP 2: Scoring of the safety risk within the ERCS matrix based on the two determined values of
variables.
STEP 1: DETERMINATION OF THE VALUES OF THE VARIABLES
1. Severity of the potential accident outcome
1.1. Identification
The identification of the severity of the potential accident outcome shall follow the
following two steps:
(a) a determination of the most likely type of accident that the occurrence under
assessment could have escalated to (the so called key risk area);
(b) a determination of the potential loss of life category based on aircraft size and
proximity to populated or high-risk areas.
There are following key risk areas:
a. airborne collision: a collision between aircraft while both aircraft are airborne; or
between aircraft and other airborne objects (excluding birds and wildlife);
b. aircraft upset: an undesired aircraft state characterised by unintentional
divergences from parameters normally experienced during operations, which
might ultimately lead to an uncontrolled impact with terrain;
c. collision on runway: a collision between an aircraft and another object (other
aircraft, vehicles, etc.) or person that occurs on a runway of an aerodrome or other
predesignated landing area. It does not include collisions with birds or wildlife;
d. excursion: an occurrence when an aircraft leaves the runway or movement area of
an aerodrome or landing surface of any other predesignated landing area, without
getting airborne. It includes high-impact vertical landings for rotorcraft or vertical
take-off and landing aircraft and balloons or airships;
e. fire, smoke and pressurisation: an occurrence involving cases of fire, smoke, fumes
or pressurisation situations that may become incompatible with human life. This
includes occurrences involving fire, smoke or fumes affecting any part of an
aircraft, in flight or on the ground, which is not the result of impact or malicious
acts;
f. ground damage: damage to aircraft induced by operation of aircraft on ground on
any other ground area than a runway or predesignated landing area, as well as
damage during maintenance;
g. obstacle collision in flight: collision between an airborne aircraft and obstacles
rising from the surface of the earth. Obstacles include tall buildings, trees, power
cables, telegraph wires and antennae as well as tethered objects;

ANNEX
h. terrain collision: an occurrence where an airborne aircraft collides with terrain,

without indication that the flight crew was unable to control the aircraft. It includes
instances when the flight crew is affected by visual illusions or degraded visual
environment;
i. other injuries: an occurrence where fatal or non-fatal injuries have been inflicted,
which cannot be attributed to any other key risk area;
j. security: an act of unlawful interference against civil aviation. It includes all
incidents and breaches related to surveillance and protection, access control,
screening, implementation of security controls and any other acts intended to
cause malicious or wanton destruction of aircraft and property, endangering or
resulting in unlawful interference with civil aviation and its facilities. Includes both
physical and cyber security events.
The potential loss of life shall be categorised in the following way:
(a) more than 100 possible fatalities – where the occurrence under assessment
involves at least any of the following:
— one large certified aircraft with more than 100 potential passengers on
board;
— an equivalent size aircraft for cargo;
— one aircraft of any type in a heavily populated area or in a high-risk area or
both;
— any situation involving any type of aircraft where more than 100 fatalities
may be possible;
(b) between 20 to 100 possible fatalities – where the occurrence under assessment
— one medium certified aircraft with 20 to100 potential passengers on board
or equivalent size for cargo aircraft;
— any situation where 20 to 100 fatalities may be possible;
(c) between 2 to 19 possible fatalities where the occurrence under assessment
— one small certified aircraft with up to 19 potential passengers on board;
— an equivalent size for cargo aircraft;
— any situation where 2 to 19 fatalities may be possible;
(d) 1 possible fatality – where the occurrence under assessment involves at least any
of the following:
— one uncertified aircraft, that is aircraft not subject to European Union
Aviation Safety Agency certification requirements;
— any situation where a single fatality may be possible;
(e) 0 possible fatalities – where the occurrence under assessment involves personal
injuries only, regardless of the number of minor and serious injuries as long as
there are no fatalities.

ANNEX
1.2 Determination
The severity of the accident shall result in one of the following severity scores:
— ‘A’ which stands for no likelihood of an accident;
— ‘E’ which stands for an accident involving minor and serious injury (not life
changing) or minor aircraft damage;
— ‘I’ which stands for an accident involving a single fatality, life changing injury or
substantial damage accident;
— ‘M’ which stands for a major accident with limited amount of fatalities, life
changing injuries or destruction of the aircraft;
— ‘S’ which stands for a significant accident with potential for fatalities and injuries;
— ‘X’ which stands for an extreme catastrophic accident with the potential for
significant number of fatalities.
The severity score shall be calculated by combining the key risk area and the potential
loss of life as laid down in the following table:
KEY RISK AREA CATEGORY SEVERITY SCORE
Airborne collision More than 100 possible fatalities X
Between 20 to 100 possible fatalities S
Between 2 to 19 possible fatalities M
1 possible fatality I
Aircraft upset More than 100 possible fatalities X
Collision on runway More than 100 possible fatalities X
0 possible fatalities E
Excursions Between 20 to 100 possible fatalities S

ANNEX
Fire, smoke and pressurisation More than 100 possible fatalities X
Ground damage Between 2 to 19 possible fatalities M
Obstacle collision in flight More than 100 possible fatalities X
Terrain collision More than 100 possible fatalities X
Other injuries Between 20 to 100 possible fatalities S
Security More than 100 possible fatalities X

ANNEX
2. Probability of the potential accident outcome

The probability of the worst likely accident outcome shall be obtained by using the ERCS barrier
model defined in Section 2.1.
2.1. ERCS barrier model
The purpose of the ERCS barrier model is to assess the effectiveness (that is the number
and the strength) of the barriers in the safety system laid down in the Table in Section
2.1.1 which were remaining between the actual occurrence and the worst likely accident
outcome. Ultimately, the ERCS barrier model shall determine how close the occurrence
under assessment has been to the potential accident.
2.1.1. Barriers
The ERCS barrier model consists of 8 barriers, ordered in a logical sequence and
weighted as per the following table:
Barrier number Barrier Barrier weight
1 ‘Aircraft, equipment and infrastructure design’, 5

includes maintenance and correction, operation
support, the prevention of problems related to
technical factors that could lead to an accident.
2 ‘Tactical planning’, includes organisational and 2

individual planning prior to the flight or other
operational activity that supports the reduction of
the causes and contributors to accidents.
3 ‘Regulations, procedures, processes’, includes 3

effective, understandable and available regulations,
procedures and processes that are complied with
(with the exclusion of the use of procedures for
recovery barriers).
4 ‘Situational awareness and action’, includes human 2

vigilance for operational threats which ensures
identification of operational hazards and effective
action to prevent an accident.
5 ‘Warning systems operation and action’ that could 3

prevent an accident and which are fit for purpose,
functioning, operational and are complied with.
6 ‘Late recovery from a potential accident situation’ 1

ANNEX
7 ‘Protections’, when an event has occurred, the level 1

of the outcome is mitigated or prevents the
escalation of the occurrence by intangible barriers or
providence
8 ‘Low energy occurrence’ scores the same as 1

‘Protections’, but for low-energy key risk areas only
(ground damage, excursions, injuries).
‘Not applicable’ for all other key risk areas.
2.1.2. Barrier effectiveness

The effectiveness of each barrier shall be classified as follows:
— ‘Stopped’ if the barrier prevented the accident from occurring;
— ‘Remaining Known’: if it is known whether the barrier remained between
the occurrence under assessment and the potential accident outcome;
— ‘Remaining Assumed’: if it is assumed that the barrier remained between
the occurrence under assessment and the potential accident outcome;
— ‘Failed Known’: if it is known that the barrier has failed;
— ‘Failed Assumed’: if it is assumed that the barrier have failed even if
insufficient or no information is available to determine this;
— ‘Not Applicable’: if the barrier is not relevant to the occurrence under
assessment.
2.1.3. Barrier assessment
The barriers shall be assessed in two steps:
Step 1: To identify which of the barriers defined in the table in section 2.1.1. (1-8)
stopped the occurrence from escalating into the potential accident outcome
(referred to as the ‘stopping barrier’).
Step 2: To identify in accordance with section 2.1.2 the effectiveness of the
remaining barriers. The remaining barriers are those barriers listed in the table in
section 2.1.1 which are placed between the stopping barrier and the potential
accident outcome. The barriers listed in the table in section 2.1.1 which are placed
before the stopping barrier shall not be considered to have contributed to the
prevention of the accident outcome and consequently those barriers shall not be
scored as ‘Stopped’ or ‘Remaining’.
2.2. Calculation
The probability of the potential accident outcome is the numerical value resulting of the
following steps:
Step 1: A sum of all the barrier weights (1 to 5) laid down in the table in section 2.1.1 of
all the assessed barriers that were scored either ‘Stopped’, ‘Remaining known’ or
‘Remaining assumed’. The ‘Failed’ and ‘Not Applicable’ barriers shall not be counted for
the final score, as those barriers could not have prevented the accident. The resulting
barrier weight sum is a numerical value between 0 and 18.

ANNEX
Step 2: The barrier weight sum corresponds to a barrier score between 0 and 9 as per the
following table, covering the full range between strong and weak remaining barriers.
Barrier weight sum Corresponding barrier score
0 No barriers left. Worst likely accident 0

outcome realised.
1-2 1
3-4 2
5-6 3
7-8 4
9-10 5
11-12 6
13-14 7
15-16 8
17-18 9
STEP 2: SCORING OF THE SAFETY RISK WITHIN THE ERCS MATRIX

The safety risk score is a two-digit value where the first digit corresponds to the alphabetic value
resulting from the calculation of the severity of the occurrence (severity score A to X) and the second
digit represents the numerical value from the calculation of the corresponding score of the occurrence
(0 to 9).
The safety risk score shall be put into the ERCS matrix.
For each given safety risk score there is also a numerical equivalent score for aggregation and analysis
purposes which is explained below under ‘Numerical equivalent score’.
The ERCS matrix reflects the safety risk score and the numerical associated figures of an occurrence
as follows:

ANNEX
SEVERITY CLASSIFICATION (ERCS Score)
Potential Accident
Score
Outcome
Extreme
catastrophic
accident with the
X X9 X8 X7 X6 X5 X4 X3 X2 X1 X0
potential for
significant number
of fatalities (100+)
Significant accident
with potential for
S S9 S8 S7 S6 S5 S4 S3 S2 S1 S0
fatalities and
injuries (20-100)
Major accident with

Pending Risk Assessment
limited amount of
fatalities (2-19), life
M M9 M8 M7 M6 M5 M4 M3 M2 M1 M0
changing injuries or
destruction of the
aircraft
An accident
involving single
individual fatality,
I I9 I8 I7 I6 I5 I4 I3 I2 I1 I0
life changing injury
or substantial
aircraft damage
An accident
involving minor and
serious injury (not
E E9 E8 E7 E6 E5 E4 E3 E2 E1 E0
life changing) or
minor aircraft
damage
No likelihood of an
A No Implication to Safety
accident
Correspondin
g Barrier 9 8 7 6 5 4 3 2 1 0
Score
Barrier 9-
17-18 15-16 13-14 11-12 7-8 5-6 3-4 1-2 0
Weight Sum 10
PROBABILITY OF THE POTENTIAL ACCIDENT OUTCOME

ANNEX
In addition to the safety risk score and to facilitate the determination of the urgency of the
recommended action to be taken about the occurrence, the following three colours could be used in
the ERCS matrix:
Colour ERCS score Meaning
RED X0, X1, X2, S0, S1, S2, M0, M1, I0 High risk. Occurrences with the highest risk.
YELLOW X3, X4, S3, S4, M2, M3, I1, I2, E0, E1 Elevated risk. Occurrences with intermediate risk
GREEN X5 to X9, S5 to S9, M4 to M9, I3 to I9, E2 to E9. Low risk occurrences
The green area of the matrix contains lower risk values. They provide data for in-depth analysis on
safety related occurrences that could, either in isolation or in conjunction with other events, increase
the risk values of such occurrences.
Numerical equivalent score
Each ERCS score is assigned a corresponding numerical value of risk magnitude to facilitate the
aggregation and numerical analysis of multiple occurrences with an ERCS score:
ERCS Score X9 X8 X7 X6 X5 X4 X3 X2 X1 X0
Corresponding 0,001 0,01 0,1 1 10 100 1000 10000 100000 1000000

numerical value
ERCS Score S9 S8 S7 S6 S5 S4 S3 S2 S1 S0
Corresponding 0,0005 0,005 0,05 0,5 5 50 500 5000 50000 500000

numerical value
ERCS Score M9 M8 M7 M6 M5 M4 M3 M2 M1 M0
Corresponding 0,0001 0,001 0,01 0,1 1 10 100 1000 10000 100000

numerical value
ERCS Score I9 I8 I7 I6 I5 I4 I3 I2 I1 I0
Corresponding 0,00001 0,0001 0,001 0,01 0,1 1 10 100 1000 10000

numerical value
ERCS Score E9 E8 E7 E6 E5 E4 E3 E2 E1 E0
Corresponding 0,000001 0,00001 0,0001 0,001 0,01 0,1 1 10 100 1000

numerical value

ANNEX
Both column 10 and the row A in the matrix bear the value 0 as the corresponding numerical value.

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of 26 November 2021
laying down the arrangements for the implementation of Regulation (EU) No 376/2014
of the European Parliament and of the Council as regards the common European risk classification scheme
COVER REGULATION

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)
Whereas:
(1) In accordance with Regulation (EU) No 376/2014 Member States and the European Union
Aviation Safety Agency (‘the Agency’) are each required to establish a mechanism to
independently collect, evaluate, process, analyse and store details of aviation safety
occurrences. The competent authorities of the Member States have to draw up occurrence
reports on the basis of details of occurrences and store them in a national database. The same
obligation exists for the Agency to draw up occurrence reports on the basis of details of
occurrences and store them in a database.
(2) In accordance with Article 9(1) of Regulation (EU) No 376/2014, Member States and the Agency
are to participate in an exchange of information by making all information relating to safety
stored in their respective reporting databases available through the European Central
Repository (ECR).
(3) Pursuant to Regulation (EU) No 376/2014, occurrence reports are to contain a safety risk
classification that is subject to review by the competent authorities of the Member States or
the Agency, and are to be transferred into the ECR.To ensure that the occurrence reports
contained in the ECR are all classified in a harmonised manner, the competent authorities of
the Member States and the Agency should ensure that the classification in those reports is
determined in accordance with the common European risk classification scheme (ERCS) as set
out in Commission Delegated Regulation (EU) 2020/2034 (2).
(4) It is now necessary to lay down the arrangements for a harmonised and consistent
implementation of the ERCS by the Agency and Member States.
(5) When occurrence reports contain a risk classification determined by using methodologies other
than the ERCS, the competent authorities of the Member States or the Agency should classify
1 OJ L 122, 24.4.2014, p. 18.

2 Commission Delegated Regulation (EU) 2020/2034 of 6 October 2020 supplementing Regulation (EU) No 376/2014 of
the European Parliament and of the Council as regards the common European risk classification scheme (OJ L 416,
11.12.2020, p. 1).

Cover Regulation
the risk of the occurrence concerned in accordance with the ERCS as defined in Commission
Delegated Regulation (EU) 2020/2034.
(6) In cases where the competent authorities of the Member States or the Agency decide to use a
conversion procedure to convert the risk classifications referred to in recital 5 into an ERCS
classification, and where such methodologies are ARMS-ERC 4x4 or RAT ‘ATM Overall’, the
competent authorities of the Member States or the Agency should use the direct conversion
procedure provided in this Regulation.
(7) Where the direct conversion procedure set out in the Annex is not applicable, the competent
authorities of the Member States and the Agency should be allowed to use other conversion
procedures as long as an equivalent ERCS classification is achieved.
(8) Continuous monitoring and improvement of the ERCS is necessary to ensure its effective
application. It is necessary to lay down detailed rules for such monitoring and improvement and
the Agency should assist the Commission in that review and monitoring. For that purpose,
Member States should report regularly and within prescribed deadlines to the Agency and the
Commission on the use of the ERCS and its assessment.
(9) The competent authorities of the Member States, and the Agency need to prepare for the
application of the ERCS, in particular by adjusting their internal processes and possibly allocating
additional resources. However, Article 24(3) of Regulation (EU) No 376/2014 provides that
Article 7(2) of that Regulation, which mandates the use of the ERCS by the Member States and
the Agency, is to apply once the delegated and implementing acts specifying and developing
the ERCS enter into force. Commission Delegated Regulation (EU) 2020/2034 defining the ERCS
already entered into force on 31 December 2020. Therefore, it is not possible to delay the
applicability of the obligation to use the ERCS beyond the date of the entry into force of this
Regulation. Moreover, for the purposes of the annual safety review published by the Agency in
accordance with Article 72(7) of Regulation (EU) 2018/1139 of the European Parliament and of
the Council (1), it is essential that occurrence reports uploaded to the ECR within a 1 year period
are scored in a harmonised way. The obligation to classify the occurrences in accordance with
the ERCS should start to apply as of the date of entry into force of this Regulation. Therefore,
this Regulation should enter into force on 1 January 2023.
(10) The measures provided for in this Regulation are in accordance with the opinion of the
Committee established by Article 127 of Regulation (EU) 2018/1139,
Article 1 — Subject matter

This Regulation lays down the arrangements for the implementation of the common European risk
classification scheme (‘ERCS’) set out in Delegated Regulation (EU) 2020/2034.
(EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European

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Article 2 — Definitions
For the purposes of this Regulation, the definitions in Article 2 of Delegated Regulation
(EU) 2020/2034 apply.
The following definitions also apply:
(1) ‘ARMS-ERC methodology’ means the methodology developed by the industry working group
‘Airline Risk Management Solutions’ (ARMS) for assessing operational risks;
(2) ‘ATM’ means air traffic management as defined in Article 2(10) of Regulation (EC) No 549/2004
of the European Parliament and of the Council (1);
(3) ‘ATM airborne severity score’ means the part of the RAT methodology that assesses the air
operation performance of the occurrence;
(4) ‘ATM ground severity score’ means the part of the RAT methodology that assesses the system
performance (procedures, equipment and human) of the ATM system;
(5) ‘ATM overall severity score’ means the ATM ground severity score and ATM airborne severity
score combined into one single score;
(6) ‘RAT methodology’ means the Risk Analysis Tool methodology developed by Eurocontrol used
to classify safety related occurrences in the ATM domain;
(7) ‘Eurocontrol’ is the European Organisation for the Safety of Air Navigation set up by the
International Convention of 13 December 1960 relating to Cooperation for the Safety of Air
Navigation (2).
Article 3 — Review, amendment, and endorsement of the safety

risk classification
1. The competent authority of the Member State or the Agency shall review and, if necessary,
amend, and endorse the safety risk classification contained in the occurrence report of the
occurrence concerned in accordance with the ERCS as set out in Commission Delegated
Regulation (EU) 2020/2034.
2. Without prejudice to paragraph 1, the competent authority of the Member State or the Agency
shall use the direct conversion procedure set out in the Annex when converting the safety risk
classification determined through ARMS/ERC 4x4 or RAT ‘ATM Overall’ methodologies. For
safety risk classifications determined through other methodologies, the competent authority of
the Member State or the Agency may use the manual conversion procedure set out in point 2
of the Annex, or other conversion procedures as deemed appropriate, as long as an equivalent
ERCS classification is achieved.
1 Regulation (EC) No 549/2004 of the European Parliament and of the Council of 10 March 2004 laying down the
framework for the creation of the single European sky (the framework Regulation) (OJ L 96, 31.3.2004, p. 1).
2 Convention modified by the protocol of 12 February 1981 and revised by the protocol of 27 June 1997.

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Article 4 — Monitoring and improvement of the ERCS

1. On 31 March 2026 and every 5 years thereafter, each Member State shall provide the
Commission and the Agency with a report on the use of the ERCS.
2. The Agency shall review the information received from Member States in accordance with
paragraph 1 of this Article, as well as other information that the Agency may receive regarding
the implementation of the ERCS. The review by the Agency may take account of the expertise
of the network of aviation safety analysts (NoA) referred to in Article 14(2) of Regulation (EU)
No 376/2014 and relevant expert groups if established by the Agency.
Article 5 — Monitoring of compatibility with other risk classification

schemes
1. The conversion procedures set out in the Annex shall be subject to regular review by the Agency
to ensure its continuing relevance. The review may take account of the expertise of the NoA
and relevant expert groups if established by the Agency.
2. When applicable, Member States shall notify to the Commission and the Agency the use of the
manual conversion procedure set out in point 2 of the Annex and other conversion procedures
referred to in Article 3(2) of this Regulation.
Article 6 — Entry into force

This Regulation shall enter into force on 1 January 2023.

Done at Brussels, 26 November 2021.
For the Commission
The President
Ursula VON DER LEYEN

ANNEX
ANNEX
Conversion procedures from the Risk Analysis Tool (RAT) and

Aviation Risk Management Solutions — Event Risk Classification
(ARMS-ERC) scores into the European Risk Classification Scheme
(ERCS) scores
This Annex lays down conversion procedures from RAT and ARMS ERC scores to the ERCS score (1)
defined in Step 2 of the Annex to Commission Delegated Regulation (EU) 2020/2034.
The following conversion procedures provide either a direct or a manual conversion to obtain an ERCS
classification equivalent to the RAT and/or ARMS – ERC scores in accordance with Article 3 of this
Regulation.
1. DIRECT CONVERSION
The mandatory conversion procedure consists of the following two workflows:
— Workflow 1 - provides a direct conversion to obtain the ERCS severity score,
— Workflow 2 - provides direct conversion to obtain the ERCS probability score.
Figure 1 shows an overview of the procedures. The starting point of the process is the
‘occurrence report submitted’ box and the output the ‘Equivalent ERCS score’ box. The dotted
lines in Figure 1 indicate that only one source for each process result is required.
Figure 1 Conversion procedures
1 The ERCS score is a two-digit value where the first digit corresponds to the alphabetic value resulting from the calculation
of the severity of the occurrence (severity score A to X) and the second digit represents the numerical value from the
calculation of the corresponding score of the occurrence (probability).

ANNEX
1.1. WORKFLOW 1 – ERCS severity score

a. ‘Occurrence category’ and ‘Mass group’ information
— If the occurrence report contains information on the ‘occurrence category’
of the occurrence and the ‘mass group’, then these can be converted into
the ‘Severity of potential accident outcome’ ERCS score. The next step is (b)
of Figure 1.
— If the occurrence report contains no information about the ‘occurrence
category’ or the ‘mass group’, or both, direct conversion is not possible. If
the manual conversion described in point 2 of this Annex is used, then next
step is (D) of Figures 1 and 5.
b. ‘Occurrence category’ and ERCS Key Risk Area (KRA) conversion
— If the ‘occurrence category’ of the occurrence report corresponds directly to
the one of the ERCS Key Risk Areas defined in point 1.2 of Annex to
Delegated Regulation (EU) 2020/2034 then the next step is (c) of Figure 1.
— For occurrence reports with ‘occurrence categories’ different from the ERCS
Key Risk Areas, there is no direct conversion. If the manual conversion
described in point 2 of this Annex is used, then the next step is (D) of
Figures 1 and 5.
c. ERCS ‘Severity of potential accident outcome’ score – direct conversion
— If the occurrence report contains information about ‘occurrence category’
and ‘mass group’ then the severity score is directly converted into an
appropriate ERCS ‘severity of potential accident outcome’ score. The result
is (k), which gives the first digit corresponding to the alphabetic value
resulting from the calculation of the severity of the occurrence (severity
score A to X).
1.2. WORKFLOW 2 – ERCS probability score
e. Occurrence report scored using RAT
If the occurrence report has been scored using the RAT methodology (1):
— Occurrence reports that have a RAT ‘ATM overall’ severity score
classification can be mapped directly to the ERCS probability columns as
explained in step (g) of Figure 2,
— Occurrence reports that only have a RAT ‘ATM ground’ severity (2) score
have to be manually converted to provide the ERCS probability score. If the
manual conversion described in point 2 of this Annex is used, then next step
is (L) of figure 5,
1 The RAT methodology classifies Air Traffic Management related occurrences. RAT methodology does not score accidents,
as it measures only how close the ATM occurrence was to becoming an accident. The RAT methodology is divided into
several main elements (i.e. ‘ATM ground’, ‘ATM airborne’), in which each delivers a part of the input for the final RAT
‘ATM overall’ severity score. In order to achieve ‘ATM Overall’ severity score, both ‘ATM ground’ and ‘ATM airborne’
severity scores must be available.
2 The ‘severity’ under the RAT methodology indicates how bad the actual occurrence was in comparison to other
occurrences. The RAT methodology determines ‘severity’ through an assessment of the defences/barriers.

ANNEX
— In the case of occurrence reports coded as ‘ATM-specific occurrence’,

conversion between the RAT and ERCS scores is not possible.
f. RAT ‘ATM overall’ severity score
— If an occurrence report contains the ‘ATM overall’ severity score, then the
next step is (g) of Figure 1.
g. ERCS column ‘Probability of potential accident outcome’ converted from RAT
‘ATM Overall’ value ( relevant only for A, B, C, E values)
For the occurrence reports with an ‘ATM Overall’ severity score (A, B, C, E)
classification, the following direct conversion into ERCS probability categories
applies:
Figure 2 RAT ATM overall severity score conversion onto the ERCS probability score
h. Occurrence reports classified using the ARMS-ERC methodology

— For the occurrence reports that have been scored according to the
ARMS-ERC, the next step is (i) of Figure 1.
— For the occurrence reports that have not been scored according to the
ARMS-ERC methodology, the next step is (M) of Figure 5.
i. Standard 4x4 ARMS-ERC matrix
If the 4x4 ARMS-ERC matrix depicted in Figure 3 is used to score the occurrence
report, then the next step is (j) of Figure 1.

ANNEX
Figure 3 Standard 4x4 ARMS-ERC matrix
j. ERCS ‘Probability of the potential accident outcome’ score – direct conversion

If the occurrence report contains an ARMS ‘Barrier Effectiveness’ rating, then to
determine the ERCS ‘Probability of potential accident outcome’ score a following
direct conversion to the ERCS matrix is used.
Figure 4 Conversion of ARMS-ERC to ERCS probability categories.
k. Equivalent ERCS Score

The combination of the ERCS ‘Severity of potential accident outcome’ and
‘Probability of potential accident outcome’ scores are combined in the ERCS matrix
to generate an equivalent ERCS score as laid down in Step 2 of Annex to Delegated
2. MANUAL CONVERSION
This manual conversion consists of the following two workflows:
— Workflow 1 - provides a manual conversion to obtain the ERCS severity score,
— Workflow 2 - provides a manual conversion to obtain the ERCS probability score.

ANNEX
Figure 5 Manual conversion
2.1. WORKFLOW 1
D. ERCS ‘Severity of potential accident outcome’ score – manual conversion
— If the occurrence report contains no information about the ‘occurrence
category’ or ‘mass group’, or both, then the ERCS methodology defined in
Annex to Delegated Regulation (EU) 2020/2034 applies to determine the
‘Potential Accident Outcome’ or Key Risk Area. The final result is (k), which
gives the first digit corresponding to the alphabetic value resulting from the
calculation of the severity of the occurrence (severity score A to X).
2.2. WORKFLOW 2
L. ERCS column ‘Probability of potential accident outcome’ – manual procedure
— For the occurrence reports containing no ‘ATM overall’ severity there is no
direct conversion to the ERCS ‘Probability of potential accident outcome’
score.
The ‘ATM ground’ severity can however provide for a partial conversion by
mapping the ‘ATM ground’ barrier assessment and the ERCS barrier assessment
process defined in point 2.1.3 of Annex to Delegated Regulation (EU) 2020/2034.
M. ERCS ‘Probability of potential accident outcome’ score – manual process
If the occurrence reports do not use the 4x4 ARMS-ERC matrix to score the
occurrence, to generate an ERCS ‘Probability of potential accident outcome’ score
the ARMS-ERC barrier assessment value is converted into the ERCS barrier
assessment laid down in point 2.1.3 of Annex to Delegated Regulation
(EU) 2020/2034.
k. Equivalent ERCS Score
The combination of the ERCS ‘Severity of potential accident outcome’ and
‘Probability of potential accident outcome’ scores are combined in the ERCS matrix

ANNEX
to generate an equivalent ERCS score as laid down in Step 2 of Annex to Delegated


Easy Access Rules for Guidance Material — Regulation (EU) No
Occurrence Reporting 376/2014 and its implementing rules
SECTION 1 — INTRODUCTION
GUIDANCE MATERIAL — REGULATION (EU) NO 376/2014 AND

ITS IMPLEMENTING RULES
Information
GM to Reg. (EU) No 376/2014 and its IRs
The content of this guidance material does not modify or amend Regulation (EU) No 376/2014 and its
implementing rules.
1.1 How will Regulation (EU) No 376/2014 contribute to enhance

aviation safety?
The European Union and its Member States are committed to ensure a high level of aviation safety
and to protect European citizens by better preventing aircraft accidents (Recital 1 of Regulation (EU)
No 376/2014).
While air transport remains one of the safest forms of travel, the expected air traffic growth foreseen
for the next decades presents significant challenge to the European Union if it wants to prevent air
accidents from increasing (Recital 2).
However, the current aviation safety system is mainly a reactive and prescriptive safety system, in
which safety improvements are essentially resulting from technological progresses, compliance with
prescriptive regulations and lessons learned from aircraft accidents. Therefore additional actions
should be taken to avoid an increased number of fatalities and accidents (Recital 5). In that
perspective, the European Union and its Member States have started the transition towards a more
proactive, evidence-based, risk and performance oriented safety system (Recital 5). Such system
requires a systematic and continuous collection of safety information in view for safety hazards to be
identified, assessed and addressed. It should work continuously to ensure that any new hazards or
risks are rapidly identified and that mitigation actions are implemented and where found ineffective
are revised (Recital 6). In addition, in a safety system where the EU and its Member States are aiming
to focus available resources on higher risks to ensure a better safety efficiency of measures taken,
safety information supports a risk-based oversight of regulated entities.
As it is highlighted in the Commission Communication on ‘‘Setting up an Aviation Safety Management
System for Europe’’1, the collection, analysis and follow-up of occurrences are a central element of
such proactive and evidence-based safety system. This is also reflected at international level, where
ICAO rules puts data reporting and analysis systems at the heart of safety management2.
In this context, on the basis of a Commission proposal from December 20123, the European Parliament
and the Council have adopted, on 3rd April 2014, a new legislation: Regulation (EU) No 376/2014 on
1 COM/2011/0670 final: Communication from the Commission to the Council and the European Parliament ‘‘Setting up an
Aviation Safety Management System for Europe’’.
2 Annex 19 ‘‘Safety Management’’ to the Chicago Convention.
3 COM/2012/0776 final — 2012/0361 (COD): Proposal for a Regulation of the European Parliament and of the Council on
occurrence reporting in civil aviation amending Regulation (EU) No 996/2010 and repealing Directive No 2003/42/EC,
Commission Regulation (EC) No 1321/2007 and Commission Regulation (EC) No 1330/2007.

the reporting, analysis and follow up of occurrences in civil aviation1 (hereinafter called ‘Regulation
376/2014’). It is completed by Commission Implementing Regulation (EU) 2015/10182 classifying the
occurrences to be reported in the context of mandatory reporting schemes (hereinafter called
‘Regulation 2015/1018’).
The objective of Regulation 376/2014 is to ensure that the necessary safety intelligence is available to
support the safety management efforts of the whole European Aviation Community. The information
provided through the collection and analysis of occurrence reports under this Regulation should allow
the industry and the regulators to be informed about the risks they are facing and to take decisions
supported with relevant knowledge and information.
Regulation 376/2014 establishes a framework, across aviation domains and at each level (industry,
national and European), to ensure the collection of as complete as possible safety occurrence data
and its analysis with a view to support the full spectrum of safety management activities, including
the adoption and implementation of mitigation actions where relevant.
The reporting, analysis and follow-up of occurrences is supported by a broader safety risk
management process that helps to identify the main safety issues and risks. This process involves
continuous dialogue between the industry and their competent authorities and full engagement from
all involved — the industry, the European Aviation Safety Agency (EASA) and the Member States — as
part of routine safety management activity. This notably includes the provision of feedback and
lessons learned to improve safety.
This Regulation aims to ensure that the industry is aware of the risks it is facing and takes relevant
measures to mitigate those risks. It should also allow the Member States to be informed about the
risks it is facing at national level and to identify national measures that may be necessary to ensure
aviation safety from a broader national perspective. In addition, it intends to ensure that the Member
States, EASA and the European Commission are collectively informed of the risks faced by the
European Union as a whole and may decide, on the basis on joint analysis, the adoption of relevant
mitigation actions to maintain or improve the level of aviation safety from a European perspective.
Regulation 376/2014 and its implementing rules are completed by other existing reporting, analysis
and follow-up requirements contained in other European or national rules.
The mandatory and voluntary reporting systems as well as the analysis and follow-up tasks established
by Regulation 376/2014 shall be understood as part of existing safety management processes of the
organisations and authorities subject to such processes under other European rules.
1.2 Why developing guidance material for Regulation 376/2014?

European legislation is generally the result of a political compromise between the co-legislators i.e.
the European Parliament and the Council (representing the Member States). This reality may impact
the overall coherence of an adopted legislation and may lead to provisions which are vague or unclear
because they are resulting from a political compromise.
1 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; OJ L 122, 24.4.2014, p. 18.
2 Commission Implementing Regulation (EU) 2015/1018 of 29 June 2015 laying down a list classifying occurrences in civil
aviation to be mandatorily reported according to Regulation (EU) No 376/2014 of the European Parliament and of the
Council (Text with EEA relevance); OJ L163, 30.06.2015, p. 1.

Furthermore, legal provisions that are contained in a regulation may be read without a clear
understanding of the purpose intended by the co-legislators. This may therefore lead to diverging
implementation across the Member States. It may also sometimes lead to implementation that is
contracting with the objective pursued by the co-legislators.
Regulation 376/2014 repeals and replaces the existing occurrence legal framework (Directive
2003/42/EC1 and its implementing regulations) and introduces a number of new legal requirements.
Impacted stakeholders expressed the need to benefit from guidance material supporting the
implementation of that Regulation and its implementing rules. Furthermore, Article 7(8) of Regulation
376/2014 requires the Commission and EASA to develop guidance material to support the
implementation of certain provisions of it.
In addition, the interaction between Regulation 376/2014 and other occurrence reporting, analysis
and follow-up related requirements contained in other existing European regulations should be
explained to ensure the proper implementation of all these rules and to allow Regulation 376/2014 to
fully achieve its objectives.
This paper aims to explain the intended purpose of Regulation 376/2014 provisions and its
implementing regulations, in accordance with the spirit of the agreement found between
co-legislators. It proposes, where relevant, possible means of compliance and examples of good
practices, with a view to contribute to a consistent and appropriate implementation of Regulation
376/2014 and its implementing rules across the EU.
It has been prepared by the services of the European Commission, with the support of the European
Aviation Safety Agency (EASA). If relevant, this paper may be updated by the European Commission,
based on feedback and experience with the application of the Regulation and when new delegating
or implementing provisions will be introduced.
1.3 When did Regulation 376/2014 become applicable?

The Regulation was adopted on 3rd April 2014. It became applicable on 15 November 2015.
Its first implementing regulation, Regulation 2015/1018, was adopted on 29 June 2015 and became
applicable at the same date than Regulation 376/2014, on 15 November 2015.
A roadmap to support the industry, the Member States and all relevant stakeholders in preparing for
Regulation 376/2014 application has been prepared by the Commission, with the support to EASA.
This guidance material is part of the various initiatives included in the roadmap.
The roadmap includes other initiatives such as the establishment of a European Reporting Portal2, the
development of a European Corporate Just Culture Declaration, of promotional material3, as well as
other activities and initiatives.
1 Directive 2003/42/EC of the European Parliament and of the Council of 13 June 2003 on occurrence reporting in civil
aviation; OJ L 167, 4.7.2003, p. 23.
2 www.aviationreporting.eu

1.4 Is the application of Regulation 376/2014 compulsory?

Regulation 376/2014 is a Regulation and therefore, in accordance with Article 288 of the Treaty on
the Functioning of the European Union (TFEU), it is binding in its entirety and directly applicable in all
Member States.
It is binding in its entirety and so cannot be applied incompletely, selectively or partially.
In addition, Regulation 376/2014 is directly applicable as a national law in the Member States and no
measure to incorporate it in national law is required.
This Regulation is applicable in the legal orders of the 28 EU Member States. It is also expected to be
applicable in Norway, Iceland and Liechtenstein (via the Agreement on the European Economic Area)
and in Switzerland (via the Agreement between the European Community and the Swiss
Confederation on Air Transport) once the Regulation will be incorporated within these respective
agreements.
Same applies to Regulation 2015/1018.
1.5 Can Member States adopt rules in areas covered by

Regulation 376/2014?
Regulation 376/2014 is different from Directive 2003/42 it replaces as it is directly applicable in the
Member States as national law, whereas the Directive was requiring national transposition measures.
Same applies to its implementing rules.
Key principle
Regulation 376/2014 and Regulation 2015/1018 do not require the adoption of national
transposition legislation.
This does not mean that the Member States cannot take implementing measures. They must do so if
required by the Regulation.
Example:
Article 6(3) requests each Member State to ‘‘designate one or more competent authorities to
establish a mechanism to independently collect, evaluate, process, analyse and store details of
occurrences reported pursuant to Articles 4 and 5’’. In this case, as well as in similar situations where
States are required to adopt measures, each Member State shall adopt relevant implementing
measures.
1.6 Are Member States allowed to adopt national rules which

are stricter than Regulation 376/2014?
In principle States should not adopt national rules covering issues already regulated in a European
Regulation, including rules that would be stricter, unless it is specifically foreseen in that European
Regulation.

Key principle
The Member States, and EASA when acting as a competent authority, can adopt measures going
beyond the provisions of Regulation 376/2014 only where this possibility is specified in the
Regulation itself.
Example:
Article 3(2) of Regulation 376/2014 states that the Regulation ‘‘applies to occurrences and other
safety-related information involving civil aircraft, with the exception of aircraft referred to in
Annex II to Regulation (EC) No 216/2008’’. The paragraph continues as follows ‘‘Member States
may decide to apply this Regulation also to occurrences and other safety-related information
involving the aircraft referred to in Annex II to that Regulation’’. In such case, while the Regulation
is only applicable to non-Annex II aircraft, the possibility is given to States to go beyond and to
equally apply it to Annex II aircraft.
Similar provisions allowing to go beyond the requirements of the Regulation are included in
Articles 5(6), (7) and (8); 6(2), 13(4); (5) and (12); 16(6), (7) and (8).
Key principle
In any other situation, the Member States, and EASA when acting as a competent authority, are
not allowed to deviate from the provisions of the Regulation.
Example:
Article 4(7) requests reporters to ‘‘report occurrences within 72 hours of becoming aware of the
occurrence, unless exceptional circumstances prevent this’’. Adopting a national legal measure
requesting reporters to report occurrence within a short deadline (e.g. 36 hours) is not authorised
and is understood as going against the Regulation.
1.7 What type of aircraft is covered under the Regulation?

Regulation 376/2014 applies to occurrences and other safety-related information involving civil
aircraft, with the exception of aircraft referred to in Annex II to Regulation (EC) No 216/20081
(Article 3(2)).
The concept of civil aircraft in the area of design and production is understood as relating to the Type
Certificate and not necessarily to the type of operation that an individual aircraft (registration)
performed at the time of the occurrence.
Regulation (EC) No 1592/2002 and Directive 2004/36/EC (Text with EEA relevance); OJ L 79, 19.3.2008, p. 1.

Example:
If an occurrence occurred during non-civil operations (e.g. military operations) and reveals an
unsafe condition in the civil Type Certificate of the aircraft, this occurrence should be considered
within the scope of Regulation 376/2014 and should, therefore, be reportable under the
mandatory reporting scheme.
The same criteria apply in other fields for cases where there is potential impact on safety of civil
aviation, though no civil aircraft was directly involved in the occurrence.
Example:
If there is an airspace infringement of military or Annex II aircraft, the occurrence should be
considered within the scope of this Regulation.
Member States have the possibility to extend the application of this Regulation to occurrences and
other safety-related information involving the aircraft referred to in Annex II to Regulation (EC)
No 216/2008 (Article 3(2)).
1.8 What type of information is covered under the Regulation?

Regulation 376/2014 applies to (Article 3(1)):

— occurrences i.e. 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 (Article 2(7)),
— and to other relevant safety-related information in that context.
Key principle
Events or information which are reported through reporting systems but which are not aviation
safety-related (in the sense of pertinent to prevent an aircraft, its occupants or any other person
to be endangered) are not subject to the provisions of Regulation 376/2014.
Example:
An event reported by a crew member to his/her operator about a commercial or quality issue and
which has no safety implication, is therefore not subject to Regulation 376/2014 and to the
requirements of transfer, analysis and follow-up contained in that Regulation.
It is understood that Regulation 376/2014 does not apply to automatic sources of safety information
such as the Flight Data Monitoring programmes in air operators or radar track analysis calculations in
Air Navigation Service Providers. Other rules, outside the context of Regulation 376/2014 and its
implementing rules, may be applicable to those sources of safety information, including possible
reporting and analysis obligations.

SECTION 2 — AVIATION PROFESSIONALS
2.1 Why should I report safety occurrences?

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 industry, 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 aviation professionals contributes to the prevention
of accidents. Their role is fundamental to ensure the safety of aviation activities within the
organisation that employs them or uses their services, but also more generally in the overall European
aviation system.
2.2 Am I under the legal obligation to report occurrences?

Whereas the reporting of any safety relevant occurrence should be encouraged, Regulation 376/2014
differentiates between occurrences that should always be reported, because they have been
considered by the legislator as posing a significant risk for aviation safety, and those that may be
reported if judged relevant by potential reporters (more information of the reportable occurrences is
provided in section 2.3).
Furthermore, whereas any person involved in aviation activities should be encouraged to report any
safety occurrence it considers relevant, Regulation 376/2014 differentiates between the persons who
are always required to report defined occurrences, because they have been considered as front line
operators by the legislator, and those that may report occurrences when they judge it relevant.
Key principle
The obligation for designated persons to report certain occurrences does not prevent other
persons from reporting occurrences under the normal operation of their organisation safety
management system.
This section provides information on the persons who are required to report certain occurrences in
accordance with Regulation 376/2014.
This Regulation provides for a list of designated persons that must report occurrences in the context
of mandatory reporting schemes (Article 4(6)). This list covers a broad range of persons involved in
aviation activities, employees as well as other persons.
Key principle
The list of persons who are required to report certain occurrences covers employees of an
organisation, as well as persons whose services are contracted or used by the organisation
(Article 4(6)).

Example:
Pilots employed by a European operator as well as self-employed pilots who are pilot-in-command
of aircraft used by a European operator are covered under this obligation.
These designated persons are under a legal obligation to report certain defined occurrences. Without
these occurrence reports, the European Union and the organisations and competent authorities that
are part of it cannot make the best decisions on safety priorities. In addition, the failure to comply
with the reporting legal obligation might have consequences for those required to report (Article 21;
Recital 38).
It is therefore important to clearly identify the persons that are under the obligation to report
occurrences under Regulation 376/2014.
Furthermore, clarification is necessary to ensure that, where relevant, natural persons already subject
to an obligation to report safety occurrences under other European rules (see also section 3.6) are the
same than the ones covered under Regulation 376/2014.
— Pilots
Key principle
Article 4(6)(a) covers both pilots in command operating in the context of commercial air transport
as well as private pilots operating on an aircraft covered by the Regulation.
In addition, Article 4(6) (a) refers to ‘‘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’’.
Situations where the pilot would be unable to report is understood as referring to cases where the
pilot would be unable to report because he would not be physically able to do so.
The reference to ‘‘any other crew member next in the chain of command’’ intends to cover any
configuration of the crew.
Example:
Any other crew member next in the chain of command in the context of a CAT operation on-board
of a large aeroplane would be the co-pilot whereas in the case where there is only one pilot on
board it would be the cabin manager.
These situations should be covered and described by organisations within their safety management
system.
— Design / manufacturing / airworthiness personnel
Key principle
Article 4(6)(b) is understood as covering persons engaged in manufacturing of an aircraft, or any
equipment or part thereof under the oversight of a Member State or of EASA, who are directly
involved in the production of aeronautical items, have the role to verify compliance with
applicable design data and the responsibility to perform investigations with the holder of the
type-certificate or design approval in order to identify if those deviations could lead to an unsafe
condition.

This is aligned with occurrence reporting requirements in Commission Regulation (EU) No 748/20121,
where the production organisation is required to liaise with the design organisation to confirm that
the deviation in design data is actually an unsafe condition.
Example:
A person working in a production organisation being responsible of the investigation, together with
the Design Approval Holder (DAH)2, to confirm if identified deviations of the manufactured product
from design data could lead to an unsafe condition of the final certified product.
Key principle
Article 4(6)(b) is also understood as covering persons engaged in designing an aircraft, or any
equipment or part thereof under the oversight of a Member State or of EASA, who are in charge
of the process to identify unsafe or potential unsafe conditions for the holder of a
type-certificate, restricted type-certificate, supplemental type-certificate, ETSO authorisation,
major repair design approval or any other relevant approval deemed to have been issued under
Commission Regulation (EU) No 748/2012.
This is aligned with occurrence reporting requirements in Commission Regulation (EU) No 748/2012.
Example:
A person working in a DAH having the responsibility to carry out the process to identify unsafe or
potential unsafe conditions as per Part-21 requirements under Commission Regulation (EU)
No 748/2012.
Key principle
Article 4(6)(b) is also understood as covering persons engaged in designing an aircraft, or any
equipment or part thereof under the oversight of a Member State or of EASA, who are in charge
of the process to identify unsafe or potential unsafe conditions in the context of the continuing
airworthiness of their products under the Commission Regulation (EU) No 748/2012 but not
subject to any certification or approval under such Regulation.
Example:
A person working in a design organisation dedicated to the design of light aircraft not certified as
per Part-21 requirements or subject to an organisation approval under Commission Regulation (EU)
No 748/2012 but still falling under this legal framework and in charge of the process to identify
unsafe or potential unsafe conditions of the product.
1 Commission Regulation (EU) No 748/2012 of 3 August 2012 laying down implementing rules for the airworthiness and
environmental certification of aircraft and related products, parts and appliances, as well as for the certification of design
and production organisations; OJ L224, 21.08.2012, p.1.
2 Design Approval Holder (DAH) is a written convention to refer to the holder of a type-certificate, restricted
type-certificate, supplemental type-certificate, ETSO authorisation, major repair design approval or any other relevant
approval holder deemed to have been issued under Commission Regulation (EU) No 748/2012.

Key principle
Finally, Article 4(6)(b) is also understood as covering persons engaged in continuing airworthiness
monitoring, maintaining or modifying an aircraft, or any equipment or part thereof under the
oversight of a Member State or of EASA, and
— who holds a valid aircraft maintenance licence; or
— who is authorised by its organisation and is directly involved with tasks of maintaining
aircraft, including any component for installation thereto or of continuing airworthiness
management; or
— who is a pilot-owner directly involved with tasks of maintaining aircraft.
This is aligned with occurrence reporting requirements in Commission Regulation (EU) No 1321/20141.
Example:
A person who holds a valid Part-66 mechanic license and performs actual maintenance work or a
person who is a postholder for the continuing airworthiness of an aircraft.
— Airworthiness personnel
Key principle
Article 4(6)(c) is understood as applying to the person responsible for the airworthiness review
performed in accordance with Annex I (Part M), M.A.710 of Regulation (EU) No 1321/2014, or
the person responsible for the release to service in accordance with Annex I (Part M), M.A.801,
M.A.802 or M.A.803 or Annex II (Part-145) 145.A.50 of Commission Regulation (EU)
No 1321/2014.
Example:
A person that holds a valid mechanic license as per Part-66 requirements and performs the release
to service of aviation products.
— ATM/ANS personnel
Key principle
Article 4(6)(d) is understood as applying to 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 entrusted
with responsibilities related to air navigation services or as a flight information service officer.
1 Commission Regulation (EU) No 1321/2014 of 26 November 2014 on the continuing airworthiness of aircraft and
aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks
(Text with EEA relevance); OJ L 362, 17.12.2014, p. 1.

Example:
An Air Traffic Controller or Flight Information Officer who holds a valid license as per Commission
Regulation (EU) 2015/3401 and acting as controller or officer on duty. In situations where an
occurrence involves more than one person within the same organisation, it is understood that the
most appropriate person should raise the report. A report is not needed from each person involved
in the occurrence.
— Aerodrome personnel
Key principle
Article 4(6)(e) is understood as applying to a person who performs a function connected with the
safety management of an airport to which Regulation (EC) No 1008/20082 applies. This covers
the Safety Manager of aerodromes certified under Commission Regulation (EU) No 139/20143,
the equivalent responsible person of those aerodromes not certified under Commission
Regulation (EU) No 139/2014 but covered by Regulation (EC) No 1008/2008, as well as any person
who can actively contribute to the safety management of an aerodrome covered by Regulation
(EC) No 1008/2008.
It also includes personnel and persons whose services (e.g. ground handling organisations, bird control
and aerodrome services) are contracted or used by the aerodrome and who are expected to report
information in the context of the safety management system of the aerodrome because of their
aviation related tasks.
— ANS facilities personnel
Key principle
Article 4(6)(f) is understood as applying to 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 is responsible.
— Ground handling personnel
Key principle
Article 4(6)(g) is understood as applying to a person who performs a function connected with the
ground handling of aircraft in accordance with Directive 96/67/EC4, including fuelling, servicing,
1 Commission Regulation (EU) 2015/340 of 20 February 2015 laying down technical requirements and administrative
procedures relating to air traffic controllers’ licences and certificates pursuant to Regulation (EC) No 216/2008 of the
European Parliament and of the Council, amending Commission Implementing Regulation (EU) No 923/2012 and
repealing Commission Regulation (EU) No 805/2011 (Text with EEA relevance); OJ L 63, 6.3.2015, p. 1.
2 Regulation (EC) No 1008/2008 of the European Parliament and of the Council of 24 September 2008 on common rules
for the operation of air services in the Community (Recast) (Text with EEA relevance); OJ L 293, 31.10.2008, p. 3.
3 Commission Regulation (EU) No 139/2014 of 12 February 2014 laying down requirements and administrative procedures
related to aerodromes pursuant to Regulation (EC) No 216/2008 of the European Parliament and of the Council (Text
with EEA relevance); OJ L 44, 14.2.2014, p. 1.
4 Council Directive 96/67/EC of 15 October 1996 on access to the groundhandling market at Community airports; OJ L 272,
25.10.1996, p. 36.

loadsheet preparation, loading, de-icing and towing, at an airport covered by Regulation (EC)
No 1008/2008.
2.3 What types of occurrences shall be reported?

Key principle
It is understood that the reporting of any safety relevant occurrence should be encouraged with
the view to support the principles of safety management as included in other European rules and
as promoted by Regulation 376/2014.
As mentioned in section 2.2, the reporting of any safety relevant occurrence should be encouraged.
However, 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).
i. Mandatory reporting
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 which classifies 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.
Regulation 2015/1018 includes occurrences falling in the four categories mentioned in Regulation
376/2014 as well as those applicable to aircraft other than complex motor-powered aircraft
(Article (5)) which are, where appropriate, adapted to the specificities of that aviation sector.
Key principle
The occurrences to be reported in the context of mandatory reporting systems are those listed
in Regulation 2015/1018.
The division in categories of occurrences to be reported provided for in Article 4(1) is established to
allow the identification of the occurrences to be reported by the persons designated under
Article 4(6). Therefore 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.
Key principle
It is therefore understood that reporters subject to mandatory reporting obligations are not
required to report all occurrences contained in Regulation 2015/1018 but only those relevant for
their respective area of activities.
Reporting obligations in the context of mandatory schemes are therefore a combination of persons
subject to mandatory reporting obligations and occurrences to be mandatorily reported in a specific
area of activity.

Consequently these reporting obligations are understood to apply as detailed in the diagram below.
Diagram 1. Obligations of reporting in the context of mandatory occurrence reporting systems (MORS)
Type of reporter Occurrences to be reported
Pilot in command — Art.4(6)(a) (for detailed definition Occurrences related to the operation of the aircraft —
see question 2) — when flying on complex Annex I of Regulation 2015/1018
motor-powered aircraft
Manufacturing staff members — Art.4(6)(b) (for Occurrences related to manufacturing — Annex II.1 of
detailed definition see question 2) Regulation 2015/1018
Design staff members — Art.4(6)(b) (for detailed Occurrences related to design — Annex II.2 of
definition see question 2) Regulation 2015/1018
Maintenance staff members — Art.4(6)(b) (for Occurrences related to maintenance and continuing
detailed definition see question 2) airworthiness management — Annex II.3 of Regulation
2015/1018
Occurrences related to maintenance and continuing
Airworthiness certificate reviewers — Art.4(6)(c) (for
airworthiness management — Annex II.3 of Regulation
detailed definition see question 2)
2015/1018
Air traffic controllers and flight information service Occurrences related to related to air navigation
officer — Art.4(6)(d) (for detailed definition see services and facilities — Annex III of Regulation
question 2) 2015/1018
Safety manager of an aerodrome — Art.4(6)(e) (for Occurrences related to aerodromes and ground
detailed definition see question 2) services — Annex IV.1 of Regulation 2015/1018
Occurrences related to related to air navigation
Air navigation facilities personnel — Art.4(6)(f) (for
services and facilities — Annex III of Regulation
detailed definition see question 2)
2015/1018
Ground handling personnel — Art.4(6)(f) (for detailed Occurrences related to related to aerodromes and
definition see question 2) ground services — Annex IV.2 of Regulation
2015/1018
Pilot in command — Art.4(6)(a) (for detailed definition Occurrences related to related to operation of the
see question 2) — when flying on aircraft other than aircraft — Annex V of Regulation 2015/1018
complex motor-powered aircraft
Regulation 2015/1018 in its Annexes I, III, IV.1, IV.2, V.1, V.2 and V.3 states that the structure of the
Annex or 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’’. It highlights that this presentation should not be understood ‘‘as
activities to which they are linked in the list’’.
Key principle
It is therefore understood that all occurrences listed in a specific Annex or Section of Regulation
2015/1018 are reportable by those identified as mandatory reporters for that Annex or Section,
independently of the circumstances in which the occurrence may occur.

Example:
A pilot in command flying on complex motor-powered aircraft is required to report all occurrences
listed in Annex I of Regulation 2015/1018, even if those occurrences happen in circumstances
different from the ones described in the various headlines (e.g. flight preparation, aircraft
preparation, take-off and landing etc.).
ii. Voluntary reporting

There is no legal obligation under Regulation 376/2014 for reporting occurrences outside the
situations detailed in diagram 1 above. It is nevertheless understood that reporting of any safety
relevant occurrence by anyone aware of it should be encouraged. To allow such reporting Regulation
376/2014 imposes a legal obligation on organisations and competent authorities (Article 5) to
establish voluntary occurrence reporting systems (VORS).
In this context, the voluntary reporting systems notably enable the reporting of (Article 5(4)):
— any occurrence or safety related information by individuals which are not subject to mandatory
reporting (see section 2.2 for the detailed list of persons subject to MOR), this might include the
reporting by those individuals of occurrences included in Regulation 2015/1018;
— any occurrence or safety related information not included in the Regulation 2015/1018 by
individuals which are subject to MOR.
Examples:
A crew member may report a runway excursion through voluntary occurrence reporting systems.
A pilot in command may report occurrences outside those listed in Annex I of Regulation 2015/1018
through voluntary occurrence reporting systems.
It should be understood that while Regulation 376/2014 does not impose the reporting of all
occurrences, its objective is to use all available safety data for the improvement of safety. Therefore
the reporting of all relevant information should be strongly promoted and front-line professionals
should be encouraged to share their experiences.
Key principle
It is understood that the reporting of any safety relevant occurrence should be encouraged and
therefore that the use of reporting systems, be they mandatory or voluntary, should be
promoted.
The legal obligation for organisations and competent authorities to establish voluntary reporting
systems aims at supporting the collection of relevant information.
Industry organisations, the Member States and EASA are therefore encouraged to promote the
reporting of any occurrence, whether or not there is a legal obligation to report it.
The Commission has prepared and published promotional material with the view to promoting and
encouraging the reporting of safety occurrences. This material is available here1.

iii. Interaction with other reporting requirements

Reporting requirements that exist under other EU rules are aligned with reporting requirements under
Regulation 376/2014. This means in practice, that reporting obligations under the Regulation
216/2008 and its implementing rules on one hand and reporting obligations under Regulation
376/2014 on the other hand are compatible. These reporting obligations can be discharged through
the use of one reporting channel and should avoid the establishment of two parallel systems
(Recital 4).
In addition, a person who holds more than one role subject to the obligation to report can discharge
all those obligations with a single report. Organisations are encouraged to properly describe this in
the organisation manual, to address cases where the responsibilities are taken up on behalf of the
organisation.
2.4 How can I know if an occurrence is reportable?

Safety management systems rely on the collection and analysis of safety related information.
Therefore, anything that is perceived by the individuals as having the potential to impact or potentially
impact safety should be reported.
The mandatory 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. Therefore, for example,
while being aware of an occurrence through radio on-board the aircraft or ear say may motivate the
reporting to the organisation or to the competent authority under VORS, this should not be
understood as a legal obligation to be discharged by the individual under MORS.
Regulation 2015/1018 contains certain occurrences which are factual events easily identifiable such
as ‘‘a collision on the ground or in the air, with another aircraft, terrain or obstacle’’. In such cases, as
soon as the occurrence happens and the potential reporter is aware of it, the obligation to report it
applies.
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: ‘‘Significant failure, malfunction or defect of aerodrome equipment
or system considered to have endangered or which might have endangered the aircraft or its
occupants’’. In such cases, the occurrence is reportable if the potential reporter has assessed that the
aircraft or its occupants have or might have been endangered.
In such situations it is more difficult to identify whether the reporter has fulfilled his/her obligations
under the legislation or not. This may be particularly challenging if the reporter has decided not to
report an occurrence which has been reported by another person in the context of voluntary reporting
schemes (Recital 38).
Key principle
Regulation 376/2014 prescribes potential reporters to report defined occurrences they are aware
of. It is understood that if the reporter is not aware of the occurrence or if, in relevant cases, the
reporter judges that the aircraft, its occupants or any other person have not been endangered or
potentially endangered, and has therefore not reported the occurrence, the reporter may not be
considered as infringing his/her reporting obligations under Regulations 376/2014 and
2015/1018.

The Regulation sets the necessary legal framework to encourage individual reporters to go beyond
the strict compliance with the mandatory reporting obligations and share those issues perceived by
them as a threat to the aviation system with the relevant party (organisation or competent authority,
as applicable). Therefore any occurrence or safety-related information considered as safety relevant
by reporters should be reported.
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.
2.5 Am I required report occurrences that happened outside of

the EU?
Regulation 376/2014 covers all occurrences involving an aircraft registered in a Member State or
operated by an organisation established in a Member State, even if the occurrence happened outside
the territory of that Member State (Recital 18).
Key principle
Occurrences should be reported even if they happen outside of the European Union.
Example:
A pilot in command flying on a European airline and being aware of an occurrence listed in Annex I
of Regulation 2015/1018 which happened in a third country is required to report it.
In addition, in the case of potential reporters working in production and design organisations, the
reporting of occurrences is understood as covering products under their manufacturing or design
responsibilities, regardless of the State of occurrence, operator or registration.
2.6 If I report an accident or serious incident under Regulation

376/2014, am I also required to report it to the State of Occurrence?
Accidents and serious incidents, as defined within Regulation (EU) No 996/20101, are also subject to
Regulation 376/2014 (Article 2(7)).
This should not interfere with the implementation of Regulation (EU) No 996/2010 and in particular,
the notification of occurrences to the safety investigation authority (SIA) of the State of Occurrence in
the context of Article 9 of that Regulation (Recital 3).
It means double reporting could be required in a situation where a person subject to mandatory
reporting obligations in accordance with Article 4(6) has to report an accident or a serious incident
listed in Regulation 2015/1018.
1 Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and
prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC; OJ L 295, 12.11.2010, p. 35.

In such cases, this person shall report the accident or serious incident in accordance with Article 4(6)
of Regulation 376/2014 and shall also ‘‘notify without delay the competent safety investigation
authority of the State of Occurrence thereof’’ in accordance with Article 9 of Regulation (EU)
No 996/2010.
Example:
A pilot in command being aware of an accident or a serious incident listed in Annex I of Regulation
2015/1018 and which occurred in the United Kingdom is required to report it to his/her
organisation as well as to the UK SIA (the UK Air Accidents Investigation Branch).
2.7 If several reporters are aware of the same reportable

occurrence, are they all required to report it?
Situations may occur where several reporters subject to mandatory reporting obligations are aware
of the same occurrence.
Key principle
In a situation where reporters employed or whose services are contracted or used by different
organisations are aware of the same reportable occurrence, they are all required to report that
occurrence.
Example:
Two pilots from two different airlines, an air traffic controller, the safety manger of an airport and
a ground handler are involved in or witness a collision on the ground between an aircraft and
another aircraft. All of them shall report the occurrence even in the case they are working for
organisations that are under the responsibility of the same Member State.
Key principle
In the case where reporters employed, or whose services are contracted or used by the same
organisation, are aware of the same reportable occurrence while being physically together, it is
understood that not of all of them are required to report the occurrence. They can do so but are
not considered under the obligation to do so.
Example:
Two ground handlers working for the same organisation discover a foreign object on the
aerodrome movement area which has been considered to have endangered or which might have
endangered an aircraft or its occupants. In this case the occurrence may be reported by only one
of the ground handlers.

2.8 To what entity shall I report occurrences?

The Regulation gives persons subject to the MOR obligation the following reporting channels
(Article 4(6)):
— The mandatory reporting system of the organisation which employs them or contracts or uses
their services, or
— The mandatory system of the Member State of establishment or of the competent authority of
their organisation, or by the State which issued, validated or converted the pilot’s licence or
— The mandatory system of EASA.
Key principle
Reporting an occurrence through the reporting system of their organisation should be promoted
and recognised as the normal channel of reporting for aviation professionals.
This is notably consistent with the integration of occurrence data into the safety management system
of an organisation.
The reporting through the system of a Member States is understood as the one to be used in the
absence of any organisation or in situation where the reporter is not confident in the reporting system
of an organisation certified or approved by that Member State.
The reporting through the mandatory system of EASA is understood as the one to be used by
organisations for which EASA is the competent authority or in situation where the reporter is not
confident in the reporting system of an organisation certified or approved by EASA.
Whereas the most direct reporting channel should be preferred (the organisation’s reporting system)
and even promoted, it is understood that direct reporting to a competent authority by a person
employed by an organisation or whose services are contracted or used by this organisation is not
prevented. Indeed, situations may occur where reporters are not confident in the reporting system of
their organisations and may wish to use another reporting channel. This is consistent with the
objective of fostering a ‘Just Culture’ which is pursued by Regulation 376/2014. It aims, in particular,
at ensuring confidence of aviation professionals in occurrence reporting systems and encourages
them to reports any relevant safety information with a view to contribute to the enhancement of
aviation safety and accidents prevention.
It should be highlighted that the choice of a reporting system should be exclusive. Indeed the use of
‘‘or’’ in Article 4(6) indicates that only one report is required to be made by the reporter and that an
occurrence should not lead to multiple reports from the reporter.
It is therefore understood, in accordance with the Regulation, that a reporter should not report an
occurrence to his/her organisation and report it as well to a Member State and/or to EASA. This is
without prejudice to other reporting obligations contained in other legal acts (see also section 2.6).
2.9 What is the deadline to report an occurrence?

Regulation 376/2014 requires the persons subject to mandatory reporting requirements to report
occurrences listed in the Regulation 2015/1018 within 72 hours of becoming aware of the occurrence,
unless exceptional circumstances prevent this (Article 4(7)).

It is understood that the 72 hours period starts from the moment they learn about the occurrence,
usually meaning when they witness the occurrence or are involved in it.
In the case of individuals engaged in design or production organisations (Design Organisation Approval
— DOA — or Production Organisation Approval — POA) and who are under the obligation to report a
potential unsafe or unsafe condition, the 72 hours period starts from the identification of the possible
unsafe condition, which is normally reported through a dedicated process in those organisations.
The circumstances allowing a reporting of the occurrences after the 72 hours deadline shall be
exceptional. This may for example include situations in which the reporter is unable to access a mean
to report the occurrence.
In some cases an individual may be made aware of an occurrence through the automatic reporting
systems of his/her organisation (e.g. Flight Data Monitoring programme, post processing of radar
tracks etc) and not during the actual operation. In those cases, the 72 hours period starts when the
potential reporter is made aware of this occurrence.
2.10 What is the format to report an occurrence?

Regulation 376/2014 does not impose any reporting format for individual reporters.
The format to be used by an aviation professional to report an occurrence to his/her organisation may
be defined by the organisation as part of its safety management system.
In general, it is encouraged to develop reporting forms and means to report that are user-friendly and
that do not discourage potential reporters to report occurrences. The aim should be to facilitate the
collection of information from the front-line individuals into the management system of the
organisation or into the system of the competent authority.
2.11 What information should be included in an occurrence

report?
Regulation 376/2014 does not impose any specific information to be provided by aviation
professionals when reporting an occurrence. Obviously, the description of the occurrence is expected
to be included in the report.
Reporters are encouraged to include as complete as possible information in their report. To this
purpose, reporters can use Annex I of Regulation 376/2014 as a reference for information encouraged
to be reported in each specific circumstance.
Furthermore, aviation professionals are encouraged to include, in their report, any factor relevant to
the occurrence, including contributing human factor. Including these details should help to a better
understanding of safety hazards and to a more accurate identification of safety risks.
Example:
When reporting a fatigue related occurrence, reporters are encouraged to include in their report
information such as total duty time, flight time (including the number of sectors flown) and the
hours of rest achieved by the crew on the day of the incident and at least the two preceding days,
along with other relevant information.

2.12 Is my report confidential?

i. Within my organisation
Reporting to the organisation is not necessarily anonymous. This may depend of the type of reporting
system used, as some organisations run, next to their mandatory and voluntary reporting systems,
confidential reporting systems.
Regulation 376/2014 does not require organisations to fully anonymise reports collected but it
requires organisations to take the necessary measures to ensure the appropriate confidentiality of the
details of occurrences contained in its database (Article 15(1)).
Key principle
Organisations 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.
It is notably recognised by Regulation 376/2014 that a clear separation between the department
handling occurrence reports and the rest of the organisation may be an efficient way to achieve this
objective (Recital 34). This should therefore be encouraged where practicable.
In addition Regulation 376/2014 requires organisations to process personal data only to the extent
necessary for the purposes of this Regulation and in accordance with applicable personal data rules
(Article 15(1)).
The Regulation also includes a number of provisions limiting the possible disclosure and use of the
information reported and protecting reporters and any person mentioned in a report (see section 2.13
below).
ii. Outside of my organisation
Key principle
Member States and EASA are not allowed to record personal details in their databases.
Furthermore, they are required to take the necessary measures to ensure the appropriate
data.
Regulation 376/2014 ensures the confidentiality of individual reporter identity and of any other
person involved in reports stored in Member States national occurrence databases and in the EASA
database. Indeed it 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 competent authority database
(Article 16(1), (2) and (3) and Recital 35). To support this requirement, organisations are encouraged
to refrain from including names and personal details when transferring occurrences reports to their
competent authority.
In addition, requirements on the confidentiality of information and processing of personnel data
similar to those imposed to organisations are applicable to the Member States and to EASA. Finally,
Recital 33 highlights the need for national rules on freedom of information to take into account the
necessary confidentiality of information.
See section 2.13 below for more information on limitation to disclosure and use of information coming
from occurrence reports.

2.13 Can my report be used against me or anyone mentioned in

it?
Key principle
Regulation 376/2014 includes strong rules protecting occurrence reporters and persons
mentioned in occurrence reports. These rules limit possible disclosure or use of 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. These provisions protect the reporter and other persons mentioned in the report in their
working environment as well as in the broader national and European context.
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 aviation professionals 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.
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).
i. In the context of the organisation

This principle is implemented by several provisions which prevent certain actions to be taken against
reporters and persons mentioned in an occurrence report while identifying unacceptable behaviours
that are not covered under this protective framework.
Key principle
Employees and contracted personnel who report or are mentioned in occurrence reports 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 reporter except in cases of
unacceptable behaviour (Article 16(9)).
This is the implementation of the Just Culture principle in a corporate context. It means that if a person
reports an occurrence to his/her organisation, the organisation is not allowed to blame that person or
to impose prejudice on him/her on the basis of the occurrence reported. This rule also applies if the
person is not the reporter but is mentioned in the occurrence report.

Key principle
Regulation 376/2014 recognises two exceptions to this principle (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 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).
Furthermore, Regulation 376/2014 states additional principles limiting the possibility for an
organisation to disclose or use occurrence reports.
Key principle
Organisations can only use an occurrence report for the purpose for which it has been collected
(Article 15(1)).
Organisations 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)).
Those limitations to the disclosure or use of occurrence reports apply within the organisation as well
as outside of it.
It is therefore understood that sharing information on occurrences with press and media is not
allowed by the Regulation. Disclosure of information on occurrence reports to judicial authorities is
similarly not allowed.
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.
An organisation shall only disseminate personal details within the organisation in those cases where
it is essential to progress the investigation or to ensure the safety actions are properly taken
(Article 16(2)). In this regards, the organisation may use the same protocols and agreements than the
ones established and consulted with staff representatives to deal with other safety information (e.g.
Flight Data Monitoring).
In order to support all these legal provisions, each organisation is required to adopt internal rules
describing how Just Culture principles are guaranteed and implemented within that organisation
(Article 16(11)). It is specified that staff representatives shall be consulted before the adoption of
these internal rules.
With the support of the Commission and of EASA, staff and employers representatives across aviation
domains have developed a European Corporate Just Culture Declaration which contains principles to
be implemented in each organisation and reflected in its internal Just Culture rules, with a view to
ensure an effective Just Culture within the organisation. This initiative is expected to support a proper
and harmonised implementation of this legal provision and should guarantee a similar level of
protection across European organisations.
In addition a best practice issued from experience in a number of operators is the setting up an
‘occurrence review committee’ within the organisation whose role is to support the practical
implementation of the protection principles.
ii. In the context of the Member States and of the EU
In addition to limitations to the use and disclosure within and by organisations, Regulation 376/2014
also includes provisions limiting the use of an occurrence report by a State or EASA and guaranteeing
its confidentiality.
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).
The exceptions contained in Article 16(10) (see in section i. above) apply to those principles.
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.

Key principle
Competent authorities can only use an occurrence report for the purpose for which it has been
collected (Article 151)).
They are not allowed to make available or use occurrence reports:
(Article 15(2)).
Those limitations to the disclosure or use of occurrence reports apply within the competent
authorities as well as outside of them.
allowed by Regulation 376/2014. Disclosure of information on occurrence reports to judicial
authorities is similarly not allowed.
Key principle
Finally Regulation 376/2014 provides for rules ensuring the confidentiality of the identity of the
reporter and of any person mentioned in the report within Member States and EASA databases.
Key principle
No personal details are allowed to be recorded in the Member States and in EASA occurrence
databases (Article 16(3) and (4)).

2.14 What can I do if I consider that the above protection rules

have been infringed?
There may be situation where an aviation professional will consider that the protection principles have
not been complied with, for example if he/she has been subject to prejudice from his/her employer
on the basis of an occurrence report or if a proceeding has been opened 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)). The Regulation also ensures that
employees and contracted personnel are not penalised for reporting alleged infringements
(Article 16(12)).

SECTION 3 — ORGANISATIONS
3.1 What may be the safety benefit of sharing occurrence

reports with the competent authority?
See also Sections 1.1 and 2.1. The collection, analysis and follow-up of occurrences are part of
organisations safety management systems. It contributes to the identification of risks and to the
adoption of relevant mitigation actions by organisations.
Regulation 376/2014 requires the collection, analysis and follow-up by organisations, as well as the
transfer of certain occurrences to their competent authority. One could question the safety benefit of
transferring this information to the competent authority. Indeed the organisation has already
addressed its safety risks in the context of its SMS.
Sharing occurrences with the competent authority (Member States or EASA) allow this authority to be
informed about the risks faced at national or European level and to therefore identify measures that
may be necessary to ensure aviation safety from a broader (national or European) perspective. Indeed,
the reporting of aviation safety occurrences is vital to the understanding safety risks in the aviation
system and, importantly, helps decision makers in competent authorities to take the appropriate
decisions on safety priorities and on possible changes to rules or procedures. This may in particular
trigger the adoption of actions in the context of national safety plans or of the European Plan for
Aviation Safety (EPAS)1. The entire safety system and its stakeholders should benefit from a more data
driven decision making from competent authorities and decision makers.
Furthermore, this information is necessary in the context of the oversight performed by the
competent authorities on their organisations.
3.2 How can information be shared with the industry?

i. Information from competent authorities databases

Granting organisations access to occurrences stored in a competent authority database is not
prevented by Regulation 376/2014 as long as the purpose of sharing this information is aviation
safety. Under this condition, each competent authority can decide to provide or not access to
its database (partly or entirely) to its organisations2. In particular, Member States and EASA are
not prevented from establishing feedback loops with organisations reporting to them,
especially in those cases where identified safety issues fall under third party’s responsibility. In
these cases, the feedback provided by the competent authority would help reinforcing trust in
the system.
But organisations are required to respect the provisions of Regulation 376/2014 relating to
disclosure or use of information on occurrences contained in their competent authority
database (see Sections 3.16 and 4.7).
1 The European Plan for Aviation Safety (EPAS) was previously named the European Aviation Safety Plan (EASp).
2 Information related to access to EASA (acting as a competent authority) database is available at
http://easa.europa.eu/easa-and-you/safety-management/occurrence-reporting/occurrence-reporting-protection-
information-sources

ii. Information from the European Central Repository (ECR)

As regards to the ECR (which regroups all occurrences collected by competent authorities),
Regulation 376/2014 prohibits direct access by organisations to this database but recognises
them as interested parties, allowing them to request certain information issued from the ECR
(Article 10(2)). Rules related to the possibility to request information from the ECR is contained
in Article 10 to 12 of Regulation 376/2014. More information is provided in Section 4.8.
Furthermore reporting organisations receive feedback on occurrences they have transferred in
various format, such as annual safety reviews and safety bulletins. Such information may be
provided at national level as well as at European level. In addition, the results of analysis carried
out at European level through Regulation 376/2014 are shared through the various safety
processes supporting the EPAS.
3.3 What are the organisations subject to Regulation 376/2014?

Key principle
Regulation 376/2014 applies to ‘‘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)’’ (i.e. subject to mandatory reporting obligations) (Article 2(8)). It is therefore
understood that organisations which do not, on a professional basis, employ, contract or use the
services of a person subject to mandatory reporting obligations (see section 2.2) are not
requested to comply with the Regulation.
Example:
Organisations created with the aim of promoting aerial sport and leisure aviation, and which does
not, on a professional basis, employ, contract or use the services of someone covered by
Article 4(6), are understood as not being subject to Regulation 376/2014 and therefore not
requested to comply with it.
Furthermore, Regulation 376/2014 contains a number of provisions applicable to ‘‘each organisation

established in a Member Stat’’. It means that among the organisations which are subject to the
Regulation only those which are ‘‘established in a Member State’’ are subject to those provisions.
Key principle
“Organisation established in a Member State” is understood as meaning:
— each organisation which has been approved or certified by a Member State, and
— each organisation which has been approved or certified by EASA and whose principal place
of business is located in a Member State.
The Regulation is understood as applying to all the facilities of the organisation under its approval,
regardless of their location.

3.4 What is the reporting flow implied by the Regulation?

Regulation 376/2014 prescribes reporting obligations on certain natural persons (see Section 2.2),
organisations and competent authorities.
The information follows a reporting flow from its initial reporting until its registration in the European
Central repository (ECR).
The diagram below illustrates the general flow of information, main deadlines and stages of the
reporting.
Diagram 2. Flow of information under Regulation 376/2014
This reporting flow starts from the moment the occurrence is detected (T0). From this moment, the
individual shall report it to the organisation or to the authority as soon as possible, but before 72 hours
if it falls within the mandatory scheme. In this case, the organisation has 72 hours to report to the
authority from the moment they become aware of the occurrence.
It should be understood that in certain specific situations the identification of the occurrence might
require an additional stage before this reporting flow starts. In particular, for Design or Production
Organisations the time start (T0) is the moment where the individuals carrying out this process in the
organisation identify the unsafe or the potential unsafe condition. Therefore, these organisations will
have 72 hours to report to the competent authority when this process concludes that an occurrence
represents an unsafe or potential unsafe condition as per Annex Part 21 of Regulation 748/2012.
In cases where an organisation learns about an occurrence through its automatic data capturing
systems (e.g. FDM) and if it has requested a retrospective report to be made, the 72 hours starts when
it receives the retrospective report from the reporter.
Information about the various stages part of the reporting is detailed in sections below.

3.5 Which occurrences shall be collected by organisations?

Key principle
Each organisation covered by Regulation 376/2014 is required to put in place systems to facilitate
the collection of both mandatorily and voluntarily reportable occurrences. For organisations
subject to safety management systems requirements, it is understood that such systems should
be part of the organisation SMS.
Detailed information on the persons subject to reporting obligations and the type of occurrences to
be collected is contained in Sections 2.2 and 2.3.
3.6 How do these reporting requirements interact with those

contained in other rules?
Whereas the reporting of occurrences in the EU is overall regulated under Regulation 376/2014, there
are also a number of more sectorial occurrence reporting requirements contained in other European
Regulations. This situation is recognised by Regulation 376/2014 (Recital 4) which clarifies that this
should not be seen as setting up two parallel systems but only one reporting system.
Key principle
Where reporting requirements also exists in other European rules and are consistent with those
contained in Regulation 376/2014, the co-existence of two or more set of rules should not lead
to multiple reporting systems. One system is considered sufficient to comply with the various
legal obligations that are covering similar aspects. Whereas certain specifications may be
contained in different legal act or based on different legal basis, they are all considered as part
of a single overall European safety system.
Example:
Design Approval Holders are required to report unsafe or potential unsafe conditions as per Part-21
requirements under Commission Regulation (EU) No 748/2012.
The same requirement is contained in Regulation 376/2014 through the obligation for
organisations certified or approved by EASA to report occurrences listed in Regulation 2015/1018
to EASA.
It is the same requirement which happens to be contained in two set of rules but should be
reported once to EASA. It should be noted that when reporting such occurrence, the organisation
is required to ensure that all specifications contained in both acts should be complied with (such as
for example timeline or format).
It should also be understood that Regulation 376/2014 does not cover all existing reporting
requirements in the European system. Other types of reporting requirements may in particular be
contained in Regulation 216/2008 and its implementing rules (e.g. reporting between organisations).
Organisations are encouraged to properly reflected this in the organisation manual and cover all the
specificities of all different obligations.

For reporting requirements under Regulation 216/2008, while efforts have been made to align the list
of occurrences to be reported, the list of reporters and the timeline under which occurrences shall be
reported, requirements related to other aspects such as reporting formats requires further alignment.
A rulemaking task has been initiated to ensure a better alignment of all requirements and support the
implementation of a single reporting system.
In the meantime, it is important that individuals and organisations are aware of the various reporting
requirements to ensure proper discharge of their obligations.
Furthermore, while the European legislation on the performance scheme for air navigation services
and network functions1 does not impose the reporting of occurrences, it requires the reporting of
certain information such as the level of occurrence reporting and the number of certain defined
occurrences. Regulation 376/2014 supports a proper implementation of these rules by ensuring that
the availability of the data that is necessary to provide required information.
3.7 What information shall be transferred to the competent

authority?
i. Occurrence initial notification

Diagram 3. Information flow related to the occurrence initial notification
Note: for the purpose of simplification, the scheme indicates that the reporting by individuals is made
to the organisation while it is recognised by Regulation 376/2014 that individuals may report directly
to the competent authority. See Section 2.8 for more information on the various reporting channels.
Key principle
Organisations are required to report to their competent authority (Article 4(8) and (9)) all
mandatory reportable occurrences they have collected i.e. those contained in Regulation
2015/1018 when reported by a person listed in Article 4(6) (see Sections 2.2 and 2.3).
Occurrences collected under VORS are not all reportable to the competent authority. Indeed,
only those that may involve an actual or potential aviation safety risk (Article 5(5) and (6)) shall
be reported to the competent authority.
1 Commission Implementing Regulation (EU) No 390/2013 of 3 May 2013 laying down a performance scheme for air
navigation services and network functions; OJ L 128, 9.5.2013, p. 1.

‘Reportable occurrences’ are those subject to an initial notification report requirement as described
in the principles above.
It is understood that organisations shall discuss with their competent authorities to determine what
types of occurrences are considered involving an actual or potential aviation safety risk. This should
ensure an alignment between the occurrences that the organisation intends to transfer from the VORS
and the ones that the competent authority expects to receive. It should also ensure harmonisation
among all organisations reporting to the same competent authority.
Regulation 376/2014 gives Member States the possibility to request their organisations to transfer
them all occurrences they have collected under their VORS (Article 5(6)).
It is also understood that when an occurrence is reported to an organisation, this organisation might
need to assess whether or not it falls under MOR or VOR and therefore what the applicable notification
obligations are. In a situation where a reporter has transferred the report under VORS, the
organisation may reclassify it into MOR and vice-versa.
Organisations are encouraged to include in the occurrence notification sent to the competent
authority all available relevant information. If appropriate, this should include the indication that no
further analysis and follow-up will be made on that occurrence (‘‘closed-on-issue’’ or the assessment
and actions on the safety risk identified from the occurrence.
Organisations are encouraged to report to their competent authority all necessary information to
enable a proper understanding and assessment of the occurrence. It is acknowledged that all essential
information is not always known at the time of the initial report. However, an effort should be made
to gather as much information as possible, especially in the follow-up and final reports.
All occurrences reported to the competent authority (either directly or through organisations) are
required to be transferred to the ECR (Article 9(1)).
Key principle
It is understood that an organisation shall not be accountable for not reporting to the competent
authority an occurrence which has not been reported to it (e.g. pilot not reporting an occurrence
or in service occurrence not reported to the organisation)
ii. Analysis and follow-up related information
Diagram 4. Information flow related to analysis and follow-up related information
All occurrences collected by the organisation (MOR and VOR) are subject to analysis and follow-up
requirements (Article 13(1) and (2)). However not all of them (i.e. only reportable ones — see i. above)
are subject to further reporting obligations.

Key principle
Analysis and follow-up related information of reportable occurrences is required to be
transferred only if it has revealed an actual or potential aviation safety risk (Article 13(4) and (5)).
Whereas Regulation 376/2014 only requires organisations to transfer to their competent authority
analysis results and follow-up information for certain occurrences (those which may involve an actual
or potential aviation safety risk), it allows a competent authority to require the transfer of analysis
and follow-up information related to all reportable occurrences (i.e. all MOR occurrences and the VOR
reportable ones — see i. above) (Article 13(4) and (5)).
It is understood that the competent authority may require so on a case by case basis or by adopting a
general measure requiring organisations to transfer to it analysis and follow-up related information of
all reportable occurrences.
In the same way as for initial notification, it is understood that organisations shall discuss with their
competent authority to determine when an actual or potential aviation safety risk is considered
identified out of the analysis. This should ensure an alignment between the analysis and follow-up
information that the organisation intends to transfer and the one that the competent authority
expects to receive. It should also ensure harmonisation among all organisations reporting to the same
competent authority. Through the Network of Aviation Safety Analysts, a common approach will be
promoted to ensure a standardised approach exists across the Member States.
It is understood that the reporting of the follow-ups or final results of the analysis pertaining to single
occurrences should be done in the same format than the initial report.
The mean to report the analysis and follow-up pertaining to a group of occurrences should be agreed
with the competent authority of the organisation.
These requirements are aligned with organisations safety management processes where not only
occurrences are followed in a closed-loop process but also safety issues (group of occurrences).
iii. Transfer of information on the reporter or other persons mentioned in the report
The Regulation prohibits competent authorities to record personal details (e.g. name of the reporter
or anyone else mentioned in the report, addresses of natural persons) in their database (Article 16(1),
(2) and (3) and Recital 35). To support this requirement, organisations are encouraged to refrain from
including names and personal details when transferring occurrences reports to the competent
authority.
iv. Transfer of information subject to export control
When reporting information under Regulation 376/2014 an organisation may provide to its competent
authority information subject to export control regulations. In this case, the organisation should
declare this fact in the report (dedicated field in the Reduced Interface Taxonomy — RIT) to inform its
competent authority. Whereas the authority is required to transfer all safety related information to
the ECR, it is understood that this does not cover information subject to export control.

3.8 To whom should organisations report occurrences?

Key principle
Organisations are required to report occurrences to their competent authority.
In most cases, the competent authority is the one which has certified or approved the organisation.
Examples:
Design organisations approved by EASA: EASA is the competent authority.
Air operators certified by a Member State: that Member State is the competent authority.
In a situation where an organisation has two AOC under two different States (State A and B), it shall
report occurrences involving aircraft operating under the State A AOC to State A competent
authority and occurrences involving aircraft operating under the State B AOC to State B competent
authority.
For organisations which are not certified or approved, the competent authority is the State in which
the organisation is established.
Example:
A ground handling organisation reports its occurrences under Regulation 376/2014 to the State in
which it is established.
3.9 What is the required format to record and transfer

occurrences?
Regulation 376/2014 imposes requirements on organisations related to reporting format and content
(Article 7). This set of requirements applies to all reportable occurrences (MOR and VOR reportable
occurrences).
Key principle
Occurrence reports contained in an organisation database and sent to the competent authority
shall comply with format specifications that include:
— The compatibility with the ECCAIRS software and the ADREP taxonomy
— The use of standardised formats
— The provision of mandatory data fields
In addition, organisations are required to use data quality checking processes and to classify
occurrences according to their safety risk.
Detailed information about these requirements is provided in Sections 3.10 to 3.14.
These obligations apply to occurrence reports registered in organisations databases.

It is recognised that some of the requested information might necessitate detailed assessment or
analysis (e.g. risk classification) and might only be available after the occurrence has been analysed. It
is also recognised that the period required for the notification of the occurrence might not allow the
organisation to provide complete information within its initial notification. However, organisations
should aim to provide the initial report as complete as possible, notably in regards to the safety
assessment, as not all reports may be subject to follow-up report.
The European Commission, with the support of EASA, has developed a European Reporting Portal
which is available here1. This website offers a single address that can be used by reporting
organisations to transfer occurrences to their competent authority in a format that is compliant with
Regulation 376/2014.
Key principle
Using tools and methods provided by the European Commission ensures compliance with format
related legal requirements.
It is understood that organisations and competent authorities may agree on any other method that
brings equivalent level of compliance.
3.10 How to comply with the ADREP/ ECCAIRS compatibility

requirement?
Regulation 376/2014 requires organisations to use formats which are compatible with the ECCAIRS
software2 and the ADREP taxonomy (Article 7(4)).
ADREP taxonomy compatibility is understood as a reporting system which uses the ADREP taxonomy
(as integrated in ECCAIRS). The Reduced Interface Taxonomy (RIT), based on ADREP, is integrated into
the ECCAIRS software and is published by the European Commission. It is maintained by the
Commission, EASA and the Member States in the context of the ECCAIRS Steering Board and
Committee.
ECCAIRS software compatibility is understood as a means of reporting which uses technical means and
data formats that enable a direct upload of information in an ECCAIRS database. Organisations are
expected to agree this technical solution with their competent authority to ensure information is
transferred in a compatible format.
To facilitate organisations complying with these requirements the European Commission, supported
by EASA, has developed standard methods that could be used to comply with the ECCAIRS/ADREP
compatibility requirement.
These acceptable means of compliance are the following:
— E5X file format — mostly meant for large organisations which are producing a large number of
occurrence reports a month.
— European Reporting Portal (off-line and on-line reports) — mostly targeting small or medium
sized organisations which are not producing many occurrence reports a month.
1 http://www.aviationreporting.eu/
2 http://eccairsportal.jrc.ec.europa.eu/

— Use of the ECCAIRS system — would enable the exchange of ECCAIRS files or data transfer
through the DINER software.
The European Reporting Portal1 facilitates the reporting to the competent authority in a format that
is compliant with Regulation 376/2014. It provides on-line and off-line reporting forms which are
compatible with the ADREP taxonomy and the ECCAIRS software.
It is understood that organisations also have the possibility to agree with their competent authority
any other mean that provides similar level of compatibility with ECCAIRS and ADREP.
3.11 How to comply with the standardised format requirement?

Regulation 376/2014 requires industry organisations to use formats which are standardised with a
view to facilitate information exchange (Article 7(4)).
One of the methods for reporting provided by the European Commission is the E5X data transfer file.
Another method is to use the off-line or on-line reporting forms provided on the European Reporting
Portal. It notably provides for standard reporting forms by type of reporting organisation.
3.12 How to comply with the mandatory data fields requirement?

Occurrence databases of organisations subject to Regulation 376/2014 shall contain the mandatory
data fields listed in Annex I (Article 7(1)).
Key principle
The set of common mandatory data fields included in Annex I.1. is required to be provided
includes for each reportable occurrence2.
The set of specific mandatory data fields included in Annex I.2 is required to be provided only for
certain specific occurrences i.e. occurrences for which that data is relevant.
The objective is to ensure that data necessary to the proper understanding of the occurrence is
provided.
Examples:
Aerodrome-related data fields (Location Indicator and Location on the aerodrome) are required to
be provided only if an aerodrome is involved in the occurrence, such as for example a runway
excursion.
Aircraft-related data fields are required to be provided only if one or more aircraft is involved in
the occurrence. This may not be relevant for certain occurrences such as for example a failure of
navigation service, an unauthorised person left unsupervised on apron or an engine production
issue.
2 See definition of reportable occurrence in Section 3.7.i.

Key principle
Mandatory data fields cannot be left blank when they are relevant to the occurrence. They
should always be filled with a value (Annex I).
If the information of any mandatory attribute is not known, the attribute may be transmitted with the
value “Unknown” (Annex I). Other attributes may be relevant in specific circumstances (e.g. ‘‘Not
applicable’’).
The transfer of mandatory data fields should be done in an ECCAIRS/ADREP compatible format
(Article 7(4)) such that it can be uploaded automatically to the ECCAIRS database of the competent
authority (see Section 3.10 on the issue of ECCAIRS/ADREP compatibility).
The European Reporting Portal facilitates the completion of mandatory data fields by indicating the
attributes to be provided.
Regulation 376/2014 foresees the possibility to amend the list of mandatory data fields based on
experience. The Commission, with the support of EASA, will regularly review the completeness and
relevance of the mandatory data fields list and may propose changes to it.
3.13 What is the requirement related to risk classification?

Key principle
Organisations are required to provide a risk classification for each reportable occurrence
(Article 7(1) and Annex I.1.).
Risk classification is one of the common mandatory data fields and should therefore be completed for
each reportable occurrence. It is expected that, where analysis and follow up is needed, such risk
assessment may be preliminary, based on information available at the time of the initial report.
Key principle
Organisations have the possibility to use the risk methodology of their choice.
As from the adoption of the European Risk Classification Scheme (no later than May 2017), competent
authorities will be required to use it to review and classify the risk of occurrences they collect
(Article 7(2)). It shall be noticed that several industry organisations, across aviation domains,
participate in the development of the European Risk Classification scheme. The use of this scheme by
industry organisations would support a better harmonisation of risk classification across the EU. It
should therefore be encouraged.

3.14 How to apply the requirement related to data quality

checking processes?
Key principle
Organisations are required to establish data quality checking processes to ensure the quality of
the information stored in and transmitted from their databases (Article 7(3)).
It is understood that data quality checking processes should address four main areas:
— Errors in data entry
— Completeness of data, specially referring to mandatory data
— Proper use of the ADREP taxonomy
— Improve data consistency, notably between the information collected initially and the report
stored in the database (Article 7(3)).
The European Commission is developing reference material that will help organisations to develop
their own quality rules. This reference material will contain coding guidelines for all mandatorily
occurrences listed in Regulation 2015/1018 and it will be accompanied by the corresponding libraries
detailing the necessary quality checks in the ECCAIRS environment. This reference material will be
made available on the European Reporting Portal as soon as finalised.
3.15 How to apply the requirement related to transfer of analysis

and follow-up?
While all occurrences collected by an organisation (MOR and VOR) are subject to analysis and
follow-up requirements (Article 13(1) and (2)), only those which are reportable (see Section 3.7) are
subject to further reporting obligations to the competent authority.
Key principle
Among reportable occurrences only those for which the analysis (of single occurrence or together
with a group of other occurrences) has led to the identification of an actual or potential aviation
safety risk are covered by the obligation to transfer analysis and follow-up related information.
For those occurrences, Regulation 376/2014 requires organisations to transmit to their
competent authority the results of the analysis performed, if any; and any action to be taken
pursuant to that analysis.
Organisations are required to report preliminary results within 30 days from the date of
notification of the occurrence by the reporter and are encouraged to report final results as soon
available and no later than three months after the notification (Article 13(4) and (5)).
Regulation 376/2014 however gives the competent authority the possibility to require organisations
to transfer information on analysis and follow-up of any other reportable occurrences. It is understood
that the competent authority may require so on a case by case basis or by adopting a general measure
requiring organisations to transfer analysis and follow-up related information of all their reportable
occurrences.

It is understood that organisations shall discuss with their competent authorities to determine in
which cases an actual or potential aviation safety risk is identified out of the analysis. This should
ensure an alignment between the analysis and follow-up information that the organisation intends to
transfer and the one that the competent authority expects to receive. Through the Network of
Aviation Safety Analysts, a common approach will be promoted to ensure consistency among Member
States.
It is understood that the analysis and follow-up of occurrences required under Regulation 376/2014
is taking place in the context of existing processes such as management systems mandated under
implementing rules to Regulation 216/2008, SMS, safety processes required under EU law or similar
safety processes. Where it already exists, it is therefore not intended to create another system
alongside the safety management system of an organisation.
Key principle
Whereas organisations are encouraged to provide complete analysis and follow-up as soon as
available and, in principle, no later than three months after the occurrence notification, it is
recognised that analysing an occurrence may take longer than three months, especially in the
event of a complex investigation or where the services of a specialist investigator are required.
The follow up requirements are not intended to jeopardise the quality and thoroughness of an
occurrence analysis. It may be detrimental to safety if rushed in order to be completed within
the encouraged three months period without properly establishing root cause and determining
relevant remedial action.
Organisations should agree with their competent authority the format and nature of follow up and
details of final analysis to be provided. Through the Network of Aviation Safety Analysts, a common
approach will be promoted to ensure consistency across Member States.
3.16 How shall information collected be handled?

Detailed information on those aspects is contained in Sections 2.12 and 2.13.
Key principle
Organisations are required to take the necessary measures to ensure appropriate confidentiality
of occurrences they collect and to comply with rules on the processing of personal data.
It is notably recognised by Regulation 376/2014 that a clear separation between the departments
handling occurrence reports and the rest of the organisation may be an efficient way to achieve this
objective (Recital 34). This should therefore be encouraged where practicable.
In addition Regulation 376/2014 requires organisations to process personal data only to the extent
necessary for the purposes of this Regulation and in accordance with applicable personal data rules
(Article 15(1)).
Regulation 376/2014 prevents certain actions to be taken against reporters and persons mentioned
in an occurrence report while identifying unacceptable behaviours that are not covered by this
protective framework.

Key principle
Employees and contracted personnel who report or are mentioned in occurrence reports 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 reporter except in cases of
unacceptable behaviour (Article 16(9)).
This principle is implemented by several provisions which prevent certain actions to be taken against
reporters and persons mentioned in an occurrence report while identifying unacceptable behaviours
that are not covered under this protective framework.
It means that if a person reports an occurrence to his/her organisation, the organisation is not allowed
to blame that person or to impose prejudice on him/her on the basis of the occurrence reported. This
rule also applies if the person is not the reporter but is mentioned in the occurrence report.
Key principle
Regulation 376/2014 recognises two exceptions to this principle (Article 16(10)):
Furthermore, Regulation 376/2014 states additional principles limiting the possibility for an
organisation to disclose or use occurrence reports.
Key principle
Organisations can only use an occurrence report for the purpose for which it has been collected
(Article 15(1)).
Organisations are not allowed to make available or use occurrence reports:
(Article 15(2)).
Those limitations to the disclosure or use of occurrence reports apply within the organisation as well
as outside of it.
allowed by the Regulation. Disclosure of information on occurrence reports to judicial authorities is
similarly not allowed.
It is understood from this principle that organisations can use the information with the view to
maintain or improve aviation safety. This covers in particular the measures and actions foreseen under
Article 13. It also includes existing procedures and actions (e.g. safety recommendations,
airworthiness directives, safety information bulletin etc), including sharing of lessons learnt with the
organisation personnel.

It is also understood that ‘for the purpose of maintaining or improving aviation safety’ includes any
measure necessary for safety and therefore can include the suspension of a licence or requesting a
person to do additional training.
Key principle
In addition, there are however few exceptions to those principles.
An organisation shall only disseminate personal details within the organisation in those cases where
it is essential to progress the investigation or to ensure the safety actions are properly taken
(Article 16(2)). In this regards, the organisation may use the same protocols and agreements than the
ones established and consulted with staff representatives to deal with other safety information (e.g.
Flight Data Monitoring).
In order to support all these legal provisions, each organisation is required to adopt internal rules
describing how Just Culture principles are guaranteed and implemented within that organisation
(Article 16(11)). It is specified that staff representatives shall be consulted before the adoption of
these internal rules. The body designated pursuant to Article 16(12) may ask to review the internal
rules of organisations before those internal rules are implemented.
With the support of the Commission and of EASA, staff and employers representatives across aviation
domains have developed a European Corporate Just Culture Declaration which contains principles to
be implemented in each organisation and reflected in its internal Just Culture rules, with a view to
ensure an effective Just Culture within the organisation. This initiative is expected to support a proper
and harmonised implementation of this legal provision and should guarantee a similar level of
protection across European organisations.
In addition a best practice issued from experience in a number of operators is the setting up an
‘occurrence review committee’ within the organisation whose role is to support the practical
implementation of the protection principles.

3.17 How is information transferred to the competent authority

protected?
Information provided by organisations to their competent authority under Regulation 376/2014 is

stored in the competent authority database. Strong protection rules apply to this database (see
Sections 2.12, 2.13, 4.3, 4.7 and 4.8).
All information contained in a competent authority database is later transferred to the European
Central Repository (ECR). The database is subject to even stricter protection rules. Indeed, in addition
to the legal provisions to limiting the possible use of the information, the access to the ECR is restricted
to regulatory and investigation authorities, to the EASA and to the European Commission. This access
is granted by a controlled and restricted personal access code based on unique IP address.

SECTION 4 — COMPETENT AUTHORITIES
4.1 What is the reporting flow implied by the Regulation?

The green boxes and lines in the diagram below illustrate the obligation of the competent authority
in terms of reporting flow. From the day of the reception of the initial report, it has 30 days to integrate
this report in the ECR. In the case of follow-up it has two months to send updated information to the
ECR. These workflow and timeline are applicable to occurrences receive both in the context of
organisations’ mandatory and voluntary reporting schemes.
Diagram 5. Flow of information under Regulation 376/2014
4.2 What information shall be collected by the competent

authority and how should it be handled?
Detailed information on the type of information to be collected by the competent authority is

provided in Section 3.7.
Regulation 376/2014 establishes two different systems, the mandatory one and the voluntary one, in
order to clarify reporting obligations for reporters and for organisations. It is understood that this
differentiation has no impact at the level of the competent authority.

Key principle
All occurrences reported by an organisation to its competent authority in application of
Regulation 376/2014 and its implementing rules shall be handled and addressed in the same
manner by this competent authority.
All occurrences directly by an individual reporter to a competent authority, whether or not it is
reported on the basis of Regulation 2015/1018, shall be handled and addressed in the same
manner by that competent authority
In general, Regulation 376/2014 does not differentiate the way mandatorily reportable and
voluntarily reportable occurrences shall be addressed by the competent authority.
It does, however, impose differentiated requirements to the competent authority for handling,
from one side, occurrences transferred by an organisation and, from the other side, occurrences
directly reported by an individual.
All information collected from organisations, whether it was reported in application of Article 4 or of
Article 5, is subject to similar handling by the competent authority. And all information directly
reported by individuals to the competent authority, whether it was reported in application of Article 4
or of Article 5, is subject to the same analysis and follow-up obligations.
More detailed information on the way information collected should be handled is included in the
questions below.
4.3 How is the information shared among the competent

authorities?
Key principle
The competent authorities (EASA Member States and EASA) share, among them, all information
collected and registered in the respective databases through the means of the European Central
Repository (ECR) (Article 9).
This includes information on occurrences (Article 9(1)) which shall be transferred within 30 days of
receipt as well as information related to their analysis and follow-up which shall be transferred within
2 months of receipt (Article 13(9)). This also includes detailed information about accidents and serious
incidents such as the investigation report (Article 9(2)).
Regulation 376/2014 (Article 10(1)) provides secure full online access to the ECR to any entity
entrusted with regulating civil aviation safety, or any safety investigation authority, within the Union.
It is understood that this includes the Member States Civil Aviation Authorities and Safety
Investigation Authorities, as well as the European Commission, EASA and Eurocontrol. This access
covers the entire content of the ECR i.e. occurrences entered after 15 November 2015 as well as those
which were already contained in the ECR before that date.
Key principle
In addition, if, while handling occurrences, a competent authority identifies safety matters which
may be of interest to another competent authority or which possibly requires safety action to be
taken by another competent authority, it is required to forward all pertinent safety-related
information to that relevant competent authority as soon as possible (Article 9(3)).

It is understood that Regulation 376/2014 does not intend to unnecessarily duplicate the flow of
information between the Member States and EASA.
Therefore, it is understood that certain criteria should be applied in order to identify those
occurrences which may be of interest to another competent authority or possibly requiring safety
action to be taken, and therefore to be communicated to another competent authority.
Situations where information on occurrences should be shared as soon as possible with the relevant
competent authority should be understood as situations where:
— A conclusive safety analysis that summarises individual occurrence data and provides an
in-depth analysis of a safety issue is or may be relevant for another Member State or for EASA.
In the case of EASA this information could be connected to the European Plan for Aviation Safety
or to the role of EASA in safety promotion.
or
— The following criteria are met
i. the occurrence falls in the scope of Regulation 376/2014 (i.e. a Member State or EASA is
the competent authority, the occurrence is reportable under Regulation 376/2014 and
the organisation responsible of addressing the occurrence is subject to Regulation
376/2014), and
ii. the competent authority that received the occurrence has come to the conclusion that
— the organisation to which the occurrence relates and its competent authority have
not been informed of the occurrence; or
— the occurrence has not been properly addressed or has been left unattended by
the organisation.
This mechanism may be supported through exchange of information in the context of the Network of
Aviation Safety Analysts.
4.4 When shall information be transferred to the ECR?

Key principle
Competent authorities are required to send to the ECR initial notifications received from
organisations and individuals within 30 days after registering them in their database
(Article 9(1)).
As imposing ECCAIRS and ADREP compatible reporting will provide an immediate data entry in the
ECCAIRS environment of the competent authority, the time between the reception and registration
of the information should be consider negligible and in practice doable in 30 days since the reception
of the initial notification.
Key principle
Competent authorities are required to send to the ECR information related to analysis and
follow-up no later than 2 months from the registration of the follow-up or final report
(Article 13(9)).

Any additional safety-related information obtained by a Member State or by EASA on any reported
occurrence should be also transmitted to the ECR within the next 2 months after registering such
information.
To facilitate the processing of follow-ups and final reports, the use of standard means should be
promoted. The Network of Aviation Safety Analysts (NoA) and the ECCAIRS Steering Committee will
contribute to develop and promote such standard means.
4.5 What is the required format to record and transfer

occurrences?
Regulation 376/2014 imposes requirements on competent authorities (Article 7). These requirements
apply to all occurrences collected (MOR and VOR) and are similar to those imposed on their
organisations except for risk classification.
Key principle
Occurrence reports sent to the ECR shall comply with format specifications that include
(Article 7)):
— the compatibility with the ECCAIRS software and the ADREP taxonomy
— the use of standardised formats
— the provision of mandatory data fields
— the use of data quality checking processes
— the classification of collected occurrences according to the European common risk
classification scheme
Detailed information about these requirements is provided in Section 3.10 to 3.14.

EASA and the Commission are developing tools to support harmonised data quality and completeness
across the EU by:
— publishing standard quality rules that could be implemented in any IT or database environment
— developing the necessary methods in ECCAIRS environment to facilitate Member States to
comply with mandatory data fields requirements, and
— providing training to Members States to facilitate the proper use of the ADREP taxonomy.
In addition, the European Commission is developing reference material intended to help Member
States to develop their own quality rules. This reference material will contain coding guidelines for all
mandatorily occurrences listed in Regulation 2015/1018 and will be accompanied by the
corresponding libraries detailing the necessary quality checks in the ECCAIRS environment. This
reference material will be made available in the European Reporting Portal as soon as finalised.
Regulation 376/2014 requires Member States and EASA to store and transmit the risk value of each
occurrence received. This value should reflect the risk assessment done (Article 7(2)).

Key principle
When receiving from an organisation the risk classification of an occurrence, the competent
authority is required to review it and if necessary to amend it. It shall then endorse it in
accordance with the common European Risk Classification Scheme (Article 7(2)).
The European Risk Classification Scheme is under development and relevant legal acts should be
adopted by May 2017 to ensure its proper implementation.
Regulation 376/2014 foresees that Article 7(2) will become applicable only after the adoption relevant
legislation defining and proving the implementation rules applicable to the European Risk
Classification Scheme. However, Article 7(1) and Annex I.1 of Regulation 376/2014 require the risk
classification from the application date of the Regulation.
Key principle
Member States and EASA are required to provide the risk classification for each occurrence
registered in their database from 15 November 2015. However, they are not required to review
and amend risk classification transmitted by the organisation, and endorse it in accordance with
the common European Risk Classification Scheme before the adoption of that scheme.
4.6 What are the competent authority obligations in terms of

oversight?
Article 13(8) of Regulation 376/2014 establishes that the competent authority shall have access to the
analysis made and actions taken by organisations it is responsible for. This is notably ensured by the
obligation for organisations to transfer certain information to their competent authority (Article 13(4)
and (5)) and to the possibility for their competent authority to request other information to be
transmitted to it.
Key principle
Regulation 376/2014 requires each competent authority to appropriately monitor actions of the
organisations it is responsible for (Article 13(8)). It is understood that this monitoring obligation
does not require the competent authority to perform a detailed investigation of each single
occurrence it is notified of. This monitoring is notably expected to participate to the overall
oversight functions of a competent authority on organisations it is responsible for.
It is understood that, to perform this responsibility, the competent authority needs to establish a
process to assess the information reported. This process should notably allow the competent
authority to require additional appropriate action to be taken and implemented by the organisation
in situation where it has assessed that the action was inappropriate to address actual or potential
safety deficiencies (Article 13(8)). It should also enable reviewing and validating the risk classification
of the occurrence.
In situations where the monitoring is done over organisations which are outside oversight
responsibilities of the competent authority (ground handling organisations, small aerodromes) it is
understood that the monitoring obligations do not require creating comprehensive oversight
mechanisms such as inspections. It is however expected to allow analysing information transmitted
with the view to monitor the appropriateness of actions adopted.

Key principle
It is understood that not all occurrences reported will require action and that preliminary
assessment made by the competent authority following initial notification may conclude that
certain occurrences should be closed on receipt (no action or further analysis needed).
In such situation, those occurrences should be reviewed if the organisation provides a follow-up or if
additional information gathered by the competent authority questions the initial assessment made
(i.e. by the reception of another report on the same occurrence from a different source).
4.7 How shall information collected be handled?

Key principle
Member States and EASA shall not be prevented from taking any action necessary for
maintaining or improving aviation safety (Article 16(5)).
Detailed information on those aspects is contained in Section 2.12 and 2.13.
Key principle
Member States and EASA are not allowed to record personal details in their database.
Furthermore, they are required to take the necessary measures to ensure the appropriate
data.
Regulation 376/2014 ensures the confidentiality of individual reporter identity and of any other
person involved in reports stored in Member States national occurrence databases and in the EASA
database. Indeed it 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 competent authority database
(Article 16(1), (2) and (3) and Recital 35).
In addition, requirements on the confidentiality of information and processing of personnel data
similar to those imposed to organisations are applicable to the Member States and EASA. Finally,
Recital 33 highlights the need for national rules on freedom of information to take into account the
necessary confidentiality of information.
In addition to limitations to the use and disclosure within and by organisations, Regulation 376/2014
also includes provisions limiting the use of an occurrence report by a State or EASA and guaranteeing
its confidentiality.
Key principle

Key principle
Regulation 376/2014 recognises two exceptions to these principles (Article 16(10)):
Key principle
Competent authorities 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:
(Article 15(2)).
Those limitations to the disclosure or use of occurrence reports apply within the competent authority
as well as outside of it.
Key principle
Article 16(10) with the view to address the risks to safety is allowed by the Regulation. In
addition, any measure necessary for safety can be adopted, including where necessary the
suspension of a licence or requesting a person to do additional training. This is reinforced with
the principle that Member States and EASA shall not be prevented from taking any action
necessary for maintaining or improving aviation safety as stated in Article 16(5).

Key principle
All limitations applicable to disclosure and use of occurrences information contained in
Regulation 376/2014 cover to the entire competent authority database i.e. it applies to all
occurrences contained in the database including those registered in the database prior to
15 November 2015.
The Regulation also requests the Member States competent authorities to cooperate with their
competent authorities for the administration of justice through advance administrative arrangements
(Article 15(4)). It is specified that these advance administrative 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. It is understood that these
advance arrangements should notably cover the access to occurrence reports by judicial authorities
in cases where Regulation 996/2010 is applicable.
4.8 Can the competent authority share information contained in

the ECR and under what conditions?
The ECR being a European database, its access and use are subject to specific rules under EU law.
Key principle
Member States and EASA shall ensure compliance with rules on ECR access and use including for
local access they have to the ECR. Granting direct access to the ECR is limited to defined personnel
in Member States Civil Aviation Authority and Safety Investigation Authority and in EASA. It is
prohibited outside of these cases.
The possibility to provide certain information from the ECR and the processes to be applied are
described in Articles 10 to 12 of Regulation 376/2014.
In this context, third parties may request information contained in the ECR. The request shall be
submitted to the Member State where the third party is established or to the European Commission
when the place of establishment is not a Member State territory. The Member State or the European
Commission will assess the suitability of the request and, if applicable, will provide the requested
information.
Information from the ECR can only be supplied in aggregated (e.g. number of runway incursions for a
given period) or anonymised form (removed of any details, including the name of the organisation
involved in the occurrence, which may reveal the identity of the reporter or of a third party). Non
anonymised information can only be provided if it relates to the requestor own equipment, operations

or field of activity (Articles 2 and 11). It is understood that information unrelated to the requestor own
equipment or operations but related to his field of activity will be provided anonymised.
Requests shall fulfil the criteria stablished in the Articles 10 and 11 of Regulation 376/2014 and will be
subject to individual decision made by the relevant point of contact.
The third party receiving information from the ECR is responsible and liable of ensuring that
information is only used for the purpose specified in the request form, that the information is not
disclosed without the written consent of the information provider and that it has taken the necessary
measures to ensure appropriate confidentiality of the information received.
4.9 How shall States implement Article 16(12) of Regulation

376/2014?
Key principle
Article 16(2) requires the Member States to designate a body responsible for the implementation
of Article 16 (6), (9) and (11).
Article 16(6) states the principle of proceedings limitations; Article 16(9) establishes the principle of
non-prejudice in a corporate context, both principles being subject to the two exceptions mentioned
in Article 16(10). Article 16(11) sets the obligation for organisations to adopt, after consulting its staff
representatives, internal rules describing how ‘Just Culture’ principles are guaranteed and
implemented within that organisation.
Key principle
Full flexibility is given to the Member States to decide which entity shall be entrusted with this
role.
It is understood that it could be an existing entity or an entity established specifically for fulfilling this
responsibility. It is also understood that this entity might be elsewhere entrusted with aviation
responsibilities, judicial responsibilities, ombudsman related responsibilities or with any other
responsibility. Member States are however encouraged to designate an entity which acts
independently from those responsible for the implementation of Article 16 (6), (9) and (11).
The designated entity is responsible for:
— Receiving and handling employees and contracted personnel alleged infringements of the rules
— Advise the relevant authorities of the Member States on the adoption of actions against those
who infringe the principles of protection of the reporter and of other persons mentioned in
occurrence reports, such as remedies or penalties
— Upon its decision, reviewing ‘Just Culture’ internal rules of organisations established in its
Member State.
It is understood that this entity shall coordinate with the authorities of its Member State responsible
for imposing penalties in infringement to the Regulation and shall advise them about remedies or
penalties it intends to adopt (Article 16(12)).
A report detailing the activities of this entity shall be sent to the European Commission every five
years.

SECTION 5 — PRIVATE PILOTS
5.1 Why shall I report occurrences?

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?

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.
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?

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.

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’’.
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 here1.
5.4 How can I know if an occurrence is reportable?

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.
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?
Key principle
Occurrences should be reported even if they happen outside of the European Union.
5.6 To what authority shall I report occurrences?

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?

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 here1. 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?

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?
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.
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).
Key principle

Key principle
Regulation 376/2014 recognises two exceptions to these principles (Article 16(10)):
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:
(Article 15(2)).
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)).

5.10 What can I do if I consider that the above protection rules

have been infringed?
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)).

LIST OF ACRONYMS
LIST OF ACRONYMS
ATM/ANS Air Traffic Management / Air Navigation Services
EASA European Aviation Safety Agency
ECR European Central Repository
FDM Flight Data Monitoring
ICAO International Civil Aviation Organization
IORS Internal Occurrence Reporting System
LOSA Line Operation Safety Audit
MORS Mandatory Occurrence Reporting System
MS Member State
NAA National Aviation Authority
NoA Network of aviation safety Analysts
RIT Reduced Interface Taxonomy
SIA Safety Investigation Authority
SMS Safety Management System
SSP State Safety Programme
VORS Voluntary Occurrence Reporting System

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Easy Access Rules for Occurrence Reporting

(Regulation (EU) No 376/2014)

Published December 20221

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NOTE FROM THE EDITOR

Cover regulation article

This document will be updated regularly to incorporate further amendments.

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Regulation (EU) No 376/2014 N/a 15/11/2015

Implementing Regulation (EU) 2015/1018 N/a 15/11/2015

Regulation (EU) 2018/1139 Article 3 of Regulation (EU) No 376/2014 11/09/2018

Delegated Regulation (EU) 2020/2034 Supplementing Regulation (EU) No 376/2014 1/01/2021

GUIDANCE MATERIAL (GM) (COMMISSION GM)

Guidance Material — Regulation (EU)

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Article 23 — Repeals ........................................................................................................ 35

Commission Implementing Regulation (EU) 2015/1018 ................ 43

Commission Delegated Regulation (EU) 2020/2034 ...................... 61

Commission Implementing Regulation (EU) 2021/2082 ................ 74

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Article 4 — Monitoring and improvement of the ERCS ................................................... 77

Guidance Material — Regulation (EU) No 376/2014 and its

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SECTION 5 — PRIVATE PILOTS ......................................................................................... 134

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REGULATION (EU) NO 376/2014

Powers and recitals

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

1 OJ C 198, 10.7.2013, p. 73.

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determining what action needs to be implemented at Union level from an evidence-based

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For the purposes of this Regulation the following definitions apply:

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Article 3 — Subject matter and scope

1. This Regulation lays down rules on:

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Article 4 — Mandatory reporting

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Article 5 — Voluntary reporting

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Article 6 — Collection and storage of information

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Article 7 — Quality and content of occurrence reports

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Article 8 — European Central Repository

Article 9 — Exchange of information

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(b) when the investigation is completed: