INDUSTRY WORKSHOP REGULATION 3762014 27 April 2015 DG

INDUSTRY WORKSHOP REGULATION 376/2014 - 27 April 2015 - DG MOVE The European Commission and the European Aviation Safety Agency

- REGULATION (EU) 376/2014 - DG MOVE Brussels - 27 April 2015

Background Ø More proactive and evidencebased European Safety Policy Ø Fits in the context of existing safety management processes DG MOVE Industry Workshop -27 April 2015

Ø Main objectives: • Prevent accidents through reporting, analysis and follow-up of relevant safety information at industry, national and EU level • Ensure continued availability of safety information (enhanced Just Culture) • Improve information exchange within the EU Ø Applicable from 15 November 2015 DG MOVE Industry Workshop -27 April 2015

- 376/2014 ROADMAP- DG MOVE Brussels - 27 April 2015

Ø Developed by Commission with EASA help Ø Aim to support MS and industry Ø Collaborative effort Ø Roadmap implementation started in Dec 2014 Ø End in Nov 2015 with application Regulation 376/2014 DG MOVE Industry Workshop -27 April 2015

Ø List of occurrences to be reported under MOR Ø Guidance material Ø Workshops for the industry ² EASA organisations - 4 December 2014 in Cologne ² Entire industry - 27 April 2015 in Brussels Ø Workshops for the Member States ² 30 March 2015 in Brussels ² Autumn in Brussels DG MOVE Industry Workshop -27 April 2015

Ø EU risk classification scheme Ø Technical support ECCAIRS/ADREP compatibility Taxonomy Standard reporting forms European reporting portal Technical means facilitating the implementation of the Regulation ² Trainings ² ² ² DG MOVE Industry Workshop -27 April 2015

Ø Development of a Policy Model for the Internal Industry Just Culture Policy ² 3 meetings (March/ May /June 2015) Ø Communication and promotion material ² For CAT and for GA ² To be develop Summer 2015 Ø High Level Conference ² 1 st October 2015 in Brussels ² Presentation of deliverables DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

- GUIDANCE MATERIAL - DG MOVE Brussels - 27 April 2015

Ø Prepared by the Commission with the support of EASA Ø Objective support common understanding and harmonised application of 376/2014 Ø Scope covers entire Regulation 376/2014 DG MOVE Industry Workshop -27 April 2015

Ø Addressed to: ² Aviation professionals ² Industry organisations ² Aviation competent authorities ² States DG MOVE Industry Workshop -27 April 2015

Timeline Ø 1 st draft circulated - 24 March Ø Discussion with the MS - 30 March Ø Revised draft circulated - 23 April Ø Discussion with the industry - 27 April Ø Revised draft circulated for comments - End May Ø Finalisation and dissemination - Summer 2015 DG MOVE Industry Workshop -27 April 2015

Final structure Ø Divided according to stakeholders’ category targeted Ø Format of questions Ø Include provisions interpretation, key principles, examples, best practices and means of compliance DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

- INDUSTRY WORKSHOP - DG MOVE Brussels - 27 April 2015

Participation DG MOVE Industry Workshop -27 April 2015

DG MOVE Industry Workshop -27 April 2015

DG MOVE Industry Workshop -27 April 2015

REPORTING, ANALYSIS AND FOLLOW-UP OF OCCURRENCES DG MOVE Brussels - 27 April 2015

- REPORTING MAIN PRINCIPLES DG MOVE Industry Workshop -27 April 2015

Ø Clarification of reporters under MORS with examples Ø Clarification of occurrences to be reported under MORS: ² Reportable occurrences are those contained in the IR ² Report occurrences in relevant Annex not all in IR DG MOVE Industry Workshop -27 April 2015

Ø Clarification on reportable occurrences: ² Judgment by reporter when required to assess if aircraft endangered ² When doubt, should report ² Possible assessment by organisations ² Accountability DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

MANDATORY AND VOLUNTARY REPORTING DG MOVE Industry Workshop -27 April 2015

Ø Clarification on differences between MORS and VORS Yes Occurrence Person in Article 4(6) Occ. listed in the IR Yes MORS No No DG MOVE VORS Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

REPORTING AND INFORMATION FLOW - TIMELINE - DG MOVE Industry Workshop -27 April 2015

Timeline Authority stores the report in the National DB Mandatory Report Individuals Reporting to Organization Authority Reporting to ECR 1 M Reporting to Authority Reporting follow-up to Authority 72 h Authority updates report in ECR 72 h Reporting final report to Authority 2 M 1 M 3 M 2 M T 0 Timeline T 0 1 M Individuals 3 M Voluntary Reporting to Organization Reporting to Authority DG MOVE Industry Workshop -27 April 2015

Timeline Ø For Design and Production Organisations, given that: ² The reportable occurrence is the unsafe condition (Part-21 definition), and ² The person to report is the responsible of the identification of the unsafe condition, Ø The T 0 starts when the unsafe condition is identified. DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

INTERACTION WITH REGULATION (EU) NO 216/2008 AND ITS IRS DG MOVE Industry Workshop -27 April 2015

Interaction with BR 216/2008* Linked to approval * Not exhaustive list of requirements Common Requirements Applicable to Foreign organisations Reporting between organisations R 376/2014* Individuals Mandatory list Mandatory fields Deadlines in analysis ECCAIRS/ADREP Data Quality Disidentification Data protection DG MOVE Industry Workshop -27 April 2015

Interaction with BR 216/2008 Ø Reporting requirements existing in other EU legislations are consistent with reporting requirements under Regulation 376/2014 Ø Both obligations should be discharged by one reporting channel avoiding the establishment of two parallel systems Ø Compliance with Regulation 216/2008 and its IRs should not exempt organisations from compliance with this Regulation, and vice versa DG MOVE Industry Workshop -27 April 2015

Interaction with BR 216/2008 Ø EASA is studying a dedicated RMT to update the Implementing Rules of BR 216/2008 and related AMCs and GM to properly reflect requirements defined in Regulation 376/2014 in view to: ² Provide legal certainty on reporting obligations ² Clarify the scope of competent authority oversight and ² Support the promotion of a just culture DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

REPORTING TO THE COMPETENT AUTHORITY DG MOVE Industry Workshop -27 April 2015

Information flow Initial notification* Yes Occurrence Person in Article 4(6) Report to organisation Report to Comp. Aut. Report to ECR Occ. listed in the IR No No Possibility to report to organisation Occurrence involves safety risk Yes No No 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 the Regulation that individuals may report directly to the competent authority. DG MOVE Industry Workshop -27 April 2015

Information flow Analysis and follow-up notification* Occurrence notified by the organisation to the Comp. Aut. Organisation analyses occurrence and adopt relevant action, if any Yes Organisation identifies safety risk No Report analysis results and action to the Comp. Aut. No obligation to report but Comp. Aut. may ask the reporting Transfer to ECR *Note: for the purpose of simplification, the scheme only addresses the reporting through organisations while the competent authority may receive occurrences directly from individuals. DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

ANALYSIS AND FOLLOW-UP DG MOVE Industry Workshop -27 April 2015

Ø Analysis and follow-up required under 376/2014 fits into existing processes ² Management systems ² SMS ² Similar safety processes require by EU law or equivalent Ø Not intended to create a parallel system but ensure system exists and support it DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

REPORTING FORMAT AND RELATED REQUIREMENTS DG MOVE Brussels - 27 April 2015

Support for Reporting • Free format (C. A. Forms) • Organisation Manual • • • ECCAIRS Minimum Data Fields EU Risk Classification Data Quality checks ECCAIRS/ADREP Compatibility Reporting means Minimum Data Fields Risk Classification Data Quality checks DG MOVE Industry Workshop -27 April 2015

ADREP/ECCAIRS Compatibility Ø ADREP taxonomy compatibility means a reporting using a taxonomy compliant with the latest version of the ADREP taxonomy as integrated in ECCAIRS. This could be done by using the so-called RIT, defined and maintained at EU level Ø ECCAIRS software compatibility means using mean of reporting which uses technical means and data formats that enables a direct upload of information in an ECCAIRS database. Organisations are expected to agree this technical solution with their competent authority DG MOVE Industry Workshop -27 April 2015

Compatible Reporting Means Ø Acceptable means available to facilitate compliance: ² Off-line reporting form (mostly for individuals, small/med organisations) ² On-line reporting form (mostly for individuals, small/med organisations) ² E 5 X file format (mostly for large organisations) ² Use of the ECCAIRS system Ø Organisations can agree with their Competent Authority any other means that provide similar levels of completeness and quality of data, and use the ADREP taxonomy DG MOVE Industry Workshop -27 April 2015

Compatible Reporting Means Off-line report On-line report Data transfer file (E 5 X) DG MOVE Industry Workshop -27 April 2015

What This Means Ø Reduced Interface Taxonomy - Subset of ADREP ² We encourage organisations to use the RIT in their systems ² Welcome feedback and support to improve taxonomy Ø E 5 X Data Transfer Format ² EASA working with SMS Software Companies to enable compatibility for their user communities ² Support available for organisations through EASA and NAAs Ø European Portal - On-line and off-line reporting ² Standardises and simplifies reporting to competent authority ² Reports offered: GA Report, Flight Operations, Aerodrome, ATM, Birdstrike, Dangerous Goods and Technical DG MOVE Industry Workshop -27 April 2015

Mandatory Data Fields Ø Organisations and competent authorities databases shall contain the mandatory data fields listed in Annex I Ø Mandatory data fields include common data fields as well as fields to be provided only when relevant in the context of the occurrence Ø If the information is not known, it may be transmitted with the value “Unknown” or other relevant value (e. g. "Not applicable”) DG MOVE Industry Workshop -27 April 2015

Data Quality Checks Ø Data quality check should address: ² Errors in data entry ² Completeness of data, specially referring to mandatory data, ² Proper use of the ADREP taxonomy ² Improve data consistency Ø EASA and the JRC should support by: ² Publishing standard quality rules ² Developing the necessary methods in ECCAIRS environment to facilitate MS achieving ² Providing the necessary training DG MOVE Industry Workshop -27 April 2015

European Risk Classification Ø All organisations, Member States and EASA shall store and transmit the occurrence risk value Ø Only MS and EASA are required to use EU RC Scheme Ø Organisations can use any risk methodology Ø The competent authority shall review, amend and endorse RC in accordance with the EU RC Scheme DG MOVE Industry Workshop -27 April 2015

European Risk Classification Ø Timescales for Development – 2 Phases of Work ² Phase 1 – 2015: Development of structure and concepts of the European Risk Classification Scheme ² Phase 2 – 2016: Development of supporting material for implementation Ø Key principles established from previous work carried out in ECAST and No. A Sub Group compatibility with ARMS/ RAT etc DG MOVE Industry Workshop -27 April 2015

European Risk Classification Ø Commission gave EASA responsibility for leading the activity Ø Commission provided detailed To. Rs to EASA for the work Ø Group established in January and 1 st meeting held on 10 -11 March DG MOVE Industry Workshop -27 April 2015

European Risk Classification Ø Membership from cross section of industry ² ATM – CANSO and Eurocontrol ² NAAs – France, Spain and UK ² ARMS Developers and Research Organisations ² Airlines and Trade Organisations (AEA, EBAA, ERA, IACA, IATA) ² Airports (ACI Europe) and Manufacturers (ASD) Ø First meeting reviewed existing schemes and agreed work programme DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

INFORMATION USE AND PROTECTION TO SOURCES AND OTHERS INVOLVED DG MOVE Brussels - 27 April 2015

JUST CULTURE IN CONTEXT OF AN ORGANISATION DG MOVE Industry Workshop -27 April 2015

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 DG MOVE Industry Workshop -27 April 2015

Ø Organisations are required to adopt internal rules to support the implementation of this principle Ø Mandatory consultation of staff representatives Ø Template policy and guidance will be prepared to support industry DG MOVE Industry Workshop -27 April 2015

Ø Two exceptions to protection principle ² cases of wilful misconduct ² unacceptable behaviour i. e. 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 DG MOVE Industry Workshop -27 April 2015

Ø In line with Just Culture principle where individuals are protected but not absolve from their normal responsibilities Ø Not protect for the sake of protecting but for encouraging people to report DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

JUST CULTURE IN CONTEXT OF THE STATE DG MOVE Industry Workshop -27 April 2015

Ø MS prevented to institute proceedings on the basis of occurrences unless if national criminal law allows it Ø When administrative or disciplinary proceedings instituted, information cannot be used against reporter or other involved DG MOVE Industry Workshop -27 April 2015

Ø Two exceptions to protection principle ² cases of wilful misconduct ² unacceptable behaviour i. e. 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 DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

LIMITATIONS TO INFORMATION AVAILABILITY AND USE DG MOVE Industry Workshop -27 April 2015

Ø Strong limitations to sharing and use of information from occurrence reports Ø Principle : organisations, MS and EASA shall not make available or use the information: ² in order to attribute blame or liability or ² for any purpose other than the maintenance or improvement of aviation safety DG MOVE Industry Workshop -27 April 2015

Ø Principle: Member States and EASA shall not be prevented from taking any action necessary for maintaining or improving aviation safety DG MOVE Industry Workshop -27 April 2015

Ø Information cannot be made available or used to attribute blame or liability towards the reporter or any other person mentioned in the report Ø Sharing occurrences information to answer request from citizens under FOI or from judicial authorities prevented DG MOVE Industry Workshop -27 April 2015

Exception Situations in which an investigation under Regulation (EU) No 996/2010 has been instituted DG MOVE Industry Workshop -27 April 2015

QUESTIONS? DG MOVE Industry Workshop -27 April 2015

CONCLUSION DG MOVE The European Commission and the European Aviation Safety Agency