Aviation Safety [EU]

Civil aviation accidents and incidents

Regulation (EU) No 996/2010 — investigation and prevention of accidents and incidents in civil aviation

It aims to improve aviation safety by ensuring a high level of efficiency, expediency, and quality of European civil aviation safety investigations.
It lays down rules concerning the timely availability of information relating to all persons and dangerous goods on board an aircraft involved in an accident.
It also aims to improve the assistance to the victims of air accidents and their relatives.

Scope

This regulation applies to safety investigations into accidents* and serious incidents*:
which occur in the territories of European Union (EU) countries;
which occur outside the territories of the EU countries but involve aircraft registered in an EU country or which are operated by a company established in an EU country;
in which an EU country is entitled (according to international standards and recommended practices) to appoint an accredited representative to participate in the investigation;
in which an EU country — having special interest by virtue of fatalities or serious injuries to its citizens — is permitted by the country conducting the investigation to appoint an expert.

The regulation does not apply to safety investigations into accidents and serious incidents which involve aircraft engaged in military, customs, police or similar services.

Independent safety investigation authorities (SIAs)

Each EU country must ensure that safety investigations into civil aviation accidents and serious incidents are conducted, without external interference, by a permanent national civil aviation safety investigation authority (SIA).

Each SIA must be functionally independent from any authority or of any other party which could conflict with its tasks or influence its objectivity.

Each SIA must be capable of independently conducting a full safety investigation. EU countries must provide their respective SIAs with the means and finances — including a budget — to carry out their responsibilities independently and have access to sufficient resources.

In particular, the SIA must have at its disposal qualified personnel and adequate facilities including offices and hangars to store and examine the aircraft, its contents and its wreckage.

Obligation to investigate

Every accident or serious incident involving aircraft other than those specified in Annex II to Regulation (EC) No 216/2008 must be the subject of investigation in the EU country of the territory of which it occurred.

SIAs may decide to investigate incidents other than the ones referred in the above paragraph, as well as accidents and serious incidents to other types of aircraft, when they expect to draw safety lessons from them.

In no event may safety investigations be concerned with apportioning blame or liability. They must be independent of, separate from and without prejudice to any judicial or administrative proceedings to apportion blame or liability.

Cooperation between safety investigation authorities

The regulation allows for cooperation between SIAs as well as for the possibility of delegating tasks.

European Network of Civil Investigation Authorities (ENCASIA)

EU countries must ensure that their SIAs establish among themselves a European Network of Civil Aviation Safety Investigation Authorities (ENCASIA) to:

further improve the quality of the investigations conducted by SIAs and to strengthen their independence;
encourage high standards in investigation methods and investigator training.
Investigation

Notwithstanding any judicial investigation, the investigator-in-charge has the authority to take the necessary measures to satisfy the requirements of the safety investigation. Among other things, the investigator is entitled to:
have immediate unrestricted and unhampered access to the accident or incident site as well as to the aircraft, its contents or wreckage;
require that evidence is collected and debris or components are removed for analysis;
request autopsies and the medical examination of the people involved in the operation of the aircraft;
call witnesses and require them to give evidence.

The EU country in the territory of which an accident or serious incident occurred is responsible for ensuring safe treatment and protection of all evidence.

Coordination with other authorities

EU countries must ensure that SIAs and other authorities (e.g. judicial, civil aviation, search and rescue involved in the safety investigation) cooperate with each other via advanced arrangements, providing that those arrangements do not compromise SIAs’ independence.

EU countries must communicate these arrangements to the European Commission, which has to transmit them to the ENCASIA Chairman, the European Parliament and the Council of the European Union.
Confidentiality and appropriate use of information

The regulation establishes a list of records that must not be made available or used for purposes other than safety investigation (e.g. Flight Data Recorder data, draft reports, identity of persons who have given evidence, notes of investigators).
Rules in the regulation on confidential use of information, including information, such as serial and registration numbers, which directly identify aircraft subject to an occurrence report, are amended by Regulation (EU) No 376/2014. The regulation also recognises that the administration of justice or the authority competent may decide on the disclosure of records according to the national law. EU countries may decide to limit the cases in which such a decision of disclosure may be taken, while respecting EU legal acts.

Assistance for victims and relatives

EU countries must each put in place a national civil aviation accident emergency plan with provisions for assistance to victims of accidents and their relatives. They must also ensure that airlines have their own plan to help victims and their relatives, taking particular account of psychological support.

EU countries should also encourage non-EU airlines operating within the EU to adopt a similar plan.
Each EU country concerned by an accident must appoint a person as a point of contact and information for victims and relatives.
Airlines must offer travellers the opportunity to give the contact data of a person to be contacted in the event of an accident. The name of a person on board must not be made public before the relatives of that person have been informed.

Report and safety recommendations

During the investigation the safety authority will recommend any prompt action it considers necessary to enhance aviation safety to persons responsible for aircraft or aircraft equipment manufacture or maintenance, and to aircraft operators or for personnel training.

The investigation concludes with a report containing safety recommendations after final consultations with the authorities concerned, including the European Aviation Safety Agency. The final report is published in the shortest possible time, if possible within 12 months of the date of accident or incident. The authority will also record responses to its recommendations.

Each party receiving a safety recommendation, including the safety authorities at national and EU level, must also monitor the progress of the action taken in response to the safety recommendations received.
The regulation repeals Directive 94/56/EC.

Application & Background

It has applied since 2 December 2010.

For more information, see:

‘Civil Aviation Accident and Incident Investigations’ on the European Commission’s website
KEY TERMS

accident: an occurence associated with the operation of an aircraft which takes place between the time any person boards the aircraft with the intention of flight and all such persons have disembarked, and in which any person suffers death or serious injury, or in which the aircraft receives substantial damage.

incident: an occurrence, other than an accident, associated with the operation of an aircraft which affects or could affect the safety of operations.

MAIN DOCUMENT

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, pp. 35-50)

Successive amendments to Regulation (EU) No 996/2010 have been incorporated in the original text. This consolidated version is of documentary value only.

RELATED ACTS

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, pp. 18-43)

Occurrences in civil aviation — reporting, analysis and follow-up

Regulation (EU) No 376/2014 — reporting, analysis and follow-up of civil aviation accidents and incidents

It aims to improve aviation safety in the EU and globally by ensuring that relevant safety information relating to civil aviation is reported, collected, stored, protected, exchanged, disseminated and analysed.

The regulation sets out rules on:

the reporting of occurrences which would endanger an aircraft, its occupants and any other person, equipment or installation affecting aircraft operations;
the reporting of other relevant safety-related information in that context.

Mandatory reporting

Occurrences which may represent a significant risk to aviation safety must be reported, including those related to:
the operation of the aircraft, e.g. collision-related events and in-flight events;
technical conditions, maintenance and repair of an aircraft, e.g. structural defects and system malfunctions;
air navigation services and facilities, e.g. collisions, near collisions or potential for collisions;
aerodromes and ground services, e.g. handling of passengers, bags, mail and cargo.

The comprehensive list of occurrences to be reported under mandatory systems is detailed in Commission Implementing Regulation (EU) 2015/1018.
The responsible persons in each case (e.g. the pilot or the person signing an airworthiness certificate) must report occurrences within 72 hours of becoming aware of them, unless exceptional circumstances prevent this.

Reporting system

Each organisation established in an EU country must set up mandatory and voluntary reporting systems for the collection, evaluation, processing, analysis and storage of occurrences reported.

Each EU country and the European Aviation Safety Agency (EASA) must set up mandatory and voluntary reporting systems for the collection, evaluation, processing, analysis and storage of occurrences reported, including those reported to them by the organisations.
Small organisations may be allowed to put in place a simplified mechanism for the collection and storage of details of occurrences.

Each EU country and the EASA must send the occurrences they have collected to a European central repository (ECR) that is managed by the European Commission.

Risk classification

The regulation requires the Commission to develop, no later than 15 May 2017, a common European risk classification scheme to enable the organisations, EU countries and the EASA to classify occurrences according to their safety risk.

Exchange of information

Through the ECR, the EU countries and the EASA must make all safety-related information stored in their respective reporting databases available to the competent authorities of the other EU countries, the EASA and the Commission.

Any person or organisation entrusted with regulating civil aviation safety or any safety investigation authority within the EU has full access, secure and online, to information on occurrences contained in the ECR.

Confidentiality and protection of sources of information

Handling of reports must be done with a view to preventing the use of information for purposes other than safety.
In order to promote a ‘just culture’, safeguards must be put in place to keep the identity of the reporter and those mentioned in the occurrence reports confidential.

Employees must not be subject to any prejudice by their employer on the basis of an occurrence report. A few exceptions are defined such as the case of wilful misconduct on the part of an employee.

Except if national criminal law envisages otherwise, EU countries cannot institute proceedings on the basis of reports against sources and, in the event of proceedings, the information outlined in the record of events must not be used against the reporters or the persons mentioned in the record of events. An exception to this rule is made where there has been a serious disregard of an obvious risk and a profound failure of professional responsibility to take such care as is evidently required in the circumstances, which could cause foreseeable damage to a person or property, or seriously compromise the level of aviation safety.

Application & Background

It has applied since 15 November 2015.

For more information, see:

Accident prevention through occurrence reporting

MAIN DOCUMENT

RELATED ACTS

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 (OJ L 163, 30.6.2015, pp. 1-17)

Airworthiness and environmental certification

Regulation (EU) No 1321/2014 on the continuing airworthiness of aircraft and aeronautical products, parts and appliances, and on the approval of organisations and personnel involved in these tasks

Regulation (EU) No 748/2012 — 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

Regulation (EU) No 1321/2014 aims to ensure that aircraft (and any component to be installed in and on them) continue to be airworthy.
Regulation (EU) No 748/2012 aims to ensure the airworthiness and environmental certification of aircraft and associated products, parts and appliances, and that design and production organisations are certified.
Both regulations deal with different certificates as any certificate, approval, licence, authorisation, attestation or other document issued as the result of a certification attesting compliance with the applicable requirements.The agency EASA should develop certification specifications* to facilitate the need to ensure uniformity in the application of common technical requirements in the field of continuing airworthiness of aeronautical parts and appliances.

Key Points

Regulation (EU) No 1321/2014 sets out technical rules and procedures for aircraft and components to ensure aircraft, including any component for installation in or on them, continue to be airworthy, and which are:

registered in an EU country, unless their safety oversight has been delegated to a non-EU country and they are not used by an EU operator; or
registered in a non-EU country and used by an EU operator, where their safety oversight has been delegated to an EU country; or
registered in a non-EU country for which safety oversight has not been delegated to an EU country that are dry leased by a licenced air carrier in accordance with Regulation (EC) No 1008/2008 (see summary).

With detailed provisions outlined in various annexes, the regulation covers requirements and procedures for:

continuing airworthiness*, including rules relating to the relevant oversight organisations designated by EU countries;
maintenance* organisation approvals;
certifying staff qualification and licence requirements;
training organisation approvals, including for basic training, type training, examinations, and the ability to issue training certificates.

Regulation (EU) No 748/2012 lays down rules for the airworthiness and environmental certification of aircraft products, parts and appliances including conditions for:

type-certificates;
certificates of airworthiness, permits to fly and authorised release certificates;
repair design approvals;
compliance with environmental protection requirements;
noise certificates;
identification of products, parts and appliances;
certification of certain parts and appliances;
certification of design and production organisations;
airworthiness directives.

Delegated Regulation (EU) 2019/897 amends the regulation to include risk-based compliance verification and additional rules on implementing environmental protection.

Application & Background

Regulation (EU) No 1321/2014 has applied since 6 January 2015.
Regulation (EU) No 748/2012 has applied since 10 September 2012.

MAIN DOCUMENTS

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 (OJ L 362, 17.12.2014, pp. 1-194)

Successive amendments to Regulation (EU) No 1321/2014 have been incorporated into the original document. This consolidated version is of documentary value only.

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, pp. 1-85)

See consolidated version.

Civil aviation rules and the EASA

Regulation (EU) 2018/1139 on common rules in the field of civil aviation and establishing a European Union Aviation Safety Agency

It aims to establish a high and uniform level of civil aviation safety while ensuring environmental protection.

It updates aviation safety law and includes:

a revised mandate for the European Aviation Safety Agency (EASA);
new rules designed to allow the EU aviation sector to grow, make it more competitive and encourage innovation.

Key Points

The regulation covers all key areas of aviation including:

airworthiness;
aircrews;
aerodromes;
air operations; and
air navigation services.

The regulation:

includes rules for unmanned aircraft (civil drones);
aims to facilitate simpler rules for sport and recreational aviation;
sets out a division of tasks between the EU and national authorities;
repeals three previous regulations (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);
amends two directives (Directives 2014/30/EU on reducing interference between electrical and electronic devices and 2014/53/EU on the commercialisation of radio equipment) and four regulations ((EC) No 2111/2005 on the establishment of a list of banned air carriers and on the identity of the operating carrier, (EC) No 1008/2008 on the operation of air services, (EU) No 996/2010 on civil aviation accidents and incidents, (EU) No 376/2014 on occurrences in civil aviation); and
complements Regulations (EU) No 1321/2014 on airworthiness and (EU) No 748/2012 on environmental certification.

Main changes and additions

The regulation updates EU safety legislation in the aviation sector. Essential requirements are established for aircraft with respect to their airworthiness and environmental compatibility. Manufacturers will be required to issue certificates of airworthiness, in accordance with the technical requirements.

It introduces risk- and performance-based rules which set objectives but leave some flexibility as to the means for achieving them. It also promotes taking non-binding measures (such as safety promotion actions) whenever this is possible.

It revises the scope of some rules, by excluding small, single occupancy hot-air balloons, adjusting the weight limits for sailplanes, and adding light electric aircraft. It introduces reforms to:

deal with the growth of air traffic;
increase security;
reduce costs, delays and the impact of air traffic on the environment.
Cabin crew involved in commercial air transport are subject to certification and should be issued with an attestation. The European Commission has established detailed rules and procedures for the qualification of cabin crew members. The regulation also sets out essential requirements for safe ground handling services, which are now included within the scope of the regulation, and closes a number of other safety gaps.

A new chapter on aviation safety management is introduced, establishing the European Aviation Safety Programme, covering the whole aviation safety system.

Civil drones

The regulation introduces essential requirements for drones. The rules are meant to be proportionate to the risk of the particular operation or type of operation and state that the drone must be safely controllable and manoeuvrable. It should be designed to fit its function and intended type of operation, and take into account privacy and protection of personal data by design and by default. Identification of the drone and of the nature and purpose of the operation should also be possible.

The drone operator should be responsible for its operation and should have knowledge and skills proportionate to operating the drone safely. Organisations involved in drone design, production, maintenance, operations, related services and training, must establish a safety occurrence reporting system.

The regulation specifies the registration threshold that applies to drone operators: operators must be registered if they operate drones which can transfer more than 80 Joules of kinetic energy upon impact with a person. This threshold can be amended in the future without lengthy procedures to take account of developments in this area.

Depending on the nature and risk of the activity, the operational characteristics of the aircraft and the characteristics of area of operation, a certificate may be required for design, production, maintenance and operation as well as for personnel, including remote pilots.

The Commission will draw up detailed rules for drones, which are now defined as ‘aircraft operated or designed to be operated without a pilot on board’, and for drones’ operation with the help of EASA, on the basis of principles set out in the regulation.

European Aviation Safety Agency (EASA)

The regulation extends EASA’s scope to safety-related aspects of security, such as cybersecurity, and to environmental protection.

It establishes a mechanism for the pooling and sharing of aviation inspectors, and other technical assistance to support EU countries in certification, oversight and enforcement tasks.

The electronic information repository established by the Agency to ensure effective cooperation between the Agency and the national competent authorities includes information on the reallocation by one EU country to another or to the Agency of responsibilities related to certification, oversight and enforcement, as well as measures concerning flights above conflict zones.

Application & Background

It has applied since 11 September 2018.

BACKGROUND

MAIN DOCUMENT

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, pp. 1-122)

Aviation Safety [EU]

Civil aviation accidents and incidents

Scope

Independent safety investigation authorities (SIAs)

Obligation to investigate

Cooperation between safety investigation authorities

Coordination with other authorities

Assistance for victims and relatives

Report and safety recommendations

Application & Background

MAIN DOCUMENT

Occurrences in civil aviation — reporting, analysis and follow-up

Mandatory reporting

Reporting system

Risk classification

Exchange of information

Confidentiality and protection of sources of information

Application & Background

MAIN DOCUMENT

Airworthiness and environmental certification

Key Points

Application & Background

MAIN DOCUMENTS

Civil aviation rules and the EASA

Key Points

Main changes and additions

Civil drones

European Aviation Safety Agency (EASA)

Application & Background

MAIN DOCUMENT

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