DG MOVEDG MOVE
INDUSTRY WORKSHOP REGULATION
376/2014- 27 April 2015 -
The European Commission and the European Aviation Safety Agency
DG MOVEDG MOVE
- REGULATION (EU) 376/2014-
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
More proactive and evidence-based European Safety Policy
Fits in the context of existing safety management processes
Background
DG MOVEDG MOVE Industry Workshop -27 April2015
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
Applicable from 15 November 2015
DG MOVEDG MOVE
- 376/2014 ROADMAP-
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
Developed by Commission with EASA help
Aim to support MS and industry
Collaborative effort
Roadmap implementation started in Dec 2014
End in Nov 2015 with application Regulation 376/2014
DG MOVEDG MOVE Industry Workshop -27 April2015
List of occurrences to be reported under MOR
Guidance material
Workshops for the industry EASA organisations - 4 December 2014 in Cologne Entire industry - 27 April 2015 in Brussels
Workshops for the Member States 30 March 2015 in Brussels Autumn in Brussels
DG MOVEDG MOVE Industry Workshop -27 April2015
EU risk classification scheme
Technical support ECCAIRS/ADREP compatibility Taxonomy Standard reporting forms European reporting portal Technical means facilitating the implementation of
the Regulation Trainings
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Development of a Policy Model for the Internal Industry Just Culture Policy 3 meetings (March/ May /June 2015)
Communication and promotion material For CAT and for GA To be develop Summer 2015
High Level Conference 1st October 2015 in Brussels Presentation of deliverables
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE
- GUIDANCE MATERIAL -
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
Prepared by the Commission with the support of EASA
Objectivesupport common understanding and
harmonised application of 376/2014
Scopecovers entire Regulation 376/2014
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Addressed to:Aviation professionals
Industry organisations
Aviation competent authorities
States
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1st draft circulated - 24 March
Discussion with the MS - 30 March
Revised draft circulated - 23 April
Discussion with the industry - 27 April
Revised draft circulated for comments - End May
Finalisation and dissemination - Summer 2015
Timeline
DG MOVEDG MOVE Industry Workshop -27 April2015
Final structure Divided according to targeted
stakeholders’ category
Format of questions
Include provisions interpretation, key principles, examples, best practices and means of compliance
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE
- INDUSTRY WORKSHOP -
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
Participation
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DG MOVEDG MOVE Industry Workshop -27 April2015
DG MOVEDG MOVE
REPORTING, ANALYSIS AND FOLLOW-UP OF OCCURRENCES
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
- REPORTING - MAIN PRINCIPLES
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Clarification of reporters under MORS with examples
Clarification of occurrences to be reported under MORS:
Reportable occurrences are those contained in the IR
Report occurrences in relevant Annex not all in IR
DG MOVEDG MOVE Industry Workshop -27 April2015
Clarification on reportable occurrences:
Judgment by reporter when required to assess if aircraft endangered
When doubt, should report
Possible assessment by organisations
Accountability
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QUESTIONS?
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MANDATORY AND VOLUNTARY REPORTING
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Clarification on differences between MORS and VORS
Occurrence Person in Article 4(6)
Yes Occ. listed in the IR MORS
VORSNo
Yes
No
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE Industry Workshop -27 April2015
REPORTING ANDINFORMATION FLOW
- TIMELINE -
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Timeline
Mandatory Report
Reporting to Organization
T0
72h
Reporting follow-up to Authority
1M
Reporting final report to Authority
Authority Reporting to ECR
Authority stores the report in the National DB
1M
Authority updates report in ECR
2M
Voluntary Report
T0
Reporting to Organization
Reporting to Authority
1M
72h 2M
3M
Reporting to Authority
72h
3M
Indi
vidu
als
Indi
vidu
als
Timeline
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Timeline
For Design and Production Organisations, given that:
The reportable occurrence is the unsafe condition (Part-21 definition), and
The person to report is the responsible of the identification of the unsafe condition,
The T0 starts when the unsafe condition is identified.
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE Industry Workshop -27 April2015
INTERACTION WITH REGULATION (EU) NO 216/2008 AND ITS IRS
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Interaction with BR216/2008
Com
mon
R
eq
uir
em
en
ts
BR216/2008* R376/2014*
* Not exhaustive list of requirements
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Reporting requirements existing in other EU legislations are consistent with reporting requirements under Regulation 376/2014
Both obligations should be discharged by one reporting channel avoiding the establishment of two parallel systems
Compliance with Regulation 216/2008 and its IRs should not exempt organisations from compliance with this Regulation, and vice versa
Interaction with BR216/2008
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EASA is studying a dedicated RMT to update the Implementing Rules of BR216/2008 and related AMCs and GM to properly reflect requirements defined in Regulation 376/2014 in view to:
Provide legal certainty on reporting obligations Clarify the scope of competent authority
oversight and Support the promotion of a just culture
Interaction with BR216/2008
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE Industry Workshop -27 April2015
REPORTING TO THE COMPETENT AUTHORITY
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Information flow
Initial notification*
OccurrencePerson in
Article 4(6)
Yes
No
Occ. listed in the IR
Yes
No
Report to organisation
Report to Comp. Aut.
Report to ECR
Possibility to report to
organisation
Occurrence involves
safety risk
Yes
NoNo 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 MOVEDG MOVE Industry Workshop -27 April2015
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 MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE Industry Workshop -27 April2015
ANALYSIS AND FOLLOW-UP
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Analysis and follow-up required under 376/2014 fits into existing processes
Management systems SMS Similar safety processes require by EU law or
equivalent
Not intended to create a parallel system but ensure system exists and support it
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QUESTIONS?
DG MOVEDG MOVE
REPORTING FORMAT AND RELATED REQUIREMENTS
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
Support for Reporting
Individual
Organisation
ECR
Competent Authority
• ECCAIRS/ADREP Compatibility• Reporting means• Minimum Data Fields• Risk Classification• Data Quality checks
• Free format (C.A. Forms)
• ECCAIRS• Minimum Data Fields• EU Risk Classification• Data Quality checks
• Organisation Manual
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ADREP/ECCAIRS Compatibility
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
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 MOVEDG MOVE Industry Workshop -27 April2015
CompatibleReporting Means
Acceptable means available to facilitate compliance: Off-line reporting form (mostly for individuals, small/med
organisations) On-line reporting form (mostly for individuals, small/med
organisations) E5X file format (mostly for large organisations) Use of the ECCAIRS system
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 MOVEDG MOVE Industry Workshop -27 April2015
Off-line report
On-line report
Data transfer file (E5X)
CompatibleReporting Means
DG MOVEDG MOVE Industry Workshop -27 April2015
What This Means
Reduced Interface Taxonomy - Subset of ADREP We encourage organisations to use the RIT in their systems Welcome feedback and support to improve taxonomy
E5X Data Transfer Format EASA working with SMS Software Companies to enable
compatibility for their user communities Support available for organisations through EASA and NAAs
European Portal - On-line and off-line reporting Standardises and simplifies reporting to competent authority Reports offered: GA Report, Flight Operations, Aerodrome, ATM,
Birdstrike, Dangerous Goods and Technical
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Mandatory Data Fields
Organisations and competent authorities databases shall contain the mandatory data fields listed in Annex I
Mandatory data fields include common data fields as well as fields to be provided only when relevant in the context of the occurrence
If the information is not known, it may be transmitted with the value “Unknown” or other relevant value (e.g. "Not applicable”)
DG MOVEDG MOVE Industry Workshop -27 April2015
Data Quality Checks
Data quality check should address: Errors in data entry Completeness of data, specially referring to mandatory
data, Proper use of the ADREP taxonomy Improve data consistency
EASA and the JRC should support by: Publishing standard quality rules Developing the necessary methods in ECCAIRS
environment to facilitate MS achieving Providing the necessary training
DG MOVEDG MOVE Industry Workshop -27 April2015
European Risk Classification
All organisations, Member States and EASA shall store and transmit the occurrence risk value
Only MS and EASA are required to use EU RC Scheme
Organisations can use any risk methodology The competent authority shall review, amend
and endorse RC in accordance with the EU RC Scheme
DG MOVEDG MOVE Industry Workshop -27 April2015
European Risk Classification
Timescales for Development – 2 Phases of Work Phase 1 – 2015: Development of structure and
concepts of the European Risk Classification Scheme
Phase 2 – 2016: Development of supporting material for implementation
Key principles established from previous work carried out in ECAST and NoA Sub Group - compatibility with ARMS/ RAT etc
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European Risk Classification
Commission gave EASA responsibility for leading the activity
Commission provided detailed ToRs to EASA for the work
Group established in January and 1st meeting held on 10-11 March
DG MOVEDG MOVE Industry Workshop -27 April2015
European Risk Classification
Membership from cross section of industry ATM – CANSO and Eurocontrol NAAs – France, Spain and UK ARMS Developers and Research Organisations Airlines and Trade Organisations (AEA, EBAA, ERA,
IACA, IATA) Airports (ACI Europe) and Manufacturers (ASD)
First meeting reviewed existing schemes and agreed work programme
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE
INFORMATION USE AND PROTECTION TO SOURCES AND OTHERS INVOLVED
Brussels - 27 April 2015
DG MOVEDG MOVE Industry Workshop -27 April2015
JUST CULTURE IN CONTEXT OF AN ORGANISATION
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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
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Organisations are required to adopt internal rules to support the implementation of this principle
Mandatory consultation of staff representatives
Template policy and guidance will be prepared to support industry
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Two exceptions to protection principle cases of wilful misconduct 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
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In line with Just Culture principle where individuals are protected but not absolve from their normal responsibilities
Not protect for the sake of protecting but for encouraging people to report
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QUESTIONS?
DG MOVEDG MOVE Industry Workshop -27 April2015
JUST CULTURE IN CONTEXT OF THE STATE
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MS prevented to institute proceedings on the basis of occurrences unless if national criminal law allows it
When administrative or disciplinary proceedings instituted, information cannot be used against reporter or other involved
DG MOVEDG MOVE Industry Workshop -27 April2015
Two exceptions to protection principle cases of wilful misconduct 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 MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE Industry Workshop -27 April2015
LIMITATIONS TO INFORMATION
AVAILABILITY AND USE
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Strong limitations to sharing and use of information from occurrence reports
Principle : organisations, MS and EASA shall not make available or use the information:
in order to attribute blame or liability or for any purpose other than the
maintenance or improvement of aviation safety
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Principle:
Member States and EASA shall not be prevented from taking any action necessary for maintaining or improving aviation safety
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Information cannot be made available or used to attribute blame or liability towards the reporter or any other person mentioned in the report
Sharing occurrences information to answer request from citizens under FOI or from judicial authorities prevented
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ExceptionSituations in which an investigation under Regulation (EU) No 996/2010 has been instituted
DG MOVEDG MOVE Industry Workshop -27 April2015
QUESTIONS?
DG MOVEDG MOVE
CONCLUSION
The European Commission and the European Aviation Safety Agency
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