2.2Am I under the legal obligation to report occurrences?

• GM to Reg. (EU) No 376/2014 and its IRs found in: Occurrence Reporting (376/2014) (Dec 2022)

2.2 Am I under the legal obligation to report occurrences? GM to Reg. (EU) No 376/2014 and its IRs 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](#_DxCrossRefBm2103820811)). 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. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>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.</p></td></tr></table> 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*](#_DxCrossRefBm2103820737)*(6)*). This list covers a broad range of persons involved in aviation activities, employees as well as other persons. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>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 (<a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(6)).</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>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.</p></td></tr></table> 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*](#_DxCrossRefBm2103820760)*;* [*Recital 38*](#_DxCrossRefBm2103820732)). 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](#_DxCrossRefBm2103820810)) are the same than the ones covered under Regulation 376/2014. — Pilots <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> In addition, [Article 4](#_DxCrossRefBm2103820737)(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. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>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.</p></td></tr></table> These situations should be covered and described by organisations within their safety management system. — Design / manufacturing / airworthiness personnel <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> This is aligned with occurrence reporting requirements in Commission Regulation (EU) No 748/2012[[56]](#_ftn56), 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. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>A person working in a production organisation being responsible of the investigation, together with the Design Approval Holder (DAH)<a href="#_ftn57">[57]</a>, to confirm if identified deviations of the manufactured product from design data could lead to an unsafe condition of the final certified product.</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> This is aligned with occurrence reporting requirements in Commission Regulation (EU) No 748/2012. <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>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.</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>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.</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>Finally, <a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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</p><p>— who holds a valid aircraft maintenance licence; or</p><p>— 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</p><p>— who is a pilot-owner directly involved with tasks of maintaining aircraft.</p></td></tr></table> This is aligned with occurrence reporting requirements in Commission Regulation (EU) No 1321/2014[[58]](#_ftn58). <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>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.</p></td></tr></table> — Airworthiness personnel <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>A person that holds a valid mechanic license as per Part-66 requirements and performs the release to service of aviation products.</p></td></tr></table> — ATM/ANS personnel <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p>Example:</p><p>An Air Traffic Controller or Flight Information Officer who holds a valid license as per Commission Regulation (EU) 2015/340<a href="#_ftn59">^{^[59]}</a> 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.</p></td></tr></table> — Aerodrome personnel <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p>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 1008/2008<a href="#_ftn60">^{^[60]}</a> applies. This covers the Safety Manager of aerodromes certified under Commission Regulation (EU) No 139/2014<a href="#_ftn61">^{^[61]}</a>, 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.</p></td></tr></table> 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 <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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.</p></td></tr></table> — Ground handling personnel <table border="1" cellpadding="0" cellspacing="0"><tr><td valign="top" width="599"><p align="center">Key principle</p><p><a href="#_DxCrossRefBm2103820737"><b>Article 4</b></a>(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/EC<a href="#_ftn62">^{^[62]}</a>, including fuelling, servicing, loadsheet preparation, loading, de-icing and towing, at an airport covered by Regulation (EC) No 1008/2008.</p></td></tr></table> --- [[56]](#_ftnref56) 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. [[57]](#_ftnref57) 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. [[58]](#_ftnref58) 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. [[59]](#_ftnref59) 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. [[60]](#_ftnref60) 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. [[61]](#_ftnref61) 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. [[62]](#_ftnref62) 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.