2_Reporting_responsibilities_matrix.pptx

Reporting responsibilities matrix
SM.1 Safety Intelligence and Performance
Date: January 2019
Version: 1.0

Disclaimer
The content of this course is for training purposes only. All information provided is of a general nature only and is not intended to address
the circumstances of any particular individual or entity. Any time there is a conflict or discrepancy between the information provided in this
presentation and information in an official regulation or Agency document, the later prevails.
Despite every effort to ensure the accuracy of the information provided, it may contain occasional inadvertent inaccuracies or typographical
errors. Any error brought to our attention (IORS@easa.europa.eu) will be promptly corrected. In no event shall EASA be liable for any
incidental or consequential damages, even if EASA has been informed of the possibility thereof. The content may be subject to changes at
any time without prior notice. Subsequent revisions or updates will not be provided. To the maximum extent permitted by law, EASA is not
liable (whether in contract, negligence or otherwise) for any loss or damage arising from the use of theses materials.
All training materials, including any documentation, publications, software programs, and other information provided by or on behalf of
EASA are furnished on an “as-is” basis, without warranty of any kind, whether express, implied, statutory or otherwise especially as to its
quality, reliability, currency, accuracy or fitness for purpose.
Ownership of all copyright and other intellectual property rights contained within the EASA training material, including any documentation,
data, technical information and know-how provided as part of the training, remains vested in EASA. None of the materials provided may be
used, reproduced or transmitted, in any form or by any means, electronic or mechanical, including recording or the use of any information
storage and retrieval system, without the written permission from EASA. All logo, copyrights, trademarks and registered trademarks in these
training materials are the property of their respective owners.
2
06/02/2019 Version 1.0

3
Reporting function
Click on the Role who’s reporting function you would like to see
EASA industry partners EU Aviation Authorities Non-EU organisation
ANSP (Pan - EU)
ANSP
DAH
POA (Singe European)
POA
Part - M
Part - 145
AOC
Aerodrome Operator
ATO
DAT provider (Pan - EU)
DAT provider
SIA
NAA
EASA
European Central Repository
POA
Part - M
Part - 145
DAH (without Bilateral)
DAH (Bilateral)
AOC – EASA TCO
Foreign ATO
ANSP
DAT provider (non – EU)
Acronyms
06/02/2019 Version 1.0

Acronyms
Acronym Meaning
ANSP Air Navigation Service provider
AOC Air Operator Certificate holder
ATO Approved Training Organisation (Pilot)
DAH Design Approval Holder
DAT Navigation Database Suppliers
EASA European Union Aviation Safety Agency
NAA National Aviation Authority
POA Production Organisation Approval Holder
Part M Part M Maintenance organisation
Part 145 Part 145 Maintenance organisation
SIA Safety Investigation Authority
TCO Third Country Operators
Version 1.0 4
Return to “Reporting function” page
06/02/2019

5
Reporting responsibilities for Pan – EU ANSP
EASA
Pan – EU ANSP Air Navigation Service Provider
Reg. 2015/1018 Reg. 376/2014 Reg. 2017/373
AMC 20-8
06/02/2019 Version 1.0

6
Reporting responsibilities for ANSP
EASA
ANSP Air Navigation Service Provider
Reg. 2015/1018 Reg. 376/2014 Reg. 2017/373
AMC 20-8
06/02/2019 Version 1.0

7
Reporting responsibilities for DAH
EASA
DAH Design Approval Holder
Reg. 2015/1018 Reg. 376/2014 Reg. 748/2012
DAH
AMC 20-8
06/02/2019 Version 1.0

8
Reporting responsibilities for POA (single European)
EASA
POA (single European) Single EASA Member State Production
Organisation Approval Holder
Reg. 2015/1018 Reg. 376/2014 Reg. 748/2012
DAH
POA
DAH (No Bilateral)
POA
AMC 20-8
06/02/2019 Version 1.0

9
Reporting responsibilities for POA
EASA
POA Production Organisation
Approval Holder
Reg. 2015/1018 Reg. 376/2014 Reg. 748/2012
DAH
POA
DAH (No Bilateral)
POA
NAA
AMC 20-8
06/02/2019 Version 1.0

10
Reporting responsibilities for CAMO/Subpart F
CAMO/Subpart F This embeds CAMO and maintenance released
according to Part-M/Subpart H M.A.801
Reg. 2015/1018 Reg. 376/2014 Reg. 1321/2014
DAH
AOC/Owner
DAH
AOC/Owner
NAA
AMC 20-8
06/02/2019 Version 1.0

11
Reporting responsibilities for Part-145
Part-145 Part-145 Maintenance Organisation
Reg. 2015/1018 Reg. 376/2014 Reg. 1321/2014
DAH
AOC
DAH
AOC
NAA
AMC 20-8
06/02/2019 Version 1.0

12
Reporting responsibilities for AOC
AOC Air Operators Certificate holder
Reg. 2015/1018 Reg. 376/2014 Reg. 965/2012
Part-145
CAMO/Subpart F
Part-145
CAMO/Subpart F
SIA
DAH
ANSP
NAA
DAH
ANSP
AMC 20-8
06/02/2019 Version 1.0

Version 1.0 13
Reporting responsibilities for Aerodrome
Aerodrome Aerodrome operators in an EASA Member State
should report to the NAA in that Member State
Reg. 2015/1018 Reg. 376/2014 Reg. 139/2014
NAA
06/02/2019

14
Reporting responsibilities for ATO
ATO Approved Training Organisation
Reg. 2015/1018 Reg. 376/2014 Reg. 290/2012
DAH NAA DAH
AMC 20-8
06/02/2019 Version 1.0

15
Reporting responsibilities for DAT provider (Pan – EU)
DAT provider (Pan-EU) DAT provider (pan European)
Reg. 2017/373 Reg. 376/2014
DAT provider EASA
DAH
06/02/2019 Version 1.0

16
Reporting responsibilities for DAT provider
DAT provider DAT provider
Reg. 2017/373 Reg. 376/2014
DAT provider EASA
DAH
06/02/2019 Version 1.0

17
Reporting responsibilities for SIA
SIA Safety Investigation Authority
Reg. 996/2010 Reg. 376/2014
EASA
NAA
06/02/2019 Version 1.0

18
Reporting responsibilities for NAA
NAA National Aviation Authority
Reg. 2018/1139 Reg. 290/2012
EASA
Reg. 2017/373
Reg. 376/2014 Reg. 139/2014 Reg. 965/2012
Reg. 2015/340
06/02/2019 Version 1.0
NAA
SIA
Reg. 996/2010

19
Reporting responsibilities for EASA
EASA European Aviation Safety Agency
Reg. 2018/1139 Reg. 376/2014
SIA
NAA
Reg. 996/2010
06/02/2019 Version 1.0

20
Reporting responsibilities for European Central Repository
European Central Repository Return to “Reporting function” page
• The European Central Repository is a database that is reported to. As such it has no reporting responsibilities.
06/02/2019 Version 1.0

Version 1.0 21
Reporting responsibilities for Part-M (non EU)
EASA
POA (non EU) Production Organisation
Approval Holder
Reg. 748/2012
DAH
POA
DAH
POA
AMC 20-8
06/02/2019

22
Reporting responsibilities for POA (non EU)
NAA
Part-M (non EU) Non-EASA Member State based
CAMO maintenance organisation
Reg. 1321/2014
DAH
AOC/Owner
DAH
AOC/Owner
AMC 20-8
06/02/2019 Version 1.0

23
Reporting responsibilities for Part-145 (non EU)
EASA
Part-145 (non EU) Non-EASA Part-145 maintenance
organisation
Reg. 1321/2014
DAH
AOC
DAH
AOC
AMC 20-8
06/02/2019 Version 1.0

24
Reporting responsibilities for DAH (non EU) without Bilateral
EASA
DAH (non EU) No Bilateral Design Approval Holder from non-EASA
country without Bilateral Agreement
Reg. 748/2012
DAH
AMC 20-8
06/02/2019 Version 1.0

25
Reporting responsibilities for DAH (non EU) with Bilateral
DAH (non EU) Bilateral Design Approval Holder from non-EASA
country with a Bilateral Agreement with EU
Bilateral US
Bilateral Canada Bilateral Brazil
• Bilateral Agreement waives reporting obligations to EASA:
06/02/2019 Version 1.0

26
Reporting responsibilities for AOC with EASA TCO authorisation
EASA
AOC with EASA TCO Non-EASA Air Operator Certificate holder
based in a Third Country with EASA TCO
Reg. 452/2014
06/02/2019 Version 1.0

27
Reporting responsibilities for Foreign ATO
EASA
Foreign ATO Non-EASA Member State Approved
Training Organisation
Reg. 290/2012
DAH DAH
AMC 20-8
06/02/2019 Version 1.0

28
Reporting responsibilities for ANSP (non-EU)
EASA
ANSP (non-EU) Non-EASA Air Navigation Service
Provider
Reg. 2017/373
AMC 20-8
06/02/2019 Version 1.0

29
Reporting responsibilities for DAT provider (non-EU)
EASA
DAT provider (non-EU) DAT Provider (non-EU)
Reg. 2017/373
DAT provider
DAH
06/02/2019 Version 1.0

ANSP (Pan-EU)
30
Regulation Paragraph Text
Regulation
(EU) 2017/373
ATM/ANS.OR.A.065 (a) A service provider shall report to the competent authority, and to any other organisation required by the Member State
where the service provider provides its services, any accident, serious incident and occurrence as defined in Regulation (EU) No
996/2010 of the European Parliament and of the Council (1) and Regulation (EU) No 376/2014.
(b) Without prejudice to point (a), the service provider shall report to the competent authority and to the organisation
responsible for the design of system and constituents, if different from the service provider, any malfunction, technical defect,
exceeding of technical limitations, occurrence, or other irregular circumstance that has or may have endangered the safety of
services and that has not resulted in an accident or serious incident.
(c) Without prejudice to Regulations (EU) No 996/2010 and (EU) No 376/2014, the reports referred to in points (a) and (b) shall
be made in a form and manner established by the competent authority and contain all the pertinent information about the
event known to the service provider.
(d) Reports shall be made as soon as possible and in any case within 72 hours of the service provider identifying the details of
the event to which the report relates unless exceptional circumstances prevent this.
(e) Without prejudice to Regulation (EU) No 376/2014, where relevant, the service provider shall produce a follow-up report to
provide details of actions it intends to take to prevent similar occurrences in the future, as soon as these actions have been
identified. This report shall be produced in a form and manner established by the competent authority.
Page 1 of 1
Return to Reporting Responsibilities
06/02/2019 Version 1.0

ANSP (Pan-EU)
31
Regulation (EU)
376/2014
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:
(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.
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 of this Article as soon as possible, and in any event no later than 72 hours after becoming
aware of the occurrence.
Regulation (EU)
376/2014
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.
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.
Page 1 of 1
06/02/2019 Version 1.0

ANSP (Pan-EU)
32
Regulation (EU)
2015/1018
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.
Regulation (EU)
2015/1018
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 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. 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,
including near-controlled flight into terrain (near CFIT).
(2) Separation minima infringement.
(3) Inadequate separation.
(4) ACAS RAs.
(5) Wildlife strike including bird strike.
(6) Taxiway or runway excursion.
(7) Actual or potential taxiway or runway incursion.
(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.
Page 1 of 3
06/02/2019 Version 1.0

ANSP (Pan-EU)
33
Regulation (EU)
2015/1018
FACILITIES
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;
(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, 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.
Page 2 of 3
06/02/2019 Version 1.0

ANSP (Pan-EU)
34
Regulation (EU)
2015/1018
FACILITIES
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.
Page 3 of 3
06/02/2019 Version 1.0

ANSP (Pan-EU)
35
AMC 20-8 IV. AIR NAVIGATION SERVICESIV.
AIR NAVIGATION SERVICES,
FACILITIES AND GROUND SERVICES
A. Air Navigation Services
(1) Provision of significantly incorrect, inadequate or misleading information from any ground sources, e.g. Air Traffic Control
(ATC), Automatic Terminal Information Service (ATIS), Meteorological Services, navigation databases, maps, charts, manuals,
etc.
(2) Provision of less than prescribed terrain clearance.
(3) Provision of incorrect pressure reference data (i.e. altimeter setting).
(4) Incorrect transmission, receipt or interpretation of significant messages when this results in a hazardous situation.
(6) Unauthorised penetration of airspace.
(7) Unlawful radio communication transmission.
(8) Failure of ANS ground or satellite facilities.
(9) Major ATC/ Air Traffic Management (ATM) failure or significant deterioration of aerodrome infrastructure.
(10) Aerodrome movement areas obstructed by aircraft, vehicles, animals or foreign objects, resulting in a hazardous or
potentially hazardous situation.
(11) Errors or inadequacies in marking of obstructions or hazards on aerodrome movement areas resulting in a hazardous
situation.
(12) Failure, significant malfunction or unavailability of airfield lighting.
Page 1 of 1
06/02/2019 Version 1.0

ANSP
36
Regulation
(EU) 2017/373
ATM/ANS.OR.A.065 (a) A service provider shall report to the competent authority, and to any other organisation required by the Member State
where the service provider provides its services, any accident, serious incident and occurrence as defined in Regulation (EU) No
996/2010 of the European Parliament and of the Council (1) and Regulation (EU) No 376/2014.
(b) Without prejudice to point (a), the service provider shall report to the competent authority and to the organisation
responsible for the design of system and constituents, if different from the service provider, any malfunction, technical defect,
exceeding of technical limitations, occurrence, or other irregular circumstance that has or may have endangered the safety of
services and that has not resulted in an accident or serious incident.
(c) Without prejudice to Regulations (EU) No 996/2010 and (EU) No 376/2014, the reports referred to in points (a) and (b) shall
be made in a form and manner established by the competent authority and contain all the pertinent information about the
event known to the service provider.
(d) Reports shall be made as soon as possible and in any case within 72 hours of the service provider identifying the details of
the event to which the report relates unless exceptional circumstances prevent this.
(e) Without prejudice to Regulation (EU) No 376/2014, where relevant, the service provider shall produce a follow-up report to
provide details of actions it intends to take to prevent similar occurrences in the future, as soon as these actions have been
identified. This report shall be produced in a form and manner established by the competent authority.
Page 1 of 1
06/02/2019 Version 1.0

ANSP
37
Regulation (EU)
376/2014
(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.
Regulation (EU)
376/2014
Page 1 of 2
06/02/2019 Version 1.0

ANSP
38
Regulation (EU)
376/2014
Article 13 Occurrence analysis and
follow-up at national level
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.
Page 2 of 2
06/02/2019 Version 1.0

ANSP
39
Regulation (EU)
2015/1018
Regulation (EU)
2015/1018
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 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. 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,
including near-controlled flight into terrain (near CFIT).
(3) Inadequate separation.
(4) ACAS RAs.
(5) Wildlife strike including bird strike.
(6) Taxiway or runway excursion.
(7) Actual or potential taxiway or runway incursion.
(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.
Page 1 of 3
06/02/2019 Version 1.0

ANSP
40
Regulation (EU)
2015/1018
FACILITIES
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;
(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, 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.
Page 2 of 3
06/02/2019 Version 1.0

ANSP
41
Regulation (EU)
2015/1018
FACILITIES
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.
Page 3 of 3
06/02/2019 Version 1.0

ANSP
42
AMC 20-8 IV. AIR NAVIGATION SERVICESIV.
AIR NAVIGATION SERVICES,
FACILITIES AND GROUND SERVICES
A. Air Navigation Services
(1) Provision of significantly incorrect, inadequate or misleading information from any ground sources, e.g. Air Traffic Control
(ATC), Automatic Terminal Information Service (ATIS), Meteorological Services, navigation databases, maps, charts, manuals,
etc.
(2) Provision of less than prescribed terrain clearance.
(3) Provision of incorrect pressure reference data (i.e. altimeter setting).
(4) Incorrect transmission, receipt or interpretation of significant messages when this results in a hazardous situation.
(6) Unauthorised penetration of airspace.
(7) Unlawful radio communication transmission.
(8) Failure of ANS ground or satellite facilities.
(9) Major ATC/ Air Traffic Management (ATM) failure or significant deterioration of aerodrome infrastructure.
(10) Aerodrome movement areas obstructed by aircraft, vehicles, animals or foreign objects, resulting in a hazardous or
potentially hazardous situation.
(11) Errors or inadequacies in marking of obstructions or hazards on aerodrome movement areas resulting in a hazardous
situation.
(12) Failure, significant malfunction or unavailability of airfield lighting.
Page 1 of 1
06/02/2019 Version 1.0

DAH
43
Regulation
(EU) 748/2012
(Part 21)
21A.3A (b) 1. 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 this Regulation shall report to the Agency
any failure, malfunction, defect or other occurrence of which it is aware related to 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 this Regulation, and which has resulted in or may result in an
unsafe condition.
2. These reports shall be made in a form and manner established by the Agency, as soon as practicable and in any case
dispatched not later than 72 hours after the identification of the possible unsafe condition, unless exceptional circumstances
prevent this.
Regulation
(EU) 748/2012
(Part 21)
21A.265 (e) The holder of a design organisation approval shall provide to the Agency information or instructions related to required actions
under point 21.A.3B.
Page 1 of 1
06/02/2019 Version 1.0

DAH
44
Regulation (EU)
376/2014
(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.
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.
Regulation (EU)
376/2014
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.
Page 1 of 2
06/02/2019 Version 1.0

DAH
45
Regulation (EU)
376/2014
Article 13 Occurrence analysis and
follow-up at national level
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.
Page 2 of 2
06/02/2019 Version 1.0

DAH
46
Regulation (EU)
2015/1018
Regulation (EU)
2015/1018
Annex II OCCURRENCES RELATED
TO TECHNICAL CONDITIONS,
MAINTENANCE AND REPAIR OF
THE AIRCRAFT
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.
Page 1 of 1
06/02/2019 Version 1.0

DAH
47
AMC 20-8 10. REPORTABLE OCCURRENCES (c) Design. The list of examples will not be used by design organisations directly for the purpose of determining when a report
has to be made to the authority, but it can serve as guidance for the establishment of the system for collecting data. After
receipt of reports from the primary sources of information, designers will normally perform some kind of analysis to determine
whether an occurrence has resulted or may result in an unsafe condition and a report to the authority should be made. An
analysis method for determining when an unsafe condition exists in relation to continuing airworthiness is detailed in the
AMC’s regarding the issuance of Airworthiness Directives.
Page 1 of 13
06/02/2019 Version 1.0

DAH
48
AMC 20-8 II. AIRCRAFT TECHNICAL A. Structural
Not all structural failures need to be reported. Engineering judgement is required to decide whether a failure is serious enough
to be reported. The following examples can be taken into consideration:
(1) Damage to a Principal Structural Element that has not been qualified as damage tolerant (life limited element). Principal
Structural Elements are those which contribute significantly to carrying flight, ground, and pressurisation loads, and whose
failure could result in a catastrophic failure of the aircraft. Typical examples of such elements are listed for large aeroplanes in
AC/AMC 25.571(a) "damage tolerance and fatigue evaluation of structure", and in the equivalent AMC material for rotorcraft.
(2) Defect or damage exceeding admissible damages to a Principal Structural Element that has been qualified as damage
tolerant.
(3) Damage to or defect exceeding allowed tolerances of a structural element which failure could reduce the structural stiffness
to such an extent that the required flutter, divergence or control reversal margins are no longer achieved.
(4) Damage to or defect of a structural element, which could result in the liberation of items of mass that may injure occupants
of the aircraft.
(5) Damage to or defect of a structural element, which could jeopardise proper operation of systems. See paragraph II.B.
below.
(6) Loss of any part of the aircraft structure in flight.
Page 2 of 13
06/02/2019 Version 1.0

DAH
49
AMC 20-8 II. AIRCRAFT TECHNICAL B. Systems
The following generic criteria applicable to all systems are proposed:
(1) Loss, significant malfunction or defect of any system, subsystem or set of equipment when standard operating procedures,
drills etc. could not be satisfactorily accomplished.
(2) Inability of the crew to control the system, e.g.:
(a) uncommanded actions;
(b) incorrect and or incomplete response, including limitation of movement or stiffness;
(c) runaway;
(d) mechanical disconnection or failure.
(3) Failure or malfunction of the exclusive function(s) of the system (one system could integrate several functions).
(4) Interference within or between systems.
(5) Failure or malfunction of the protection device or emergency system associated with the system.
(6) Loss of redundancy of the system.
(7) Any occurrence resulting from unforeseen behaviour of a system.
(8) For aircraft types with single main systems, subsystems or sets of equipment:
Loss, significant malfunction or defect in any main system, subsystem or set of equipment.
(9) For aircraft types with multiple independent main systems, subsystems or sets of equipment: The loss, significant
malfunction or defect of more than one main system, subsystem or set of equipment
Page 3 of 13
06/02/2019 Version 1.0

DAH
50
(10) Operation of any primary warning system associated with aircraft systems or equipment unless the crew conclusively
established that the indication was false provided that the false warning did not result in difficulty or hazard arising from the
crew response to the warning.
(11) Leakage of hydraulic fluids, fuel, oil or other fluids which resulted in a fire hazard or possible hazardous contamination of
aircraft structure, systems or equipment, or risk to occupants.
(12) Malfunction or defect of any indication system when this results in the possibility of misleading indications to the crew.
(13) Any failure, malfunction or defect if it occurs at a critical phase of flight and relevant to the operation of that system.
(14) Occurrences of significant shortfall of the actual performances compared to the approved performance which resulted in a
hazardous situation (taking into account the accuracy of the performance calculation method) including braking action, fuel
consumption etc.
(15) Asymmetry of flight controls; e.g. flaps, slats, spoilers etc.
Annex 1 to this AMC gives a list of examples of reportable occurrences resulting from the application of these generic criteria
to specific systems
Page 4 of 13
06/02/2019 Version 1.0

DAH
51
AMC 20-8 II. AIRCRAFT TECHNICAL C. Propulsion (including Engines, Propellers and Rotor Systems) and APUs
(1) Flameout, shutdown or malfunction of any engine.
(2) Overspeed or inability to control the speed of any high speed rotating component (for example: Auxiliary power unit, air
starter, air cycle machine, air turbine motor, propeller or rotor).
(3) Failure or malfunction of any part of an engine or powerplant resulting in any one or more of the following:
(a) non containment of components/debris;
(b) uncontrolled internal or external fire, or hot gas breakout;
(c) thrust in a different direction from that demanded by the pilot;
(d) thrust reversing system failing to operate or operating inadvertently;
(e) inability to control power, thrust or rpm;
(f) failure of the engine mount structure;
(g) partial or complete loss of a major part of the powerplant;
(h) Dense visible fumes or concentrations of toxic products sufficient to incapacitate crew or passengers;
(i) inability, by use of normal procedures, to shutdown an engine;
(j) inability to restart a serviceable engine.
Page 5 of 13
06/02/2019 Version 1.0

DAH
52
(4) An uncommanded thrust/power loss , change or oscillation which is classified as a loss of thrust or power control (LOTC) as
defined in AMC 20-1:
(a) for a single engine aircraft; or
(b) where it is considered excessive for the application, or
(c) where this could affect more than one engine in a multi-engine aircraft, particularly in the case of a twin engine aircraft; or
(d) for a multi engine aircraft where the same, or similar, engine type is used in an application where the event would be
considered hazardous or critical.
(5) Any defect in a life controlled part causing retirement before completion of its full life.
(6) Defects of common origin which could cause an in flight shut down rate so high that there is the possibility of more than
one engine being shut down on the same flight.
(7) An engine limiter or control device failing to operate when required or operating inadvertently.
(8) exceedance of engine parameters.
(9) FOD resulting in damage.
Page 6 of 13
06/02/2019 Version 1.0

DAH
53
Propellers and -transmission
(10) Failure or malfunction of any part of a propeller or powerplant resulting in any
one or more of the following:
(a) an overspeed of the propeller;
(b) the development of excessive drag;
(c) a thrust in the opposite direction to that commanded by the pilot;
(d) a release of the propeller or any major portion of the propeller;
(e) a failure that results in excessive unbalance;
(f) the unintended movement of the propeller blades below the established minimum in-flight low-pitch position;
(g) an inability to feather the propeller;
(h) an inability to command a change in propeller pitch;
(i) an uncommanded change in pitch;
(j) an uncontrollable torque or speed fluctuation;
(k) The release of low energy parts.
Rotors and -transmission
(11) Damage 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.
(12) Damage to tail rotor, transmission and equivalent systems.
Page 7 of 13
06/02/2019 Version 1.0

DAH
54
APUs
(13) Shut down or failure when the APU is required to be available by operational requirements, e.g. ETOPS, MEL.
(14) Inability to shut down the APU.
(15) Overspeed.
(16) Inability to start the APU when needed for operational reasons.
D. Human Factors
(1) Any incident where any feature or inadequacy of the aircraft design could have led to an error of use that could contribute
to a hazardous or catastrophic effect.
E. Other Occurrences
(2) An occurrence not normally considered as reportable (for example, furnishing and cabin equipment, water systems), where
the circumstances resulted in endangering of the aircraft or its occupants.
(3) A fire, explosion, smoke or toxic or noxious fumes.
(4) Any other event which could hazard the aircraft, or affect the safety of the occupants of the aircraft, or people or property
in the vicinity of the aircraft or on the ground.
(5) Failure or defect of passenger address system resulting in loss or inaudible passenger address system.
(6) Loss of pilots seat control during flight.
Page 8 of 13
06/02/2019 Version 1.0

DAH
55
AMC 20-8 Annex 1 to AMC 20-8 Reportable occurrences to specific systems
The following subparagraphs give examples of reportable occurrences resulting from the application of the generic criteria to
specific systems listed in paragraph 10.g. II.B of this AMC.
1. Air conditioning/ventilation
(a) complete loss of avionics cooling
(b) depressurisation
2. Autoflight system
(a) failure of the autoflight system to achieve the intended operation while engaged
(b) significant reported crew difficulty to control the aircraft linked to autoflight system functioning
(c) failure of any autoflight system disconnect device
(d) Uncommanded autoflight mode change
3. Communications
(a) failure or defect of passenger address system resulting in loss or inaudible passenger address
(b) total loss of communication in flight
4. Electrical system
(a) loss of one electrical system distribution system ( AC or DC)
(b) total loss or loss or more than one electrical generation system
(c) failure of the back up ( emergency ) electrical generating system
Page 9 of 13
06/02/2019 Version 1.0

DAH
56
AMC 20-8 Annex 1 to AMC 20-8 5. Cockpit/Cabin/Cargo
(a) pilot seat control loss during flight
(b) failure of any emergency system or equipment, including emergency evacuation signalling system , all exit doors ,
emergency lighting, etc
(c) loss of retention capability of the cargo loading system
6. Fire protection system
(a) fire warnings, except those immediately confirmed as false
(b) undetected failure or defect of fire/smoke detection/protection system, which could lead to loss or reduced fire
detection/protection
(c) absence of warning in case of actual fire or smoke
7. Flight controls
(a) Asymmetry of flaps, slats, spoilers etc.
(b) limitation of movement, stiffness or poor or delayed response in the operation of primary flight control systems or their
associated tab and lock systems
(c) flight control surface run away
(d) flight control surface vibration felt by the crew
(e) mechanical flight control disconnection or failure
(f) significant interference with normal control of the aircraft or degradation of flying qualities
Page 10 of 13
06/02/2019 Version 1.0

DAH
57
AMC 20-8 Annex 1 to AMC 20-8 8. Fuel system
(a) fuel quantity indicating system malfunction resulting in total loss or erroneous indicated fuel quantity on board
(b) leakage of fuel which resulted in major loss, fire hazard , significant contamination
(c) malfunction or defects of the fuel jettisoning system which resulted in inadvertent loss of significant quantity, fire hazard,
hazardous contamination of aircraft equipment or inability to jettison fuel
(d) fuel system malfunctions or defects which had a significant effect on fuel supply and/or distribution
(e) inability to transfer or use total quantity of usable fuel
9. Hydraulics
(a) loss of one hydraulic system ( ETOPS only)
(b) failure of the isolation system to operate
(c) loss of more than one hydraulic circuits
(d) failure of the back up hydraulic system
(e) inadvertent Ram Air Turbine extension
10. Ice detection/protection system
(a) undetected loss or reduced performance of the anti-ice/de-ice system
(b) loss of more than one of the probe heating systems
(c) inability to obtain symmetrical wing de icing
(d) abnormal ice accumulation leading to significant effects on performance or handling qualities
(e) crew vision significantly affected
Page 11 of 13
06/02/2019 Version 1.0

DAH
58
AMC 20-8 Annex 1 to AMC 20-8 11. Indicating/warning/recording systems
(a) malfunction or defect of any indicating system when the possibility of significant misleading indications to the crew could
result in an inappropriate crew action on an essential system
(b) loss of a red warning function on a system
(c) for glass cockpits: loss or malfunction of more than one display unit or computer involved in the display/warning function
12. Landing gear system /brakes/tyres
(a) brake fire
(b) significant loss of braking action
(c) unsymmetrical braking leading to significant path deviation
(d) failure of the L/G free fall extension system ( including during scheduled tests)
(e) unwanted gear or gear doors extension/retraction
(f) multiple tyres burst
Page 12 of 13
06/02/2019 Version 1.0

DAH
59
AMC 20-8 Annex 1 to AMC 20-8 13. Navigation systems ( including precision approaches system) and air data systems
(a) total loss or multiple navigation equipment failures
(b) total failure or multiple air data system equipment failures
(c) significant misleading indication
(d) Significant navigation errors attributed to incorrect data or a database coding error
(e) Unexpected deviations in lateral or vertical path not caused by pilot input.
(f) Problems with ground navigational facilities leading to significant navigation errors not associated with transitions from
inertial navigation mode to radio navigation mode.
14. Oxygen
(a) for pressurised aircraft: loss of oxygen supply in the cockpit
(b) loss of oxygen supply to a significant number of passengers ( more than 10%), including when found during maintenance or
training or test purposes
15. Bleed air system
(a) hot bleed air leak resulting in fire warning or structural damage
(b) loss of all bleed air systems
(c) failure of bleed air leak detection system
Page 13 of 13
06/02/2019 Version 1.0

POA (Single European)
60
Regulation
(EU) 748/2012
21.A.129 (f) Obligations of the
manufacturer
Each manufacturer of a product, part or appliance being manufactured under this Subpart shall:
1. report to the holder of the type-certificate, restricted type-certificate or design approval, all cases where products, parts or
appliances have been released by the manufacturer and subsequently identified to have deviations from the applicable design
data, and investigate with the holder of the type-certificate, restricted type-certificate or design approval to identify those
deviations which could lead to an unsafe condition;
2. report to the Agency and the competent authority of the Member State the deviations which could lead to an unsafe
condition identified according to point (1). Such reports shall be made in a form and manner established by the Agency under
point 21.A.3A(b)(2) or accepted by the competent authority of the Member State;
3. where the manufacturer acts as supplier to another production organisation, report also to that other organisation all cases
where it has released products, parts or appliances to that organisation and subsequently identified them to have possible
deviations from the applicable design data.
Page 1 of 2
06/02/2019 Version 1.0

61
Regulation
(EU) 748/2012
holder
The holder of a production organisation approval shall:
1. report to the holder of the type-certificate or design approval, all cases where products, parts or appliances have been
released by the production organisation and subsequently identified to have possible deviations from the applicable design
data, and investigate with the holder of the type-certificate or design approval in order to identify those deviations which could
lead to an unsafe condition;
3. where the holder of the production organisation approval is acting as a supplier to another production organisation, report
also to that other organisation all cases where it has released products, parts or appliances to that organisation and
subsequently identified them to have possible deviations from the applicable design data.
Page 2 of 2
06/02/2019 Version 1.0

62
Regulation (EU)
376/2014
Page 1 of 2
06/02/2019 Version 1.0

63
Regulation (EU)
376/2014
Page 2 of 2
06/02/2019 Version 1.0

64
Regulation (EU)
2015/1018
Regulation (EU)
2015/1018
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.
Page 1 of 1
06/02/2019 Version 1.0

65
AMC 20-8 10. REPORTABLE OCCURRENCES (d) Production. The list of examples is not applicable to the reporting obligation of production organisations. Their primary
concern is to inform the design organisation of deviations. Only in cases where an analysis in conjunction with that design
organisation shows that the deviation could lead to an unsafe condition, should a report be made to the Agency and/or
national authority
tolerant.
of the aircraft.
below.
Page 1 of 12
06/02/2019 Version 1.0

66
(c) runaway;
Page 2 of 12
06/02/2019 Version 1.0

67
(11) Leakage of hydraulic fluids, fuel, oil or other fluids which resulted in a fire hazard or possible hazardous contamination of
consumption etc.
to specific systems
Page 3 of 12
06/02/2019 Version 1.0

68
Page 4 of 12
06/02/2019 Version 1.0

69
Page 5 of 12
06/02/2019 Version 1.0

70
(h) an inability to command a change in propeller pitch;
(i) an uncommanded change in pitch;
Page 6 of 12
06/02/2019 Version 1.0

71
APUs
(15) Overspeed.
D. Human Factors
E. Other Occurrences
Page 7 of 12
06/02/2019 Version 1.0

72
3. Communications
Page 8 of 12
06/02/2019 Version 1.0

73
AMC 20-8 Annex 1 to AMC 20-8 5. Cockpit/Cabin/Cargo
7. Flight controls
Page 9 of 12
06/02/2019 Version 1.0

74
AMC 20-8 Annex 1 to AMC 20-8 8. Fuel system
9. Hydraulics
10. Ice detection/protection system
Page 10 of 12
06/02/2019 Version 1.0

75
AMC 20-8 Annex 1 to AMC 20-8 11. Indicating/warning/recording systems
(a) brake fire
13. Navigation systems ( including precision approaches system) and air data systems
Page 11 of 12
06/02/2019 Version 1.0

76
AMC 20-8 Annex 1 to AMC 20-8 14. Oxygen
Page 12 of 12
06/02/2019 Version 1.0

POA
77
Regulation
(EU) 748/2012
manufacturer
Each manufacturer of a product, part or appliance being manufactured under this Subpart shall:
1. report to the holder of the type-certificate, restricted type-certificate or design approval, all cases where products, parts or
appliances have been released by the manufacturer and subsequently identified to have deviations from the applicable design
data, and investigate with the holder of the type-certificate, restricted type-certificate or design approval to identify those
deviations which could lead to an unsafe condition;
3. where the manufacturer acts as supplier to another production organisation, report also to that other organisation all cases
where it has released products, parts or appliances to that organisation and subsequently identified them to have possible
deviations from the applicable design data.
Regulation
(EU) 748/2012
holder
The holder of a production organisation approval shall:
1. report to the holder of the type-certificate or design approval, all cases where products, parts or appliances have been
released by the production organisation and subsequently identified to have possible deviations from the applicable design
data, and investigate with the holder of the type-certificate or design approval in order to identify those deviations which could
lead to an unsafe condition;
3. where the holder of the production organisation approval is acting as a supplier to another production organisation, report
also to that other organisation all cases where it has released products, parts or appliances to that organisation and
subsequently identified them to have possible deviations from the applicable design data.
Page 1 of 1
06/02/2019 Version 1.0

POA
78
Regulation (EU)
376/2014
Regulation (EU)
376/2014
Page 1 of 1
06/02/2019 Version 1.0

POA
79
Regulation (EU)
2015/1018
Regulation (EU)
2015/1018
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.
Page 1 of 1
06/02/2019 Version 1.0

POA
80
AMC 20-8 10. REPORTABLE OCCURRENCES (d) Production. The list of examples is not applicable to the reporting obligation of production organisations. Their primary
concern is to inform the design organisation of deviations. Only in cases where an analysis in conjunction with that design
organisation shows that the deviation could lead to an unsafe condition, should a report be made to the Agency and/or
national authority
tolerant.
of the aircraft.
below.
Page 1 of 10
06/02/2019 Version 1.0

POA
81
(c) runaway;
Page 2 of 10
06/02/2019 Version 1.0

POA
82
AMC 20-8 II. AIRCRAFT TECHNICAL (11) Leakage of hydraulic fluids, fuel, oil or other fluids which resulted in a fire hazard or possible hazardous contamination of
consumption etc.
to specific systems.
C. Propulsion (including Engines, Propellers and Rotor Systems) and APUs
Page 3 of 10
06/02/2019 Version 1.0

POA
83
Page 4 of 10
06/02/2019 Version 1.0

POA
84
APUs
(15) Overspeed.
D. Human Factors
Page 5 of 10
06/02/2019 Version 1.0

POA
85
AMC 20-8 II. AIRCRAFT TECHNICAL E. Other Occurrences
Page 6 of 10
06/02/2019 Version 1.0

POA
86
AMC 20-8 Annex 1 to AMC 20-8 3. Communications
5. Cockpit/Cabin/Cargo
Page 7 of 10
06/02/2019 Version 1.0

POA
87
AMC 20-8 Annex 1 to AMC 20-8 7. Flight controls
8. Fuel system
9. Hydraulics
Page 8 of 10
06/02/2019 Version 1.0

POA
88
AMC 20-8 Annex 1 to AMC 20-8 10. Ice detection/protection system
11. Indicating/warning/recording systems
(a) brake fire
Page 9 of 10
06/02/2019 Version 1.0

POA
89
AMC 20-8 Annex 1 to AMC 20-8 13. Navigation systems ( including precision approaches system) and air data systems
14. Oxygen
Page 10 of 10
06/02/2019 Version 1.0

Part-M
90
Regulation (EU)
1321/2014
M.A.202 Occurrence reporting (a) Any person or organisation responsible in accordance with point M.A.201 shall report to the competent authority
designated by the State of Registry, the organisation responsible for the type design or supplemental type design and, if
applicable, the Member State of operator, any identified condition of an aircraft or component which endangers flight safety.
(b) Reports shall be made in a manner established by the Agency and contain all pertinent information about the condition
known to the person or organisation.
(c) Where the person or organisation maintaining the aircraft is contracted by an owner or an operator to carry out
maintenance, the person or the organisation maintaining the aircraft shall also report to the owner, the operator or the
continuing airworthiness management organisation any such condition affecting the owner's or the operator's aircraft or
component.
(d) Reports shall be made as soon as practicable, but in any case within 72 hours of the person or organisation identifying the
condition to which the report relates.
Page 1 of 1
06/02/2019 Version 1.0

Part-M
91
Regulation (EU)
376/2014
Regulation (EU)
376/2014
Page 1 of 1
06/02/2019 Version 1.0

2_Reporting_responsibilities_matrix.pptx

2_Reporting_responsibilities_matrix.pptx

Recommended

Recommended

More Related Content

More from Μανούσος Τραχαλάκης

More from Μανούσος Τραχαλάκης (6)

Recently uploaded

Recently uploaded (20)

2_Reporting_responsibilities_matrix.pptx