ATM/ANS.OR.A.065 Occurrence reporting

REPORTING RESPONSIBILITIES AND REPORTING PROCEDURES

(a)The ATM/ANS provider should assign one or more suitably qualified persons that has or have clearly defined authority and responsibility to coordinate actions on occurrences and to initiate any necessary further investigation and follow-up activity.

(b)If more than one person is assigned such responsibility, the ATM/ANS provider should identify a single person to act as the main focal point for ensuring a single reporting channel is established to the accountable manager. This should in particular apply to ATM/ANS providers that hold one or more additional organisation certificates within the scope of Regulation (EU) 2018/1139 and its delegated and implementing acts where the occurrence-reporting system is fully integrated with that required under the additional certificate(s) held.

(c)The ATM/ANS provider should establish procedures to be used for reporting to the competent authority and to any other organisation required, which include as a minimum:

(1)a description of the applicable requirements for reporting;

(2)the scope of reporting to other organisations, considering the service provider’s interfaces with other organisations, including organisations contracted in accordance with point ATM/ANS.OR.B.015;

(3)a description of the reporting mechanism, including reporting forms, means and deadlines;

(4)safeguards to ensure the protection of the reporter’s confidentiality and the protection of personal data;

(5)responsibilities of the organisation and personnel involved in the reporting; and

(6)a description of the mechanism and personnel responsibilities for identifying root causes, and the actions that may be needed to be taken to prevent similar occurrences in the future, as appropriate. Such procedures should be included in the organisation’s management system documentation.

MANDATORY REPORTING — GENERAL

(a)For ATM/ANS providers that have their principal place of operation and, if any, their registered office located in a Member State, Commission Implementing Regulation (EU) 2015/1018 of 29 June 2015 lays down a list classifying occurrences in civil aviation to be mandatorily reported according to Regulation (EU) No 376/2014. This list should not be understood as being an exhaustive collection of all issues that may pose a significant risk to aviation safety and, therefore, reporting should not be limited to the items listed in that Regulation and the additional items referred to in point ATM/ANS.OR.A.065(c).

(b)In addition to the reports referred to in point (a), ATM/ANS providers should report volcanic ash clouds, encountered by aircraft operators, of which they have become aware.

GENERAL Where the ATM/ANS provider holds one or more additional organisation certificates within the scope of Regulation (EU) 2018/1139 and its delegated and implementing acts:

(a)the ATM/ANS provider may establish an integrated occurrence-reporting system covering all certificate(s) held; and

(b)single occurrence reports should only be provided if all the following conditions are met:

(1)the report includes all relevant information from the perspective of the different organisation certificates held;

(2)the report addresses all relevant and specific mandatory data fields and clearly identifies all certificate holders for which the report is made;

(3)the competent authority for all certificates is the same and such single reporting was agreed with that competent authority.

REPORTING BETWEEN ORGANISATIONS

(a)The reporting to the organisations defined in point ATM/ANS.OR.A.065 does not affect the need to report to other organisations with which the ATM/ANS provider interfaces, and which might be involved in or be affected by the reported event (e.g. other service providers, including contracted parties in accordance with point ATM/ANS.OR.B.015, involved in an occurrence, aerodrome operators, etc.).

(b)Any ATM/ANS provider that reports to the organisation responsible for the design of the air traffic management (ATM)/air navigation services (ANS) systems and ATM/ANS constituents should actively support any investigations that may be initiated by that organisation. Support should be provided by a timely response to information requests and by making available affected system components or constituents, for the purpose of the investigation, subject to an agreement with the respective system component or constituent owners.

(c)In addition to reporting to the organisation responsible for the design of the ATM/ANS systems and ATM/ANS constituents, if different from the ATM/ANS provider, the ATM/ANS provider may be required to report to the aerodrome operator, to other ATM/ANS providers or air operators.

(d)To ensure effective reporting between organisations, it is important that:

(1)an interface is established between the organisations to ensure that there is an effective and timely exchange of occurrence-related information; and

(2)any relevant safety issue is identified, and it is clearly established which party is responsible for taking further action, if required.

SYSTEMS AND CONSTITUENTS

(a)When determining which failures of systems and constituents are to be reported, a degree of practicality is required as it is not intended that every failure is reported. Only those that have or may have an impact on the safety of the provision of services are reported.

(b)When nothing is defined in European Union or national legislation, the determination of the failures of systems and constituents that need to be reported is done by the service provider and needs to be approved by the competent authority. This determination can be done as a result of an assessment of the installations or changes to the systems and constituents.

(c)The organisation responsible for the design of the systems and constituents may no longer exist or may no longer support the design. In this case, the service provider will have made arrangements to ensure that the safety of the systems and constituents can be assured by appropriate and practical means. In many cases, this means that the service provider has taken over the design responsibilities.

(d)Within the application of Regulation (EC) No 552/2004, the organisation responsible for the design of the constituent will be the entity that signs the Declaration of Conformity or Suitability for use. For systems and constituents which existed before the applicability date of Regulation (EC) No 552/2004, the service provider should identify the responsible organisation, otherwise the service provider should make appropriate arrangements.

ORGANISATIONS THAT REPORT TO THE AGENCY

(a)Mandatory reports and, where possible, voluntary reports, should include the information below:

(1)when: UTC date;

(2)where: State/area of occurrence — location of occurrence;

(3)aircraft-related information: aircraft identification: State of registry, make–model–series, aircraft category, propulsion type, mass group, aircraft serial number, aircraft registration number, and call sign;

(4)aircraft operation and history of flight: operator, type of operation, last departure point, planned destination, flight phase;

(5)weather: relevant weather;

(6)where relevant, ANS-related information: ATM contribution, service(s) affected, ATS unit name;

(7)where relevant, aerodrome-related information: location indicator (ICAO airport code), location at the aerodrome; and

(8)information on aircraft damage or on injuries to persons: severity in terms of highest damage and injury level, number of injured persons, and type of injuries to them, on the ground and in the aircraft.

(b)Where the organisation identifies an actual or potential aviation safety risk as a result of its analysis of occurrences or a group of occurrences reported to the Agency, it should:

(1)transmit the following information to the Agency within 30 days from the date of notification of the occurrence to the Agency:

(i)the preliminary results of the risk assessment performed; and

(ii)any preliminary mitigation action to be taken;

(2)where required, transmit the final results of the risk analysis to the Agency as soon as they are available and, in principle, no later than 3 months from the date of initial notification of the occurrence to the Agency.

(c)The following list provides examples of what needs to be mandatorily reported in addition to those required by point ATM/ANS.OR.A.065(c). This list should not be understood as being an exhaustive collection of all the issues that may pose a significant risk to aviation safety and, therefore, reporting should not be limited to the items listed therein.

1.AIRCRAFT-RELATED OCCURRENCES

2.DEGRADATION OR A TOTAL LOSS OF SERVICES OR FUNCTIONS

3.OTHER OCCURRENCES

(1)Obstacle includes vehicles.

(2)This refers to a situation in which prescribed separation minima were not maintained between aircraft or between aircraft and airspace to which separation minima are prescribed.

(3)In the absence of prescribed separation minima, a situation in which aircraft were perceived to pass too close to each other for pilots to ensure safe separation.

(4)For example, air traffic service (ATS), automatic terminal information service (ATIS), meteorological services, navigation databases, aeronautical information service (AIS).