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Document 02010R0996-20240519
Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (Text with EEA relevance)Text with EEA relevance
Consolidated text: Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (Text with EEA relevance)Text with EEA relevance
Regulation (EU) No 996/2010 of the European Parliament and of the Council of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (Text with EEA relevance)Text with EEA relevance
02010R0996 — EN — 19.05.2024 — 003.001
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REGULATION (EU) No 996/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 20 October 2010 on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC (OJ L 295 12.11.2010, p. 35) |
Amended by:
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Official Journal |
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No |
page |
date |
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REGULATION (EU) No 376/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 3 April 2014 |
L 122 |
18 |
24.4.2014 |
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REGULATION (EU) 2018/1139 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 4 July 2018 |
L 212 |
1 |
22.8.2018 |
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REGULATION (EU) 2024/1230 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 24 April 2024 |
L 1230 |
1 |
29.4.2024 |
REGULATION (EU) No 996/2010 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 20 October 2010
on the investigation and prevention of accidents and incidents in civil aviation and repealing Directive 94/56/EC
(Text with EEA relevance)
Article 1
Subject matter
Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:
‘accident’ means an occurrence associated with the operation of an aircraft which, in the case of a manned aircraft, takes place between the time any person boards the aircraft with the intention of flight until such time as all such persons have disembarked, or in the case of an unmanned aircraft, takes place between the time the aircraft is ready to move with the purpose of flight until such time it comes to rest at the end of the flight and the primary propulsion system is shut down, in which:
a person is fatally or seriously injured as a result of:
except when the injuries are from natural causes, self-inflicted or inflicted by other persons, or when the injuries are to stowaways hiding outside the areas normally available to the passengers and crew; or
the aircraft sustains damage or structural failure which adversely affects the structural strength, performance or flight characteristics of the aircraft, and would normally require major repair or replacement of the affected component, except for engine failure or damage, when the damage is limited to a single engine, (including its cowlings or accessories), to propellers, wing tips, antennas, probes, vanes, tires, brakes, wheels, fairings, panels, landing gear doors, windscreens, the aircraft skin (such as small dents or puncture holes) or minor damages to main rotor blades, tail rotor blades, landing gear, and those resulting from hail or bird strike, (including holes in the radome); or
the aircraft is missing or is completely inaccessible;
‘accredited representative’ means a person designated by a State, on the basis of his or her qualifications, for the purpose of participating in a safety investigation conducted by another State. An accredited representative designated by a Member State shall be from a safety investigation authority;
‘adviser’ means a person appointed by a State, on the basis of his or her qualifications, for the purpose of assisting its accredited representative in a safety investigation;
‘causes’ means actions, omissions, events, conditions, or a combination thereof, which led to the accident or incident; the identification of causes does not imply the assignment of fault or the determination of administrative, civil or criminal liability;
‘fatal injury’ means an injury which is sustained by a person in an accident and which results in his or her death within 30 days of the date of the accident;
‘flight recorder’ means any type of recorder installed in the aircraft for the purpose of facilitating accident/incident safety investigations;
‘incident’ means an occurrence, other than an accident, associated with the operation of an aircraft which affects or could affect the safety of operation;
‘international standards and recommended practices’ means international standards and recommended practices for aircraft accident and incident investigation adopted in accordance with Article 37 of the Chicago Convention;
‘investigator-in-charge’ means a person charged, on the basis of his or her qualifications, with responsibility for the organisation, conduct and control of a safety investigation;
‘operator’ means any natural or legal person, operating or proposing to operate one or more aircraft;
‘person involved’ means the owner, a member of the crew, the operator of the aircraft involved in an accident or serious incident; any person involved in the maintenance, design, manufacture of that aircraft or in the training of its crew; any person involved in the provision of air traffic control, flight information or aerodrome services, who have provided services for the aircraft; staff of the national civil aviation authority; or staff of EASA;
‘preliminary report’ means the communication used for the prompt dissemination of data obtained during the early stages of the investigation;
‘relatives’ means the immediate family and/or next of kin and/or other person closely connected with the victim of an accident, as defined under the national law of the victim;
‘safety investigation’ means a process conducted by a safety investigation authority for the purpose of accident and incident prevention which includes the gathering and analysis of information, the drawing of conclusions, including the determination of cause(s) and/or contributing factors and, when appropriate, the making of safety recommendations;
‘safety recommendation’ means a proposal of a safety investigation authority, based on information derived from a safety investigation or other sources such as safety studies, made with the intention of preventing accidents and incidents;
‘serious incident’ means an incident involving circumstances indicating that there was a high probability of an accident and is associated with the operation of an aircraft, which in the case of a manned aircraft, takes place between the time any person boards the aircraft with the intention of flight until such time as all such persons have disembarked, or in the case of an unmanned aircraft, takes place between the time the aircraft is ready to move with the purpose of flight until such time it comes to rest at the end of the flight and the primary propulsion system is shut down. A list of examples of serious incidents is set out in the Annex;
‘serious injury’ means an injury which is sustained by a person in an accident and which involves one of the following:
hospitalisation for more than 48 hours, commencing within 7 days from the date the injury was received;
a fracture of any bone (except simple fractures of fingers, toes, or nose);
lacerations which cause severe haemorrhage, nerve, muscle or tendon damage;
injury to any internal organ;
second or third degree burns, or any burns affecting more than 5 % of the body surface;
verified exposure to infectious substances or harmful radiation.
Article 3
Scope
This Regulation shall apply to safety investigations into accidents and serious incidents:
which have occurred in the territories of the Member States to which the Treaties apply, in accordance with the international obligations of the Member States;
involving aircraft registered in a Member State or operated by an undertaking established in a Member State, which have occurred outside the territories of the Member States to which the Treaties apply, when such investigations are not conducted by another State;
in which a Member State is entitled, according to international standards and recommended practices, to appoint an accredited representative to participate as a State of Registry, State of the Operator, State of Design, State of Manufacture or State providing information, facilities or experts at the request of the State conducting the investigation;
in which a Member State having a special interest by virtue of fatalities or serious injuries to its citizens is permitted by the State conducting the investigation to appoint an expert.
Article 4
Civil Aviation Safety Investigation Authority
▼M3 —————
The safety investigation authority shall be given by the respective Member State the means required to carry out its responsibilities independently and shall be able to obtain sufficient resources to do so. In particular:
the head of the safety investigation authority and/or, in the case of a multimodal authority, the head of its aviation branch shall have the experience and competence in civil aviation safety to fulfil his or her tasks in accordance with this Regulation and national law;
the investigators shall be afforded status giving them the necessary guarantees of independence;
the safety investigation authority shall comprise at least one available investigator able to perform the function of the investigator-in-charge in the event of a major air accident;
the safety investigation authority shall be allocated a budget that enables it to carry out its functions;
the safety investigation authority shall have at its disposal, either directly or by means of the cooperation referred to in Article 6, or through arrangements with other national authorities or entities, qualified personnel and adequate facilities, including offices and hangars to enable the storage and examination of the aircraft, its contents and its wreckage.
Article 5
Obligation to investigate
Article 6
Cooperation between safety investigation authorities
Article 7
European Network of Civil Aviation Safety Investigation Authorities
In close consultation with the members of the Network, the chairman shall draw up the annual work programme of the Network, which shall comply with the objectives and meet the responsibilities set out in paragraphs 2 and 3 respectively. The Commission shall transmit the work programme to the European Parliament and the Council. The chairman shall also draw up the agenda for the meetings of the Network.
In order to achieve the objectives set out in paragraph 2, the Network shall be responsible, in particular, for:
preparing suggestions to and advising Union institutions on all aspects of development and implementation of Union policies and rules relating to safety investigations and the prevention of accidents and incidents;
promoting the sharing of information useful for the improvement of aviation safety and actively promoting structured cooperation between safety investigation authorities, the Commission, EASA and national civil aviation authorities;
coordinating and organising, where appropriate, ‘peer reviews’, relevant training activities and skills development programmes for investigators;
promoting best safety investigation practices with a view to developing a common Union safety investigation methodology and drawing up an inventory of such practices;
strengthening the investigating capacities of the safety investigation authorities, in particular by developing and managing a framework for sharing resources;
providing, at the request of the safety investigation authorities for the purpose of the application of Article 6, appropriate assistance, including, but not limited to, a list of investigators, equipment and capabilities available in other Member States for potential use by the authority conducting an investigation;
having access to information contained in the database referred to in Article 18, and analyse the safety recommendations therein with a view to identifying important safety recommendations of Union-wide relevance.
Article 8
Participation of EASA and national civil aviation authorities in safety investigations
Safety investigation authorities shall, provided that the requirement of no conflict of interest is satisfied, invite EASA and national civil aviation authorities of the Member States concerned, within the scope of their respective competence, to appoint a representative to participate:
as an adviser to the investigator-in-charge in any safety investigation under Article 5(1) and (2), conducted in the territory of a Member State or in the location referred to in Article 5(2) under the control and at the discretion of the investigator-in-charge;
as an adviser appointed under this Regulation to assist accredited representative(s) of the Member States in any safety investigation conducted in a third country to which a safety investigation authority is invited to designate an accredited representative in accordance with international standards and recommended practices for aircraft accident and incident investigation, under the supervision of the accredited representative.
The participants referred to in paragraph 1 shall be entitled, in particular to:
visit the scene of the accident and examine the wreckage;
suggest areas of questioning and obtain witness information;
receive copies of all pertinent documents and obtain relevant factual information;
participate in the read-outs of recorded media, except cockpit voice or image recorders;
participate in off-scene investigative activities such as component examinations, tests and simulations, technical briefings and investigation progress meetings, except when related to the determination of the causes or the formulation of safety recommendations.
Article 9
Obligation to notify accidents and serious incidents
Article 10
Participation of the Member States in safety investigations
Article 11
Status of the safety investigators
Notwithstanding any confidentiality obligations under the legal acts of the Union or national law, the investigator-in-charge shall in particular be entitled to:
have immediate unrestricted and unhampered access to the site of the accident or incident as well as to the aircraft, its contents or its wreckage;
ensure an immediate listing of evidence and controlled removal of debris, or components for examination or analysis purposes;
have immediate access to and control over the flight recorders, their contents and any other relevant recordings;
request, and contribute to, a complete autopsy examination of the bodies of the fatally injured persons and to have immediate access to the results of such examinations or of tests made on samples taken;
request the medical examination of the people involved in the operation of the aircraft or request tests to be carried out on samples taken from such people and to have immediate access to the results of such examinations or tests;
to call and examine witnesses and to require them to furnish or produce information or evidence relevant to the safety investigation;
have free access to any relevant information or records held by the owner, the certificate holder of the type design, the responsible maintenance organisation, the training organisation, the operator or the manufacturer of the aircraft, the authorities responsible for civil aviation, EASA and air navigation service providers or aerodrome operators.
Article 12
Coordination of investigations
Those arrangements shall respect the independence of the safety investigation authority and allow the technical investigation to be conducted diligently and efficiently. Among others, the advance arrangements shall cover the following subjects:
access to the site of the accident;
preservation of and access to evidence;
initial and ongoing debriefings of the status of each process;
exchange of information;
appropriate use of safety information;
resolution of conflicts.
Member States shall communicate to the Commission those arrangements, which shall transmit them to the chairman of the Network, the European Parliament and the Council for information.
Article 13
Preservation of evidence
Article 14
Protection of sensitive safety information
The following records shall not be made available or used for purposes other than safety investigation:
all statements taken from persons by the safety investigation authority in the course of the safety investigation;
records revealing the identity of persons who have given evidence in the context of the safety investigation;
information collected by the safety investigation authority which is of a particularly sensitive and personal nature, including information concerning the health of individuals;
material subsequently produced during the course of the investigation such as notes, drafts, opinions written by the investigators, opinions expressed in the analysis of information, including flight recorder information;
information and evidence provided by investigators from other Member States or third countries in accordance with the international standards and recommended practices, where so requested by their safety investigation authority;
drafts of preliminary or final reports or interim statements;
cockpit voice and image recordings and their transcripts, as well as voice recordings inside air traffic control units, ensuring also that information not relevant to the safety investigation, particularly information with a bearing on personal privacy, shall be appropriately protected, without prejudice to paragraph 3.
The following records shall not be made available or used for purposes other than safety investigation, or other purposes aiming at the improvement of aviation safety:
all communications between persons having been involved in the operation of the aircraft;
written or electronic recordings and transcriptions of recordings from air traffic control units, including reports and results made for internal purposes;
covering letters for the transmission of safety recommendations from the safety investigation authority to the addressee, where so requested by the safety investigation authority issuing the recommendation;
occurrence reports filed under Directive 2003/42/EC.
Flight data recorder recordings shall not be made available or used for purposes other than those of the safety investigation, airworthiness or maintenance purposes, except when such records are de-identified or disclosed under secure procedures.
The communication of records referred to in paragraphs 1 and 2 to another Member State for purposes other than safety investigation and, in addition as regards paragraph 2, for purposes other than those aiming at the improvement of aviation safety may be granted insofar as the national law of the communicating Member State permits. Processing or disclosure of records received through such communication by the authorities of the receiving Member State shall be permitted solely after prior consultation of the communicating Member State and subject to the national law of the receiving Member State.
Article 15
Communication of information
Article 16
Investigation report
The safety investigation authority shall forward a copy of the final report and the safety recommendations as soon as possible to the:
safety investigation authorities and civil aviation authorities of the States concerned, and the ICAO, according to the international standards and recommended practices;
addressees of safety recommendations contained in the report;
Commission and EASA, except where the report is publicly available through electronic means, in which case the safety investigation authority shall only notify them accordingly.
Article 17
Safety recommendations
Article 18
Follow-up to safety recommendations and safety recommendations database
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Article 20
Information on persons and dangerous goods on board
Union airlines operating flights arriving to or departing from, and third country airlines operating flights departing from an airport located in the territories of the Member States to which the Treaties apply, shall implement procedures which allow for the production:
as soon as possible, and at the latest within two hours of the notification of the occurrence of an accident to the aircraft, of a validated list, based on the best available information, of all the persons on board; and
immediately after the notification of the occurrence of an accident to the aircraft, of the list of the dangerous goods on board.
Article 21
Assistance to the victims of air accidents and their relatives
A Member State or a third country, which, by virtue of fatalities or serious injuries to its citizens, has a special interest in an accident which has occurred in the territories of the Member States to which the Treaties apply, shall be entitled to appoint an expert who shall have the right to:
visit the scene of the accident;
have access to the relevant factual information, which is approved for public release by the safety investigation authority in charge, and information on the progress of the investigation;
receive a copy of the final report.
Article 22
Access to documents and protection of personal data
Article 23
Penalties
Member States shall lay down the rules on penalties applicable to infringements of this Regulation. The penalties provided for shall be effective, proportionate and dissuasive.
Article 24
Amendment of the Regulation
This Regulation shall be subject to a review no later than 3 December 2014. Where the Commission considers that this Regulation should be amended, it shall request the Network to issue a preliminary opinion, which shall also be forwarded to the European Parliament, the Council, the Member States and EASA.
Article 25
Repeals
Directive 94/56/EC is hereby repealed.
Article 26
Entry into force
This Regulation shall enter into force on the 20th day following its publication in the Official Journal of the European Union.
This Regulation shall be binding in its entirety and directly applicable in all Member States.
ANNEX
List of examples of serious incidents
The incidents listed are typical examples of incidents that are likely to be serious incidents. The list is not exhaustive and only serves as guidance with respect to the definition of ‘serious incident’:
( 1 ) Regulation (EU) 2018/1139 of the European Parliament and of the Council of 4 July 2018 on common rules in the field of civil aviation and establishing a European Union Aviation Safety Agency, and amending Regulations (EC) No 2111/2005, (EC) No 1008/2008, (EU) No 996/2010, (EU) No 376/2014 and Directives 2014/30/EU and 2014/53/EU of the European Parliament and of the Council, and repealing Regulations (EC) No 552/2004 and (EC) No 216/2008 of the European Parliament and of the Council and Council Regulation (EEC) No 3922/91 (OJ L 212, 22.8.2018, p. 1).
( 2 ) OJ L 294, 13.11.2007, p. 3.
( 3 ) OJ L 138, 30.4.2004, p. 1.
( 4 ) OJ L 145, 31.5.2001, p. 43.
( 5 ) OJ L 281, 23.11.1995, p. 31.
( 6 ) OJ L 8, 12.1.2001, p. 1.