1 The Just Culture Initiative Roderick van Dam Head of Legal Service, EUROCONTROL ICAO / McGill Conference 2007 European Organisation for the Safety of Air Navigation

2 ICAO Article 26 of the Chicago Convention Annex 13 Paragraphs 5.12 and 8.3 Possibility to file differences Administration of justice / judicial authorities Freedom of information Assembly Resolutions International Legislative Framework (1)

3 Relevant Assembly Resolutions: A31-10: “Urges Contracting States (…) to implement voluntary and non punitive reporting systems” A33-17: “Instructs the Sec. Gen. to develop appropriate guidance material related to laws and regulations to protect certain accident and incident records” A35-17: “Instructs the Council to develop appropriate legal guidance that will assists States (…) to protect information gathered from all relevant safety data collection and processing systems, while allowing for the proper administration of justice in the State” International Legislative Framework (2)

4 ANNEX 13 Paragraph 5.12 Recordings and transcripts of reporting from ATC units Legal Guidance: Attachment E Not purpose of protecting safety information to interfere with proper administration of justice Protection of qualified safety information under conditions is State’s responsibility Principles of exception and public disclosure Applicability: November 2006 International Legislative Framework (3)

5 European Legislative Framework European Community – same “conflict” Directive 94/56/EC on the investigation of civil aviation accidents and incidents Directive 2003/42/EC on occurrence reporting in civil aviation EUROCONTROL ESARR 2 and Guidance Material States shall refrain from initiating proceedings (except in case of gross negligence) Without prejudice to applicable rules: - penal law - related to access to information by judicial authorities Directives currently under review

6 Concept of Just Culture What is “JUST CULTURE”? EUROCONTROL / EC/ECAC definition: “ A culture in which front line operators or others are not punished for actions, omissions or decisions taken by them that are commensurate with their experience and training, but where gross negligence, wilful violations and destructive acts are not tolerated ” Definition to be submitted to 36th ICAO Assembly

7 Concept of Just Culture MAIN ELEMENTS : Gross negligence, willful violations and destructive acts Actions, omissions and decisions expected from someone with your level of training and experience Not tolerated Not prosecuted BUT WHO ASSESSES AND DETERMINES THIS?

8 Concept of Just Culture Objectives: To provide increase in reporting Not to justify absence of reporting Evolved from punitive-free reporting, blame free reporting To achieve a balance between interests of Safety (and protection of Safety Information) while allowing proper Administration of Justice

9 Challenges Trend (in Europe): Aviation and criminal proceedings Further to an accident: Mt-St-Odile case Linate case Überlingen case GOL 1907 case Further to an incident: Delta case

10 Challenges Increase of criminal proceedings - Why? Basic principles have not changed Increase awareness of safety matters Not solely affecting aviation – Societal trend? Impact on reporting “Vicious circle” Calls for Just Culture Less reporting More incidents/ accidents Increase in legal proceedings

11 Challenges Cooperation between Justice and ATM/Safety experts Public interest Safeguards Respect roles and responsibilities Address grey areas

12 Challenges Trust ( at all levels – Corporate and State) Communication Staff / Management Safety and Prosecution Authorities Training and Education Reporting is an obligation – part of professional duty Support “Prosecution Policies”

13 Way Forward Potential Impact on Aviation Safety recognized: Incidents reports are essential to safety Need to ensure flow of safety information Need to provide environment supporting reporting (and address “fear” of reporting) Just Culture concept –supporting safety reporting in a culture that is “just” to all concerned

14 Way Forward Aim for a balance in roles and responsibilities of each party Avoid slogans and one-sided approaches Seek collaborative approach of all concerned Create best practices and policies at national or regional level, and Endorse, develop and harmonize Just Culture at International Level: 36th ICAO Assembly