The Just Culture Initiative Roderick D. van Dam Head of Legal Service, EUROCONTROL ICAO / ASPA Regional Seminar 10-11 April 2007 European 1 Organisation for the Safety of Air Navigation
Outline Setting the (European) scene Concept of Just Culture Challenges Way forward European and International approaches 2
3 24 Hours of Europe Air Traffic: September 10, 2004
IS Membership of the EU, EUROCONTROL and ECAC FI IE NO DK SE EE LV LT RU BY XX Eurocontrol (37 + European Community) ECAC (42) EU (27) KZ GB NL PL PT ES FR BE LU CH DE CZ AT SI IT SK HU HR BA SR CG MK AL GR RO BG MD UA TR GE AM AZ IR CY SY IQ 4 MA DZ TN MT
EUROCONTROL European Organisation for the Safety of Air Navigation EUROCONTROL Convention 13 December 1960 Amended Convention Protocol 12 February 1981 Revised Convention Protocol of 27 June 1997 Not yet in force however, early implementation of certain provisions of the revised Convention 5
EUROCONTROL - CORE BUSINESS Management of pan-european programmes Research & Development work aimed at increasing Air Traffic Control capacity and safety in Europe Operation of a Central Flow Management Unit Collection of Route Charges on behalf of Member States and through bilateral agreements with non-member States Provision of training, education and knowledge transfer in Air Navigation Services inside and outside Europe Provision of Air Traffic Services Management of an international (4 States) ATC Centre: Maastricht Development of an international (8 States) ATC Centre: CEATS 6
Setting the scene Accidents in 2001 & 2002 Strengthen the need for continuous safety improvements Led to, inter alia, creation of Safety Data Reporting and Data Flow Task Force (SAFREP) SAFREP Report on ATM incident reporting culture: Impediments and Practices Involving EUROCONTROL, European Commission, IFATCA, IATA, States and ANSPs representatives Conclusions and Recommendations EUROCONTROL to continue to actively support and cooperate with ICAO 7
Setting the scene European Safety Programme for ATM (ESP) Supporting 42 ECAC States Safety maturity to a minimum common level by December 2008 High Priority Area: Incident Reporting and Data Sharing Special emphasis on Just Culture 8
ATM Safety Maturity in Europe Maturity (%) 80 75 70 65 ANSPs Regulator 60 55 50 2002 2003 2004 2005 2006 9
Concept of Just Culture What is Just Culture? EUROCONTROL / SAFREP 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 next ICAO Assembly 10
Concept of Just Culture Main elements: Actions, omissions and decisions expected from someone with your level of training and experience Not punished Gross negligence, willful violations and destructive acts Not tolerated 11
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 12
Concept of Just Culture Involving a number of players: States (Regulators, prosecutors, etc.) ANSPs Reporters (e.g. controllers) International / regional organisations A number of challenges must be addressed to establish Just Culture 13
Challenges Powers of judicial authorities vs. Protection of safety information Both addressed by ICAO Annex 13: Section 4.2 : Non Disclosure of records Legal Guidance: (new) Annex E» Not purpose of protecting safety information to interfere with proper administration of justice» Protection of qualified safety information under conditions is part of a State s responsibilities 14
Challenges Powers of judicial authorities vs. Protection of safety information 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 15
Challenges European Level 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 States shall refrain from initiating proceedings (except in case of gross negligence) Directives currently under review No prejudice from employer Without prejudice to applicable rules: - penal law - related to access to information by judicial authorities EUROCONTROL ESARR 2 and Guidance Material 16
Challenges Cooperation betweenjustice and ATM/Safety experts Public interest Safeguards Respect roles and responsibilities Address grey areas 17
Challenges Communication and trust Training Trust at all level (ANSPs) Staff / Managers Between Managers Important role of management Reporting is an obligation part of professional duty 18
Challenges Liability of ATC Lack of harmonization National frameworks Criminal liability Administrative sanctions Civil Liability Disciplinary sanctions 19
Challenges Trend in Europe: ATC and criminal proceedings Relatively recent trend Further to an accident: Linate case Überlingen case Mt-St-Odile case Further to an incident: Delta case 20
Challenges Increase of criminal proceedings - Why? Basic principles have not changed Increase awareness of safety matters Not solely affecting aviation Impact on reporting Vicious circle Calls for Just Culture Less reporting More incidents/ accidents Increase in legal proceedings 21
Way Forward Potential Impact on ATM safety recognised: Incidents report are essential to ATM safety Need to ensure flow of 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 22
Way Forward To achieve this Review and implement applicable legislative framework, structures and procedures National level International level However focus not only on legal framework: Dialogue Justice / Safety Trust and Communication Training 23
Way Forward Aim for balance Respecting roles and responsibilities of each party Seek collaborative approach of all concerned Use best practices and experiences and Endorse and further develop Just Culture at international level Next ICAO Assembly 24