Session 4A - Investigation Legislation.pptclacsec.lima.icao.int/Reuniones/2014/Sem-CAAS/Presentaciones/Ingles/Session 4A.pdf1 Session 4A Investigation Legislation SEMINAR ON AIRCRAFT

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Session 4A

Investigation Legislation

SEMINAR ON AIRCRAFT ACCIDENT INCIDENT INVESTIGATION11-15 AUGUST 2014

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Investigation Legislation

� Implementation of ICAO SARPs

� Key provisions in the legislation

Implementation of ICAO SARPs

� Implementation through:

� Legislation

� Policies

� Procedures

Legislation

� Each State will need legislation for the conduct of

aviation accident and incident investigations

� The legislation may not be the same for each

State (subject to local judicial system)

� Important for investigation agency to know its

own legislation as well as the legislation of State

whose investigation it takes part in

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Key Provisions in Legislation

� Some key provisions in the legislation for effective

implementation of ICAO SARPs:

� Objective of accident/incident investigation

� Occurrences which the investigation authority is

empowered to investigate

� Notification to investigation authority

� Protection of evidence, custody and removal of aircraft

� Powers of investigators

� Non-disclosure of records

� Responding to safety recommendations

� Reopening of investigation

� Offences

Objective of Accident / Incident

Investigation

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Objective of Investigation

� Standard 3.1 –

The sole objective of the investigation of an accident or incident shall be the prevention of accidents and incidents.

It is not the purpose of this activity to apportion blame or liability.

Occurrences which the

Investigation Authority is

Empowered to Investigate

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� Standard 5.1 – The State of Occurrence shall

institute an investigation into the circumstances of

the accident and be responsible for the conduct of

the investigation, but it may delegate …”

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Investigation of Accident is

Mandatory

Investigation of Serious Incident is Mandatory

� Standard 5.1.2 – The State of Occurrence shall

institute an investigation into the circumstances of

a serious incident when the aircraft is of maximum

mass of over 2 250 kg. Such a State may

delegate …”

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� Recommendation 5.2 – If the non-Contracting

State does not investigate, the State of Registry

or, failing that, the State of the Operator, the State

of Design or the State of Manufacture should

investigate.

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Accident / Serious Incident in

Non-Contracting State

� Standard 5.3 – State of Registry shall investigate.

However, it may delegate …

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Accident /Serious Incident outside the Territory of any State

(e.g. International Waters)

Notification of Accident / Incident

to Accident Investigation Authority

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Who may be required to notify:

Persons who may be in a position to notify an

investigation authority:

� Aircraft commander

� Aircraft operator

� Aircraft owner

� Aerodrome operator

� Air traffic services provider

� Flying display organiser

a) Identifying abbreviation ACCID for accident or INCID for serious incident

b) Manufacturer, model, nationality and registration marks, and serial number of the aircraft

c) Name of the owner, operator and hirer, if any, of the aircraft

d) Name of pilot-in-command, and nationality of crew and pax

e) Date and time of the accident/serious incident

f) Departure airport, and intended destination

g) Position of the aircraft (latitude and longitude, reference to some point)

Information to be included when notifying the Investigation Authority

h) Fatalities and injuries � On board – Total number of crew and pax� On board – Killed� On board – Seriously injured� Others – Killed� Others – Seriously injured

i) Description of accident or serious incident, and extent of damage to aircraft

j) Indication as to what extent the investigation will be carried out or delegated

k) Characteristic of occurrence site, access difficulties or special requirements to reach site

l) Name/contact of sender, investigation authority and investigator-in-charge

m) Description of dangerous goods on board

� Leave the How and Why to the investigators

� When

� Where

� What

� Who

� Whom

� Basically:

Notification must be sent out as soon as possible

even if some information is not available.

Any omitted details can be forwarded to the

investigation authority as soon as they become

available.

Protection of Evidence, Custody

and Removal of Aircraft

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Protection of Evidence

� Standard 3.2 – The State of Occurrence shall take all reasonable measures to protect the evidence and to maintain safe custody of the aircraft and its contents for such a period as may be necessary for the purposes of an investigation.

� Protection of evidence shall include the preservation, by photographic or other means, of any evidence which might be removed, effaced, lost or destroyed.

� Safe custody shall include protection against further damage, access by unauthorized persons, pilfering and deterioration.

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Powers of Investigators

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Powers of Investigators

� To have access to accident aircraft or wreckage,

flight recorders, ATC records, etc.

� To have access to relevant records

� To require persons to answer questions or furnish

information

� To require the aircraft or wreckage to be preserved

pending examination

� To examine and test an aircraft or any part thereof

� To require autopsy examination or medical/

toxicological examination of flight crew members,

passengers and aviation personnel involved 22

Non-disclosure of Records

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Non-disclosure of Records

� Standard 5.12 – The State conducting the investigation of an accident or incident shall not make the following records available for purposes other than accident or incident investigation, unless the appropriate authority for the administration of justice in that State determines that their disclosure outweighs the adverse domestic and international impact such action may have on that or any future investigations:

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The so-called “Balancing Test”

Non-disclosure of Records� All statements taken from persons by the investigation

authorities in the course of their investigation

� All communications between persons having been involved

in the operation of the aircraft

� Medical or private information regarding persons involved in

the accident or incident

� Cockpit voice recordings and transcripts from such

recordings

� Recordings and transcripts of recordings from ATC units

� Cockpit airborne image recordings and any part or

transcripts from such recordings

� Opinions expressed in the analysis of information, including

flight recorder information

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Non-disclosure of Records

� Standard 5.12.1 – These records shall be included in the final report or its appendices only when pertinent to the analysis of the accident or incident.

� Parts of the records not relevant to the analysis shall not be disclosed.

� Standard 5.12.2 – The names of the persons involved in the accident or incident shall not be disclosed to the public by the accident investigation authority.

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Responding to Safety

Recommendations

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Responding to

Safety Recommendations

� Accident investigation authority does not have the

power to require implementation of safety

recommendations

� However, recipients of safety recommendations

shall be required to respond to the accident

investigation authority on the following:

� Preventive action taken

� Preventive action under consideration

� Reasons why no action will be taken

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Feedback to State issuing the Safety Recommendations

� Standard 6.10 – A State that receives safety

recommendations shall inform the proposing State,

within 90 days of the date of the transmittal

correspondence, of the preventive action taken or

under consideration, or the reasons why no action

will be taken.

� Recommendation 6.12 – A State that receives a

safety recommendation should implement

procedures to monitor the progress of the action

taken in response to that safety recommendation.

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Action of State issuing the Safety Recommendations

� Recommendation 6.11 – A State conducting the

investigation or any other State issuing a safety

recommendation should implement procedures to

record the responses to the safety recommendation

issued.

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Reopening of Investigation

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Reopening of Investigation

� Standard 5.13 – If, after the investigation has

been closed, new and significant evidence

becomes available, the State which conducted the

investigation shall reopen it.

� However, when the State which conducted the

investigation did not institute it, that State shall

first obtain the consent of the State which

instituted the investigation.

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Offences

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Offences

To provide penalty for (examples):

� Failure to notify accidents or incidents

� Failure to furnish information as required

� Unauthorised access to accident site

� Unauthorised removal of or interference with

wreckage

� Unauthorised disclosure of information or records

� Obstructing investigation

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- End -

Session 4A

Investigation Legislation

SEMINAR ON AIRCRAFT ACCIDENT INCIDENT INVESTIGATION11-15 AUGUST 2014