Session 4A. Investigation Legislation SEMINAR ON AIRCRAFT ACCIDENT INCIDENT INVESTIGATION AUGUST 2014

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1 Session 4A Investigation Legislation SEMINAR ON AIRCRAFT ACCIDENT INCIDENT INVESTIGATION AUGUST

2 Investigation Legislation Implementation of ICAO SARPs Key provisions in the legislation 2

3 Implementation of ICAO SARPs Implementation through: Legislation Policies Procedures

4 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 4

5 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

6 Objective of Accident / Incident Investigation 6

7 Standard 3.1 Objective of Investigation 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.

8 Occurrences which the Investigation Authority is Empowered to Investigate 8

9 Investigation of Accident is Mandatory 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 9

10 Investigation of Serious Incident is Mandatory Standard The State of Occurrence shall institute an investigation into the circumstances of a serious incident when the aircraft is of maximum mass of over kg. Such a State may delegate 10

11 Accident / Serious Incident in Non-Contracting State 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. 11

12 Accident /Serious Incident outside the Territory of any State (e.g. International Waters) Standard 5.3 State of Registry shall investigate. However, it may delegate 12

13 Notification of Accident / Incident to Accident Investigation Authority 13

14 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

15 Information to be included when notifying the Investigation Authority 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)

16 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

17 Basically: When Where What Who Whom Leave the How and Why to the investigators

18 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.

19 Protection of Evidence, Custody and Removal of Aircraft 19

20 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. 20

21 Powers of Investigators 21

22 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

23 Non-disclosure of Records 23

24 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: The so-called Balancing Test 24

25 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 25

26 Non-disclosure of Records Standard 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 The names of the persons involved in the accident or incident shall not be disclosed to the public by the accident investigation authority. 26

27 Responding to Safety Recommendations 27

28 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 28

29 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. 29

30 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. 30

31 Reopening of Investigation 31

32 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. 32

33 Offences 33

34 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 34

35 - End - Session 4A Investigation Legislation SEMINAR ON AIRCRAFT ACCIDENT INCIDENT INVESTIGATION AUGUST