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Ārlietu ministrijas dienesta
informācija Nr.41/752-6789
Rīgā 2009.gada 13.oktobrī
Par Konvencijas par
starptautisko civilo aviāciju 13.pielikumu
Ārlietu ministrija nosūta
publicēšanai 1944.gada 7.decembra Konvencijas par starptautisko
civilo aviāciju 13.pielikumu.
Konvencija stājās spēkā Latvijas
Republikā 1992.gada 12.augustā. Konvencijas 13.pielikuma teksts
līdz šim nav publicēts.
Ārlietu ministrijas Juridiskā
departamenta direktore I.Mangule
International Standards and
Recommended Practices
ANNEX 13 TO THE CONVENTION
ON INTERNATIONAL CIVIL AVIATION AIRCRAFT ACCIDENT AND INCIDENT
INVESTIGATION
AMENDMENTS
The issue of amendments is
announced regularly in the ICAO Journal and in the monthly
Supplement to the Catalogue of ICAO Publications and
Audio-visual Training Aids, which holders of this publication
should consult. The space below is provided to keep a record of
such amendments.
RECORD OF AMENDMENTS AND
CORRIGENDA
AMENDMENTS
CORRIGENDA
No.
Date
applicable
Date
entered
Entered
by
No.
Date
of issue
Date
entered
Entered
by
1-10
Incorporated in this
edition
1 This edition
incorporates all amendments adopted by the Council prior to 27
February 2001 and supersedes, on 1 November 2001, all previous
editions of Annex 13.
For information regarding the
applicability of Standards and Recommended Practices, see Chapter
2 and the Foreword.
Ninth Edition, July 2001
International Civil Aviation
Organization
TABLE OF
CONTENTS
FOREWORD
CHAPTER 1. Definitions
CHAPTER 2. Applicability
CHAPTER 3. General
Objective of the investigation
Protection of evidence, custody
and removal of aircraft
Responsibility of the State of
Occurrence
General
Request from State of Registry,
State of the Operator, State of Design or State of
Manufacture
Release from custody
CHAPTER 4. Notification
Accidents or serious incidents in
the territory of a Contracting State to aircraft of another
Contracting State
Responsibility of the State of
Occurrence
Forwarding
Format and content
Language
Additional information
Responsibility of the State of
Registry, the State of the Operator, the State of Design and
the State of Manufacture
Information - Participation
Accidents or serious incidents in
the territory of the State of Registry, in a non-Contracting
State or outside the territory of any State
Responsibility of the State of
Registry
Forwarding
Responsibility of the State of
the Operator, the State of Design and the State of
Manufacture
Information - Participation
CHAPTER 5. Investigation
Responsibility for instituting and
conducting the investigation
Accidents or incidents in the
territory of a Contracting State
State of Occurrence
Accidents or incidents in the
territory of a non-Contracting State
State of Registry
Accidents or incidents outside
the territory of any State
State of Registry
Organization and conduct of the
investigation
Responsibility of the State
conducting the investigation General
Investigator-in-charge -
Designation
Investigator-in-charge - Access
and control
Flight recorders - Accidents and
incidents
Autopsy examinations
Medical examinations
Coordination - Judicial
authorities
Informing aviation security
authorities
Non-disclosure of records
Re-opening of investigation
Responsibility of any other
State
Information - Accidents and
incidents
Responsibility of the State of
Registry and the State of the Operator
Flight recorders - Accidents and
serious incidents
Organizational information
Participation in the
investigation
Participation of the State of
Registry, the State of the Operator, the State of Design and
the State of Manufacture
Rights
Obligations
Participation of other
States
Rights
Entitlement of accredited
representatives
Advisers
Participation
Obligations
Participation of States having
suffered fatalities or serious injuries to its citizens
Rights and entitlement
CHAPTER 6. Final Report
Responsibility of any State
Release of information -
Consent
Responsibility of the State
conducting the investigation
Consultation
Recipient States
Release of the Final Report
Safety recommendations
Responsibility of a State
receiving safety recommendations
Action on safety
recommendations
CHAPTER 7. ADREP Reporting
Preliminary Report
Responsibility of the State
conducting the investigation
Accidents to aircraft over 2 250
kg
Accidents to aircraft of 2 250
kg or less
Language
Dispatch
Accident/Incident Data Report
Responsibility of the State
conducting the investigation
Accidents to aircraft over 2 250
kg
Additional information
Incidents to aircraft over 5 700
kg
CHAPTER 8. Accident Prevention
Measures
Incident reporting systems
Database systems
Analysis of data - Preventive
actions
Exchange of safety information
APPENDIX. Format of the Final
Report
ATTACHMENTS
ATTACHMENT A. Rights and
obligations of the State of the Operator in respect of accidents
and incidents involving leased, chartered or interchanged
aircraft
ATTACHMENT B. Notification and
reporting checklist
ATTACHMENT C. List of examples of
serious incidents
ATTACHMENT D. Guidelines for
flight recorder read-out and analysis
FOREWORD
Historical
background
Standards and Recommended
Practices for Aircraft Accident Inquiries were first adopted by
the Council on 11 April 1951 pursuant to Article 37 of the
Convention on International Civil Aviation (Chicago, 1944) and
were designated as Annex 13 to the Convention. The Standards and
Recommended Practices were based on recommendations of the
Accident Investigation Division at its First Session in February
1946 which were further developed at the Second Session of the
Division in February 1947.
The Fourteenth Session of the
Assembly (Rome, August-September 1962) considered the subject of
aircraft accident investigation and adopted Resolutions A14-22
and A14-27, Appendix P.* The first of these:
1) directed "the
Council to:
"a) study the possibility of
initiating a uniform procedure to be used by States to make
available promptly the reports of aircraft accident
investigations and inquiries, particularly when related to large
modern transport aircraft, so that the dissemination of such
reports by all Contracting States may be improved;
"b) study whether it is
practicable to establish procedures by which the State of
Manufacture or the State that first certificated the aircraft
type, would, in appropriate cases and upon invitation, make
available competent experts for advice or consultation in the
investigation of accidents, and in the light of the results of
such study:
"i) determine the most
practicable means of ensuring that the fullest possible advantage
will be taken of the specialized knowledge of such experts and
notify all Contracting States accordingly, and
"ii) urge all Contracting
States to co-operate in the use of such experts so as to
contribute to the safety of air navigation;"
and
2) urged "all
Contracting States to provide timely notification of aircraft
accidents, especially those involving large modern transport
aircraft, to the State of Manufacture or the State that first
certificated the aircraft type, whenever it is considered that
such action would be appropriate."
In addition, by Resolution A1
4-27, Appendix P, the Assembly resolved that, "in respect of
accident investigation, that it is of great importance for the
general improvement of the safety of air navigation that, to the
greatest practicable extent, a Contracting State in which an
accident has occurred involving aircraft other than of its
manufacture communicate to the State of Manufacture as soon as
possible any pertinent information which results from the inquiry
and which may reflect on the airworthiness of the aircraft type
or its equipment, or which might be used to effect improvement in
safety."
Table A shows the origin of
subsequent amendments together with a list of the principal
subjects involved and the dates on which the Annex and the
amendments were adopted by the Council, when they became
effective and when they became applicable.
* The Fifteenth Session
of the Assembly (Montreal, June-July 1965) subsequently adopted
Resolutin A15-8, Appendix P, which consolidated and superseded
resolving clause 2 of Resolution A14-22 and resolution A14-27,
Appendix P.
Applicability
While the Annex has been adopted
pursuant to the provisions of Article 37 of the Convention,
Aircraft Accident Inquiry is itself the subject of Article 26 of
the Convention. This Article imposes an obligation on the State
in which the aircraft accident occurs to institute an inquiry in
certain circumstances and, as far as its laws permit, to conduct
the inquiry in accordance with ICAO procedure. However, Article
26 does not preclude the taking of further action in the field of
aircraft accident investigation and the procedures set forth in
this Annex are not limited solely to an inquiry instituted under
the requirements of Article 26, but under prescribed
circumstances apply in the event of an inquiry into any "aircraft
accident" within the terms of the definition herein. In order to
maintain the correct relationship between the provisions of
Article 26 and those of the Annex, the following principles have
been observed:
a) Article 37 of the
Convention is the Controlling Article in the development of an
Aircraft Accident Inquiry Annex, but nothing in the Annex must
contravene the express terms of Article 26, or any other Article
of the Convention, nor should it contain any provision which
would do violence to the spirit and intent of the Convention.
b) Subject to a) the Annex
may deal with any relevant matter whether or not expressly dealt
with by Article 26 or by any other Article of the Convention. For
instance it is not a contravention of the Convention for the
Annex to deal with the rights or obligations of States other than
the State of Registry and the State in which the accident
occurred; similarly the Annex may deal with the privileges to be
accorded to observers entitled by Article 26 to be "present" at
the inquiry. These are matters upon which Article 26 is silent.
The Annex may also deal with accidents of a kind which do not
fall within the provisions of Article 26.
Relationship
between Annex 13 and Article 26 of the Convention
In order to clarify the
relationship between the provisions of Article 26 and those of
the present Annex the Council, at the 20th meeting of its Twelfth
Session on 13 April 1951, adopted the following additional
resolution:
"Whereas Article 26 of the Convention provides that a
State in which an accident to an aircraft occurs within the terms
of the Article, 'will institute an inquiry into the circumstances
of the accident in accordance, in so far as its laws permit, with
the procedure which may be recommended by the International Civil
Aviation Organization'; and
"Whereas the Council, at the 18th meeting of its
Twelfth Session on 11 April 1951, adopted Annex 13 on Aircraft
Accident Inquiry;
"The Council recommends the Standards and Recommended
Practices for Aircraft Accident Inquiry contained in Annex 13 to
the Convention, as the procedure to be followed by Contracting
States for inquiries into accidents involving death or serious
injury and instituted in accordance with the provisions of
Article 26;
"It being understood:
"1) that States may in
accordance with Article 38 of the Convention, deviate from any
provision of Annex 13, except that, with respect to accidents
covered by terms of Article 26 of the Convention and pursuant to
this Article, 'the State in which the accident occurs will
institute an inquiry', 'the State in which the aircraft is
registered shall be given the opportunity to appoint observers to
be present at the inquiry' and 'the State holding the inquiry
shall communicate the report and findings in the matter to that
State'; and
"2) that the procedure here
recommended is not applicable when an accident to an aircraft not
involving death or serious injury 'indicates serious technical
defect in the aircraft or air navigation facilities', in which
cases and until ICAO recommends a procedure to this effect, the
inquiry shall be conducted in accordance with the national
procedure of the State concerned, subject to the obligations
deriving from the provisions of Article 26."
The accredited representative and
the advisers referred to in the Annex together comprise the
observers that are given the right to be present at an inquiry
under Article 26.
Action by
Contracting States
Notification of
differences. The attention of Contracting States is drawn to
the obligation imposed by Article 38 of the Convention by which
Contracting States are required to notify the Organization of any
differences between their national regulations and practices and
the International Standards contained in this Annex and any
amendments thereto.s Contracting States are invited to extend
such notification to any differences from the Recommended
Practices contained in this Annex and any amendments thereto,
when the notification of such differences is important for the
safety of air navigation. Further, Contracting States are invited
to keep the Organization currently informed of any differences
which may subsequently occur, or of the withdrawal of any
differences previously notified. A specific request for
notification of differences will be sent to Contracting States
immediately after the adoption of each amendment to this
Annex.
Attention of States is also drawn
to the provisions of Annex 15 related to the publication of
differences between their national regulations and practices and
the related ICAO Standards and Recommended Practices through the
Aero-nautical Information Service, in addition to the obligation
of States under Article 38 of the Convention.
Use of the text of the Annex in national regulations.
The Council, on 13 April 1948, adopted a resolution inviting the
attention of Contracting States to the desirability of using in
their own national regulations, as far as is practicable, the
precise language of those ICAO Standards that are of a regulatory
character and also of indicating departures from the Standards,
including any additional national regulations that were important
for the safety or regularity of air navigation. However, the
Standards and Recommended Practices of Annex 13 while of general
applicability will, in many cases, require amplification in order
to enable a complete national code to be formulated.
Status of Annex
components
An Annex is made up of the
following component parts, not all of which, however, are
necessarily found in every Annex; they have the status
indicated:
1.- Material comprising the
Annex proper:
a) Standards and
Recommended Practices adopted by the Council under the
provisions of the Convention. They are defined as follows:
Standard: Any specification for physical
characteristics, configuration, matériel, performance, personnel
or procedure, the uniform application of which is recognized as
necessary for the safety or regularity of international air
navigation and to which Contracting States will conform in
accordance with the Convention; in the event of impossibility of
compliance, notification to the Council is compulsory under
Article 38.
Recommended Practice: Any specification for physical
characteristics, configuration, matériel, performance, personnel
or procedure, the uniform application of which is recognized as
desirable in the interests of safety, regularity or efficiency of
international air navigation, and to which Contracting States
will endeavour to conform in accordance with the Convention.
b) Appendices
comprising material grouped separately for convenience but
forming part of the Standards and Recommended Practices adopted
by the Council.
c) Provisions
governing the applicability of the Standards and Recommended
Practices.
d) Definitions of
terms used in the Standards and Recommended Practices which are
not self-explanatory in that they do not have accepted dictionary
meanings. A definition does not have an independent status but is
an essential part of each Standard and Recommended Practice in
which the term is used, since a change in the meaning of the term
would affect the specification.
2.- Material approved by the
Council for publication in association with the Standards and
Recommended Practices:
a) Forewords
comprising historical and explanatory material based on the
action of the Council and including an explanation of the
obligations of States with regard to the application of the
Standards and Recommended Practices ensuing from the Convention
and the Resolution of Adoption.
b) Introductions
comprising explanatory material introduced at the beginning of
parts, chapters or sections of the Annex to assist in the
understanding of the application of the text.
c) Notes included in
the text, where appropriate, to give factual information or
references bearing on the Standards or Recommended Practices in
question, but not constituting part of the Standards or
Recommended Practices.
d) Attachments
comprising material supplementary to the Standards and
Recommended Practices, or included as a guide to their
application.
Selection of
language
This Annex has been adopted in six
languages - English, Arabic, Chinese, French, Russian and
Spanish. Each Contracting State is requested to select one of
those texts for the purpose of national implementation and for
other effects provided for in the Convention, either through
direct use or through translation into its own national language,
and to notify the Organization accordingly.
Editorial
practices
The following practice has been
adhered to in order to indicate at a glance the status of each
statement: Standards have been printed in light face
roman; Recommended Practices have been printed in light
face italics, the status being indicated by the prefix
Recommendation; Notes have been printed in light
face italics, the status being indicated by the prefix
Note.
The following editorial practice
has been followed in the writing of specifications: for Standards
the operative verb "shall" is used, and for Recommended Practices
the operative verb "should" is used.
Any reference to a portion of this
document which is identified by a number includes all
subdivisions of that portion.
Throughout this Annex, the use of
the male gender should be understood to include male and female
persons.
Table A. Amendments to Annex 13
Amendment
Source(s)
Subject(s)
Adopted
Effective
Applicable
1st Edition
First and Second Sessions of
the Accident Investigation Division
-
11 April 1951
1 September 1951
1 December 1951
1
(2nd Edition)
Assembly Resolutions
A14-22 and A14-27,
Appendix P
Third Session of the
Accident Investigation
Division
New definitions; rights and
obligations of the State of Manufacture; initial and
subsequent notification of an accident; attendance of
representatives of the operator; report on the inquiry;
summary of the Report and its format.
24 November 1965
24 March 1966
25 August 1966
2
Third Session of the Accident
Investigation Division
Communication procedures for
sending aircraft accident notification.
5 December 1966
5 April 1967
24 August 1967
3
Personnel Licensing/ Training
Practices/ Medical Divisional Meeting (1970)
Autopsy of victims of aircraft
accidents and reporting of the results.
27 March 1972
27 July 1972
7 December 1972
4
(3rd Edition)
Air Navigation Commission
study
Notification of all accidents
to multi-engined aircraft of over 2 250 kg (5 000 lb);
notification and exchange of information on incidents.
12 December 1972
12 April 1973
16 August 1973
5
(4th Edition)
Accident Investigation and
Prevention Divisional Meeting (AIG/1974) Committee on
Unlawful Interference
Change of title; deletion and
addition of definitions; objective of an investigation; use
of flight recorders and privileged status to be granted to
certain investigation records; action to be taken by a
State receiving safety recommendations; responsibility of
the State of Registry to participate in the investigation
of certain accidents when requested, to provide flight
recorders under certain circumstances and to request
participation of the State of Manufacture when the former
State conducts the investigation and matters of
airworthiness are involved; rights and obligations of the
State of Manufacture to participate in certain
investigations; rights and entitlement of the State having
special interest in an accident by virtue of fatalities to
its citizens; the Accident/Incident Data Reporting (ADREP)
system; Investigator-in-charge to inform aviation security
authorities, when necessary.
18 December 1975
18 April 1976
12 August 1976
6
(5th Edition)
Accident Investigation and
Prevention Divisional Meeting (AIG/1974)
Addition of the words "on the
basis of his qualifications" in the definitions of
accredited representative, adviser and
investigator-in-charge; new definition and specifications
regarding the State of the Operator in the case of aircraft
leased, chartered or interchanged; responsibility of the
State of Registry for sending accident notification any
time that State institutes the investigation; coordination
between investigator-in-charge and judicial authorities;
elimination of reference to number of engines; new
specification for publication of the Final Report.
24 November 1978
24 March 1979
29 November 1979
7
(6th Edition)
Accident Investigation and
Prevention Divisional Meeting (AIG/1979)
Addition, in the definition of
accident, of injuries inflicted by parts of an aircraft or
by jet blast; strengthening of the general specification
concerning the conduct of the investigation; strengthening
of the specification regarding disclosure of records;
strengthening of the specification for consultation on the
Final Report; deletion of the specifications regarding a
"Summary of the Final Report" and references thereto;
change of the specification concerning the forwarding to
ICAO of the Final Report; expansion of the specification on
publication of the Final Report or related documents; new
chapter on accident prevention measures; new attachment
regarding exchange of Final Reports between States and a
list of Final Reports available in States.
24 November 1980
24 March 1981
26 November 1981
8
(7th Edition)
Air Navigation Commission
Addition, in the definition of
serious injury, of exposure to infectious substances and
injurious radiation; new attachment regarding disclosure of
records; editorial changes.
22 January 1988
22 May 1988
17 November 1988
9
(8th Edition)
Accident Investigation
Divisional Meeting (AIG/1992)
Change of title; new or revised
definitions of causes, investigation, serious incident,
State of Design, State of Manufacture, and State of the
Operator; strengthening of the specifications concerning
applicability and the objective of the investigation;
strengthening of the specifications concerning the
responsibilities, rights and entitlements of the State of
Design and the State of Manufacture; new specifications
concerning the notification and investigation of serious
incidents; strengthening of the specifications concerning
notification of accidents and serious incidents; new
specification concerning assistance by States nearest to an
accident in international waters; new specification
concerning the separation of any judicial or administrative
proceedings to apportion blame or liability from an
accident investigation; strengthening of the specifications
concerning
23 March 1994
25 July 1994
10 November 1994
the use and read-out of the
flight recorders; strengthening of the specifications
concerning autopsy examinations and coordination with the
judicial authorities; strengthening of the specifications
concerning disclosure of records and deletion of the
related attachment; strengthening of the specifications
concerning the responsibility of other States to provide
information and their rights of participation; new
specification concerning organizational information and
strengthening of the specifications concerning the
participation of the operator; strengthening of the
specifications concerning the entitlement of accredited
representatives and a new specification concerning their
obligations; strengthening of the specification concerning
participation of States having suffered fatalities or
serious injuries to its citizens; strengthening of the
specifications concerning the ADREP preliminary report and
the accident/incident data report; strengthening of the
specifications concerning consultation, publication and
dissemination of the Final
Report; new and strengthened specifications concerning
accident prevention measures; new sub-paragraph and changes
to the format of the Final Report in the Appendix; updated
notification and reporting checklist in Attachment B; list
of examples of serious incidents as a new Attachment D.
10
(9th Edition)
Accident Investigation and
Prevention (AIG) Divisional Meeting (1999)
Changes to the notification of
an accident or serious incident and new provisions to
acknowledge receipt of the notification; new provisions to
provide details of dangerous goods; widening the provisions
for responsibility to initiate, conduct and delegate the
investigation; new provisions for medical examinations;
aligning the rights and obligations of the State of
Registry and the State of the Operator with those of the
State of Design and the State of Manufacture; strengthening
of the provisions of participation of States having
suffered fatalities to its citizens; new title for Chapter
6 which contains the provisions related to the Final
Report; strengthening of the consultation procedure and
inclusion of the operator and the manufacturer; new
provision for interim reports; new title for Chapter 7
which contains the provisions for ADREP reporting;
strengthening of the provisions on mandatory incident
reporting systems; new provisions on voluntary incident
reporting systems and non-punitive environment;
strengthening of the provisions on database systems,
analysis of data and preventive actions; new provision on
exchange of safety information; updating of Attachment B;
deletion of Attachment C; new Attachment on guidelines for
flight recorder read-out and analysis.
26 February 2001
16 July 2001
1 November 2001
INTERNATIONAL
STANDARDS AND RECOMMENDED PRACTICES
Chapter 1
DEFINITIONS
When the following terms are used
in the Standards and Recommended Practices for Aircraft Accident
and Incident Investigation, they have the following meaning:
Accident. An occurrence associated with
the operation of an aircraft which takes place between the time
any person boards the aircraft with the intention of flight until
such time as all such persons have disembarked, in which:
a) a person is fatally or
seriously injured as a result of:
- being in the aircraft,
or
- direct contact with any
part of the aircraft, including parts which have become detached
from the aircraft, or
- direct exposure to jet
blast,
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
b) 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 the engine, its cowlings or accessories; or for damage
limited to propellers, wing tips, antennas, tires, brakes,
fairings, small dents or puncture holes in the aircraft skin;
or
c) the aircraft is missing or
is completely inaccessible.
Note 1.- For statistical uniformity
only, an injury resulting in death within thirty days of the date
of the accident is classified as a fatal injury by ICAO.
Note 2.- An
aircraft is considered to be missing when the official search has
been terminated and the wreckage has not been located.
Accredited representative. A person
designated by a State, on the basis of his or her qualifications,
for the purpose of participating in an investigation conducted by
another State.
Adviser. A person appointed by a State,
on the basis of his or her qualifications, for the purpose of
assisting its accredited representative in an investigation.
Aircraft. Any machine that can derive
support in the atmosphere from the reactions of the air other
than the reactions of the air against the earth's surface.
Causes. Actions, omissions, events,
conditions, or a combination thereof, which led to the accident
or incident.
Flight recorder. Any type of recorder
installed in the aircraft for the purpose of complementing
accident/incident investigation.
Note.- See Annex 6, Parts I, II and
III, for specifications relating to flight recorders.
Incident. An occurrence, other than an
accident, associated with the operation of an aircraft which
affects or could affect the safety of operation.
Note.- The types of incidents which are of main interest to
the International Civil Aviation Organization for accident
prevention studies are listed in the Accident/Incident
Reporting Manual (Doc 9156).
Investigation. A process conducted for
the purpose of accident prevention which includes the gathering
and analysis of information, the drawing of conclusions,
including the determination of causes and, when appropriate, the
making of safety recommendations.
Investigator-in-charge. A person charged,
on the basis of his or her qualifications, with the
responsibility for the organization, conduct and control of an
investigation.
Note.- Nothing in the above
definition is intended to preclude the functions of an
investigator-in-charge being assigned to a commission or other
body.
Maximum mass. Maximum certificated
take-off mass.
Operator. A person,
organization or enterprise engaged in or offering to engage in an
aircraft operation.
Preliminary Report. The communication
used for the prompt dissemination of data obtained during the
early stages of the investigation.
Safety recommendation.
A proposal of the accident investigation authority of the
State conducting the investigation, based on information derived
from the investigation, made with the intention of preventing
accidents or incidents.
Serious incident. An incident involving
circumstances indicating that an accident nearly occurred.
Note 1.- The difference between an
accident and a serious incident lies only in the result.
Note 2.-
Examples of serious incidents can be found in Attachment C of
Annex 13 and in the Accident/Incident Reporting Manual (Doc
9156).
Serious injury. An injury which is
sustained by a person in an accident and which:
a) requires hospitalization
for more than 48 hours, commencing within seven days from the
date the injury was received; or
b) results in a fracture of
any bone (except simple fractures of fingers, toes or nose);
or
c) involves lacerations which
cause severe haemorrhage, nerve, muscle or tendon damage; or
d) involves injury to any
internal organ; or
e) involves second or third
degree burns, or any burns affecting more than 5 per cent of the
body surface; or
f) involves verified exposure
to infectious substances or injurious radiation.
State
of Design. The State having jurisdiction over the
organization responsible for the type design.
State
of Manufacture. The State having jurisdiction over the
organization responsible for the final assembly of the
aircraft.
State
of Occurrence. The State in the territory of which an
accident or incident occurs.
State
of the Operator. The State in which the operator's principal
place of business is located or, if there is no such place of
business, the operator's permanent residence.
State
of Registry. The State on whose register the aircraft is
entered.
Note.- In the case of the registration of aircraft of an
international operating agency on other than a national basis,
the States constituting the agency are jointly and severally
bound to assume the obligations which, under the Chicago
Convention, attach to a State of Registry. See, in this regard,
the Council Resolution of 14 December 1967 on Nationality and
Registration of Aircraft Operated by International Operating
Agencies which can be found in Policy and Guidance Material
on the Economic Regulation of International Air Transport
(Doc 9587).
Chapter 2
APPLICABILITY
2.1 Unless otherwise stated,
the specifications in this Annex apply to activities following
accidents and incidents wherever they occurred.
Note.- The application of this
specification with respect to accidents or serious incidents
occurring in the territory of a non-Contracting State, in an area
of undetermined sovereignty or on the high seas is addressed in
5.2 and 5.3.
2.2 In this Annex the
specifications concerning the State of the Operator apply only
when an aircraft is leased, chartered or interchanged and when
that State is not the State of Registry and if it discharges, in
respect of this Annex, in part or in whole, the functions and
obligations of the State of Registry.
Chapter 3
GENERAL
Note.-
Guidance material relating to the rights and obligations of the
State of the Operator in respect of accidents and incidents
involving leased, chartered or interchanged aircraft is provided
in Attachment A.
OBJECTIVE OF THE
INVESTIGATION
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.
PROTECTION OF
EVIDENCE, CUSTODY AND REMOVAL OF AIRCRAFT
RESPONSIBILITY OF THE STATE OF
OCCURRENCE
General
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.
Note 1.- Control over the wreckage
is dealt with in 5.6.
Note 2.-
Protection of flight recorder evidence requires that the recovery
and handling of the recorder and its recordings be assigned only
to qualified personnel.
Request from State of Registry, State of the Operator, State of
Design or State of Manufacture
3.3 If a request is received
from the State of Registry, the State of the Operator, the State
of Design or the State of Manufacture that the aircraft, its
contents, and any other evidence remain undisturbed pending
inspection by an accredited representative of the requesting
State, the State of Occurrence shall take all necessary steps to
comply with such request, so far as this is reasonably
practicable and compatible with the proper conduct of the
investigation; provided that the aircraft may be moved to the
extent necessary to extricate persons, animals, mail and
valuables, to prevent destruction by fire or other causes, or to
eliminate any danger or obstruction to air navigation, to other
transport or to the public, and provided that it does not result
in undue delay in returning the aircraft to service where this is
practicable.
Release from custody
3.4 Subject to the provisions
of 3.2 and 3.3, the State of Occurrence shall release custody of
the aircraft, its contents or any parts thereof as soon as they
are no longer required in the investigation, to any person or
persons duly designated by the State of Registry or the State of
the Operator, as applicable. For this purpose the State of
Occurrence shall facilitate access to the aircraft, its contents
or any parts thereof, provided that, if the aircraft, its
contents, or any parts thereof lie in an area within which the
State finds it impracticable to grant such access, it shall
itself effect removal to a point where access can be given.
Chapter 4
NOTIFICATION
Note 1.-
Attachment B provides a notification and reporting checklist.
Note 2.- A
list of addresses of aircraft accident and incident investigation
authorities can be found in the Manual of Aircraft Accident and
Incident Investigation, Pa r t I - Organization and Planning (Doc
9756) and on the ICAO/AIG web site when it becomes available.
ACCIDENTS OR
SERIOUS
INCIDENTS IN THE
TERRITORY OF A CONTRACTING STATE TO AIRCRAFT OF ANOTHER
CONTRACTING STATE
RESPONSIBILITY OF THE STATE OF
OCCURRENCE
Forwarding
4.1 The State of Occurrence
shall forward a notification of an accident or serious incident
with a minimum of delay and by the most suitable and quickest
means available to:
a) the State of Registry;
b) the State of the
Operator;
c) the State of Design;
d) the State of Manufacture;
and
e) the International Civil
Aviation Organization, when the aircraft involved is of a maximum
mass of over 2 250 kg.
However, when the State of
Occurrence is not aware of a serious incident, the State of
Registry or the State of the Operator, as appropriate, shall
forward a notification of such an incident to the State of
Design, the State of Manufacture and the State of Occurrence.
Note 1.- Telephone, facsimile,
e-mail or the Aeronautical Fixed Telecommunication Network (AFTN)
will in most cases constitute "the most suitable and quickest
means available". More than one means of communication may be
appropriate.
Note 2.-
Provision for the notification of a distress phase to the State
of Registry by the rescue coordination centre is contained in
Annex 12.
Format and content
4.2 The notification shall be
in plain language and contain as much of the following
information as is readily available, but its dispatch shall not
be delayed due to the lack of complete information:
a) for accidents the
identifying abbreviation ACCID, for serious incidents INCID;
b) manufacturer, model,
nationality and registration marks, and serial number of the
aircraft;
c) name of owner, operator
and hirer, if any, of the aircraft;
d) name of the
pilot-in-command, and nationality of crew and passengers;
e) date and time (local time
or UTC) of the accident or serious incident;
f) last point of departure
and point of intended landing of the aircraft;
g) position of the aircraft
with reference to some easily defined geographical point and
latitude and longitude;
h) number of crew and
passengers; aboard, killed and seriously injured; others, killed
and seriously injured;
i) description of the
accident or serious incident and the extent of damage to the
aircraft so far as is known;
j) an indication to what
extent the investigation will be conducted or is proposed to be
delegated by the State of Occurrence;
k) physical characteristics
of the accident or serious incident area, as well as an
indication of access difficulties or special requirements to
reach the site;
l) identification of the
originating authority and means to contact the
investigator-in-charge and the accident investigation authority
of the State of Occurrence at any time; and
m) presence and description
of dangerous goods on board the aircraft.
Note 1.- The 4-letter designator
"YLYX" in association with an ICAO 4-letter location indicator
forms the 8-letter addressee indicator for messages sent over the
AFTN to authorities responsible for aircraft accident and serious
incident investigations. For messages sent over the public
telecommunication service the addressee indicator cannot be used
and a postal or telegraphic address must be substituted.
The 8-letter addressee
indicators and the corresponding postal and telegraphic
addresses, when notified to ICAO, are published in the
Designators for Aircraft Operating Agencies, Aeronautical
Authorities and Services (Doc 8585).
Note 2.- The Manual of
Aircraft Accident and Incident Investigation, Pa r t
I - Organization and Planning (Doc 9756) contains
guidance material concerning the preparation of notification
messages and the arrangements to be made for their prompt
delivery to the addressee.
Language
4.3 The notification shall be
prepared in one of the working languages of ICAO, taking into
account the language of the recipient(s), whenever it is possible
to do so without causing undue delay.
Additional information
4.4 As soon as it is possible
to do so, the State of Occurrence shall dispatch the details
omitted from the notification as well as other known relevant
information.
RESPONSIBILITY OF THE STATE OF
REGISTRY, THE STATE OF THE OPERATOR, THE STATE OF DESIGN AND THE
STATE OF MANUFACTURE
Information - Participation
4.5 Recommendation.-
The State of Registry, the State of the Operator, the State of
Design and the State of Manufacture should acknowledge receipt of
the notification of an accident or serious incident (4.1
refers).
4.6 Upon receipt of the
notification, the State of Registry, the State of the Operator,
the State of Design and the State of Manufacture shall, as soon
as possible, provide the State of Occurrence with any relevant
information available to them regarding the aircraft and flight
crew involved in the accident or serious incident. Each State
shall also inform the State of Occurrence whether it intends to
appoint an accredited representative and if such an accredited
representative is appointed, the name and contact details; as
well as the expected date of arrival if the accredited
representative will travel to the State of Occurrence.
Note 1.- In accordance with 5.18,
the State of Registry, the State of the Operator, the State of
Design and the State of Manufacture have the right to appoint an
accredited representative to participate in the
investigation.
Note 2.- In
accordance with 5.22, the attention of the State of Registry, the
State of the Operator, the State of Design and the State of
Manufacture is drawn to their obligation to appoint an accredited
representative when specifically requested to do so by the State
conducting the investigation of an accident to an aircraft over
2 250 kg. Their attention is also drawn to the usefulness of
their presence and participation in the investigation.
4.7 Upon receipt of the
notification, the State of the Operator shall, with a minimum of
delay and by the most suitable and quickest means available,
provide the State of Occurrence with details of dangerous goods
on board the aircraft.
ACCIDENTS OR
SERIOUS INCIDENTS IN THE TERRITORY OF THE STATE OF REGISTRY, IN A
NON-CONTRACTING STATE OR OUTSIDE THE TERRITORY
OF ANY STATE
RESPONSIBILITY OF THE STATE OF
REGISTRY
Forwarding
4.8 When the State of
Registry institutes the investigation of an accident or serious
incident, that State shall forward a notification, in accordance
with 4.2 and 4.3 above, with a minimum of delay and by the most
suitable and quickest means available, to:
a) the State of the
Operator;
b) the State of Design;
c) the State of Manufacture;
and
d) the International Civil
Aviation Organization, when the aircraft involved is of a maximum
mass of over 2 250 kg.
Note 1.- Telephone, facsimile,
e-mail or the Aeronautical Fixed Telecommunication Network (AFTN)
will in most cases constitute "the most suitable and quickest
means available". More than one means of communication may be
appropriate.
Note 2.-
Provision for the notification of a distress phase to the State
of Registry by the rescue coordination centre is contained in
Annex 12.
RESPONSIBILITY OF THE STATE OF THE
OPERATOR, THE STATE OF DESIGN AND THE STATE OF MANUFACTURE
Information - Participation
4.9 Recommendation.-
The State of the Operator, the State of Design and the State
of Manufacture should acknowledge receipt of the notification of
an accident or serious incident (4.1 refers).
4.10 Upon receipt of the
notification, the State of the Operator, the State of Design and
the State of Manufacture shall, upon request, provide the State
of Registry with any relevant information available to them
regarding the flight crew and the aircraft involved in the
accident or serious incident. Each State shall also inform the
State of Registry whether it intends to appoint an accredited
representative, and if such an accredited representative is
appointed, the name and contact details; as well as the expected
date of arrival if the accredited representative will be present
at the investigation.
Note 1.- In accordance with 5.18,
the State of the Operator, the State of Design and the State of
Manufacture have the right to appoint an accredited
representative to participate in the investigation.
Note 2.- In
accordance with 5.22, the attention of the State of the Operator,
the State of Design and the State of Manufacture is drawn to
their obligation to appoint an accredited representative when
specifically requested to do so by the State conducting the
investigation of an accident to an aircraft over 2 250 kg. Their
attention is also drawn to the usefulness of their presence and
participation in the investigation.
4.11 Upon receipt of the
notification, the State of the Operator shall, with a minimum of
delay and by the most suitable and quickest means available,
provide the State of Registry with details of dangerous goods on
board the aircraft.
Chapter 5
INVESTIGATION
RESPONSIBILITY
FOR INSTITUTING AND CONDUCTING THE INVESTIGATION
ACCIDENTS OR INCIDENTS IN THE
TERRITORY OF A CONTRACTING STATE
State of Occurrence
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 the whole or any part of the conducting of
such investigation to another State by mutual arrangement and
consent. In any event the State of Occurrence shall use every
means to facilitate the investigation.
5.1.1 Recommendation.-
The State of Occurrence should institute an investigation into
the circumstances of a serious incident. Such a State may
delegate the whole or any part of the conducting of such
investigation to another State by mutual arrangement and consent.
In any event the State of Occurrence should use every means to
facilitate the investigation.
Note 1.- The
above provision does not exclude other already existing types of
investigation of incidents (serious or not) by other
organizations.
Note 2.- When
the whole investigation is delegated to another State, such a
State is expected to be responsible for the conduct of the
investigation, including the issuance of the Final Report and the
ADREP reporting. When a part of the investigation is delegated,
the State of Occurrence usually retains the responsibility for
the conduct of the investigation.
ACCIDENTS OR INCIDENTS IN THE
TERRITORY OF A NON-CONTRACTING STATE
State of Registry
5.2 Recommendation.-
When the accident or the serious incident has occurred in the
territory of a non-Contracting State which does not intend to
conduct an investigation in accordance with Annex 13, the State
of Registry or, failing that, the State of the Operator, the
State of Design or the State of Manufacture should endeavour to
institute and conduct an investigation in cooperation with the
State of Occurrence but, failing such cooperation, should itself
conduct an investigation with such information as is
available.
ACCIDENTS OR INCIDENTS OUTSIDE THE
TERRITORY OF ANY STATE
State of Registry
5.3 When the location of the
accident or the serious incident cannot definitely be established
as being in the territory of any State, the State of Registry
shall institute and conduct any necessary investigation of the
accident or serious incident. However, it may delegate the whole
or any part of the investigation to another State by mutual
arrangement and consent.
5.3.1 States nearest the
scene of an accident in international waters shall provide such
assistance as they are able and shall, likewise, respond to
requests by the State of Registry.
5.3.2 Recommendation.-
If the State of Registry is a non-Contracting State which does
not intend to conduct an investigation in accordance with Annex
13, the State of the Operator or, failing that, the State of
Design or the State of Manufacture should endeavour to institute
and conduct an investigation. However, such a State may delegate
the whole or any part of the investigation to another State by
mutual arrangement and consent.
ORGANIZATION AND
CONDUCT OF THE INVESTIGATION
Note.- The Manual of
Aircraft Accident Investigation (Doc 6920) contains guidance
material for the organization, conduct and control of an
investigation.
RESPONSIBILITY OF THE STATE
CONDUCTING THE INVESTIGATION
Note.- Nothing in the following
provisions is intended to preclude the State conducting the
investigation from calling upon the best technical expertise from
any source.
General
5.4 The accident
investigation authority shall have independence in the conduct of
the investigation and have unrestricted authority over its
conduct, consistent with the provisions of this Annex. The
investigation shall include:
a) the gathering, recording
and analysis of all available information on that accident or
incident;
b) if appropriate, the
issuance of safety recommendations;
c) if possible, the
determination of the causes; and
d) the completion of the
final report.
When possible, the scene of the
accident shall be visited, the wreckage examined and statements
taken from witnesses.
5.4.1 Recommendation.-
Any judicial or administrative proceedings to apportion blame
or liability should be separate from any investigation conducted
under the provisions of this Annex.
Investigator-in-charge - Designation
5.5 The State conducting the
investigation shall designate the investigator-in-charge of the
investigation and shall initiate the investigation
immediately.
Investigator-in-charge - Access and control
5.6 The
investigator-in-charge shall have unhampered access to the
wreckage and all relevant material, including flight recorders
and ATS records, and shall have unrestricted control over it to
ensure that a detailed examination can be made without delay by
authorized personnel participating in the investigation.
Flight recorders - Accidents and incidents
5.7 Effective use shall be
made of flight recorders in the investigation of an accident or
an incident. The State con-ducting the investigation shall
arrange for the read-out of the flight recorders without
delay.
5.8 Recommendation.-
In the event that the State conducting the investigation of an
accident or an incident does not have adequate facilities to read
out the flight recorders, it should use the facilities made
available to it by other States, giving consideration to the
following:
a) the
capabilities of the read-out facility;
b) the
timeliness of the read-out; and
c) the
location of the read-out facility.
Note.- The
requirements for the recording of radar data and ATS
communications are contained in Annex 11, Chapter 6.
Autopsy examinations
5.9 The State conducting the
investigation into a fatal accident shall arrange for complete
autopsy examination of fatally injured flight crew and, subject
to the particular circumstances, of fatally injured passengers
and cabin attendants, by a pathologist, preferably experienced in
accident investigation. These examinations shall be expeditious
and complete.
Note.- Guidance material related to autopsies is provided
in detail in the Manual of Civil Aviation Medicine (Doc
8984) and the Manual of Aircraft Accident Investigation
(Doc 6920), the former containing detailed guidance on
toxicological testing.
Medical examinations
5.9.1 Recommendation.-
When appropriate, the State conducting the investigation
should arrange for medical examination of the crew, passengers
and involved aviation personnel, by a physician, preferably
experienced in accident investigation. These examinations should
be expeditious.
Note 1.- Such
examinations may also determine whether the level of physical and
psychological fitness of flight crew and other personnel directly
involved in the occurrence is sufficient for them to contribute
to the investigation.
Note 2.- The
Manual of Civil Aviation Medicine (Doc 8984) contains guidance on
medical examinations.
Coordination - Judicial authorities
5.10 The State conducting the
investigation shall recognize the need for coordination between
the investigator-in-charge and the judicial authorities.
Particular attention shall be given to evidence which requires
prompt recording and analysis for the investigation to be
successful, such as the examination and identification of victims
and read-outs of flight recorder recordings.
Note 1.- The responsibility of the
State of Occurrence for such coordination is set out in 5.1.
Note 2.-
Possible conflicts between investigating and judicial authorities
regarding the custody of flight recorders and their recordings
may be resolved by an official of the judicial authority carrying
the recordings to the place of read-out, thus maintaining
custody.
Informing aviation security authorities
5.11 If, in the course of an
investigation it becomes known, or it is suspected, that an act
of unlawful interference was involved, the investigator-in-charge
shall immediately initiate action to ensure that the aviation
security authorities of the State(s) concerned are so
informed.
Non-disclosure of records
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:
a) all statements taken from
persons by the investigation authorities in the course of their
investigation;
b) all communications between
persons having been involved in the operation of the
aircraft;
c) medical or private
information regarding persons involved in the accident or
incident;
d) cockpit voice recordings
and transcripts from such recordings; and
e) opinions expressed in the
analysis of information, including flight recorder
information.
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.
Note.- Information contained in the
records listed above, which includes information given
voluntarily by persons interviewed during the investigation of an
accident or incident, could be utilized inappropriately for
subsequent disciplinary, civil, administrative and criminal
proceedings. If such information is distributed, it may, in the
future, no longer be openly disclosed to investigators. Lack of
access to such information would impede the investigation process
and seriously affect flight safety.
Re-opening of investigation
5.13 If, after the
investigation has been closed, new and significant evidence
becomes available, the State which conducted the investigation
shall re-open 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.
RESPONSIBILITY OF ANY OTHER
STATE
Information - Accidents and incidents
5.14 Any State shall, on
request from the State conducting the investigation of an
accident or an incident, provide that State with all the relevant
information available to it.
Note.- See also 5.16.
5.15 Any State, the
facilities or services of which have been, or would normally have
been, used by an aircraft prior to an accident or an incident,
and which has information pertinent to the investigation, shall
provide such information to the State conducting the
investigation.
RESPONSIBILITY OF THE STATE OF
REGISTRY AND THE STATE OF THE OPERATOR
Flight recorders - Accidents and serious incidents
5.16 When an aircraft
involved in an accident or a serious incident lands in a State
other than the State of Occurrence, the State of Registry or the
State of the Operator shall, on request from the State conducting
the investigation, furnish the latter State with the flight
recorder records and, if necessary, the associated flight
recorders.
Note.- In implementing 5.16, the
State of Registry or the State of the Operator may request the
cooperation of any other State in the retrieval of the flight
recorder records.
Organizational information
5.17 The State of Registry
and the State of the Operator, on request from the State
conducting the investigation, shall provide pertinent information
on any organization whose activities may have directly or
indirectly influenced the operation of the aircraft.
PARTICIPATION IN
THE INVESTIGATION
Note.- Nothing
in this Annex is intended to imply that the accredited
representative and advisers of a State have to be always present
in the State in which the investigation is conducted.
PARTICIPATION OF THE STATE OF
REGISTRY, THE STATE OF THE OPERATOR, THE STATE OF DESIGN AND THE
STATE OF MANUFACTURE
Rights
5.18 The State of Registry,
the State of the Operator, the State of Design and the State of
Manufacture shall each be entitled to appoint an accredited
representative to participate in the investigation.
Note.- Nothing in this Standard is
intended to preclude the State that designed or manufactured the
powerplant or major components of the aircraft from requesting
participation in the investigation of an accident.
5.19 The State of Registry or
the State of the Operator shall appoint one or more advisers,
proposed by the operator, to assist its accredited
representative.
5.19.1 Recommendation.- When neither the State of
Registry, nor the State of the Operator appoint an accredited
representative, the State conducting the investigation should
invi …
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