Professional Documents
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Annex 13
to the Convention on
International Civil Aviation
Ninth Edition
July 2001
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2/06
Annex 13
to the Convention on
International Civil Aviation
Ninth Edition
July 2001
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.
AMENDMENTS CORRIGENDA
11 23/11/06 — ICAO
(ii)
TABLE OF CONTENTS
Page Page
Page Page
23/11/06
1/11/01 (iv)
No. 11
FOREWORD
Convention, nor should it contain any provision which death or serious injury ‘indicates serious technical
would do violence to the spirit and intent of the defect in the aircraft or air navigation facilities’, in
Convention. which cases and until ICAO recommends a pro-
cedure to this effect, the inquiry shall be conducted
b) Subject to a) the Annex may deal with any relevant in accordance with the national procedure of the
matter whether or not expressly dealt with by Article 26 State concerned, subject to the obligations deriving
or by any other Article of the Convention. For instance from the provisions of Article 26.”
it is not a contravention of the Convention for the
Annex to deal with the rights or obligations of States The accredited representative and the advisers referred to
other than the State of Registry and the State in which in the Annex together comprise the observers that are given
the accident occurred; similarly the Annex may deal the right to be present at an inquiry under Article 26.
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 Action by Contracting States
within the provisions of Article 26.
Notification of differences. The attention of Contracting States
is drawn to the obligation imposed by Article 38 of the
Relationship between Annex 13 Convention by which Contracting States are required to notify
and Article 26 of the Convention the Organization of any differences between their national
regulations and practices and the International Standards
In order to clarify the relationship between the provisions of contained in this Annex and any amendments thereto.s
Article 26 and those of the present Annex the Council, at the Contracting States are invited to extend such notification to
20th meeting of its Twelfth Session on 13 April 1951, adopted any differences from the Recommended Practices contained in
the following additional resolution: this Annex and any amendments thereto, when the notification
of such differences is important for the safety of air navi-
“Whereas Article 26 of the Convention provides that a gation. Further, Contracting States are invited to keep the
State in which an accident to an aircraft occurs within the Organization currently informed of any differences which may
terms of the Article, ‘will institute an inquiry into the subsequently occur, or of the withdrawal of any differences
circumstances of the accident in accordance, in so far as previously notified. A specific request for notification of
its laws permit, with the procedure which may be differences will be sent to Contracting States immediately
recommended by the International Civil Aviation after the adoption of each amendment to this Annex.
Organization’; and
Attention of States is also drawn to the provisions of
“Whereas the Council, at the 18th meeting of its Twelfth Annex 15 related to the publication of differences between
Session on 11 April 1951, adopted Annex 13 on Aircraft their national regulations and practices and the related ICAO
Accident Inquiry; Standards and Recommended Practices through the Aero-
nautical Information Service, in addition to the obligation of
“The Council recommends the Standards and Rec- States under Article 38 of the Convention.
ommended Practices for Aircraft Accident Inquiry con-
tained in Annex 13 to the Convention, as the procedure to Use of the text of the Annex in national regulations. The
be followed by Contracting States for inquiries into Council, on 13 April 1948, adopted a resolution inviting the
accidents involving death or serious injury and instituted attention of Contracting States to the desirability of using in
in accordance with the provisions of Article 26; their own national regulations, as far as is practicable, the
precise language of those ICAO Standards that are of a
“It being understood: regulatory character and also of indicating departures from the
“1) that States may in accordance with Article 38 Standards, including any additional national regulations that
of the Convention, deviate from any provision of were important for the safety or regularity of air navigation.
Annex 13, except that, with respect to accidents However, the Standards and Recommended Practices of
covered by terms of Article 26 of the Convention Annex 13 while of general applicability will, in many cases,
and pursuant to this Article, ‘the State in which the require amplification in order to enable a complete national
accident occurs will institute an inquiry’, ‘the State code to be formulated.
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 Status of Annex components
that State’; and
An Annex is made up of the following component parts, not
“2) that the procedure here recommended is not appli- all of which, however, are necessarily found in every Annex;
cable when an accident to an aircraft not involving they have the status indicated:
1/11/01 (vi)
Foreword Annex 13 — Aircraft Accident and Incident Investigation
1.— Material comprising the Annex proper: b) Introductions comprising explanatory material intro-
duced at the beginning of parts, chapters or sections
a) Standards and Recommended Practices adopted by of the Annex to assist in the understanding of the
the Council under the provisions of the Convention. application of the text.
They are defined as follows:
c) Notes included in the text, where appropriate, to give
Standard: Any specification for physical charac- factual information or references bearing on the Stan-
teristics, configuration, matériel, performance, per- dards or Recommended Practices in question, but not
sonnel or procedure, the uniform application of constituting part of the Standards or Recommended
which is recognized as necessary for the safety or Practices.
regularity of international air navigation and to which
Contracting States will conform in accordance with
the Convention; in the event of impossibility of com- d) Attachments comprising material supplementary to
pliance, notification to the Council is compulsory the Standards and Recommended Practices, or
under Article 38. included as a guide to their application.
(vii) 1/11/01
Annex 13 — Aircraft Accident and Incident Investigation Foreword
Adopted
Effective
Amendment Source(s) Subject(s) Applicable
1 Assembly Resolutions New definitions; rights and obligations of the State of Manufacture; initial and 24 November 1965
(2nd Edition) A14-22 and A14-27, subsequent notification of an accident; attendance of representatives of the 24 March 1966
Appendix P operator; report on the inquiry; summary of the Report and its format. 25 August 1966
Third Session of the
Accident Investigation
Division
2 Third Session of the Communication procedures for sending aircraft accident notification. 5 December 1966
Accident Investigation 5 April 1967
Division 24 August 1967
3 Personnel Licensing/ Autopsy of victims of aircraft accidents and reporting of the results. 27 March 1972
Training Practices/ 27 July 1972
Medical Divisional 7 December 1972
Meeting (1970)
4 Air Navigation Notification of all accidents to multi-engined aircraft of over 2 250 kg (5 000 12 December 1972
(3rd Edition) Commission study lb); notification and exchange of information on incidents. 12 April 1973
16 August 1973
5 Accident Investigation Change of title; deletion and addition of definitions; objective of an 18 December 1975
(4th Edition) and Prevention investigation; use of flight recorders and privileged status to be granted to 18 April 1976
Divisional Meeting certain investigation records; action to be taken by a State receiving safety 12 August 1976
(AIG/1974) recommendations; responsibility of the State of Registry to participate in the
Committee on investigation of certain accidents when requested, to provide flight recorders
Unlawful Interference 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.
6 Accident Investigation Addition of the words “on the basis of his qualifications” in the definitions of 24 November 1978
(5th Edition) and Prevention accredited representative, adviser and investigator-in-charge; new definition and 24 March 1979
Divisional Meeting specifications regarding the State of the Operator in the case of aircraft leased, 29 November 1979
(AIG/1974) chartered or interchanged; responsibility of the State of Registry for sending
accident notification any time that State institutes the investigation; coordi-
nation between investigator-in-charge and judicial authorities; elimination of
reference to number of engines; new specification for publication of the Final
Report.
7 Accident Investigation Addition, in the definition of accident, of injuries inflicted by parts of an aircraft 24 November 1980
(6th Edition) and Prevention or by jet blast; strengthening of the general specification concerning the conduct 24 March 1981
Divisional Meeting of the investigation; strengthening of the specification regarding disclosure of 26 November 1981
(AIG/1979) 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.
1/11/01 (viii)
Foreword Annex 13 — Aircraft Accident and Incident Investigation
Adopted
Effective
Amendment Source(s) Subject(s) Applicable
8 Air Navigation Addition, in the definition of serious injury, of exposure to infectious substances 22 January 1988
(7th Edition) Commission and injurious radiation; new attachment regarding disclosure of records; editorial 22 May 1988
changes. 17 November 1988
9 Accident Change of title; new or revised definitions of causes, investigation, serious 23 March 1994
(8th Edition) Investigation incident, State of Design, State of Manufacture, and State of the Operator; 25 July 1994
Divisional Meeting strengthening of the specifications concerning applicability and the objective of 10 November 1994
(AIG/1992) 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 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 Accident Changes to the notification of an accident or serious incident and new provisions 26 February 2001
(9th Edition) Investigation and to acknowledge receipt of the notification; new provisions to provide details of 16 July 2001
Prevention (AIG) dangerous goods; widening the provisions for responsibility to initiate, conduct 1 November 2001
Divisional Meeting and delegate the investigation; new provisions for medical examinations;
(1999) 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.
(ix) 23/11/06
1/11/01
No. 11
INTERNATIONAL STANDARDS
AND RECOMMENDED PRACTICES
CHAPTER 1. DEFINITIONS
When the following terms are used in the Standards and Accredited representative. A person designated by a State, on
Recommended Practices for Aircraft Accident and Incident the basis of his or her qualifications, for the purpose of
Investigation, they have the following meaning: participating in an investigation conducted by another State.
Accident. An occurrence associated with the operation of an Adviser. A person appointed by a State, on the basis of his or
aircraft which takes place between the time any person her qualifications, for the purpose of assisting its accredited
boards the aircraft with the intention of flight until such representative in an investigation.
time as all such persons have disembarked, in which:
Aircraft. Any machine that can derive support in the
a) a person is fatally or seriously injured as a result of: atmosphere from the reactions of the air other than the
reactions of the air against the earth’s surface.
— being in the aircraft, or
— direct contact with any part of the aircraft, including Causes. Actions, omissions, events, conditions, or a combi-
parts which have become detached from the aircraft, nation thereof, which led to the accident or incident.
or
— direct exposure to jet blast, Flight recorder. Any type of recorder installed in the aircraft
for the purpose of complementing accident/incident
except when the injuries are from natural causes, self- investigation.
inflicted or inflicted by other persons, or when the
injuries are to stowaways hiding outside the areas Note.— See Annex 6, Parts I, II and III, for specifications
normally available to the passengers and crew; or relating to flight recorders.
b) the aircraft sustains damage or structural failure which: Incident. An occurrence, other than an accident, associated
with the operation of an aircraft which affects or could
— adversely affects the structural strength, performance affect the safety of operation.
or flight characteristics of the aircraft, and
— would normally require major repair or replacement Note.— The types of incidents which are of main interest to
of the affected component, the International Civil Aviation Organization for accident
prevention studies are listed in the Accident/Incident Report-
except for engine failure or damage, when the damage is ing Manual (Doc 9156).
limited to the engine, its cowlings or accessories; or for
damage limited to propellers, wing tips, antennas, tires, Investigation. A process conducted for the purpose of accident
brakes, fairings, small dents or puncture holes in the prevention which includes the gathering and analysis of
aircraft skin; or information, the drawing of conclusions, including the
determination of causes and, when appropriate, the making
c) the aircraft is missing or is completely inaccessible. of safety recommendations.
Note 1.— For statistical uniformity only, an injury resulting Investigator-in-charge. A person charged, on the basis of his
in death within thirty days of the date of the accident is or her qualifications, with the responsibility for the organ-
classified as a fatal injury by ICAO. ization, conduct and control of an investigation.
Note 2.— An aircraft is considered to be missing when the Note.— Nothing in the above definition is intended to
official search has been terminated and the wreckage has not preclude the functions of an investigator-in-charge being
been located. assigned to a commission or other body.
Maximum mass. Maximum certificated take-off mass. d) involves injury to any internal organ; or
Operator. A person, organization or enterprise engaged in or e) involves second or third degree burns, or any burns
offering to engage in an aircraft operation. affecting more than 5 per cent of the body surface; or
Preliminary Report. The communication used for the prompt f) involves verified exposure to infectious substances or
dissemination of data obtained during the early stages of injurious radiation.
the investigation.
State of Design. The State having jurisdiction over the
Safety recommendation. A proposal of the accident investi- organization responsible for the type design.
gation authority of the State conducting the investigation,
based on information derived from the investigation, made State of Manufacture. The State having jurisdiction over the
with the intention of preventing accidents or incidents. organization responsible for the final assembly of the
aircraft.
Serious incident. An incident involving circumstances
indicating that an accident nearly occurred.
State of Occurrence. The State in the territory of which an
accident or incident occurs.
Note 1.— The difference between an accident and a serious
incident lies only in the result.
State of the Operator. The State in which the operator’s
Note 2.— Examples of serious incidents can be found in principal place of business is located or, if there is no such
Attachment C of Annex 13 and in the Accident/Incident place of business, the operator’s permanent residence.
Reporting Manual (Doc 9156).
State of Registry. The State on whose register the aircraft is
Serious injury. An injury which is sustained by a person in an entered.
accident and which:
Note.— In the case of the registration of aircraft of an
a) requires hospitalization for more than 48 hours, international operating agency on other than a national basis,
commencing within seven days from the date the injury the States constituting the agency are jointly and severally
was received; or bound to assume the obligations which, under the Chicago
Convention, attach to a State of Registry. See, in this regard,
b) results in a fracture of any bone (except simple fractures the Council Resolution of 14 December 1967 on Nationality
of fingers, toes or nose); or and Registration of Aircraft Operated by International
Operating Agencies which can be found in Policy and
c) involves lacerations which cause severe haemorrhage, Guidance Material on the Economic Regulation of Inter-
nerve, muscle or tendon damage; or national Air Transport (Doc 9587).
1/11/01 1-2
CHAPTER 2. APPLICABILITY
Note.— Guidance material relating to the rights and Note 2.— Protection of flight recorder evidence requires
obligations of the State of the Operator in respect of accidents that the recovery and handling of the recorder and its
and incidents involving leased, chartered or interchanged recordings be assigned only to qualified personnel.
aircraft is provided in Attachment A.
Request from State of Registry, State of the Operator,
State of Design or State of Manufacture
OBJECTIVE OF THE INVESTIGATION
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
3.1 The sole objective of the investigation of an accident
Manufacture that the aircraft, its contents, and any other
or incident shall be the prevention of accidents and incidents.
evidence remain undisturbed pending inspection by an
It is not the purpose of this activity to apportion blame or
accredited representative of the requesting State, the State of
liability.
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
PROTECTION OF EVIDENCE, CUSTODY AND
persons, animals, mail and valuables, to prevent destruction by
REMOVAL OF AIRCRAFT
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
RESPONSIBILITY OF THE STATE
aircraft to service where this is practicable.
OF OCCURRENCE
3.2 The State of Occurrence shall take all reasonable 3.4 Subject to the provisions of 3.2 and 3.3, the State of
measures to protect the evidence and to maintain safe custody Occurrence shall release custody of the aircraft, its contents or
of the aircraft and its contents for such a period as may be any parts thereof as soon as they are no longer required in the
necessary for the purposes of an investigation. Protection of investigation, to any person or persons duly designated by the
evidence shall include the preservation, by photographic or State of Registry or the State of the Operator, as applicable.
other means of any evidence which might be removed, For this purpose the State of Occurrence shall facilitate access
effaced, lost or destroyed. Safe custody shall include protec- to the aircraft, its contents or any parts thereof, provided that,
tion against further damage, access by unauthorized persons, if the aircraft, its contents, or any parts thereof lie in an area
pilfering and deterioration. within which the State finds it impracticable to grant such
access, it shall itself effect removal to a point where access can
Note 1.— Control over the wreckage is dealt with in 5.6. be given.
c) the State of Design; h) number of crew and passengers; aboard, killed and
seriously injured; others, killed and seriously injured;
d) the State of Manufacture; and
i) description of the accident or serious incident and the
e) the International Civil Aviation Organization, when the extent of damage to the aircraft so far as is known;
aircraft involved is of a maximum mass of over
2 250 kg. j) an indication to what extent the investigation will be
conducted or is proposed to be delegated by the State of
However, when the State of Occurrence is not aware of a Occurrence;
serious incident, the State of Registry or the State of the
Operator, as appropriate, shall forward a notification of such
k) physical characteristics of the accident or serious
an incident to the State of Design, the State of Manufacture
incident area, as well as an indication of access
and the State of Occurrence.
difficulties or special requirements to reach the site;
Note 1.— Telephone, facsimile, e-mail or the Aeronautical
Fixed Telecommunication Network (AFTN) will in most cases l) identification of the originating authority and means to
constitute “the most suitable and quickest means available”. contact the investigator-in-charge and the accident
More than one means of communication may be appropriate. investigation authority of the State of Occurrence at any
time; and
Note 2.— Provision for the notification of a distress phase
to the State of Registry by the rescue coordination centre is m) presence and description of dangerous goods on board
contained in Annex 12. the aircraft.
Note 1.— The 4-letter designator “YLYX” in association Note 1.— In accordance with 5.18, the State of Registry, the
with an ICAO 4-letter location indicator forms the 8-letter State of the Operator, the State of Design and the State of
addressee indicator for messages sent over the AFTN to Manufacture have the right to appoint an accredited
authorities responsible for aircraft accident and serious representative to participate in the investigation.
incident investigations. For messages sent over the public
telecommunication service the addressee indicator cannot be Note 2.— In accordance with 5.22, the attention of the State
used and a postal or telegraphic address must be substituted. of Registry, the State of the Operator, the State of Design and
the State of Manufacture is drawn to their obligation to
The 8-letter addressee indicators and the corresponding appoint an accredited representative when specifically
postal and telegraphic addresses, when notified to ICAO, are requested to do so by the State conducting the investigation of
published in the Designators for Aircraft Operating Agencies, an accident to an aircraft over 2 250 kg. Their attention is also
Aeronautical Authorities and Services (Doc 8585). drawn to the usefulness of their presence and participation in
the investigation.
Note 2.— The Manual of Aircraft Accident and Incident
Investigation, Part I — Organization and Planning (Doc 9756) 4.7 Upon receipt of the notification, the State of the
contains guidance material concerning the preparation of Operator shall, with a minimum of delay and by the most
notification messages and the arrangements to be made for suitable and quickest means available, provide the State of
their prompt delivery to the addressee. Occurrence with details of dangerous goods on board the
aircraft.
Language
Forwarding
RESPONSIBILITY OF THE STATE OF REGISTRY,
THE STATE OF THE OPERATOR, 4.8 When the State of Registry institutes the investigation
THE STATE OF DESIGN AND of an accident or serious incident, that State shall forward a
THE STATE OF MANUFACTURE 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:
Information — Participation
a) the State of the Operator;
4.5 Recommendation.— The State of Registry, the State
of the Operator, the State of Design and the State of b) the State of Design;
Manufacture should acknowledge receipt of the notification of
an accident or serious incident (4.1 refers). c) the State of Manufacture; and
4.6 Upon receipt of the notification, the State of Registry, d) the International Civil Aviation Organization, when the
the State of the Operator, the State of Design and the State of aircraft involved is of a maximum mass of over 2 250 kg.
Manufacture shall, as soon as possible, provide the State of
Occurrence with any relevant information available to them Note 1.— Telephone, facsimile, e-mail or the Aeronautical
regarding the aircraft and flight crew involved in the accident Fixed Telecommunication Network (AFTN) will in most cases
or serious incident. Each State shall also inform the State of constitute “the most suitable and quickest means available”.
Occurrence whether it intends to appoint an accredited More than one means of communication may be appropriate.
representative and if such an accredited representative is
appointed, the name and contact details; as well as the Note 2.— Provision for the notification of a distress phase
expected date of arrival if the accredited representative will to the State of Registry by the rescue coordination centre is
travel to the State of Occurrence. contained in Annex 12.
1/11/01 4-2
Chapter 4 Annex 13 — Aircraft Accident and Incident Investigation
RESPONSIBILITY OF THE STATE OF contact details; as well as the expected date of arrival if the
THE OPERATOR, THE STATE OF DESIGN AND accredited representative will be present at the investigation.
THE STATE OF MANUFACTURE
Note 1.— In accordance with 5.18, the State of the
Operator, the State of Design and the State of Manufacture
Information — Participation have the right to appoint an accredited representative to
participate in the investigation.
4.9 Recommendation.— The State of the Operator, the
State of Design and the State of Manufacture should Note 2.— In accordance with 5.22, the attention of the State
acknowledge receipt of the notification of an accident or of the Operator, the State of Design and the State of Manu-
serious incident (4.1 refers). facture is drawn to their obligation to appoint an accredited
representative when specifically requested to do so by the State
4.10 Upon receipt of the notification, the State of the conducting the investigation of an accident to an aircraft over
Operator, the State of Design and the State of Manufacture 2 250 kg. Their attention is also drawn to the usefulness of
shall, upon request, provide the State of Registry with any their presence and participation in the investigation.
relevant information available to them regarding the flight
crew and the aircraft involved in the accident or serious 4.11 Upon receipt of the notification, the State of the
incident. Each State shall also inform the State of Registry Operator shall, with a minimum of delay and by the most
whether it intends to appoint an accredited representative, and suitable and quickest means available, provide the State of
if such an accredited representative is appointed, the name and Registry with details of dangerous goods on board the aircraft.
4-3 1/11/01
CHAPTER 5. INVESTIGATION
RESPONSIBILITY FOR INSTITUTING AND Registry or, failing that, the State of the Operator, the State of
CONDUCTING THE INVESTIGATION 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
ACCIDENTS OR INCIDENTS conduct an investigation with such information as is available.
IN THE TERRITORY OF A
CONTRACTING STATE
ACCIDENTS OR INCIDENTS
OUTSIDE THE TERRITORY OF ANY STATE
State of Occurrence
When possible, the scene of the accident shall be visited, the Note.— Guidance material related to autopsies is provided
wreckage examined and statements taken from witnesses. in detail in the Manual of Civil Aviation Medicine
(Doc 8984) and the Manual of Aircraft Accident Investigation
5.4.1 Recommendation.— Any judicial or administra- (Doc 6920), the former containing detailed guidance on
tive proceedings to apportion blame or liability should be toxicological testing.
separate from any investigation conducted under the
provisions of this Annex.
Medical examinations
Investigator-in-charge — Designation
5.9.1 Recommendation.— When appropriate, the State
5.5 The State conducting the investigation shall designate
conducting the investigation should arrange for medical
the investigator-in-charge of the investigation and shall initiate
examination of the crew, passengers and involved aviation
the investigation immediately.
personnel, by a physician, preferably experienced in accident
investigation. These examinations should be expeditious.
Investigator-in-charge — Access and control
Note 1.— Such examinations may also determine whether
5.6 The investigator-in-charge shall have unhampered the level of physical and psychological fitness of flight crew
access to the wreckage and all relevant material, including and other personnel directly involved in the occurrence is
flight recorders and ATS records, and shall have unrestricted sufficient for them to contribute to the investigation.
control over it to ensure that a detailed examination can be
made without delay by authorized personnel participating in Note 2.— The Manual of Civil Aviation Medicine
the investigation. (Doc 8984) contains guidance on medical examinations.
5.7 Effective use shall be made of flight recorders in the Coordination — Judicial authorities
investigation of an accident or an incident. The State con-
ducting the investigation shall arrange for the read-out of the 5.10 The State conducting the investigation shall recog-
flight recorders without delay. nize the need for coordination between the investigator-in-
charge and the judicial authorities. Particular attention shall be
5.8 Recommendation.— In the event that the State given to evidence which requires prompt recording and
conducting the investigation of an accident or an incident does analysis for the investigation to be successful, such as the
not have adequate facilities to read out the flight recorders, it examination and identification of victims and read-outs of
should use the facilities made available to it by other States, flight recorder recordings.
giving consideration to the following:
Note 1.— The responsibility of the State of Occurrence for
a) the capabilities of the read-out facility; such coordination is set out in 5.1.
b) the timeliness of the read-out; and Note 2.— Possible conflicts between investigating and
judicial authorities regarding the custody of flight recorders
c) the location of the read-out facility. and their recordings may be resolved by an official of the
1/11/01 5-2
Chapter 5 Annex 13 — Aircraft Accident and Incident Investigation
judicial authority carrying the recordings to the place of read- Re-opening of investigation
out, thus maintaining custody.
5.13 If, after the investigation has been closed, new and
significant evidence becomes available, the State which con-
Informing aviation security authorities ducted the investigation shall re-open it. However, when the
State which conducted the investigation did not institute it, that
5.11 If, in the course of an investigation it becomes State shall first obtain the consent of the State which instituted
known, or it is suspected, that an act of unlawful interference the investigation.
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. RESPONSIBILITY OF ANY OTHER STATE
d) cockpit voice recordings and transcripts from such Flight recorders — Accidents and serious incidents
recordings; and
5.16 When an aircraft involved in an accident or a serious
e) recordings and transcriptions of recordings from air incident lands in a State other than the State of Occurrence, the
traffic control units; and State of Registry or the State of the Operator shall, on request
from the State conducting the investigation, furnish the latter
f) opinions expressed in the analysis of information, State with the flight recorder records and, if necessary, the
including flight recorder information. associated flight recorders.
5.12.1 These records shall be included in the final report Note.— In implementing 5.16, the State of Registry or the
or its appendices only when pertinent to the analysis of the State of the Operator may request the cooperation of any other
accident or incident. Parts of the records not relevant to the State in the retrieval of the flight recorder records.
analysis shall not be disclosed.
Note 1.— Information contained in the records listed above, Organizational information
which includes information given voluntarily by persons
interviewed during the investigation of an accident or incident, 5.17 The State of Registry and the State of the Operator,
could be utilized inappropriately for subsequent disciplinary, on request from the State conducting the investigation, shall
civil, administrative and criminal proceedings. If such infor- provide pertinent information on any organization whose
mation is distributed, it may, in the future, no longer be openly activities may have directly or indirectly influenced the
disclosed to investigators. Lack of access to such information operation of the aircraft.
would impede the investigation process and seriously affect
flight safety.
PARTICIPATION IN THE INVESTIGATION
Note 2.— Attachment E contains legal guidance for the
protection of information from safety data collection and Note.— Nothing in this Annex is intended to imply that the
processing systems. accredited representative and advisers of a State have to be
5-3 23/11/06
1/11/01
No. 11
Annex 13 — Aircraft Accident and Incident Investigation Chapter 5
always present in the State in which the investigation is ents of the aircraft to appoint an accredited representative
conducted. whenever the former State believes that a useful contribution
can be made to the investigation or when such participation
might result in increased safety.
Rights
PARTICIPATION OF OTHER STATES
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
Rights
the investigation.
5.23 Any State which on request provides information,
Note.— Nothing in this Standard is intended to preclude the
facilities or experts to the State conducting the investigation
State that designed or manufactured the powerplant or major
shall be entitled to appoint an accredited representative to
components of the aircraft from requesting participation in the
participate in the investigation.
investigation of an accident.
5.19 The State of Registry or the State of the Operator Note.— Any State that provides an operational base for
shall appoint one or more advisers, proposed by the operator, field investigations, or is involved in search and rescue or
to assist its accredited representative. wreckage recovery operations, or is involved as a State of a
code-share or alliance partner of the operator, may also be
5.19.1 Recommendation.— When neither the State of invited to appoint an accredited representative to participate
Registry, nor the State of the Operator appoint an accredited in the investigation.
representative, the State conducting the investigation should
invite the operator to participate, subject to the procedures of
the State conducting the investigation.
ENTITLEMENT OF ACCREDITED
5.20 The State of Design and the State of Manufacture REPRESENTATIVES
shall be entitled to appoint one or more advisers, proposed by
the organizations responsible for the type design and the final
assembly of the aircraft, to assist their accredited represen- Advisers
tatives.
5.24 A State entitled to appoint an accredited represen-
5.21 Recommendation.— When neither the State of tative shall also be entitled to appoint one or more advisers to
Design nor the State of Manufacture appoint an accredited assist the accredited representative in the investigation.
representative, the State conducting the investigation should
invite the organizations responsible for the type design and the Note 1.— Nothing in the above provisions is intended to
final assembly of the aircraft to participate, subject to the preclude a State participating in an investigation from calling
procedures of the State conducting the investigation. upon the best technical experts from any source and
appointing such experts as advisers to its accredited
representative.
Obligations
5.22 When the State conducting an investigation of an Note 2.— Facilitation of the entry of the accredited
accident to an aircraft of a maximum mass of over 2 250 kg representatives, their advisers and equipment is covered in
specifically requests participation by the State of Registry, the Annex 9 — Facilitation. The carriage of an official or service
State of the Operator, the State of Design or the State of passport may expedite the entry.
Manufacture, the State(s) concerned shall each appoint an
accredited representative. 5.24.1 Advisers assisting accredited representatives shall
be permitted, under the accredited representatives’ super-
Note 1.— Nothing in 5.22 is intended to preclude the State vision, to participate in the investigation to the extent necess-
conducting an investigation from requesting the State that ary to enable the accredited representatives to make their
designed or manufactured the powerplant or major compon- participation effective.
23/11/06
1/11/01 5-4
No. 11
Chapter 5 Annex 13 — Aircraft Accident and Incident Investigation
e) receive copies of all pertinent documents; Note.— Nothing in this Standard precludes prompt release
of facts when authorized by the State conducting the
f) participate in read-outs of recorded media; investigation, nor does this Standard preclude accredited
representatives from reporting to their respective States in
g) participate in off-scene investigative activities such as order to facilitate appropriate safety actions.
component examinations, technical briefings, tests and
simulations;
However, participation of States other than the State of 5.27 A State which has a special interest in an accident by
Registry, the State of the Operator, the State of Design and the virtue of fatalities or serious injuries to its citizens shall, upon
State of Manufacture may be limited to those matters which making a request to do so, be permitted by the State con-
entitled such States to participation under 5.23. ducting the investigation to appoint an expert who shall be
entitled to:
Note 1.— It is recognized that the form of participation
would be subject to the procedures of the State in which the a) visit the scene of the accident;
investigation, or part thereof, is being conducted.
b) have access to the relevant factual information;
Note 2.— The collection and recording of information need
not be delayed to await the arrival of an accredited c) participate in the identification of the victims;
representative.
d) assist in questioning surviving passengers who are
Note 3.— Nothing in this Standard precludes the State citizens of the expert’s State; and
conducting the investigation from extending participation
beyond the entitlement enumerated. e) receive a copy of the Final Report.
5-5 23/11/06
1/11/01
No. 11
CHAPTER 6. FINAL REPORT
6.1 Recommendation.— The format of the Final Report Note 1.— Nothing in this Standard is intended to preclude
in the Appendix should be used. However, it may be adapted the State conducting the investigation from consulting other
to the circumstances of the accident or incident. States, such as those States which provided relevant infor-
mation, significant facilities, or experts who participated in the
investigation under 5.27.
RESPONSIBILITY OF ANY STATE
Note 2.— Comments to be appended to the Final Report are
restricted to non-editorial-specific technical aspects of the
Release of information — Consent Final Report upon which no agreement could be reached.
6.2 States shall not circulate, publish or give access to a Note 3.— When sending the draft Final Report to recipient
draft report or any part thereof, or any documents obtained States, the State conducting the investigation may consider
during an investigation of an accident or incident, without the using the most suitable and quickest means available, such as
express consent of the State which conducted the investigation, facsimile, e-mail, courier service or express mail.
unless such reports or documents have already been published
or released by that latter State. 6.3.1 Recommendation.— The State conducting the
investigation should send, through the State of the Operator, a
copy of the draft Final Report to the operator to enable the
operator to submit comments on the draft Final Report.
RESPONSIBILITY OF THE STATE
CONDUCTING THE INVESTIGATION 6.3.2 Recommendation.— The State conducting the
investigation should send, through the State of Design and the
State of Manufacture, a copy of the draft Final Report to the
Consultation organizations responsible for the type design and the final
assembly of the aircraft to enable them to submit comments on
6.3 The State conducting the investigation shall send a the draft Final Report.
copy of the draft Final Report to the State that instituted the
investigation and to all States that participated in the
investigation, inviting their significant and substantiated Recipient States
comments on the report as soon as possible. The draft Final
Report of the investigation shall be sent for comments to: 6.4 The Final Report of the investigation of an accident
shall be sent with a minimum of delay by the State conducting
a) the State of Registry; the investigation to:
b) the State of the Operator;
a) the State that instituted the investigation;
c) the State of Design; and
b) the State of Registry;
d) the State of Manufacture.
c) the State of the Operator;
If the State conducting the investigation receives comments
within sixty days of the date of the transmittal letter, it shall d) the State of Design;
either amend the draft Final Report to include the substance of
the comments received or, if desired by the State that provided e) the State of Manufacture;
comments, append the comments to the Final Report. If the
State conducting the investigation receives no comments f) any State having suffered fatalities or serious injuries to
within sixty days of the date of the first transmittal letter, it its citizens; and
shall issue the Final Report in accordance with 6.4, unless an
extension of that period has been agreed by the States g) any State that provided relevant information, significant
concerned. facilities or experts.
Release of the Final Report State conducting the investigation shall recommend to the
appropriate authorities, including those in other States, any
6.5 In the interest of accident prevention, the State preventive action that it considers necessary to be taken
conducting the investigation of an accident or incident shall promptly to enhance aviation safety.
release the Final Report as soon as possible.
6.9 A State conducting investigations of accidents or
6.6 Recommendation.— The State conducting the incidents shall address, when appropriate, any safety rec-
investigation should release the Final Report in the shortest ommendations arising out of its investigations to the accident
possible time and, if possible, within twelve months of the date investigation authorities of other State(s) concerned and, when
of the occurrence. If the report cannot be released within ICAO documents are involved, to ICAO.
twelve months, the State conducting the investigation should
release an interim report on each anniversary of the Note.— When Final Reports contain safety recommen-
occurrence, detailing the progress of the investigation and any dations addressed to ICAO, because ICAO documents are
safety issues raised. involved, these reports must be accompanied by a letter
outlining the specific action proposed.
6.7 When the State that has conducted an investigation
into an accident or an incident involving an aircraft of a
maximum mass of over 5 700 kg has released a Final Report, RESPONSIBILITY OF A STATE RECEIVING
that State shall send to the International Civil Aviation SAFETY RECOMMENDATIONS
Organization a copy of the Final Report.
Action on safety recommendations
Note.— Whenever practicable, the Final Report sent to
ICAO is to be prepared in one of the working languages of the 6.10 A State that receives safety recommendations shall
Organization and in the form shown in the Appendix. inform the proposing State of the preventive action taken or
under consideration, or the reasons why no action will be
taken.
Safety recommendations
Note.— Nothing in this Standard is intended to preclude the
6.8 At any stage of the investigation of an accident or State conducting the investigation from making proposals for
incident, the accident or incident investigation authority of the preventive action other than safety recommendations.
1/11/01 6-2
CHAPTER 7. ADREP REPORTING
Note 1.— Attachment B provides a notification and b) the State of the Operator;
reporting checklist.
c) the State of Design;
Note 2.— The provisions of this chapter may require two
separate reports for any one accident or incident. They are: d) the State of Manufacture; and
Dispatch
RESPONSIBILITY OF THE STATE
CONDUCTING THE INVESTIGATION
7.4 The Preliminary Report shall be sent by facsimile,
e-mail, or airmail within thirty days of the date of the accident
Accidents to aircraft over 2 250 kg unless the Accident/Incident Data Report has been sent by that
time. When matters directly affecting safety are involved, it
7.1 When the aircraft involved in an accident is of a shall be sent as soon as the information is available and by the
maximum mass of over 2 250 kg, the State conducting the most suitable and quickest means available.
investigation shall send the Preliminary Report to:
e) any State that provided relevant information, significant Accidents to aircraft over 2 250 kg
facilities or experts; and
7.5 When the aircraft involved in an accident is of a
f) the International Civil Aviation Organization. maximum mass of over 2 250 kg, the State conducting the
investigation shall send, as soon as practicable after the investi-
gation, the Accident Data Report to the International Civil
Accidents to aircraft of 2 250 kg or less Aviation Organization.
1/11/01 7-2
CHAPTER 8. ACCIDENT PREVENTION MEASURES
Note.— The objective of these specifications is to promote Note 1.— Guidance material related to the specification for
accident prevention by analysis of accident and incident data such databases will be provided by ICAO upon request from
and by a prompt exchange of information. States.
Incident reporting systems Note 2.— States are encouraged to foster regional
arrangements, as appropriate, when implementing 8.4.
8.1 A State shall establish a mandatory incident reporting
system to facilitate collection of information on actual or
potential safety deficiencies. Analysis of data — Preventive actions
8.2 Recommendation.— A State should establish a 8.6 A State having established an accident and incident
voluntary incident reporting system to facilitate the collection database and an incident reporting system shall analyse the
of information that may not be captured by a mandatory information contained in its accident/incident reports and the
incident reporting system. database to determine any preventive actions required.
8.3 A voluntary incident reporting system shall be Note.— Additional information on which to base preventive
non-punitive and afford protection to the sources of the actions may be contained in the Final Reports on investigated
information. accidents and incidents.
Note 1.— A non-punitive environment is fundamental to 8.7 Recommendation.— If a State, in the analysis of the
voluntary reporting. information contained in its database, identifies safety matters
considered to be of interest to other States, that State should
Note 2.— States are encouraged to facilitate and promote forward such safety information to them as soon as possible.
the voluntary reporting of events that could affect aviation
safety by adjusting their applicable laws, regulations and 8.8 Recommendation.— In addition to safety rec-
policies, as necessary. ommendations arising from accident and incident investi-
gations, safety recommendations may result from diverse
Note 3.— Guidance related to both mandatory and volun- sources, including safety studies. If safety recommendations
tary incident reporting systems is contained in the Safety Man- are addressed to an organization in another State, they should
agement Manual (SMM) (Doc 9859). also be transmitted to that State’s investigation authority.
Note 4.— Attachment E contains legal guidance for the
protection of information from safety data collection and Exchange of safety information
processing systems.
8.9 Recommendation.— States should promote the
Database systems establishment of safety information sharing networks among
all users of the aviation system and should facilitate the free
8.4 Recommendation.— A State should establish an exchange of information on actual and potential safety
accident and incident database to facilitate the effective deficiencies.
analysis of information obtained, including that from its
incident reporting systems. Note.— Standardized definitions, classifications and
formats are needed to facilitate data exchange. Guidance
8.5 Recommendation.— The database systems should material on the specifications for such information-sharing
use standardized formats to facilitate data exchange. networks will be provided by ICAO upon request.
each heading consisting of a number of sub-headings as 1.3 Damage to aircraft. Brief statement of the damage
outlined in the following. sustained by aircraft in the accident (destroyed, substantially
damaged, slightly damaged, no damage).
Appendices. Include as appropriate.
1.4 Other damage. Brief description of damage sustained
Note.— In preparing a Final Report, using this format, by objects other than the aircraft.
ensure that:
1.5 Personnel information:
a) all information relevant to an understanding of the
factual information, analysis and conclusions is a) Pertinent information concerning each of the flight crew
included under each appropriate heading; members including: age, validity of licences, ratings,
mandatory checks, flying experience (total and on type) unless it is necessary to indicate a break-up of the aircraft prior
and relevant information on duty time. to impact. Diagrams, charts and photographs may be included
in this section or attached in the Appendices.
b) Brief statement of qualifications and experience of other
crew members. 1.13 Medical and pathological information. Brief
description of the results of the investigation undertaken and
c) Pertinent information regarding other personnel, such as pertinent data available therefrom.
air traffic services, maintenance, etc., when relevant.
Note.— Medical information related to flight crew licences
should be included in 1.5 — Personnel information.
1.6 Aircraft information:
1.14 Fire. If fire occurred, information on the nature of
a) Brief statement on airworthiness and maintenance of the the occurrence, and of the fire fighting equipment used and its
aircraft (indication of deficiencies known prior to and effectiveness.
during the flight to be included, if having any bearing on
the accident). 1.15 Survival aspects. Brief description of search, evacu-
ation and rescue, location of crew and passengers in relation to
b) Brief statement on performance, if relevant, and whether injuries sustained, failure of structures such as seats and seat-
the mass and centre of gravity were within the pre- belt attachments.
scribed limits during the phase of operation related to
the accident. (If not and if of any bearing on the accident 1.16 Tests and research. Brief statements regarding the
give details.) results of tests and research.
b) Natural light conditions at the time of the accident 1.18 Additional information. Relevant information not
(sunlight, moonlight, twilight, etc.). already included in 1.1 to 1.17.
1.8 Aids to navigation. Pertinent information on navi- 1.19 Useful or effective investigation techniques. When
gation aids available, including landing aids such as ILS, useful or effective investigation techniques have been used
MLS, NDB, PAR, VOR, visual ground aids, etc., and their during the investigation, briefly indicate the reason for using
effectiveness at the time. these techniques and refer here to the main features as well
as describing the results under the appropriate sub-headings
1.9 Communications. Pertinent information on 1.1 to 1.18.
aeronautical mobile and fixed service communications and
their effectiveness.
1/11/01 APP-2
Appendix Annex 13 — Aircraft Accident and Incident Investigation
4. SAFETY RECOMMENDATIONS
APPENDICES
APP-3 1/11/01
ATTACHMENTS
These Attachments do not constitute a part of Annex 13 — Aircraft Accident and Incident Investigation.
The material contained herein is intended to assist in the application of Annex 13.
The Standards and Recommended Practices of Annex 13 — conformity with an airworthiness control system specified by
Aircraft Accident and Incident Investigation were developed the State of Registry, carries out maintenance and keeps
when the State of Registry and the State of the Operator records.
normally were the same. In recent years, however, inter-
national aircraft leasing and interchanging arrangements have In the event of an accident or an incident, it is important
developed so that in many instances the State of the Operator that any State which has assumed responsibility for the safety
is different from the State of Registry. of an aircraft has the right to participate in an investigation, at
least in respect of that responsibility. It is also important that
the State conducting the investigation should have speedy
Leasing or interchange arrangements sometimes include the access to all documents and other information relevant to that
provision of flight crews from the State of Registry. However, investigation.
more often, flight crews are provided by the State of the Oper-
ator and the aircraft operated under national legislation of the When the location of an accident or an incident cannot
State of the Operator. Similarly, a variety of arrangements for definitely be established as being in the territory of another
airworthiness can emerge from these arrangements. Airworthi- State, the State of the Operator, after consultation with the
ness responsibility may rest, wholly or partly, with the State of State of Registry, should accept full or partial responsibility
the Operator or State of Registry. Sometimes the operator, in for the conduct of the investigation.
Note.— In this checklist, the following terms have the meaning indicated below:
— International occurrences: accidents and serious incidents occurring in the territory of a Contracting State to aircraft registered
in another Contracting State;
— Domestic occurrences: accidents and serious incidents occurring in the territory of the State of Registry;
— Other occurrences: accidents and serious incidents occurring in the territory of a non-Contracting State, or outside the territory
of any State.
Annex 13
From For Send to reference
State of Registry Domestic and other occurrences: State of the Operator 4.8
Aircraft over 2 250 kg State of Design
State of Manufacture
ICAO (when aircraft
over 2 250 kg)
2. FINAL REPORT
Annex 13
From Type of report Concerning Send to reference
State conducting the FINAL REPORT All aircraft State instituting the investigation 6.4
investigation State of Registry
State of the Operator
State of Design
State of Manufacture
State having interest
because of fatalities
State providing information,
significant facilities or experts
3. ADREP REPORT
Annex 13
From Type of report Concerning Send to reference
State conducting the PRELIMINARY REPORT Accidents to aircraft over State of Registry or 7.1
investigation 2 250 kg State of Occurrence
State of the Operator
State of Design
State of Manufacture
State providing information,
significant facilities or experts
ICAO
Annex 13
From Type of report Concerning Send to reference
State analysing safety data any Matters considered to be of States having an interest 8.7
interest to other States
States making safety safety recommendations Recommendations made to Accident investigation authority 6.8
recommendations another State in that State 8.8
1. The term “serious incident” is defined in Chapter 1 as Fires and smoke in the passenger compartment, in cargo
follows: compartments or engine fires, even though such fires were
extinguished by the use of extinguishing agents.
Serious incident. An incident involving circumstances
indicating that an accident nearly occurred. Events requiring the emergency use of oxygen by the flight
crew.
2. The incidents listed are typical examples of incidents
that are likely to be serious incidents. The list is not exhaustive Aircraft structural failures or engine disintegrations not
and only serves as guidance to the definition of serious classified as an accident.
incident.
Multiple malfunctions of one or more aircraft systems
Near collisions requiring an avoidance manoeuvre to avoid seriously affecting the operation of the aircraft.
a collision or an unsafe situation or when an avoidance
action would have been appropriate. Flight crew incapacitation in flight.
Controlled flight into terrain only marginally avoided. Fuel quantity requiring the declaration of an emergency by
the pilot.
Aborted take-offs on a closed or engaged runway.
Take-off or landing incidents. Incidents such as under-
Take-offs from a closed or engaged runway with marginal shooting, overrunning or running off the side of runways.
separation from obstacle(s).
System failures, weather phenomena, operations outside the
Landings or attempted landings on a closed or engaged approved flight envelope or other occurrences which could
runway. have caused difficulties controlling the aircraft.
Gross failures to achieve predicted performance during Failures of more than one system in a redundancy system
take-off or initial climb. mandatory for flight guidance and navigation.
23/11/06
1/11/01 ATT D-2
No. 11
ATTACHMENT E. LEGAL GUIDANCE FOR
THE PROTECTION OF INFORMATION FROM
SAFETY DATA COLLECTION AND PROCESSING SYSTEMS
2.4 National laws and regulations protecting safety infor- 5. PUBLIC DISCLOSURE
mation should prevent its inappropriate use.
5.1 Subject to the principles of protection and exception
2.5 Providing protection to qualified safety information outlined above, any person seeking disclosure of safety infor-
under specified conditions is part of a State’s safety responsi- mation should justify its release.
bilities.
5.2 Formal criteria for disclosure of safety information
should be established and should include, but not necessarily
3. PRINCIPLES OF PROTECTION be limited to, the following:
3.1 Safety information should qualify for protection from a) disclosure of the safety information is necessary to cor-
inappropriate use according to specified conditions that should rect conditions that compromise safety and/or to change
include, but not necessarily be limited to: the collection of policies and regulations;
information was for explicit safety purposes and the disclosure
of the information would inhibit its continued availability. b) disclosure of the safety information does not inhibit its
future availability in order to improve safety;
3.2 The protection should be specific for each SDCPS,
based upon the nature of the safety information it contains. c) disclosure of relevant personal information included in
the safety information complies with applicable privacy
3.3 A formal procedure should be established to provide laws; and
protection to qualified safety information, in accordance with
specified conditions.
d) disclosure of the safety information is made in a de-
identified, summarized or aggregate form.
3.4 Safety information should not be used in a way dif-
ferent from the purposes for which it was collected.
3.5 The use of safety information in disciplinary, civil, 6. RESPONSIBILITY OF THE CUSTODIAN
administrative and criminal proceedings should be carried out OF SAFETY INFORMATION
only under suitable safeguards provided by national law.
Each SDCPS should have a designated custodian. It is the
responsibility of the custodian of safety information to apply
all possible protection regarding the disclosure of the informa-
4. PRINCIPLES OF EXCEPTION tion, unless:
Exceptions to the protection of safety information should a) the custodian of the safety information has the consent
only be granted by national laws and regulations when: of the originator of the information for disclosure; or
23/11/06
1/11/01 ATT E-2
No. 11
Attachment E Annex 13 — Aircraft Accident and Incident Investigation
— END —
The following summary gives the status, and also maturity for adoption as International Standards and
describes in general terms the contents of the various Recommended Practices, as well as material of a more
series of technical publications issued by the permanent character which is considered too detailed for
International Civil Aviation Organization. It does not incorporation in an Annex, or is susceptible to frequent
include specialized publications that do not fall amendment, for which the processes of the Convention
specifically within one of the series, such as the would be too cumbersome.
Aeronautical Chart Catalogue or the Meteorological
Tables for International Air Navigation. Regional Supplementary Procedures (SUPPS)
have a status similar to that of PANS in that they are
International Standards and Recommended approved by the Council, but only for application in the
Practices are adopted by the Council in accordance with respective regions. They are prepared in consolidated
Articles 54, 37 and 90 of the Convention on form, since certain of the procedures apply to
International Civil Aviation and are designated, for overlapping regions or are common to two or more
convenience, as Annexes to the Convention. The regions.
uniform application by Contracting States of the
specifications contained in the International Standards is
recognized as necessary for the safety or regularity of
international air navigation while the uniform
application of the specifications in the Recommended The following publications are prepared by authority
Practices is regarded as desirable in the interest of of the Secretary General in accordance with the
safety, regularity or efficiency of international air principles and policies approved by the Council.
navigation. Knowledge of any differences between the
national regulations or practices of a State and those Technical Manuals provide guidance and
established by an International Standard is essential to information in amplification of the International
the safety or regularity of international air navigation. In Standards, Recommended Practices and PANS, the
the event of non-compliance with an International implementation of which they are designed to facilitate.
Standard, a State has, in fact, an obligation, under
Article 38 of the Convention, to notify the Council of Air Navigation Plans detail requirements for
any differences. Knowledge of differences from facilities and services for international air navigation in
Recommended Practices may also be important for the the respective ICAO Air Navigation Regions. They are
safety of air navigation and, although the Convention prepared on the authority of the Secretary General on
does not impose any obligation with regard thereto, the the basis of recommendations of regional air navigation
Council has invited Contracting States to notify such meetings and of the Council action thereon. The plans
differences in addition to those relating to International are amended periodically to reflect changes in
Standards. requirements and in the status of implementation of the
recommended facilities and services.
Procedures for Air Navigation Services (PANS)
are approved by the Council for worldwide application. ICAO Circulars make available specialized
They contain, for the most part, operating procedures information of interest to Contracting States. This
regarded as not yet having attained a sufficient degree of includes studies on technical subjects.
© ICAO 2001
8/01, E/P1/6000
Order No. AN 13
Printed in ICAO