Standards and Recommended Practices for Aircraft Accident Inquiries were first adopted on 11th April 1951, pursuant to Article 37 of the Chicago Convention on International Civil Aviation (1944), and were designated as Annex 13 to the Convention.
The Standards and Recommended Practices for Aircraft Accident and Incident Investigation defines an accident as an occurrence associated with the operation of an aircraft which, in the case of a manned aircraft, takes place between the time any person boards the aircraft with the intention of flight until such time as all such persons have disembarked, or in the case of an unmanned aircraft, takes place between the time the aircraft is ready to move with the purpose of flight until such time as it comes to rest at the end of the flight and the primary propulsion system is shut down, in which:
a) a person is fatally (an injury resulting in death within thirty days of the date of the accident) 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 a single engine (including its cowlings or accessories), to propellers, wing tips, antennas, probes, vanes, tyres, brakes, wheels, fairings, panels, landing gear doors, windscreens, the aircraft skin (such as small dents or puncture holes), or for minor damages to main rotor blades, tail rotor blades, landing gear, and those resulting from hail or bird strike (including holes in the radome); or
c) the aircraft is missing or is completely inaccessible. An aircraft is considered to be missing when the official search has been terminated and the wreckage has not been located.
An incident, on the other hand, is an occurrence, other than an accident, associated with the operation of an aircraft which affects or could affect the safety of operation.
A serious incident is an accident involving circumstances indicating that there was a high probability of an accident and associated with the operation of an aircraft which, in the case of a manned aircraft, takes place between the time any person boards the aircraft with the intention of flight until such time as all persons have disembarked, or in the case of an unmanned aircraft, takes place between the time the aircraft os ready to move with the purpose of flight until such time as it comes to rest at the end of the flight and the primary propulsion system is shut down.
The difference between an accident and a serious incident lies only in the result.
An aircraft is 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.
An investigation is 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/or contributing factors and, when appropriate, the making of safety recommendations.
A serious injury is 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% of the body surface; or
f) involves verified exposure to infectious substances or injurious radiation.
A Safety Recommendation is defined as a proposal of an accident investigation authority based on information derived from an investigation, made with the intention of preventing accidents or incidents and which in no case has the purpose of creating a presumption of blame or liability for an accident or incident. In addition to safety recommendations arising from accident and incident investigations, safety may result from diverse sources, including safety studies.
A Safety Recommendation of Global Concern (SRGC) is a safety recommendation regarding a systemic deficiency having a probability of recurrence, with significant consequences at a global level, and requiring timely action to improve safety.
The sole objective of the investigation of an accident or incident is the prevention of accidents and incidents, and not to apportion blame or liability. Also, the accident investigation authority established by a state should be independent from state aviation authorities and other entities that could interfere with the conduct or objectivity of an investigation.
When an accident, an incident or a serious incident involving an aircraft with a maximum certificated take-off mass of over 2250 kg, or is turbojet powered, occurs, it is the responsibility of the State of Occurrence (the state in the territory of which the accident or incident occurs) to notify the following as quickly as possible:
- the State of Registry (the state on whose register the aircraft is entered)
- the 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)
- the State of Design (the state having jurisdiction over the organisation responsible for the type design)
- the State of Manufacture (the state having jurisdiction over the organization responsible for the final assembly of the aircraft, remote pilot station, engine or propeller)
- the International Civil Aviation Organisation.
The notification should be in plain language (Arabic, Chinese, English, French, Russian, or Spanish), taking into account the language of the recipients, and should at least contain the following:
- the identifying abbreviation (ACCID for accident, SINCID for serious incident, INCID for incident)
- manufacturer, model, nationality and registration marks, and serial number of the aircraft
- name of owner, operator and hirer, if any, of the aircraft
- qualification of the pilot-in-command, and nationality of crew and passengers
- date and time (local time or UTC) of the occurrence
- last point of departure and point of intended landing of aircraft
- position of the aircraft with reference to some easily defined geographical point and latitude and longitude
- number of crew and passengers; aboard, killed and seriously injured; others, killed and seriously injured
- description of the accident or incident and the extent of damage to the aircraft so far as is known
- an indication to what extent the investigation will be conducted or is proposed to be delegated by the State of Occurrence
- physical characteristics of the accident or incident area, as well as an indication of access difficulties or special requirements to reach the site
- 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
- presence and description of dangerous goods on board the aircraft.
The State of Occurrence should institute or establish an investigation into the circumstances of the accident and is responsible for the conduct of the investigation. However, it can delegate the investigation in whole or partly to another state or Regional Accident and Incident Investigation Organisation (RAIO) by mutual arrangement and consent. If another state takes over the whole investigation, then it will be responsible for the issuance of the Final Report and the ADREP reporting.
In the case an accident or serious incident occurs away from any state, such as in international waters, the State of Registry should conduct investigations. If it can’t institute an investigation within 30 days, then the State of Operator should take over, and if unable, the State of Design which, if unable, the State of Manufacture should take over.
In addition to all these, the Annex provides provisions for many other factors; such as:
- Designation of an Investigator-in-charge
- Effective use of flight recorders
- Effective use of ground-based recordings
- Autopsy examinations of deceased flight crew
- Medical examinations of all aviation personnel involved
- Coordination with judicial authorities
- Protection of investigation records
- Release and international dissemination of the Final Report
- Action on safety recommendations.
