International Standards and Recommended Practices AAAAnnnnnnnneeeexxxxe ee1 3111000 Annexe 10 xxxxxxxxxxxxxxxxxxtoxx xxxtxhxxxxexxxxxxx xCxxxxxxxoxxxxnxxxxvxxxxexxxxnxxxxxtxxxixoxxxxxxxnxxxx xoxxxxnxxxxxxx xIxxxnxxxxtxxxexxxrxxxnxxxaxxxtxxxioxxxnxxxaxxxxxxl xxxCxxxixxxvxxxilxxx Axxxxxxvixxxaxxxtxxxioxxxnxxxxxxxxxxxxxxxxxxxxxxxxxxx XXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXXXXXXXXX Aircraft Accident and Incident Investigation XXXXXXXXXXXXXXXXXXXXXXXX XXXXXXXX EVVVOOOleLLLvUUUeMMMntEEEh IIIV IIIEIIIO:::d LSSSiUtyyyiMsssotttnèèèE,mmm IJIIeee:u ssslS ydddy eees2 t0tttèééé1mlllééé6ecccsooo mmmdemmm téuuulnnnéiiiccccoaaamtttiiiooomnnnunication XXXXXXXXXXXX EEEdddiiitttiiiooonnn,,, 222000XXXXXX XXXX Edition, 20XX Partie 1 — PPPSaaaysrrrttttiiièeeem 111e ———s d SSSeyyy csssotttèèèmmmmmeeesssu ndddieeec accctoooiommmnmmm deuuunnn diiiocccnaaatttniiioooénnnes ddd neeeu dddmooonnnénnnriéééqeeeussse nnnsuuummmééérrriiiqqquuueeesss PPPaaa rrrtttiiieeeP a222r ———tie SSS2yyy —sssttt èèè Smmmyseeetsssè mdddeeee cccsooo dmmmemmm couuumnnniiimcccaaautttniiioooinnncassst vvviooooncccsaaa lllveeeossscales TTThhhTiiisssh eeeisddd eiiitttdiiioooitnnnio iiinnnn ccciooonrrrcpppoooorprrraaaotttreeeassst eaaasllllll a aaalmmml aeeemnnnedddnmmmdeeemnnnetttsssn aaatsddd aooodpppottteeepdddte bbbdyyy bttthhhy eeeth CCCeooo Cuuuonnnucccniiilll cpppilrrr iiipooorrrri otttooor t222o555 2 FFF5eee Fbbberrruuubaaarurrryyya r222y000 000266600 6 aaaTnnnhdddis ssseuuudpppiteeeiorrrsssnaeee nsddddueee psssseu,,, rooopsnnnee rd222se333es dNNN,e oooosvvvn,eee o1mmmn0bbb N2eee3orrr vN222e000om000ve666bm,,,e aaarblll lll2e ppp0r rrr12eee60vvv,0 iiiaooo6luuu,l sssap leeerle dddpviiirtttieoiiiooovunnnisosss ue ooosdfff ieAAAtidonnninnnntisoeee xxxno sf111 A000o,,,nf VVVnAoooenlllxuuun mmme1x3eee .1 1110..., Volume 1. FFFFoooorrrr iiiinnnnffffoooorrrrmmmmtttaiiioootinnnon rrrF eeerogggeraaag irrrandddrfoiiidnnnrigggnm gtttthhh itoeeehn eaaa rpppaeppppglllpiiiaccclriaaacdbbbainiiiblllgiiiitttl yyyitt hyooo efffo tttfahhh tpheeep eSSSli tttcSaaaatnnnabdddnilaaaditrrraydddr osssdf saaa t nnnhadddne dRRRS tReeeacccenooocdmmmoammmmrdmeeesnnn eadddnneeeddddde R de commended PPPPrrrraaaaccccttttiiiicccceeeessss , ((( sSSSeAAAeRRR CPPPhsssa))),,,p sssteeeeeeer 2FFF oooarrrneeedwww tooohrrreddd ...Foreword. Practices (SARPs), see Foreword. OROIOONGRRRATGGGENAAARINNNSNAIIISSSATAAAITOTTTIOIIINOOON NNNDAE DDDL L EEE’CA LLLVI’’’VAAAIAIVVVLTIIIAAA IAOTTTVNIIIOOOIA NNNCTI VICCCOIIIILVVVNEIII LLL OIEEENR IIITGNNNEATTTRNEEENRRRIZANNNTAAAAITOTTTIIIINOOOOANNNNLAAAELLLEEE (cid:1)(cid:2)(cid:3)(cid:4)(cid:5)(cid:5)(cid:6) International Standards and Recommended Practices Annex 13 to the Convention on International Civil Aviation Aircraft Accident and Incident Investigation Eleventh Edition, July 2016 This edition supersedes, on 10 November 2016, all previous editions of Annex 13. For information regarding the applicability of the Standards and Recommended Practices, see Chapter 2 and the Foreword. INTERNATIONAL CIVIL AVIATION ORGANIZATION Published in separate English, Arabic, Chinese, French, Russian and Spanish editions by the INTERNATIONAL CIVIL AVIATION ORGANIZATION 999 Robert-Bourassa Boulevard, Montréal, Quebec, Canada H3C 5H7 For ordering information and for a complete listing of sales agents and booksellers, please go to the ICAO website at www.icao.int First edition 1951 Tenth edition 2010 Eleventh edition 2016 Annex 13 — Aircraft Accident and Incident Investigation Order Number: AN 13 ISBN 978-92-9249-968-6 © ICAO 2016 All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, without prior permission in writing from the International Civil Aviation Organization. AMENDMENTS Amendments are announced in the supplements to the Products and Services Catalogue; the Catalogue and its supplements are available on the ICAO website at www.icao.int. The space below is provided to keep a record of such amendments. RECORD OF AMENDMENTS AND CORRIGENDA AMENDMENTS CORRIGENDA Date Date Entered Date Date Entered No. applicable entered by No. of issue entered by 1-16 Incorporated into this edition (iii) TABLE OF CONTENTS Page FOREWORD ............................................................................................................................................................ (ix) CHAPTER 1. Definitions ...................................................................................................................................... 1-1 CHAPTER 2. Applicability ................................................................................................................................... 2-1 CHAPTER 3. General ........................................................................................................................................... 3-1 Objective of the investigation ..................................................................................................................................... 3-1 Independence of investigations ................................................................................................................................... 3-1 Protection of evidence, custody and removal of aircraft ............................................................................................. 3-1 Responsibility of the State of Occurrence ........................................................................................................... 3-1 General ......................................................................................................................................................... 3-1 Request from State of Registry, State of the Operator, State of Design or State of Manufacture ................ 3-2 Release from custody ................................................................................................................................... 3-2 CHAPTER 4. Notification ..................................................................................................................................... 4-1 Accidents or serious incidents in the territory of a Contracting State to aircraft of another Contracting State ........................................................................................................................................................ 4-1 Responsibility of the State of Occurrence ........................................................................................................... 4-1 Forwarding ................................................................................................................................................... 4-1 Format and content ....................................................................................................................................... 4-1 Language ...................................................................................................................................................... 4-2 Additional information ................................................................................................................................. 4-2 Responsibility of the State of Registry, the State of the Operator, the State of Design and the State of Manufacture ............................................................................................................................... 4-3 Information — Participation ......................................................................................................................... 4-3 ANNEX 13 (v) 10/11/16 Annex 13 — Aircraft Accident and Incident Investigation Table of Contents Page Accidents or serious incidents in the territory of the State of Registry, in a non-Contracting State or outside the territory of any State ................................................................................................................................. 4-3 Responsibility of the State of Registry ................................................................................................................ 4-3 Forwarding ................................................................................................................................................... 4-3 Responsibility of the State of the Operator, the State of Design and the State of Manufacture .......................... 4-4 Information — Participation ......................................................................................................................... 4-4 CHAPTER 5. Investigation ................................................................................................................................... 5-1 Responsibility for instituting and conducting the investigation .................................................................................. 5-1 Accidents or incidents in the territory of a Contracting State .............................................................................. 5-1 State of Occurrence ...................................................................................................................................... 5-1 Accidents or incidents in the territory of a non-Contracting State ....................................................................... 5-2 State of Registry ........................................................................................................................................... 5-2 Accidents or incidents outside the territory of any State ..................................................................................... 5-2 State of Registry ........................................................................................................................................... 5-2 Organization and conduct of the investigation ........................................................................................................... 5-2 Responsibility of the State conducting the investigation ..................................................................................... 5-2 General ......................................................................................................................................................... 5-2 Investigator-in-charge — Designation ......................................................................................................... 5-3 Investigator-in-charge — Access and control .............................................................................................. 5-3 Flight recorders — Accidents and incidents ................................................................................................. 5-4 Autopsy examinations .................................................................................................................................. 5-4 Medical examinations ................................................................................................................................... 5-4 Coordination — Judicial authorities ............................................................................................................. 5-4 Informing aviation security authorities ......................................................................................................... 5-5 Protection of accident and incident investigation records ............................................................................ 5-5 Reopening of investigation ........................................................................................................................... 5-6 Responsibility of any other State ......................................................................................................................... 5-6 Information — Accidents and incidents ....................................................................................................... 5-6 Responsibility of the State of Registry and the State of the Operator.................................................................. 5-6 Flight recorders — Accidents and serious incidents .................................................................................... 5-6 Organizational information........................................................................................................................... 5-7 Participation in the investigation ................................................................................................................................ 5-7 Participation of the State of Registry, the State of the Operator, the State of Design and the State of Manufacture ........................................................................................................................................... 5-7 Rights ........................................................................................................................................................... 5-7 Obligations ................................................................................................................................................... 5-7 10/11/16 (vi) Table of Contents Annex 13 — Aircraft Accident and Incident Investigation Page Participation of other States ................................................................................................................................. 5-8 Rights ........................................................................................................................................................... 5-8 Entitlement of accredited representatives ............................................................................................................ 5-8 Advisers ........................................................................................................................................................ 5-8 Participation.................................................................................................................................................. 5-8 Obligations ................................................................................................................................................... 5-9 Participation of States having suffered fatalities or serious injuries to their citizens ........................................... 5-9 Rights and entitlement .................................................................................................................................. 5-9 CHAPTER 6. Final Report ................................................................................................................................... 6-1 Responsibility of any State ......................................................................................................................................... 6-1 Release of information — Consent ...................................................................................................................... 6-1 Responsibility of the State conducting the investigation ............................................................................................ 6-1 Consultation ......................................................................................................................................................... 6-1 Recipient States ................................................................................................................................................... 6-2 Release of the Final Report.................................................................................................................................. 6-2 Safety recommendations ...................................................................................................................................... 6-3 Responsibility of a State receiving or issuing safety recommendations ..................................................................... 6-3 Action on safety recommendations...................................................................................................................... 6-3 CHAPTER 7. ADREP Reporting ......................................................................................................................... 7-1 Preliminary Report ...................................................................................................................................................... 7-1 Responsibility of the State conducting the investigation ..................................................................................... 7-1 Accidents to aircraft over 2 250 kg .............................................................................................................. 7-1 Accidents to aircraft of 2 250 kg or less ....................................................................................................... 7-1 Language ...................................................................................................................................................... 7-2 Dispatch ........................................................................................................................................................ 7-2 Accident/Incident Data Report ................................................................................................................................... 7-2 Responsibility of the State conducting the investigation ..................................................................................... 7-2 Accidents to aircraft over 2 250 kg .............................................................................................................. 7-2 Additional information ................................................................................................................................. 7-2 Incidents to aircraft over 5 700 kg ................................................................................................................ 7-2 CHAPTER 8. Accident Prevention Measures ..................................................................................................... 8-1 Database and preventive actions ................................................................................................................................. 8-1 (vii) 10/11/16 Annex 13 — Aircraft Accident and Incident Investigation Table of Contents Page APPENDICES APPENDIX 1. Format of the Final Report .............................................................................................................. APP 1-1 APPENDIX 2. Protection of accident and incident investigation records ............................................................... APP 2-1 ATTACHMENTS ATTACHMENT A. Rights and obligations of the State of the Operator in respect of accidents and incidents involving leased, chartered or interchanged aircraft ............................................................. ATT A-1 ATTACHMENT B. Notification and reporting checklist ........................................................................................ ATT B-1 ATTACHMENT C. List of examples of serious incidents ...................................................................................... ATT C-1 ATTACHMENT D. Guidelines for flight recorder read-out and analysis ............................................................... ATT D-1 ATTACHMENT E. Guidance for the determination of aircraft damage ................................................................. ATT E-1 ______________________ 10/11/16 (viii)