Investigations and occurrence reporting

Accident, serious incident or incident?

Classify by consequences and accident potential, not the size of a delay.

Definitions and examples

An accident is associated with aircraft operation during the defined period and involves qualifying fatal/serious injury, qualifying aircraft damage/structural failure, or an aircraft missing/completely inaccessible, subject to the definition’s exclusions. For a manned aircraft the period runs from boarding with intention of flight until all such persons disembark. An incident affects or could affect operational safety without being an accident.

A serious incident involves circumstances indicating a high probability of an accident. The difference from an accident lies in the result, not necessarily a lower underlying risk. A near collision needing an avoidance manoeuvre can be a serious incident even without damage; a passenger’s qualifying serious injury during the defined operation can make an event an accident without major aircraft damage. Apply the exclusions carefully, including specified natural-cause/self-inflicted injuries and limited damage cases.

Serious injury and responsible States

Serious injury includes hospitalisation for more than 48 hours beginning within seven days, qualifying fractures other than simple finger/toe/nose fractures, severe lacerations, internal injury, specified burns or verified infectious/harmful-radiation exposure. Fatal injury uses the defined 30-day period. A flight recorder is a recording device installed to support investigation. Maximum mass is maximum certificated take-off mass, not the mass on the event day.

The State of Occurrence is where the event happens; Registry where the aircraft is registered; Operator where the operator’s principal place of business/permanent residence is located; Design where the type-design organisation has its principal place; Manufacture where final assembly responsibility is located. An investigation collects and analyses evidence, determines causes/contributing factors and develops safety recommendations.

Investigate to prevent recurrence

The safety investigation is independent of blame allocation.

Purpose and process

Annex 13’s sole objective is preventing accidents and incidents, not apportioning blame or liability. The State of Occurrence normally institutes the investigation, with delegation and other arrangements as permitted. It notifies the relevant States and ICAO when required; accredited representatives from entitled States and their advisers participate under the investigation’s control.

Secure the scene, protect evidence and recorders, assist survivors and make the required prompt notification. Evidence collection, analysis, reports and safety recommendations follow the investigation process. A recommendation can be issued before the final report when urgent action is needed. Judicial and safety processes have distinct purposes and safeguards.

EU investigation and reporting are complementary

Regulation 996/2010 provides the EU safety-investigation framework and accident/serious-incident notification obligations. Regulation 376/2014 establishes reporting, collection, protection, analysis and follow-up of broader safety occurrences. Filing a routine occurrence report does not replace immediate accident/serious-incident notification.

Persons involved with knowledge of an accident or serious incident notify the competent safety investigation authority without delay as required. Preserve the facts and use the designated authority/operator channels. Do not wait for a complete root-cause theory or the end of a 72-hour occurrence-reporting period.

Report hazards before they become accidents

A useful report preserves facts, uncertainty and follow-up.

Mandatory and voluntary systems

Mandatory reporting covers the safety-related occurrences and persons within Regulation 376/2014 and its implementing list, Regulation 2015/1018: for example serious aircraft system failures, runway incursions, loss of separation and other specified operational hazards. Relevant persons report as soon as possible and no later than 72 hours after becoming aware, unless exceptional circumstances prevent it. Organisations have their own onward-reporting obligations and awareness clock.

Voluntary systems capture other safety information and hazards not caught by mandatory reporting, including reports from people outside the mandatory groups. A concern need not wait for an accident or proven cause. State clearly what was observed, what is inferred, the times/position, aircraft state, actions, consequences and remaining uncertainty.

Collection, protection and learning

Organisations and authorities collect, store, analyse and exchange reports in compatible structured systems, using the applicable ECCAIRS/ADREP framework and European Central Repository arrangements. Risk assessment and corrective actions close the learning loop; submission alone does not demonstrate the risk has been controlled.

Just Culture and confidentiality protections support reporting and safety use of information, with defined exceptions for unacceptable conduct such as wilful misconduct or the specified serious disregard of obvious risk. They are not an unconditional immunity from every legal consequence. Protect personal information and use the authorised reporting system rather than public speculation.

Can you apply the rules?

Four original questions. Choose from the facts, then review the explanation.