ICAO 10053 PART I PDF

OVERVIEW

This manual provides guidance on the protection of certain records pertaining to accident or incident investigations conducted in accordance with Annex 13, including the following subjects: accident and incident investigation fundamentals: objectives, scope, levels, limits and means to protect and use investigation records; cooperation between States regarding the protection of investigation records in case of exchange of information; administration of the balancing test and designation of the competent authority(ies); interactions among accident investigation authorities with other authorities, such as the civil aviation authority and the judicial authority.

Chapter 2. Accident and incident investigation fundamentals, addresses, inter alia, the main responsibilities and rights of States (e.g. State of Occurrence, State of the Operator, State of Design, State of Manufacture) with regard to their participation in the investigation process, and in particular the accident investigation authority. A table provides a list of records that are sensitive in nature and considerations on why some warrant protection. Due consideration is given to the necessary protections to be afforded to the Final Report in order to limit its use for purposes other than the prevention of accidents and incidents.

Chapter 3. Protection and use of certain accident and incident investigation records, covers the objective of protecting investigation records, the scope, levels and limits. The protection of investigation records attempts to ensure that, when their disclosure or use is sought for purposes other than aviation safety, the resulting impact on the prevention of accidents is balanced against other public interests. Focus is put on explaining how the balancing test works, including a framework consisting of a set of factors to be taken into account during the administration of the balancing test by the competent authority appointed by the relevant State. Thorough consideration is given to the potential impact of public disclosure or use of records for other than safety-related purposes. A table provides examples of legislative provisions in some States to protect investigation records.

Chapter 4. Interactions of accident investigation authorities, contains guidance and best practices to be used by the investigation authority when interacting with the judiciary, the media, families of victims of accidents, and the Civil Aviation Authority (CAA). With regard specifically to the latter, some records subject to protection may be needed by the CAA to improve or maintain safety; in such cases, the balancing test is to be applied. In all cases, due consideration is to be given on the disclosure and use of investigation records for other than safety-related purposes.