Home cpl Air RegsCh.19 — Notes

AIR REGS — CHAPTER 19 · NOTES

Aircraft Accident and Incident

by Capt. Pankaj Pahil

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Chapter 20 · DGCA Air Regulations

Aircraft Accident & Incident

Annex 13 (ICAO) · Aircraft (Investigation of Accidents and Incidents) Rules, 2017 · CAR Section 5 – Air Safety Series 'C' Part I

📅 Effective: 26 / 02 / 2020 🎓 CPL / ATPL Ground Subject – Air Regs

1 · Objective & Scope of Investigation

i Core Principle

The sole objective of the investigation of an accident or serious incident is the prevention of accidents and incidents. It is not the purpose of this activity to apportion blame or liability. The causes of an aircraft accident or serious incident must be identified in order to prevent repeated occurrences.

The identification of causal factors is best accomplished through a properly conducted investigation. ICAO Annex 13 lays down:

Which States may participate in an investigation.
The rights and responsibilities of each State.

🌐 States Entitled to Participate

State of Occurrence State of Registry State of the Operator State of Design State of Manufacture

2 · Applicability

✓ General Rule

Unless otherwise stated, the specifications in Annex 13 apply to activities following accidents and incidents wherever they occurred.

! Special Case – State of the Operator

The specifications concerning the State of the Operator apply only when:

The aircraft is leased, chartered or interchanged, AND
That State is not the State of Registry, AND
It discharges, in respect of this Annex, in part or in whole, the functions and obligations of the State of Registry.

3 · ICAO Annex 13 – Key Provisions

P-1 Any State which, on request, provides information, facilities or experts to the State conducting the investigation shall be entitled to appoint an accredited representative to participate in the investigation.
P-2 The accident investigation final report shall be submitted to appropriate States and to the ICAO, in one of the working languages of ICAO.
P-3 Upon receipt of the modification and a request by the State of Occurrence for participation, the State of Design and the State of Manufacture shall — in the case of an accident or serious incident — inform the State of Occurrence of the name of its representative to be present at the investigation when the aircraft has a maximum mass over 1,00,000 kg.
P-4 The Government of the State in which the accident took place is responsible, under Annex 13 of the Chicago Convention, for the initiation of an accident investigation.

Aircraft Mass Threshold

> 1,00,000 kg

State of Design / Manufacture must send rep

Report Language

ICAO Working Lang.

Final report submitted in one of

Investigation Initiation

State of Occurrence

Government where accident took place

4 · National Provisions – Definition of "Accident"

i Accident – Definition

An occurrence associated with the operation of an aircraft which:

(i) 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
(ii) 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 any of the following conditions (a), (b) or (c) applies:

4.1 · Conditions that Constitute an Accident

(a) A person is fatally 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 — Not Counted as Accident Injury

Except when the injuries are from:

Natural causes
Self-inflicted
Inflicted by other persons
When injuries are to stowaways hiding outside the areas normally available to passengers and crew

(b) The aircraft sustains damage or structural failure which:

Adversely affects the structural strength, performance or flight characteristics of the aircraft, AND

✓ EXCEPT — Damage NOT Constituting an Accident

Damage is NOT classified as an accident when limited to:

Failure of engine or damage limited to a single engine (including its cowlings or accessories)
Propellers, wing tips, antennas, probes, vanes
Tires, brakes, wheels
Fairings, panels, landing gear doors
Windscreens, the aircraft skin (small dents or puncture holes)
Minor damage to main rotor blades, tail rotor blades, landing gear
Damage from hail or bird strike (including holes in the radome)

(c) The aircraft is missing or is completely inaccessible.

! Critical Definitions

"Fatally injured" — means an injury resulting in death within 30 days of the date of the accident.
"Aircraft is missing" — means the wreckage of the aircraft has not been located when the official search has been terminated.

4.2 · Visual: Accident Classification Flow

flowchart TD
    A[Occurrence with Aircraft Operation] --> B{Manned or Unmanned?}
    B -->|Manned| C[Between boarding & disembarking?]
    B -->|Unmanned| D[Between ready-to-move & engine shutdown?]
    C -->|No| X[Not an Accident]
    D -->|No| X
    C -->|Yes| E{Any condition met?}
    D -->|Yes| E
    E --> F[a Person fatally/seriously injured]
    E --> G[b Aircraft damaged/structural failure]
    E --> H[c Aircraft missing or inaccessible]
    F --> Y{Excluded cause? natural/self/other/stowaway}
    Y -->|Yes| X
    Y -->|No| Z[ACCIDENT]
    G --> W{Damage limited to listed exceptions?}
    W -->|Yes| X
    W -->|No| Z
    H --> Z
    style Z fill:#fdecec,stroke:#d93025,stroke-width:3px,color:#a3160c
    style X fill:#e6f6ec,stroke:#1b8a3a,color:#0f5f27

Decision flow — Is the occurrence an "Accident"?

5 · Definition of "Serious Incident"

i Serious Incident – Definition

An incident involving circumstances indicating that there was a high probability of an accident and associated with the operation of an aircraft which:

Manned — takes place between the time any person boards the aircraft with the intention of flight until all such persons have disembarked;
Unmanned — between the time the aircraft is ready to move with the purpose of flight until it comes to rest at the end of the flight and the primary propulsion system is shut down.

! Note on the List Below

The incidents listed below are typical examples of incidents likely to be serious incidents. The list is not exhaustive and only serves as guidance to the definition of "serious incident".

5.1 · Typical Examples of Serious Incidents

Item	Description
a)	Near collisions requiring an avoidance manoeuvre to avoid a collision or an unsafe situation, or when an avoidance action would have been appropriate.
b)	Collisions not classified as accidents.
c)	Controlled flight into terrain (CFIT) only marginally avoided.
d)	Aborted take-offs on a closed or engaged runway, on a taxiway or unassigned runway.
e)	Take-offs from a closed or engaged runway, from a taxiway or unassigned runway.
f)	Landings or attempted landings on a closed or engaged runway, on a taxiway or unassigned runway.
g)	Gross failures to achieve predicted performance during take-off or initial climb.
h)	Fires and/or smoke in the cockpit, in the passenger compartment, in cargo compartments or engine fires — even though such fires were extinguished by extinguishing agents.
i)	Events requiring the emergency use of oxygen by the flight crew.
j)	Aircraft structural failures or engine disintegrations, including uncontained turbine engine failures, not classified as an accident.
k)	Multiple malfunctions of one or more aircraft systems seriously affecting the operation of the aircraft.
l)	Flight crew incapacitation in flight.
m)	Fuel quantity level or distribution situations requiring the declaration of an emergency by the pilot — such as insufficient fuel, fuel exhaustion, fuel starvation, or inability to use all usable fuel on board.
o)	Runway incursions classified with severity A. (The Manual on the Prevention of Runway Incursions — ICAO Doc 9870 — contains information on the severity classifications.)
p)	Take-off or landing incidents — under-shooting, overrunning, or running off the side of runways.
q)	System failures, weather phenomena, operations outside the approved flight envelope, or other occurrences which caused or could have caused difficulties controlling the aircraft.
r)	Failures of more than one system in a redundancy system mandatory for flight guidance and navigation.
s)	The unintentional or, as an emergency measure, the intentional release of a slung load or any other load carried external to the aircraft.

6 · Definition of "Serious Injury"

i Serious Injury – Definition

An injury sustained by a person in an accident and which meets any one or more of the following six criteria:

a Requires hospitalization for more than 48 hours, commencing within 7 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, or 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 percent of the body surface; OR
f Involves verified exposure to infectious substances or injurious radiation.

Hospitalization Limit

> 48 Hours

Within 7 days of injury

Burns Threshold

> 5 % Body

Or 2nd / 3rd degree burns

Fatal Injury Window

30 Days

Death within 30 days = fatal

7 · Definition of "Incident"

i Incident – Definition

In relation to an aircraft, means an occurrence which takes place either on the ground or in flight, in which any of the following applies:

a The aircraft suffers damage, or a person associated either with the maintenance or operation of aircraft (or both) suffers injury, in circumstances other than those specified in the definition of "accident".
b The aircraft makes a forced landing.
c The aircraft lands at an aerodrome in an un-airworthy condition.
d The aircraft is compelled to land at the aerodrome of departure without completing the scheduled flight.
e The aircraft lands owing to conditions which make continuance of the flight inadvisable.
f The position of the aircraft becomes "unknown for any period".
g The safety of the aircraft, its occupants, or any other person or property is jeopardised in any manner.

8 · Definition of "Significant Incident"

i Significant Incident – Definition

An incident involving circumstances indicating that an accident or a serious incident could have occurred, if the risk had not been managed within safety margins.

! Memory Aid

Think of it as a "near-near-miss": it would have escalated into an accident or serious incident, but timely risk management kept it within safe limits.

8.1 · Hierarchy of Occurrences (Severity Scale)

flowchart LR
    A[Incident
Lowest severity] --> B[Significant Incident
Could have escalated]
    B --> C[Serious Incident
High probability of accident]
    C --> D[Accident
Highest severity]
    style A fill:#e7f0ff,stroke:#1f6feb,color:#0b3d91
    style B fill:#fff6e0,stroke:#d98e00,color:#7a4d00
    style C fill:#ffe1de,stroke:#d93025,color:#a3160c
    style D fill:#fdecec,stroke:#8b0000,color:#5a0000,stroke-width:3px

Occurrence severity ladder — increasing left to right

9 · Air Traffic Incidents

i Air Traffic Incident – Definition

"Air traffic incidents" is used to mean a serious occurrence related to the provisions of air traffic services, such as:

Aircraft proximity (AIRPROX);
Serious difficulty resulting in a hazard to aircraft caused, for example, by:
- i) Faulty procedures
- ii) Non-compliance with procedures
- iii) Failure of ground facilities

10 · Reporting Procedures (including In-Flight Procedures)

The following are the procedures to be followed by a pilot who is or has been involved in an incident:

a During Flight

Use the appropriate air/ground frequency for reporting an incident of major significance, particularly if it involves other aircraft, so as to permit the facts to be ascertained immediately.

b After Landing

As promptly as possible after landing, and in any case within 24 hours, submit a completed Air Traffic Incident Report Form by the quickest means available to:

Director General of Civil Aviation
(Attn: Director Air Safety, HQ)
With a copy to: Executive Director (ATM), Airports Authority of India, Rajiv Gandhi Bhawan, Safdarjung Airport, New Delhi – 110003.

This submission is required:

i) For confirming a report of an incident made initially by radio, or for making the initial report on such an incident if it had not been possible to report it by radio;
ii) For reporting an incident which did not require immediate notification at the time of occurrence.

10.1 · Information in an Initial Radio Report

i Initial Report by Radio – Contents

An initial report made by radio should contain the following information:

Aircraft identification
Type of incident — e.g. aircraft proximity
The incident — give information as laid down in the Air Traffic Incident Report Form
Miscellaneous

10.2 · Reporting Timeline

⏱ T = 0 (During flight) Use air/ground frequency to report incident of major significance — facts ascertained immediately.

🛬 As soon as practicable after landing Begin compiling the Air Traffic Incident Report Form.

⏰ Within 24 hours (maximum) Submit completed Air Traffic Incident Report Form to DGCA (Attn: Dir. Air Safety, HQ) with copy to ED (ATM), AAI.

11 · Investigation Authority

i Investigation – Authority

In case of an accident or incident to an aircraft in the territory of India, notwithstanding its registration, the DG, Aircraft Accident Investigation Bureau (DG, AAIB) shall institute an investigation into the circumstances of the accident or incident, and shall be responsible for conducting the investigation.

! Who is "DG, AAIB"?

"DG, AAIB" means the Director General who shall be the head of the Aircraft Accident Investigation Bureau.

12 · Notification of Accident / Incident

! Mandatory Notification – By PIC

Where an accident or incident occurs to an aircraft, the following persons (in order of responsibility) shall give notice:

The Pilot-in-Command (PIC) of the aircraft; or
If the PIC is killed or incapacitated, then:
- The Owner,
- The Operator,
- The Hirer, or other person on whose behalf he was in command, or
- Any relevant person, as the case may be.

Notice shall be given as soon as is reasonably practicable, but in any case NOT LATER THAN 24 HOURS after he becomes aware of the accident or incident.

12.1 · Who must be Notified by the PIC

a Send notice to the Aircraft Accident Investigation Bureau (AAIB) and the Directorate General of Civil Aviation (DGCA) — by the quickest means of communication available; AND
b In the case of an accident or incident occurring in India, give information to:
- The District Magistrate (DM), AND
- The Officer-in-Charge (O-i-C) of the nearest Police Station of the accident or incident and of the place where it occurred.

12.2 · Additional Notification to AAIB

✓ Notification Shall ALSO be Submitted to AAIB by

(a) Aerodrome operator
(b) Air Traffic Services in-charge concerned
(c) DG, CA — wherever applicable

12.3 · Visual: Notification Flow

flowchart TD
    A[Accident/Incident Occurs] --> B{PIC alive & able?}
    B -->|Yes| C[PIC notifies]
    B -->|No - killed/incapacitated| D[Owner / Operator / Hirer / Relevant Person notifies]
    C --> E[Within 24 hrs of becoming aware]
    D --> E
    E --> F[By quickest means available]
    F --> G[AAIB]
    F --> H[DGCA]
    F --> I[In India only:
District Magistrate]
    F --> J[In India only:
O-i-C Nearest Police Station]
    K[ALSO submitted to AAIB by:] --> L[Aerodrome Operator]
    K --> M[ATS in-charge]
    K --> N[DG CA where applicable]
    style E fill:#fdecec,stroke:#d93025,color:#a3160c,stroke-width:2px
    style G fill:#e6f6ec,stroke:#1b8a3a
    style H fill:#e6f6ec,stroke:#1b8a3a
    style I fill:#e6f6ec,stroke:#1b8a3a
    style J fill:#e6f6ec,stroke:#1b8a3a

Mandatory 24-hour notification chain following an accident/incident

13 · Protection of Evidence, Custody, Removal & Preservation of Damaged Aircraft

13.1 · Access & Control by Investigator-in-Charge

✓ Clause (1) — Investigator's Rights

In the case of an accident or a serious incident which is required to be notified, the Investigator-in-Charge shall have:

Unhampered access to the wreckage and all relevant material and information, including flight recorders and Air Traffic Services records; AND
Unrestricted control over it, to ensure that a detailed examination can be made without delay by authorised personnel participating in the investigation.

13.2 · Removal Only Under Authority of DG, AAIB

✕ Clause (2) — General Prohibition

The aircraft and the contents thereof shall NOT, except by a person under the authority of the DG, AAIB, be removed or otherwise interfered with.

13.3 · Permitted Exceptions (Provisos)

Provided that the aircraft / its parts / its contents may be moved in the following circumstances:

a Search & Rescue Operations — by persons authorised to conduct search and rescue operations, for the purpose of:
- Extricating persons or animals dead or alive;
- Preventing destruction of the aircraft and its contents by fire or other cause;
- Preventing damage or obstruction to the public, to air navigation, or to other transport.
b Aircraft Wrecked on Water — may be removed (to the extent necessary) for bringing it to a place of safety, by persons authorised to conduct search and rescue operations.
c Goods — may be removed under the supervision and with the concurrence of:
- An officer of the AAIB, OR
- A person authorised by the DG, AAIB.
d Personal Luggage of passengers and crew — after photography, weighing, etc. — may be removed under the supervision of:
- A Police Officer, OR
- A Magistrate, OR
- An Officer of the AAIB, OR
- A person authorised by DG, AAIB.
e Mails — after photography, weighing, etc. — may be removed under the supervision of:
- A Police Officer, OR
- A Magistrate, OR
- An Officer of the Department of Posts & Telegraphs, OR
- An Officer of the AAIB, OR
- A person authorised by DG, AAIB.
f CVR and Airborne Image Recording Data — Special Protection.
✕ Use of CVR / Airborne Image Data
CVR and airborne image recording data shall NOT be used for:
- Disciplinary proceedings
- Civil proceedings
- Administrative proceedings
- Criminal proceedings
— against the employees, operational personnel or organizations.

13.4 · Visual: Who Can Move What?

Item Being Removed	Authorised Supervisor / Authority
Aircraft / parts / contents (general)	Only under authority of DG, AAIB
Aircraft for SAR (life, fire, public safety)	Search & Rescue authorised personnel
Aircraft wrecked on water	SAR authorised personnel — for safety
Goods	Officer of AAIB OR person authorised by DG, AAIB
Personal luggage	Police Officer / Magistrate / AAIB Officer / person authorised by DG, AAIB
Mails	Police Officer / Magistrate / Officer of Posts & Telegraphs / AAIB Officer / person authorised by DG, AAIB
CVR & Airborne Image Data	Not usable against personnel in any disciplinary / civil / admin / criminal proceeding

14 · Quick Reference – Critical Values & Limits

Item	Value / Rule	Source
Aircraft mass threshold — State of Design / Manufacture to send rep	> 1,00,000 kg max mass	ICAO Annex 13
Final report submission language	One of the ICAO working languages	ICAO Annex 13
Fatal injury — definition	Death within 30 days of accident	National Provisions
Serious injury — hospitalisation	More than 48 hours, beginning within 7 days	National Provisions
Serious injury — burns	2nd / 3rd degree, OR more than 5% body surface	National Provisions
Air Traffic Incident Report — deadline after landing	Within 24 hours	Reporting Procedures
Notification by PIC after accident/incident	Not later than 24 hours after becoming aware	National Provisions
Authority to initiate investigation in India	DG, AAIB	National Provisions
Authority responsible (under Annex 13) for initiation	Government of State of Occurrence	ICAO Annex 13
CVR & Airborne Image Data	NOT usable in disciplinary, civil, administrative, criminal proceedings	National Provisions

14.1 · Memory Aid – Severity Ladder

Incident (occurrence) → Significant Incident (could have escalated) → Serious Incident (high prob. of accident) → ACCIDENT

14.2 · Memory Aid – "24-Hour Rule"

! Remember: TWO independent 24-hour clocks

Notification of accident/incident to AAIB, DGCA, DM & police — 24 hrs from PIC becoming aware.
Air Traffic Incident Report Form submission — 24 hrs after landing.

15 · Practice Questions with Explanations

Q1The objective of the investigation of an accident or incident shall be the:

A) Prevention of accidents or incidents and to help the judges

✓ B) Prevention of accidents or incidents and to help the manufacturers in design — per textbook answer key

C) Prevention of accidents or incidents

Textbook Answer: A. Per the answer key supplied in the source material, the correct option is listed as A. The doctrinal core principle is that investigations are conducted solely for the prevention of accidents and incidents — not to apportion blame or liability. Refer to Section 1 above for the formal statement of objective.

Q2Which of the following, according to ICAO Annex 13, shall be entitled to appoint an accredited representative to participate in the investigation?

A) State conducting the investigation and State of design and manufacturing

B) All ICAO members States

✓ C) Any State which, on request, provides information, facilities or experts to the State conducting the investigation

Answer: C. Per Annex 13 — entitlement to appoint an accredited representative is tied to the State that contributes information, facilities, or experts on request.

Q3The accident investigation preliminary report shall be submitted to appropriate States and to the ICAO, in:

A) Any of the world's major languages

✓ B) One of the working languages of ICAO

C) The language of the investigating State

Answer: B. Reports (final and preliminary) are submitted in one of the ICAO working languages to ensure uniform accessibility to Contracting States.

Q4Upon receipt of the modification and a request by the State of Occurrence for participation, the State of Design and the State of Manufacture shall, in the case of an accident or serious incident, inform the State of Occurrence of the name of its representative to be present at the investigation when the aircraft:

✓ A) Has a maximum mass over 1,00,000 kg

B) Has a maximum mass over 27,000 kg

C) Has a maximum mass over 5,700 kg

Answer: A. The State of Design and State of Manufacture must nominate representatives only when the aircraft involved exceeds 1,00,000 kg maximum mass.

Q5Who is responsible, under Annex 13 of the Chicago Convention, for the initiation of an accident investigation?

A) The law enforcement authorities of the state in which the aircraft is registered

B) The aircraft manufacturer

✓ C) The government of the state in which the accident took place

Answer: C. Under Annex 13, initiation of investigation lies with the State of Occurrence — i.e. the government of the state where the accident physically happened.

Q6Just before arriving on the apron, taxiing inadvertently on the grass, a wheel falls into a hole, which seriously damages the aircraft and obliges the crew to delay departure.

✓ A) This is an accident and the crew must follow the procedure relevant to this case

B) This is an irregularity in the operation, the crew must inform the operator of the delay caused by necessary repair

C) Since no physical injury has been noticed and the flight is over, the actions to be taken are related only to insurance, to the repair man, the operator and the persons in charge of the runways and taxiways

Answer: A. The aircraft sustained damage that adversely affects structural strength / performance while persons were still on board with the intent of flight (definition of "accident" extends from boarding to disembarking). The damage is not among the listed exceptions (tires/brakes/wheels alone). Treat as an accident and follow the relevant procedure.

Q7Where an accident or incident occurs to an aircraft in India, then the Pilot-in-Command of the aircraft shall send notice thereof to:

✓ A) AAIB, DGCA, DM and O-i-C of nearest police station — as soon as is reasonably practicable but in any case not later than 24 hours

B) AAIB, DGCA, DM and O-i-C of nearest police station — as soon as is reasonably practicable but in any case not later than 48 hours

C) AAIB, DGCA, DM and AAI — as soon as is reasonably practicable but in any case not later than 24 hours

Answer: A. The PIC must notify AAIB + DGCA + District Magistrate + O-i-C of the nearest Police Station, within 24 hours of becoming aware. The agency is the police station — not AAI.

Q8In the case of an accident, the aircraft or any parts or contents thereof may be removed without the authority of DG/AAIB:

A) To look for evidence

B) If so directed by the P-i-C

✓ C) To extricate the body of a dead dog

Answer: C. Under Clause (2) Proviso (a), aircraft/parts/contents may be moved by SAR-authorised personnel to extricate persons or animals — dead or alive. The other options (looking for evidence; PIC direction alone) are not permitted exceptions.

Q9"An incident involving circumstances indicating that an accident or a serious incident could have occurred, if the risk had not been managed within safety margins" is known as?

A) Reportable Incident

✓ B) Significant Incident

C) Flight Safety Incident

Answer: B. This is the textbook definition of a Significant Incident — one rung below "serious incident" on the severity ladder; risk was kept within margins, preventing escalation.

Q10CVR and airborne image recording data:

A) Can be used for disciplinary, civil, administrative and criminal proceeding against the employees, operational personnel or organizations

✓ B) Can NOT be used for disciplinary, civil, administrative and criminal proceeding against the employees, operational personnel or organizations

C) Can be used for disciplinary, civil, administrative and criminal proceeding against the employees, operational personnel or organizations with the permission of DGCA

Answer: B. The use of CVR & airborne image data is strictly protected — it shall not be used for any disciplinary, civil, administrative or criminal proceedings against employees, operational personnel or organizations. This protection preserves the safety-investigation purpose and protects "just culture".