Técnicas generales

240. OVERVIEW.

a. The FAA investigates aircraft incidents and collects and analyzes aircraft incident reports because the reports provide an excellent source of accident prevention information. An active incident reporting system is the foundation of a good safety program. Aircraft incident investigations may result in regulatory changes, issuance of Airworthiness Directives (AD's), revised procedures, standards, policy, etc. Support for such actions depends on facts discovered during the investigation. All relevant facts should be documented. The applicable regional Flight Standards division investigates pilot deviations.

b. Some aircraft malfunctions are documented by use of a Service Difficulty Report (SDR), a Mechanical Interruption Summary, a Malfunction or Defect (M or D) report, or another reporting method. However, if an aircraft operational incident is associated with the malfunction or failure, the operational incident must also be documented by the reporting FSDO on

FAA Form 8020-23. An example of this dual reporting requirement would be an aircraft with a pressurization system valve malfunction that resulted in an emergency descent maneuver. The malfunction would likely result in an SDR or M or D report. The emergency descent incident requires documentation on FAA Form 8020-23.

241. INCIDENT RESPONSIBILITIES.

a. The latest edition of Order 1100.2 assigns to the Planning, Information, and Analysis Program, ATX-400, the responsibility for collecting, automating, and analyzing airspace and surface incident reports (near midair collisions, operational errors, vehicle and pedestrian deviations, and pilot deviations). The latest edition of Order 1100.5 (FAA Organization-Field) assigns to the FS divisions the responsibility for incident investigation and reporting, except for vehicle and pedestrian deviations. In some instances, an aircraft incident may occur within one region's geographical area, but the aircraft may continue its flight to or through one or more regions prior to flight termination. In these instances, the FS division in the region in which the aircraft first lands following the occurrence is responsible for satisfying the FAA's investigative responsibilities, with the exception of pilot deviations and near midair collisions which are investigated by the region of occurrence. Vehicle and pedestrian deviation investigations at airports certificated under 14 CFR Part 139 are the responsibility of regional Airports divisions.

b. Regional AT division managers are responsible for investigating and reporting incidents that only involve AT functions, i.e., operational errors or deviations.

c. The FAA IIC has the responsibility to notify the regional Airports and AF divisions and the appropriate ACO when functions of these offices are involved in the incident.

that all relevant facts be obtained. The FAA IIC may request participation or documentation by other FAA elements when necessary.

e. The FAA IIC shall determine the extent of investigation necessary for an incident other than an NMAC or a pilot deviation before requesting an AT package.

f. When AT provides notification on FAA Forms 8020-11, 8020-17, or 8020-21, the FS

investigating office will inform the reporting AT facility of the final disposition of the incident. When AT personnel or facilities are involved, the FAA IIC will give these parties an opportunity to comment and will indicate on the report that this opportunity was given.

g. The regional FS office manager will assign responsibility for the coordination of information flow between the FS region and ATX-400 on NMAC's and pilot deviations and the submission of a quarterly report to ATX-400. The report shall be submitted within 21 working days after the end of March, June, September, and December. The report will contain informa- tion as specified by ATX including, with incident number and date, a list of the NMAC and pilot deviation reports received by the region in the preceding quarter, the status of each of those reports, and the status of all reports open at the beginning of the preceding quarter.

h. The regional Airports division manager will assign responsibility for the coordination of the flow of information between the Airports region and ATX on vehicle and pedestrian deviations and the submittal of a quarterly report to the Planning, Information, and Analysis Program, ATX-400. The report shall be submitted within 21 working days after the end of March, June, September, and December. The report will contain information as specified by ATX-400 including (with incident number and date) a list of the vehicle or pedestrian deviation reports received by the region in the preceding quarter, the status of each of those reports, and the status reports open at the beginning of the preceding quarter.

242. INCIDENT NOTIFICATION.

a. Flight Standards District Offices will normally receive telephone notification of accidents and incidents described in paragraphs 64 and 80 from an AT field facility or the Regional Operations Center. For an incident other than an NMAC or a pilot deviation, and if written occurrence documentation is required from the AT facility, the district office inspector shall request the AT facility to provide a completed FAA Form 8020-11. For a reported

NMAC, FAA Form 8020-21 must be filed by the AT facility. For a pilot deviation, including a reckless flying incident observed by AT, FAA Form 8020-17 must be filed by the AT facility. Appendix 3 contains a flowchart of the FS accident and incident investigation process.

b. If an FS inspector receives notification of an occurrence described in paragraphs 64 and 80 from a source other than an AT facility or the Regional Operations Center, the inspector shall immediately contact the nearest AT facility and provide the information the AT facility needs to complete any additional notifications.

c. If an FS inspector receives notification of an incident not observed by AT from a source other than AT, FS should proceed as follows: for reckless flying incidents, complete

FAA Form 8020-17, followed by FAA Form 8020-18 after the investigation; for other incidents, only complete FAA Form 8020-23 after the investigation.

d. In addition to the accidents and incidents described in paragraphs 64 and 80, the Washington Operations Center must notify AAI-100 of all incidents which have a significant impact on aviation safety; have threatened substantial damage to property or aircraft or possible injury to personnel; or are anticipated by the FAA IIC, the FSDO manager, or the FS regional staff to be of national interest. An all-inclusive description of incident types that meet the above criteria is not practical. However, in deciding whether to advise AAI-100 of an incident,

consider that AAI-100 has the responsibility for keeping the Director of Accident Investigation, the Director of Flight Standards Service, the Director of Aircraft Certification Service, the Federal Air Surgeon of the Office of Aviation Medicine, the Director of Civil Aviation Security, and other FAA officials actively informed of the circumstances of such incidents.

e. If a flight crewmember notifies an FS inspector of a possible NMAC, the inspector shall be responsible for notifying the local AT facility which will then transmit the required message. Investigation of the report shall be completed in accordance with paragraph 81.

f. Aircraft Certification Directorates should be notified with regard to certification responsibilities for which they have authority.

g. Regional Airports divisions will receive notification of vehicle or pedestrian deviations described in paragraph 86 from an AT field facility or the Regional Operations Center. A completed FAA Form 8020-24 will follow the notification within 10 days. 243. FOREIGN AIR CARRIER INCIDENTS. The FAA IIC for an incident that occurs in a U.S. jurisdictional area and which involves a foreign air carrier shall notify the FAA office having 14 CFR 129 responsibility for that foreign air carrier. The district office with

14 CFR 129 responsibility is responsible for informing the appropriate foreign government aviation agency and the foreign air carrier's representative of the incident. The FAA IIC shall also notify the Global Issues Division, AIA-100, of the incident through the Washington Operations Center. The location of the district office which has 14 CFR 129 certificate responsibility for each foreign air carrier is listed in the Air Operations System data base in the district office or in the regional FS division's information processing equipment. FAA Form 8020-23 will be completed and distributed for each foreign air carrier incident. 244. REPORT RETENTION. For an NMAC or pilot deviation investigation, FS facilities shall retain two copies of the preliminary and investigative reports and all supporting documents. For vehicle or pedestrian deviations, regional Airports offices shall retain two copies of the preliminary and investigative reports and all supporting documents. The envelope containing this information should be retained in the facility's files according to instructions in the latest edition of Order 1350.15 unless directed otherwise. Note the following information on the front of the envelope:

b. The date of the incident.

c. The aircraft identification data (for NMAC and pilot deviation investigations if applicable for vehicle or pedestrian deviation investigations).

d. A list of the envelope contents.

245. RECORDS DISPOSAL. Dispose of accident/incident records as follows, as described in the latest edition of Order 1350.15:

a. FAA Form 8020-23 (Reporting Incidents). Destroy files maintained by the regional FS division, FSDO, and Aircraft Certification Directorates when necessary followup or corrective action is completed.

b. FAA Forms 8020-21 and 8020-15. Transfer closed files maintained by ATX-400 to the Federal Records Center when 1 year old. ATX-400 is to retain microfilm copies of closed reports for a minimum of 2 additional years. The Federal Records Center should destroy files 6 years after receipt. Destroy files maintained by the regional FS division and FSDO when necessary followup or corrective action is completed and confirmation of receipt is received from ATX-400.

c. FAA Forms 8020-17 and 8020-18. Transfer closed files maintained by ATX-400 to the Federal Records Center when 1 year old. ATX-400 is to retain microfilm copies of closed reports for a minimum of 2 additional years. The Federal Records Center should destroy files 6 years after receipt. Destroy files maintained by the regional FS division and FSDO when necessary followup or corrective action is completed and confirmation of receipt is received from ATX-400.

d. FAA Form 8020-24. Transfer closed files maintained by ATX-400 to the Federal Records Center when 1 year old. ATX-400 is to retain microfilm copies of closed reports for a minimum of 2 additional years. The Federal Records Center should destroy these files 6 years after receipt. Destroy files maintained by the appropriate Airports division when necessary followup corrective actions are completed and confirmation of receipt is received from ATX-400.

SECTION 2. INVESTIGATION OF SPECIFIC (NON-CRIMINAL) INCIDENTS