DOT 49 CFR PART 831-2010 ACCIDENT INCIDENT INVESTIGATION PROCEDURES.pdf

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1、602 49 CFR Ch. VIII (10110 Edition) Pt. 831 1The authority of a representative of the FAA during such investigations is the same as that of a Board investigator under this part. the accident or incident as they appear to him. If the crewmember is incapaci-tated, he shall submit the statement as soon

2、 as he is physically able. (c) Where to file the reports. The oper-ator of an aircraft shall file any report with the field office of the Board near-est the accident or incident. 53 FR 36982, Sept. 23, 1988, as amended at 60 FR 40113, Aug. 7, 1995 PART 831ACCIDENT/INCIDENT INVESTIGATION PROCEDURES S

3、ec. 831.1 Applicability of part. 831.2 Responsibility of Board. 831.3 Authority of Directors. 831.4 Nature of investigation. 831.5 Priority of Board investigations. 831.6 Request to withhold information. 831.7 Right to representation. 831.8 Investigator-in-charge. 831.9 Authority of Board representa

4、tives. 831.10 Autopsies. 831.11 Parties to the investigation. 831.12 Access to and release of wreckage, records, mail, and cargo. 831.13 Flow and dissemination of accident or incident information. 831.14 Proposed findings. AUTHORITY: Independent Safety Board Act of 1974, as amended (49 U.S.C. 1101 e

5、t seq.); Federal Aviation Act of 1958, as amended (49 U.S.C. 40101 et seq.). SOURCE: 53 FR 15847, May 4, 1988, unless otherwise noted. 831.1 Applicability of part. Unless otherwise specifically ordered by the National Transportation Safety Board (Board), the provisions of this part shall govern all

6、accident or inci-dent investigations, conducted under the authority of title VII of the Fed-eral Aviation Act of 1958, as amended, and the Independent Safety Board Act of 1974. Rules applicable to accident hearings and reports are set forth in part 845. 831.2 Responsibility of Board. (a) Aviation. (

7、1) The Board is respon-sible for the organization, conduct, and control of all accident and incident in-vestigations (see 830.2 of this chapter) within the Untied States, its terri-tories and possessions, where the acci-dent or incident involves any civil air-craft or certain public aircraft (as spe

8、c-ified in 830.5 of this chapter), includ-ing an investigation involving civil or public aircraft (as specified in 830.5) on the one hand, and an Armed Forces or intelligence agency aircraft on the other hand. It is also responsible for in-vestigating accidents/incidents that occur outside the Unite

9、d States, and which involve civil aircraft and/or cer-tain public aircraft, when the accident/ incident is not in the territory of an-other country (i.e., in international wa-ters). (2) Certain aviation investigations may be conducted by the Federal Avia-tion Administration (FAA), pursuant to a Requ

10、est to the Secretary of the Department of Transportation to In-vestigate Certain Aircraft Accidents, effective February 10, 1977 (the text of the request is contained in the appen-dix to part 800 of this chapter), but the Board determines the probable cause of such accidents or incidents.1Under no c

11、ircumstances are aviation investiga-tions where the portion of the inves-tigation is so delegated to the FAA by the Board considered to be joint inves-tigations in the sense of sharing re-sponsibility. These investigations re-main NTSB investigations. (3) The Board is the agency charged with fulfill

12、ing the obligations of the United States under Annex 13 to the Chicago Convention on International Civil Aviation (Eighth Edition, July 1994), and does so consistent with State Department requirements and in co-ordination with that department. Annex 13 contains specific require-ments for the notific

13、ation, investiga-tion, and reporting of certain incidents and accidents involving international civil aviation. In the case of an acci-dent or incident in a foreign state in-volving civil aircraft of U.S. registry or manufacture, where the foreign state is a signatory to Annex 13 to the Chicago Conv

14、ention of the International Civil Aviation Organization, the state of oc-currence is responsible for the inves-tigation. If the accident or incident oc-curs in a foreign state not bound by the provisions of Annex 13 to the Chicago VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00612 Fmt

15、8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-603 National Transportation Safety Board 831.5 2Part 850 also governs the conduct of cer-tain investigations in which the Board an

16、d the Coast Guard participate jointly. Convention, or if the accident or inci-dent involves a public aircraft (Annex 13 applies only to civil aircraft), the conduct of the investigation shall be in consonance with any agreement en-tered into between the United States and the foreign state. (b) Surfa

17、ce. The Board is responsible for the investigation of: railroad acci-dents in which there is a fatality, sub-stantial property damage, or which in-volve a passenger train (see part 840 of this chapter); major marine casualties and marine accidents involving a pub-lic and non-public vessel or involvi

18、ng Coast Guard functions (see part 850 of this chapter2); highway accidents, in-cluding railroad grade-crossing acci-dents, the investigation of which is se-lected in cooperation with the States; and pipeline accidents in which there is a fatality, significant injury to the en-vironment, or substant

19、ial property damage. (c) Other accidents/incidents. The Board is also responsible for the inves-tigation of an accident/incident that occurs in connection with the transpor-tation of people or property which, in the judgment of the Board, is cata-strophic, involves problems of a recur-ring character

20、, or would otherwise carry out the policy of the Independent Safety Board Act of 1974. This author-ity includes, but is not limited to, ma-rine and boating accidents and inci-dents not covered by part 850 of this chapter, and accidents/incidents se-lected by the Board involving transpor-tation and/o

21、r release of hazardous ma-terials. 62 FR 3806, Jan. 27, 1997 831.3 Authority of Directors. The Directors, Office of Aviation Safety, Office of Railroad Safety, Of-fice of Highway Safety, Office of Ma-rine Safety, and Office of Pipeline and Hazardous Materials Safety, subject to the provisions of 831

22、.2 and part 800 of this chapter, may order an investiga-tion into any accident or incident. 63 FR 71606, Dec. 29, 1998 831.4 Nature of investigation. Accident and incident investigations are conducted by the Board to deter-mine the facts, conditions, and cir-cumstances relating to an accident or inc

23、ident and the probable cause(s) thereof. These results are then used to ascertain measures that would best tend to prevent similar accidents or in-cidents in the future. The investigation includes the field investigation (on- scene at the accident, testing, tear-down, etc.), report preparation, and,

24、 where ordered, a public hearing. The investigation results in Board conclu-sions issued in the form of a report or brief of the incident or accident. Ac-cident/incident investigations are fact- finding proceedings with no formal issues and no adverse parties. They are not subject to the provisions

25、of the Ad-ministrative Procedure Act (5 U.S.C. 504 et seq.), and are not conducted for the purpose of determining the rights or liabilities of any person. 62 FR 3806, Jan. 27, 1997 831.5 Priority of Board investiga-tions. Any investigation of an accident or incident conducted by the Safety Board dir

26、ectly or pursuant to the appendix to part 800 of this chapter (except major marine investigations conducted under 49 U.S.C. 1131(a)(1)(E) has priority over all other investigations of such acci-dent or incident conducted by other Federal agencies. The Safety Board shall provide for the appropriate p

27、ar-ticipation by other Federal agencies in any such investigation, except that such agencies may not participate in the Safety Boards determination of the probable cause of the accident or incident. Nothing in this section im-pairs the authority of other Federal agencies to conduct investigations of

28、 an accident or incident under applica-ble provisions of law or to obtain infor-mation directly from parties involved in, and witnesses to, the transportation accident or incident, provided they do so without interfering with the Safety Boards investigation. The Safety Board and other Federal agenci

29、es shall assure that appropriate information obtained or developed in the course of VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00613 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwoods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted withou

30、t license from IHS-,-,-604 49 CFR Ch. VIII (10110 Edition) 831.6 their investigations is exchanged in a timely manner. 62 FR 3807, Jan. 27, 1997 831.6 Request to withhold informa-tion. (a) Trade Secrets Act (18 U.S.C. 1905), Exemption 4 of the Freedom of Informa-tion Act (5 U.S.C. 552) (FOIA), and T

31、he Independent Safety Board Act of 1974, as amended(1) General. The Trade Se-crets Act provides criminal penalties for unauthorized government disclo-sure of trade secrets and other speci-fied confidential commercial informa-tion. The Freedom of Information Act authorizes withholding of such infor-m

32、ation; however, the Independent Safety Board Act, at 49 U.S.C. 1114(b), provides that the Board may, under certain circumstances, disclose infor-mation related to trade secrets. (2) Procedures. Information submitted to the Board that the submitter be-lieves qualifies as a trade secret or con-fidenti

33、al commercial information sub-ject either to the Trade Secrets Act or FOIA Exemption 4 shall be so identi-fied by the submitter on each and every page of such document. The Board shall give the submitter of any information so identified, or informa-tion the Board has substantial reason to believe qu

34、alifies as a trade secret or confidential commercial information subject either to the Trade Secrets Act or FOIA Exemption 4, the opportunity to comment on any contemplated dis-closure, pursuant to 49 U.S.C. 1114(b). In all instances where the Board deter-mines to disclose pursuant to 49 U.S.C. 1114

35、(b) and/or 5 U.S.C. 552, at least 10 days notice will be provided the sub-mitter. Notice may not be provided the submitter when disclosure is required by a law other than FOIA if the infor-mation is not identified by the sub-mitter as qualifying for withholding, as is required by this paragraph, unl

36、ess the Board has substantial reason to be-lieve that disclosure would result in competitive harm. (3) Voluntarily-provided safety informa-tion. It is the policy of the Safety Board that commercial, safety-related information provided to it voluntarily and not in the context of particular ac-cident/

37、incident investigations will not be disclosed. Reference to such infor-mation for the purposes of safety rec-ommendations will be undertaken with consideration for the confidential na-ture of the underlying database(s). (b) Other. Any person may make written objection to the public disclo-sure of an

38、y other information con-tained in any report or document filed, or otherwise obtained by the Board, stating the grounds for such objection. The Board, on its own initiative or if such objection is made, may order such information withheld from public dis-closure when, in its judgment, the in-formati

39、on may be withheld under the provisions of an exemption to the Free-dom of Information Act (5 U.S.C. 552, see part 801 of this chapter), and its re-lease is found not to be in the public interest. 62 FR 3807, Jan. 27, 1997 831.7 Right to representation. Any person interviewed by an au-thorized repre

40、sentative of the Board during the investigation, regardless of the form of the interview (sworn, unsworn, transcribed, not transcribed, etc.), has the right to be accompanied, represented, or advised by an attorney or non-attorney representative. 62 FR 3807, Jan. 27, 1997 831.8 Investigator-in-charg

41、e. The designated investigator-in- charge (IIC) organizes, conducts, con-trols, and manages the field phase of the investigation, regardless of wheth-er a Board Member is also on-scene at the accident or incident site. (The role of the Board member at the scene of an accident investigation is as the

42、 official spokesperson for the Safety Board.) The IIC has the responsibility and au-thority to supervise and coordinate all resources and activities of all per-sonnel, both Board and non-Board, in-volved in the on-site investigation. The IIC continues to have considerable or-ganizational and managem

43、ent respon-sibilities throughout later phases of the investigation, up to and including Board consideration and adoption of a report or brief of probable cause(s). 62 FR 3807, Jan. 27, 1997 VerDate Mar2010 10:10 Dec 13, 2010 Jkt 220218 PO 00000 Frm 00614 Fmt 8010 Sfmt 8010 Y:SGML220218.XXX 220218wwo

44、ods2 on DSK1DXX6B1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-605 National Transportation Safety Board 831.11 831.9 Authority of Board representa-tives. (a) General. Any employee of the Board, upon presenting appropriate credentials,

45、 is authorized to enter any property where an accident/incident subject to the Boards jurisdiction has occurred, or wreckage from any such accident/incident is located, and do all things considered necessary for proper investigation. Further, upon demand of an authorized representative of the Board

46、and presentation of credentials, any Government agency, or person having possession or control of any transportation vehicle or component thereof, any facility, equipment, proc-ess or controls relevant to the inves-tigation, or any pertinent records or memoranda, including all files, hos-pital recor

47、ds, and correspondence then or thereafter existing, and kept or re-quired to be kept, shall forthwith per-mit inspection, photographing, or copying thereof by such authorized rep-resentative for the purpose of inves-tigating an accident or incident, or preparing a study, or related to any special in

48、vestigation pertaining to safety or the prevention of accidents. The Safety Board may issue a sub-poena, enforceable in Federal district court, to obtain testimony or other evidence. Authorized representatives of the Board may question any person having knowledge relevant to an acci-dent/incident, s

49、tudy, or special inves-tigation. Authorized representatives of the Board also have exclusive author-ity, on behalf of the Board, to decide the way in which any testing will be conducted, including decisions on the person that will conduct the test, the type of test that will be conducted, and any individual who will witness the test. (b) Aviation. Any employee of the Board, upon presenting appropriate credentials, is authorized to examine a