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U.S. DEPARTMENT OF TRANSPORTATION FEDERAL AVIATION ADMINISTRATION Air Traffic Organization Policy ORDER JO 8020.16A Effective Date: December 27, 2010 SUBJ: Air Traffic Organization Aircraft Accident and Incident Notification, Investigation, and Reporting This order prescribes Federal Aviation Administration (FAA) Air Traffic Organization (ATO) procedures and responsibilities for aircraft accident and incident notification, investigation, and reporting. It provides direction and guidance to ATO service units, service centers, service areas, offices, and facilities when they are called upon to perform accident investigations. All concerned personnel must familiarize themselves with the provisions of this order that pertain to their operational responsibilities and exercise their best judgment if they encounter situations not covered by the order. This order cancels FAA Order 8020.16, dated September 13, 2005, including all associated notices. Significant changes have been made to creating Aircraft Accident Packages, required records in Formal and Informal Aircraft Accident Files, data required for Pilot Deviations, electronic data retention and certification, and forms used by air traffic. This is an ATO order that has been written in coordination with FAA Order 8020.11 and describes specifically the ATO's roles and responsibilities in aircraft accidents, aircraft incidents, and air traffic incidents as they pertain to notification, reporting, and data retention. Henry P. Krakowski Chief Operating Officer Air Traffic Organization Distribution: A-W-1; A-W(HL/HP/EE/ST) -2; Initiated By: AJV-4 A-W(GC/IA/PA/AS/CS/AI/IR/FS/TA/TP/TX/NS/OP/VN) -3; Mission Support, Litigation Liaison Office A-X(CC/GC/IA/PA) -2; A-X(HR/CD/FS/AM/AF/AT/AS/CS) -3; A-Y(CC/GC/PA/CS/HR) -2; A-Y(CS/HR/AY) -3; A-Z(CC/GC/PA/CS/HR) -2; AAR-400/AAR-422(2 ea); A-FOF-0(STD) 12/27/10 JO 8020.16A Explanation of Changes Direct questions through appropriate facility/service center office staff to Mission Support, Litigation Liaison Office. j. 82. Content, Assembly, and Distribution of Formal Accident Package The requirement to place the accident package number and aircraft identification in the lower left hand footer was added (transcriptions excluded). Certification Memorandums were removed from the accident package contents. The provision for electronic copies, instead of paper copies, was included. Use of the ATO Portal for personnel logs was recommended. The requirement for towers or combined tower/TRACONs to include all positions (FAA Form 7230-10) of operation in the accident package was clarified. Weather certification statements were modified. Distribution procedures were modified. This change cancels N JO 8020.182, Air Traffic Organization Aircraft Accident and Incident Notification, Investigation, and Reporting, effective January 1, 2010. a. 12. Safety Risk Management (SRM) Analysis This paragraph has been added. b. 62. Operations Centers Notification procedures have been updated to include Order JO 1030.3, Incident Response Order. c. 65. Aircraft Accident and Incident Notification Reporting Procedures on what, how, and when to report aircraft accidents and incidents have been clarified or expanded. d. 70. Determination of Air Traffic Facility Responsible for Final Data Collection This change cancels and incorporates N JO 8020.184, Determination of Air Traffic Facility Responsible for Final Data Collection, effective March 20, 2010. e. 71. Formal Accident File/Package Data Collection The process for downgrading a formal accident file/package was clarified. The requirement to prepare an informal accident file when a formal accident file/package is not prepared was made clearer. FSS vendor responsibilities were spelled out. More examples of pertinent data were given. The requirement to perform an ARTS clock comparison was removed. This change cancels N JO 8020.182, Air Traffic Organization Aircraft Accident and Incident Notification, Investigation, and Reporting, effective January 1, 2010. k. 83. Certification of the Air Traffic Aircraft Accident Package This memorandum was removed from the accident package content. This change cancels N JO 8020.182, Air Traffic Organization Aircraft Accident and Incident Notification, Investigation, and Reporting, effective January 1, 2010. l. 84. Informal Accident File Data Collection A certified index, radar and computer data were added to the list of required contents. m. 91. FAA Form 8020-26, Personnel Statements FAA Form 8020-26, Personnel Statement, was amended to delete the Equipment Attachment. Also in Block 10, Text of Statement, an individual now will check the box "Comment" if they wish to provide any facts pertaining to said accident or check the box "No Comment" if they have no information to add, with one exception. The “Comment” box must be utilized for air traffic incidents. This change cancels N JO 8020.182, Air Traffic Organization Aircraft Accident and Incident Notification, Investigation, and Reporting, effective January 1, 2010. f. 72. Data Collection and Certification by Selected Facilities References to FSS equipment/processes were modernized. The DEN was added. Computer certification statements were moved. g. 73. Radar and Computer Data A new paragraph detailing the expanded amount and types of radar and computer data now required was added. h. 74. Correction Memorandums A new paragraph explaining the process for correction memorandums was added. n. 114. Pilot Deviations Added clarification to NORDO processing. This change cancels N JO 8020.188, Pilot Deviations, effective August 28, 2010. i. 81. Support Facilities Facilities providing normal services was clarified. ii 12/27/10 JO 8020.16A accident/incident. (For example, a navigational aid sending erroneous information to a pilot.) The particulars of the accident/incident will determine whether or not the OCC is called. Paragraph 156a(1) and (2) gives guidance on when to call the OCC, “Accidents which are clearly related to the aircraft condition or to a failure aboard the aircraft (e.g., nosewheel collapse during an otherwise normal landing, fuel exhaustion, ground loops, blown tires, engine failure, etc.) may be excluded from this notification procedure….” While there may be a duplication of information given to the ROC/WOC and/or to the SMO, it is necessary for the OCC to receive timely information when equipment failure/malfunction may have contributed to the accident. The following number will route you to the OCC for your area of the country: (866) 432-2622. o. 119. Miscellaneous Incidents This change added procedures for retaining data pertaining to tarmac delays. This change cancels and incorporates N JO 8020.186, Tarmac Delay Data Retention, effective April 29, 2010. p. 156. Decisions Clarified Technical Operations processes regarding equipment as it pertains to accidents/incidents. Added clarification that a suspect facility must remain in the same operational condition as at the time of the accident/incident. q. Appendix A. Forms Used by Air Traffic FAA Form 8020-3 has changed. The current version is dated 10/10. Please remove unused outdated versions from operating quarters, quality assurance offices, etc., and replace them with the 10/10 edition. Changes include adding the Domestic Events Network (DEN), and Operational Control Center (OCC). Note well: the DEN number must be redacted from all copies of the 8020-3 leaving the facility for a FOIA request, accident package, etc. r. Appendix F. Definitions Definitions were moved to an appendix and modified or added to reflect changes in the ATO (for example, unmanned aircraft systems) pertaining to litigation. s. Additional editorial/format changes were made where necessary. The OCC is tasked with determining what, if any, NAS facilities are suspected of being involved in an aircraft iii 12/27/10 JO 8020.16A Table of Contents Paragraph Page Chapter 1. General 1. Purpose of This Order ..........................................................................................................................................................1 2. Audience ...............................................................................................................................................................................1 3. Where to Find This Order ....................................................................................................................................................1 4. Cancellation ..........................................................................................................................................................................1 5. Explanation of Changes .......................................................................................................................................................1 6. Distribution ...........................................................................................................................................................................1 7. Authority to Change This Order ..........................................................................................................................................1 8. Supplements ..........................................................................................................................................................................2 9. Definitions ............................................................................................................................................................................2 10. Related Publications ...........................................................................................................................................................2 11. Forms and Reports .............................................................................................................................................................2 12. Safety Risk Management (SRM) Analysis .......................................................................................................................2 13. FAA Responsibilities in Aircraft Accident Investigations ...............................................................................................2 14. Responsibilities of Regional Divisions, Aircraft Certification Directorates, Service Areas, Service Centers, and Flight Service Program Offices in Aircraft Accident Investigations ............................................3 15. FAA and NTSB Accident and Incident Investigation Agreements .................................................................................3 16. Post-Accident or Incident Drug Testing ............................................................................................................................4 17. FAA Investigator-in-Charge (IIC) .....................................................................................................................................4 18. FAA Participants ................................................................................................................................................................4 19. Other FAA Personnel .........................................................................................................................................................4 20. FAA Safety Recommendation Program ...........................................................................................................................4 21. Training ...............................................................................................................................................................................5 22-29. RESERVED ..................................................................................................................................................................5 Chapter 2. FAA Elements Involved in Notification, Investigation, and Reporting 30. Office of Accident Investigation and Prevention ..............................................................................................................6 31. Operations Centers .............................................................................................................................................................7 32. Air Traffic Organization (ATO) ........................................................................................................................................7 33. Flight Standards Service ....................................................................................................................................................8 34. Office of Aviation Medicine ..............................................................................................................................................9 35. Office of Airport Safety and Standards .............................................................................................................................9 36. Office of the Chief Counsel ...............................................................................................................................................9 37. Assistant Administrator for Security and Hazardous Materials .......................................................................................9 38. Aircraft Certification Service .............................................................................................................................................9 39. Office of Communications .................................................................................................................................................9 40. Office of International Aviation ......................................................................................................................................10 41-59. RESERVED ................................................................................................................................................................10 Chapter 3. Air Traffic and Other Initial Notification and Reporting Responsibilities 60. General ..............................................................................................................................................................................11 61. FAA Contract Facilities (FCF) ........................................................................................................................................11 62. Operations Center .............................................................................................................................................................11 63. Notification of Other Operations Centers .......................................................................................................................12 64. National Transportation Safety Board (NTSB) ..............................................................................................................12 65. Aircraft Accident and Incident Notification and Reporting ...........................................................................................12 66. Completing and Transmitting FAA Form 8020-9, Aircraft Accident/Incident Preliminary Notice ............................14 67. Military Notification to the FAA When the FAA Is Involved In a Military Aircraft Accident ...................................16 68–69. RESERVED ...............................................................................................................................................................16 iv 12/27/10 JO 8020.16A Paragraph Page Chapter 4. Air Traffic Aircraft Accidents/Incidents Data Collection 70. Determination of Air Traffic Facility Responsible for Final Data Collection ...............................................................17 71. Formal Accident File/Package Data Collection ..............................................................................................................17 72. Data Collection and Certification by Selected Facilities ................................................................................................19 73. Radar and Computer Data ................................................................................................................................................20 74. Correction Memorandums ...............................................................................................................................................21 75-79. RESERVED ................................................................................................................................................................21 Chapter 5. Formal and Informal Air Traffic Aircraft Accident Files 80. Numbering of Air Traffic Formal Accident File/Package and Informal Accident File ...............................................22 81. Support Facilities ..............................................................................................................................................................22 82. Content, Assembly, and Distribution of Formal Accident Package ..............................................................................23 83. Certification of the Air Traffic Aircraft Accident Package ............................................................................................26 84. Informal Accident File Data Collection ..........................................................................................................................26 85–89. RESERVED ...............................................................................................................................................................27 Chapter 6. Preparation of Forms, Personnel Statements, Certified Indexes, Voice Recordings, and Transcripts 90. FAA Form 8020-6, Report of Aircraft Accident ............................................................................................................28 91. FAA Form 8020-26, Personnel Statements ....................................................................................................................29 92. Certified Index ..................................................................................................................................................................31 93. Copies of Voice Recordings ............................................................................................................................................31 94. Transcription of Voice Recordings .................................................................................................................................33 95. Automated Aircraft Accident Package Program ............................................................................................................35 96–99. RESERVED ...............................................................................................................................................................35 Chapter 7. Retention of Formal and Informal Air Traffic Aircraft Accident Files, and Air Traffic Incident Files 100. Security of Records ........................................................................................................................................................36 101. Retention of Voice Data .................................................................................................................................................36 102. Retention and Disposal of Aircraft Accident Records .................................................................................................36 103–109. RESERVED ...........................................................................................................................................................37 Chapter 8. Air Traffic Incidents 110. Air Traffic Incident Notification and Reporting ...........................................................................................................38 111. Near Midair Collisions (NMAC) ..................................................................................................................................39 112. U.S. Air Force (USAF) Hazardous Air Traffic Reports (HATR) ...............................................................................41 113. U.S. Army Operational Hazard Reports (OHR) ...........................................................................................................42 114. Pilot Deviations ..............................................................................................................................................................43 115. FAA Form 8020-11, Incident Report ............................................................................................................................46 116. Vehicle and Pedestrian Deviations ................................................................................................................................47 117. Emergency Evacuations .................................................................................................................................................48 118. Parachute-Jumping Incidents .........................................................................................................................................48 119. Miscellaneous Incidents .................................................................................................................................................48 120. Flight Standards ..............................................................................................................................................................50 121. Retention and Disposal, Contents, and Labeling of Air Traffic Incident Records .....................................................50 122. Request for Information and Records Furnished Outside of the FOIA Process .........................................................50 123. Knowledge Services Network (KSN) ...........................................................................................................................51 124-129. RESERVED ...........................................................................................................................................................51 v 12/27/10 JO 8020.16A Paragraph Page Chapter 9. Aircraft Accident Investigation Responsibilities Section 1. Office of Accident Investigation and Prevention 130. Office of Accident Investigation and Prevention Responsibilities ..............................................................................52 131. Regional Flight Standards Division Responsibilities ...................................................................................................52 132. Designation of the FAA IIC ..........................................................................................................................................52 133. Possible Involvement of Navigation Facilities .............................................................................................................52 134. Technical Operations Aviation System Standards Responsibilities ............................................................................52 135. Washington Headquarters "Go Team” ..........................................................................................................................53 136. Additional Information ..................................................................................................................................................53 137–139. RESERVED ...........................................................................................................................................................53 Section 2. Air Traffic Services 140. General ............................................................................................................................................................................54 141. Air Traffic Accident Representative .............................................................................................................................54 142. Air Traffic Accident Representative Responsibilities ..................................................................................................54 143–149. RESERVED ...........................................................................................................................................................55 Section 3. Technical Operations Services 150. Introduction ....................................................................................................................................................................56 151. Scope ...............................................................................................................................................................................56 152. Overview of Technical Operations Services Activities ................................................................................................56 153. Responsibilities ...............................................................................................................................................................56 154. Aircraft Accident Representative ..................................................................................................................................57 155. Process ............................................................................................................................................................................58 156. Decisions .........................................................................................................................................................................58 157. Field Work ......................................................................................................................................................................61 158. Documentation ...............................................................................................................................................................62 159. Preserving, Copying, and Releasing Reports and Records ..........................................................................................63 160. Field Response for Post Aircraft Accident Data ...........................................................................................................63 161-169. RESERVED ...........................................................................................................................................................64 FIG 9-3-1. Aircraft Accident/Incident TOAAR Checklist ..................................................................................................65 FIG 9-3-2. Facility Restoral Checklist ..................................................................................................................................67 FIG 9-3-3. Aircraft Accident/Incident Package Cover Page ................................................................................................69 FIG 9-3-4. Technical Operations Services Post-Aircraft Accident Process ........................................................................70 Section 4. Office of the Chief Counsel 170. General ............................................................................................................................................................................71 171. Extent of Legal Participation .........................................................................................................................................71 172. Additional Information ..................................................................................................................................................71 173–179. RESERVED ...........................................................................................................................................................71 Chapter 10. Public Release of Accident and Incident Information 180. General ............................................................................................................................................................................72 181. Military Aircraft Information .........................................................................................................................................72 182. Public Requests for Reports ...........................................................................................................................................72 183. FOIA Request for Accident or Incident Investigation Documents ..............................................................................72 184–189. RESERVED ..........................................................................................................................................................73 vi 12/27/10 JO 8020.16A Paragraph Page Appendix A. Forms Used by Air Traffic...................................................................................... A-1 FIG A-1. FAA Form 8020-3, Facility Accident/Incident Notification Record ................................................................ A-2 FIG A-2. FAA Form 8020-6, Report of Aircraft Accident ............................................................................................... A-3 FIG A-3. FAA Form 8020-6-1, Report of Aircraft Accident (Continuation Sheet) ........................................................ A-4 FIG A-4. FAA Form 8020-9, Aircraft Accident/Incident Preliminary Notice ................................................................. A-5 FIG A-4. FAA Form 8020-9, Aircraft Accident/Incident Preliminary Notice (continued) ............................................. A-6 FIG A-6. FAA Form 8020-17, Preliminary Pilot Deviation Report (Page 2) .................................................................. A-9 FIG A-6. FAA Form 8020-17, Preliminary Pilot Deviation Report (Page 3) ................................................................ A-10 FIG A-6. FAA Form 8020-17, Preliminary Pilot Deviation Report (Page 4) ................................................................ A-11 FIG A-7. FAA Form 8020-19, Reclassification of Aviation Incident Report ................................................................ A-12 FIG A-8. FAA Form 8020-21, Preliminary Near Midair Collision Report .................................................................... A-13 FIG A-8. FAA Form 8020-21, Preliminary Near Midair Collision Report (continued) ................................................ A-14 FIG A-8. FAA Form 8020-21, Preliminary Near Midair Collision Report (continued) ................................................ A-15 FIG A-9. FAA Form 8020-24, Preliminary Vehicle or Pedestrian Deviation Report ................................................... A-16 FIG A-9. FAA Form 8020-24, Preliminary Vehicle or Pedestrian Deviation Report (continued) ............................... A-17 FIG A-9. FAA Form 8020-24, Preliminary Vehicle or Pedestrian Deviation Report (continued) ............................... A-18 FIG A-10. FAA Form 8020-26, Personnel Statement ..................................................................................................... A-19 Appendix B. Example of Air Traffic Aircraft Accident Package ............................................. B-1 Appendix C. Determination of Air Traffic Facility Responsible for Final Data Collection Flow Chart ......................................................................... C-1 Appendix D. Cassette Tape and Computer Diskette- Recordable (CD-R) Labeling ............ D-1 Appendix E. Original Documentation Transfer .........................................................................E-1 FIG E-1. Example of Original Documentation ...................................................................................................................E-2 Appendix F. Definitions ................................................................................................................F-1 vii 12/27/10 JO 8020.16A Chapter 1 Chapter 1. General 1. Purpose of This Order This order prescribes FAA ATO procedures and responsibilities for aircraft accident and incident notification, investigation, and reporting. 2. Audience This order applies to ATO employees and anyone using ATO directives. 3. Where to Find This Order This notice is available on the MyFAA employee Web site at https://employees.faa.gov/tools_resources/orders_notices/ and on the air traffic publications Web site at http://www.faa.gov/air_traffic/publications/. 4. Cancellation FAA Order 8020.16, Air Traffic Organization Aircraft Accident and Incident Notification, Investigation, and Reporting, dated September 13, 2005, including all associated notices, is canceled. 5. Explanation of Changes This revision: a. Incorporates editorial changes. b. Reflects recent organizational and procedural changes. c. Updates ATO procedures related to the collection of documents and other items associated with an aircraft accident or incident and incorporates updated procedures for pilot deviations, including those involving security temporary flight restrictions. 6. Distribution This order is intended for all Assistant Administrators, Associate Administrators, and heads of offices and services; division level in the offices of Labor Management Relations, Environment and Energy, Aviation Policy, Planning and Environment; branch level in the offices of Chief Counsel, International Aviation, Communications, Aviation Safety, Aviation Safety Analytical Services, Aviation Safety - Air Traffic Safety Oversight, Rulemaking, Airport Safety, Airports, Security and Hazardous Materials, Accident Investigation and Prevention, Aerospace Medicine; Aircraft Certification Service and Flight Standards Services; Air Traffic Organization Senior Vice Presidents and Vice Presidents, Service Area Directors, Managers, service centers, Flight Service Program Operations Director, and field facilities, National Airspace System (NAS) Transition and Implementation; NAS Operations; and Aviation System Standards; regional division level in Regional and Center Operations, International Aviation, and Communications; regional branch level in Human Resource Management, Certification Directorates, Flight Standards Services, Aerospace Medicine, Technical Operations, Airports, and Security and Hazardous Materials; Aeronautical Center division level in Operations Center, Center Counsel, and Communications; and branch level in Security and Hazardous Materials, Human Resource Management, and FAA Academy; Technical Center division level in Operations Center, Center Counsel, Communications, Security and Hazardous Materials, and Human Resource Management; and a standard distribution to all field offices and facilities. 7. Authority to Change This Order Only the Director of Technical Operations or Director of Mission Support, Litigation Liaison Office, may approve changes except those involving policy, assignment of responsibility, and delegation of authority. Those organizations with aircraft accident and incident notification, investigation, and reporting responsibilities should submit proposed changes or additions to the Litigation Liaison Office. 1 12/27/10 JO 8020.16A Chapter 1 8. Supplements Supplements to this order must be approved prior to implementation. One copy of each line of business, service center, office, or facility supplement to this order must be sent to the Office of Accident Investigation and Prevention through the Litigation Liaison Office. 9. Definitions See Appendix F, Definitions, for a complete list of definitions for terms used in this order. 10. Related Publications The following publications are the primary references to be used in coordination with provisions of this order: a. FAA Order 8020.11, Aircraft Accident and Incident Notification, Investigation, and Reporting b. FAA Order JO 7210.3, Facility Operation and Administration c. FAA Order JO 7210.56, Air Traffic Quality Assurance d. FAA Order JO 1030.3, Initial Event Response e. FAA Order JO 7110.65, Air Traffic Control f. FAA Order JO 7110.10, Flight Services 11. Forms and Reports Forms used by air traffic facilities for aircraft accident and incident notification, investigation, and reporting are in Appendix A, Forms Used by Air Traffic. Selected, completed examples of these forms are in Appendix B, Example of Air Traffic Aircraft Accident Package. 12. Safety Risk Management (SRM) Analysis This order has no effect on the National Airspace System (NAS). 13. FAA Responsibilities in Aircraft Accident Investigations The responsibilities of the FAA pertinent to aircraft accident investigations in accordance with Sections 40113 and 44702 of title 49 United States Code (U.S.C.) are to: a. Ensure that all facts, conditions, and circumstances leading to the accident are recorded and evaluated, and action is taken to prevent similar accidents. b. Promulgate and enforce Federal Aviation Regulations for certificating civil aircraft airworthiness, for certificating airmen and air carriers for competency, and for certifying airports used by air carriers utilizing aircraft with more than 30 passenger seats for compliance with certain safety standards. This responsibility includes the continued surveillance of the airworthiness of aircraft and competence of airmen, air agencies, commercial operators, and air carriers, and the safety of airports. FAA's nine responsibilities in accident investigations are to determine whether: (1) Performance of FAA facilities or functions was a factor. (2) Performance of non-FAA owned and operated air traffic control facilities or navigational aids was a factor. (3) Airworthiness of FAA-certificated aircraft was a factor. (4) Competency of FAA-certificated airmen, air agencies, commercial operators, or air carriers was involved. (5) Federal Aviation Regulations were adequate. (6) Airport certification safety standards or operations were involved. (7) Airman medical qualifications were involved. 2 12/27/10 JO 8020.16A Chapter 1 (8) There was a violation of Federal Aviation Regulations. (9) Airport security standards or operations were involved. c. Support the National Transportation Safety Board (NTSB) by verbally informing the office with jurisdictional accident investigation responsibility of all facts, conditions, and circumstances surrounding an accident in which the NTSB does not participate on scene. The FAA investigator-in-charge (IIC) will provide the NTSB with photographs, statements, and other pertinent information necessary for determining probable cause. The exception is that a written statement about a particular segment of the investigation; that is, an engine teardown, can be provided to the NTSB. d. Participate in any civil aircraft accident investigation or any accident investigation conducted by the NTSB that involves both civil and military aircraft so that the Administrator may properly discharge his or her duties and responsibilities in accordance with title 49 U.S.C. (1) In the case of accidents that involve only military aircraft and when functions of the FAA are or may be involved, the military authorities will provide for investigation participation by the Administrator. (2) The Armed Forces have developed a joint regulation by mutual agreement to implement title 49 U.S.C. (See Air Force Regulation AFJI91-206, Army Regulation 95-30, Operations Navy Instruction 3750.16B, Coast Guard Regulation 307, and Chapter 7.) e. Participate with the NTSB in foreign accident investigations upon request by the State of accident occurrence. International Civil Aviation Organization (ICAO) Annex 13, Aircraft Accident Investigation, provides that such investigations must be conducted by authorities of the State in which an accident occurs. Title 49 Code of Federal Regulations (CFR) 831.2(a) excludes the investigation and reporting of aircraft accidents in foreign countries. f. Notify the NTSB, through the FAA IIC, when the NTSB does not participate in the on-scene investigation prior to authorizing NTSB funds. g. Conduct autopsies and tests of the remains of persons aboard the aircraft at the time of the accident under authority delegated by the Administrator to any medically qualified official or medically qualified FAA employee. Designated aviation medical examiners are not deemed to be FAA officials or employees for this purpose. 14. Responsibilities of Regional Divisions, Aircraft Certification Directorates, Service Areas, Service Centers, and Flight Service Program Offices in Aircraft Accident Investigations a. Regional personnel in Flight Standards, Airports, Aviation Medicine, and Civil Aviation Security Divisions, the Aircraft Certification Directorates, Regional Counsel, and Public Affairs staff may be required to participate in an accident investigation. During such participation, a representative is designated to coordinate the division, directorate, or staff responsibilities and provide assistance and required reports to the FAA IIC. b. Service area, service center, and Flight Service Program Office (FSPO) personnel in air traffic and technical operations may be required to participate in an accident investigation. During such participation, a representative is designated to coordinate the service area, service center, Flight Services Information Area Group (FSIAG), directorate, or staff responsibilities and provide assistance and required reports to the FAA IIC. 15. FAA and NTSB Accident and Incident Investigation Agreements a. FAA and NTSB have agreed that the following apply when NTSB conducts an investigation: (1) The investigation is under the control and direction of the NTSB IIC. (2) The FAA must at all times have a coordinator (FAA IIC) designated as its principal representative until the investigation is complete. The designation of a person as FAA IIC conveys the authority to procure and utilize the services of all needed FAA personnel, facilities, and records. Through this principal representative, the NTSB will make available to the FAA all documents, reports, and other evidence from the investigation and any tentative recommendations so that the FAA may immediately take the necessary corrective actions. (3) Participation of other FAA personnel must be determined by the FAA IIC. The FAA IIC must work with the NTSB IIC in coordinating FAA's activities. 3 12/27/10 JO 8020.16A Chapter 1 (4) FAA personnel assigned to a group must work under the direction of the group chairperson and remain with the group until that phase of the investigation has been completed or they are released by the NTSB IIC and the FAA IIC. (5) The NTSB IIC must inform the FAA IIC of all aspects of the investigation. (6) Pertinent investigation records and reports must be made available to the FAA in a timely manner. b. Additional facts needed by FAA, but not required by NTSB, must be obtained by the FAA IIC in coordination with the NTSB IIC in a manner that does not interfere with the NTSB investigation. In obtaining such facts, FAA personnel must clarify that they are not acting under NTSB direction. c. The NTSB must investigate all accidents and incidents involving FAA aircraft or airmen. An FAA aircraft is defined as any aircraft which is owned, leased, under military bailment, rented by the FAA, or piloted by FAA personnel when in an official FAA capacity. The FAA must participate in the NTSB investigation of FAA aircraft accidents and incidents in the same manner as in the NTSB investigation of civil aircraft accidents and incidents. d. The FAA must investigate all accidents and incidents involving aircraft piloted by NTSB personnel. e. FAA procedures for participation in NTSB incident investigations will be the same as for accident investigations. 16. Post-Accident or Incident Drug Testing Post-accident drug testing must be conducted in accordance with current Department of Transportation (DOT) and FAA directives. 17. FAA Investigator-in-Charge (IIC) The FAA IIC directs and controls all FAA participation in the investigation until the investigation is completed. FAA activity at hearings and depositions, however, is under the direction and control of the Office of the Chief Counsel or the Regional Counsel. The FAA IIC reports to AVP-1 through the Manager, Accident Investigation Division. (NTSB and the military service use the term "FAA coordinator" during NTSB or military service-conducted investigations.) 18. FAA Participants a. Participants are responsible to the FAA IIC in all matters related to the function(s) assigned by and/or agreed to by the FAA IIC. FAA participants must not withdraw from the investigation (if assigned to a group) until that phase of the investigation has been completed or they are released by the NTSB IIC and the FAA IIC. Participants must submit reports if requested by the FAA IIC. b. Participants may provide information or reports only to members of the investigative team and appropriate FAA management. The FAA IIC must be made aware of the nature and content of this information. c. Personnel that represent an FAA office that has been authorized access to the accident scene but have not been assigned as participants are subject to the requirements of paragraphs 18a and 18b. These personnel must provide the FAA IIC with reproducible copies of all investigation reports which they prepare or receive. 19. Other FAA Personnel FAA personnel not specifically assigned as participants or support personnel must not be present at the scene of an accident or incident without knowledge and consent of the FAA IIC. 20. FAA Safety Recommendation Program The main purpose of accident and incident investigation is prevention. The FAA Safety Recommendation Program is the process utilized to identify and correct safety deficiencies in the NAS. For more information regarding the responsibilities of FAA personnel, recommendation procedures, and corrective actions, see FAA Order 8020.11. 4 12/27/10 JO 8020.16A Chapter 1 21. Training The following courses offered at the Transportation Safety Institute (TSI), Mike Monroney Aeronautical Center, Oklahoma City, Oklahoma, are the recommended training requirements for FAA personnel who are designated to participate in accident or incident investigations: a. Basic Aircraft Accident Investigation, Course 00035 b. Advanced Aircraft Accident Investigation, Course 00003 c. Basic Rotorcraft Accident Investigation, Course 00007. This course is sponsored by TSI and conducted at the Bell Helicopter Customer Training Academy, Fort Worth, Texas. d. Human Factors in Aircraft Accident Investigation, Course 00008 e. Aircraft Cabin Safety Investigation, Course 00379 22-29. RESERVED 5 12/27/10 JO 8020.16A Chapter 2 Chapter 2. FAA Elements Involved in Notification, Investigation, and Reporting 30. Office of Accident Investigation and Prevention a. Director of Accident Investigation and Prevention. The overall mission of the Office of Accident Investigation and Prevention is accomplished under the Director who: (1) Serves as focal point for the Administrator in coordinating with public, private, military, domestic, and international counterparts, and with representatives of accident and incident investigation interests, on those matters under the direct purview of the office. (2) Reviews and assesses safety programs, operational policies, and activities as they relate to accident and incident investigations and makes recommendations. (3) Apprises the associate administrators, regions, centers, and other FAA elements on safety issues and programs related to accident and incident investigation findings and analyses. (4) Coordinates with the Office of the Chief Counsel (AGC) on participation in NTSB hearings. b. Accident Investigation Division. The Division: (1) Provides the FAA IIC for NTSB accident and incident investigations and provides specialized technical support to NTSB working groups, as necessary, by arranging for the assignment of headquarters or field specialists. (2) Conducts independent FAA investigations, as required, in major air carrier accidents or incidents; accidents associated with FAA licensed commercial space activities; significant commuter, air taxi, or general aviation accidents or incidents which reflect a lack of safety consciousness; and accidents and incidents that are catastrophic or involve recurring safety problems. (3) Conducts investigations of selected near midair collisions (NMAC), operational errors, pilot deviations, runway incursions, and vehicle and pedestrian deviations. (4) Conducts, at the request of the Director, Special Aviation Safety Investigations. (5) Serves, on behalf of the Director, as the primary FAA office for NTSB interaction. (6) Provides the FAA spokesperson at all NTSB public hearings. (7) Serves as the accident and incident investigation liaison with other FAA elements, U.S. departments and agencies, the U.S. military offices, foreign governments, and the aviation industry. (8) Reports to the Director and appropriate FAA officials the facts, conditions, and circumstances of accidents and incidents investigated, the apparent causes, and the relationships of those findings to FAA safety programs, regulations, and responsibilities. (9) Identifies safety issues and corrective action issues that arise from accident and incident investigations which will reduce the likelihood of recurrence and will enhance air safety. (10) Develops and monitors a system for disseminating within FAA factual information identified as a result of accident and incident investigations. (11) Assesses techniques and methods of accident and incident investigation and prescribes accident and incident investigation policies, practices, and procedures. (12) Maintains a duty roster of the 24-hour Office of Accident Investigation and Prevention duty officer for purposes of coordination and notification. (13) Operates the FAA Office of Accident Investigation and Prevention duty room, including management of the automated information-dissemination program and the accident and incident briefing program. 6 12/27/10 JO 8020.16A Chapter 2 c. Recommendation and Analysis Division. The Division: (1) Manages, on behalf of the Director, a system for FAA responses to NTSB safety recommendations. (2) Coordinates with DOT on NTSB safety recommendation status and the automation of the NTSB Safety Recommendation Program. (3) Manages, on behalf of the Director, a system for FAA responses to FAA safety recommendations. (4) Manages the Accident Investigation Quality Assurance Program and provides reports, information, and recommendations resulting from the program. (5) Develops and manages accident and incident reporting programs and furnishes accident and incident information to other FAA elements. (6) Integrates the Accident/Incident Data System, Service Difficulty Reports, and other operational databases into accident and incident analysis functions in support of specific investigations or trends analysis. (7) Conducts analyses of air carrier and general aviation accident and incident data to identify trends and safety deficiencies. (8) Serves as the program manager to provide support and curriculum guidance to TSI's Aircraft Accident Investigation courses. (9) Provides analytical and research support for litigation for the Office of the Chief Counsel. (10) Serves as the focal point for NTSB requests other than on-scene requests. 31. Operations Centers Operations centers alert appropriate offices and assist in the notification process for aircraft accidents and incidents and FAA licensed commercial space activities. When requested, a center establishes communication conferences to obtain, analyze, and disseminate information on accidents and incidents so that all FAA levels are kept informed and decisionmaking can proceed in a timely manner. Refer to FAA Order JO 1030.3 for appropriate notification procedures. 32. Air Traffic Organization (ATO) a. The Office of Safety, System Operations Services, Acquisition and Business Services, En Route and Oceanic Services, and Terminal Services. The ATO participates in the investigation of aircraft accidents and incidents when FAA air traffic control or aeronautical communications facilities are involved. Service area directors, service center directors, and the Flight Service Program Operations Director are responsible for ensuring that incidents in their assigned area that involve only air traffic functions are investigated and reported in a manner that ensures the proper discharge of FAA responsibilities. These same requirements pertain to private, non-Federal facilities. If a facility is operating within the NAS, it must comply with the same rules and regulations as the Federal facility. b. Technical Operations Services. Technical Operations Services responsibilities and actions following an aircraft accident or incident are to ensure the continued safe operation of the NAS, investigate potentially involved facilities in a timely manner, restore operations of facilities removed from service, and provide appropriate accident-related facility documentation. c. Aviation System Standards. (1) The Director of Aviation System Standards must ensure that the appropriate Aviation System Standards elements assign personnel to participate in the investigation of accidents and incidents that involve FAA aircraft. The purpose for this participation is to identify noncompliance with and/or inadequacies in FAA standards, policies, and supervision related to the operation and maintenance of FAA aircraft. Additional investigative guidelines are in the latest edition of FAA Order 4040.9, FAA Aircraft Management Program. Aviation System Standards personnel must report the findings and recommendations to their assigning element. A copy of their report will also be given to the FAA IIC. A verbal report summary and any recommendations will be made to the FAA IIC as soon as possible. 7 12/27/10 (2) JO 8020.16A Chapter 2 Aviation System Standards must: (a) At the request of the NTSB, FAA IIC/Coordinator (AVS), the FAA Accident Investigation Division, National Technical Operations Aircraft Accident Representative (NTOAAR) or Technical Operations Services Aircraft Accident Representative (TOAAR), schedule a flight inspection of facilities after an accident or incident. (b) Provide flight inspection results to the FAA IIC or TOAAR. c. Acquisition and Business Services, Information Technology, Technical Services Program. The Acquisition and Business Services, Information Technology, Technical Services is responsible for collecting, automating, and analyzing operational error, near midair collision, pilot deviation, and vehicle and pedestrian deviation reports. d. The Office of Safety, Runway Safety and Operational Services. Runway Safety and Operational Services is responsible for evaluating all surface incident reports and making a determination as to whether or not the incident meets runway incursion criteria. Additionally, Runway Safety and Operational Services tracks and maintains all runway incursion data in the Runway Safety and Operational Services database. 33. Flight Standards Service Flight Standards Service participates in the investigation of aircraft accidents and incidents through the Regional Flight Standards Divisions and the Flight Standards District Offices (FSDO). a. Regional Flight Standards Division. (1) The manager of the Regional Flight Standards Division is responsible for ensuring that aircraft accidents and incidents that occur in the division's geographical area are investigated and reported to ensure the proper discharge of FAA responsibilities. If an incident involves only air traffic functions; that is, air traffic operational errors or deviations, the service center director or FSPO Director must assume responsibility for the required investigative and reporting responsibilities in accordance with the latest edition of FAA Order 7210.56. (2) When an aircraft accident or incident occurs in one region's geographical area, but the aircraft continues flight to/through the airspace of another FAA region prior to flight termination, the Flight Standards division in the region when the aircraft first lands following the occurrence is responsible for ensuring the accomplishment of FAA responsibilities, except for pilot deviations. (3) The Flight Standards Division Manager also must: (a) Determine which accident or incident report files are required and where they should be located to fulfill the division's responsibility. (b) Include estimates for investigation costs in the annual budgetary "call for estimates." (c) Submit quarterly reports to Acquisition and Business Services, Information Technology, Technical Services on the NMAC and pilot deviation reports received in the preceding quarters, the status of those reports, and the status of reports open at the beginning of the preceding quarter. b. Flight Standards District Office (FSDO). (1) The FSDO responsible for the geographical location of an accident or incident is responsible for investigating and reporting such accidents or incidents as assigned by the manager of the Regional Flight Standards Division (see paragraph 33a(2) on multiple region investigation responsibility). (2) The type of response for accident and incident investigations will vary by type of occurrence and other factors, from delaying departure to the following day to initiating a major investigation immediately. c. Aviation Data Systems Branch. The Aviation Data Systems Branch serves as the FAA focal point for the receipt and encoding of general aviation and air carrier accident and incident reports, except for operational errors, near midair collisions, pilot deviations, and vehicle and pedestrian deviations, all of which are maintained by Acquisition and Business Services, Information Technology, Technical Services. The Aviation Data Systems Branch also serves as the office of primary interest for the accident/incident data system. Reports/incidents which meet runway incursion criteria are analyzed and tracked by the Runway Safety and Operational Services, and maintained in its database. 8 12/27/10 JO 8020.16A Chapter 2 34. Office of Aviation Medicine The Office of Aviation Medicine provides the expertise to support FAA in the investigation of medical aspects of aircraft accidents. Their purpose is to provide support in the area of accident causation related to pilot incapacitation and also in the area of "crash injury" analysis. The Office of Aviation Medicine will continue to provide pathological and toxicological services to the NTSB without reimbursement in accordance with the existing Memorandum of Agreement between the FAA and the NTSB. 35. Office of Airport Safety and Standards The Office of Airport Safety and Standards participates in aircraft accident and incident investigations when airport functions are involved. The regional Airports division is responsible for the investigation and completion of reports (FAA Form 8020-25, Investigation of Vehicle or Pedestrian Deviation Report) on all vehicle and pedestrian deviations at airports certificated under title 14 CFR Part 139. The Regional Airports Division Manager must submit quarterly reports to Acquisition and Business Services, Information Technology, Technical Services on the vehicle and pedestrian deviation reports received in the preceding quarter, the status of those reports, and the status of reports open at the beginning of the preceding quarter. 36. Office of the Chief Counsel The Office of the Chief Counsel is responsible for all legal services required for FAA functions involved in the investigation of aircraft accidents and incidents and FAA licensed commercial space activities. The legal representative is responsible for all legal services required for FAA functions involved in the investigation of the types of aircraft accidents and incidents in FAA Order 8020.11, paragraph 170. 37. Assistant Administrator for Security and Hazardous Materials The Assistant Administrator for Security and Hazardous Materials provides specialized technical and investigative assistance for enforcement or referral action for aircraft accidents and incidents and FAA licensed commercial space activities that directly involve hazardous material, atmospheric/radiological material, etiological contamination, or criminal activity. Examples include hijacking, sabotage, explosive incidents, forged certificates, drug trafficking, false markings, and alien smuggling. Office personnel may also provide assistance in such matters as certification of security clearances, preparation of identification media, handling of classified information, and other matters. 38. Aircraft Certification Service Aircraft Certification Service is responsible for the safety of civil aircraft. This organization consists of the headquarters policy office and four special policy offices called "directorates." Each directorate is responsible for policy under Federal Aviation Regulations covering a particular category of aircraft or aeronautical part. The four directorates serve as "geographical directorates" and are responsible for all of the field offices within a geographical area. The field offices are responsible for: a. Issuing product-type certificates and other design approvals held by manufacturers in the responsible geographic area. b. Providing engineering specialists to assist in the investigation of aircraft accidents and incidents that raise questions of product design. c. Developing design-related corrective actions. 39. Office of Communications The Office of Communications and/or the appropriate regional/center communications staff respond to news media inquiries on FAA functions and responsibilities associated with an aircraft accident or incident or FAA licensed commercial space activity until the NTSB investigation team arrives at the scene. The NTSB becomes responsible for answering all media questions related to the accident itself, circumstances surrounding the accident, and its probable cause. For FAA investigations, media response is the responsibility of the headquarters Communications staff. 9 12/27/10 JO 8020.16A Chapter 2 40. Office of International Aviation The Office of International Aviation maintains a current list of countries to which the Department of State will not normally authorize travel by accident investigators unless explicit approval is first obtained from the Office of Aviation, Department of State. Also, when the FAA Accident Investigation Division indicates interest in a foreign accident investigation in which the FAA is not entitled to participate under the Chicago Convention, the geographically responsible FAA International Representative will, with the local U.S. embassy, attempt to secure an invitation for FAA participation from the civil aviation authority of the crash-scene country. 41-59. RESERVED 10 12/27/10 JO 8020.16A Chapter 3 Chapter 3. Air Traffic and Other Initial Notification and Reporting Responsibilities 60. General In order to provide authorities in the FAA, NTSB, or military services with information on aircraft accidents and incidents, follow notification procedures as outlined in this chapter. a. Any FAA or FAA contract facility (FCF) employee who becomes aware of an aircraft accident or incident must report the facts immediately to the nearest FAA air traffic facility (en route, terminal facility, flight service station). b. Contact from points that are not readily accessible to an FAA air traffic facility, such as those outside the United States, its territories, and possessions, must be made through established channels; that is, Department of State, the FAA Aeronautical Fixed Telecommunications Network, or by any expeditious means appropriate to the accident or incident circumstances. c. For incidents/accidents involving UAS contact the Unmanned Aircraft Program Office, 202-385-4636, through the Regional Operations Center (ROC). d. FAA Form 8020-3, Facility Accident/Incident Notification Record, and FAA Form 8020-9, Aircraft Accident/Incident Preliminary Notice, are to be used by air traffic facilities to initiate preliminary notification of aircraft accidents and aircraft incidents, except for emergency evacuations, which require FAA Form 8020-11, Incident Report. If requested by the FSDO, the Litigation Liaison Office, service center, Flight Service Program Office, or Safety Investigations and Evaluations, FAA Form 8020-11 will also be completed for selected aircraft incidents. e. FAA Form 8020-11, Incident Report; FAA Form 8020-17, Preliminary Pilot Deviation Report; FAA Form 8020-21; Preliminary Near Midair Collision Report; and FAA Form 8020-24, Preliminary Vehicle or Pedestrian Deviation Report, are to be used to report air traffic incidents (see paragraph 110 for description of air traffic incidents and appendix A for copies of the forms). 61. FAA Contract Facilities (FCF) Unless indicated in the following paragraphs or specifically directed by the FAA Acciden