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ORDER OF THE MINISTER OF INVESTMENTS AND DEVELOPMENT OF THE REPUBLIC OF KAZAKHSTAN

of July 27, 2017 No. 505

About approval of Rules of data presentation and investigation of aviation incidents and incidents in civil and experimental aviation

(as amended on 26-04-2023)

According to Item 7 of Article 92-1 and with Item 3 of article 93 of the Law of the Republic of Kazakhstan "About use of airspace of the Republic of Kazakhstan and activities of aircraft" PRIKAZYVAYU:

1. Approve the enclosed Rules of data presentation and investigation of aviation incidents and incidents in civil and experimental aviation.

2. To provide to department on investigation of transport incidents and incidents of the Ministry for Investments and Development of the Republic of Kazakhstan:

1) state registration of this order in the Ministry of Justice of the Republic of Kazakhstan;

2) within ten calendar days from the date of state registration of this order the direction it the copy on paper and electronically in the Kazakh and Russian languages in the Republican state company on the right of economic maintaining "The republican center of legal information" for official publication and inclusion in Reference control bank of regulatory legal acts of the Republic of Kazakhstan;

3) within ten calendar days after state registration of this order the direction it the copy on official publication in periodic printed publicity materials;

4) placement of this order on Internet resource of the Ministry for Investments and Development of the Republic of Kazakhstan;

5) within ten working days after state registration of this order in the Ministry of Justice of the Republic of Kazakhstan submission to Legal department of the Ministry for Investments and Development of the Republic of Kazakhstan of data on execution of actions, according to subitems 1), 2), 3) and 4) this Item.

3. To impose control of execution of this order on the supervising vice-minister of investments and development of the Republic of Kazakhstan.

4. This order becomes effective after ten calendar days after day of its first official publication.

Minister of investments and development of the Republic of Kazakhstan

Zh. Kasymbek

It is approved

 Attorney-General of the Republic of Kazakhstan

August 9, 2017

 

____________________ Zh. Asanov

It is approved

Minister of Foreign Affairs of the Republic of Kazakhstan

"___" ______________ 2017

 

____________________ K. Abdrakhmanov

It is approved

Chairman of Committee of homeland security of the Republic of Kazakhstan

"___" ______________ 2017

 

____________________ K. Masimov

It is approved

Minister of Internal Affairs of the Republic of Kazakhstan

"___" ______________ 2017

 

____________________ K. Kasymov

Approved by the Order of the Minister of investments and development of the Republic of Kazakhstan of July 27, 2017 505

Rules of data presentation and investigation of aviation incidents and incidents in civil and experimental aviation

Chapter 1. General provisions

1. These rules of data presentation and investigation of aviation incidents and incidents in civil and experimental aviation (further – Rules) are developed according to Item 7 of Article 92-1 and with Item 3 of article 93 of the Law of the Republic of Kazakhstan "About use of airspace of the Republic of Kazakhstan and activities of aircraft", and also standards and recommended practice of International Civil Aviation Organization (further – ICAO), determine procedure for conducting investigation of aviation incidents and incidents in civil and experimental aviation, and also requirements to system of data presentation about aviation events.

2. The single purpose of investigation of aviation incident or incident is prevention of aviation incidents and incidents in the future. The purpose of these activities is not establishment of share of someone's fault or responsibility.

3. Aviation incidents and incidents with the air vehicles of civil and experimental aviation registered in the State register of civil air vehicles of the Republic of Kazakhstan are investigated by the Commission on investigation of aviation incidents and incidents created by authority on investigation of authorized body in the field of civil aviation (further – the Commission).

Separate types of incidents which list is established by these rules are independently investigated by operators (civil aviation organizations) within safety management systems of flights. Such investigations are made according to the decision of authorized body in the field of civil aviation according to the procedure and the terms established by these rules. On investigation completion the final report is submitted operators (civil aviation organizations) in authority on investigation of authorized body in the field of civil aviation and authorized organization in the field of civil aviation.

The commission on investigation of aviation incident or incident is guided by the principles of objectivity and impartiality in case of the made investigation. For the purpose of independence of investigation the commission on investigation of aviation incident or incident is created taking into account exception of conflict of interest.

The commissions, according to the standards and recommendations stated in Annex 13 to the Convention on International Civil Aviation Organization (further – Appendix 13 to the Convention ICAO), independence in conducting investigation is provided.

Under the organization of investigations intervention in activities of the commission on investigation of aviation incidents or incidents from physical and (or) legal entities, other state bodies is not allowed, except the cases which are directly provided by the laws of the Republic of Kazakhstan. Access to all physical evidences is provided to the commission under the organization of investigations of aviation incidents and incidents without delay.

4. If with the air vehicle of civil aviation which is registered in the State register of civil air vehicles of the Republic of Kazakhstan or his operator is the physical person or legal entity of the Republic of Kazakhstan, there was aviation incident or incident in the territory of foreign state, the authorized body in the field of civil aviation performs actions according to standards and recommended practice of ICAO and these rules.

5. The terms and determinations used in these rules:

1) airline - the legal entity having the air operator certificate of civil air vehicles;

2) the promoting factors - actions, failure to act, circumstances, conditions or their combination, elimination, prevention or lack of which would reduce probability of aviation incident or incident or would weaken weight of effects of this aviation incident or incident. Determination of the promoting factors does not assume assignment of fault or establishment of administrative, civil or criminal liability;

3) aviation fatal accident (catastrophic crash) - the aviation incident which led to death or loss without message of any of passengers or crew members.

Cases of death any of persons which are onboard in the course of emergency evacuation from the air vehicle also belong to catastrophic crashes;

4) aviation non-fatality accident (accident) - the aviation incident which did not entail the human victims or loss without message any of passengers or crew members;

5) aviation incident the aviation event connected with use of the civil air vehicle with intention to make flight which, in case of the piloting aircraft, takes place since the moment when any person entered aboard with intention to make flight, to the moment when all being onboard person for the purpose of making of flight left the air vehicle or in case of the drone aircraft is recognized civil (experimental) aviation takes place since the moment when the air vehicle is ready to begin movement with the purpose to make flight, until its stop at the end of flight and switching off of the fundamental power unit, and during which:

any face sustains bodily harm from the death or severe harm to health, and also average weight harm to health as a result of stay in this air vehicle, direct contact with any part of the air vehicle, including the parts separated this air vehicle, direct impact of stream of gases of the jet engine unless bodily harms are sustained as a result of the natural reasons, are put to themselves or put with other persons or when bodily harms are put to the stowaway passengers disappearing out of zones where access to passengers and crew members is usually open;

the air vehicle sustains damage or there is destruction of its design therefore structural strength is broken, technical or flight characteristics of the air vehicle worsen, extensive repair or replacement of the damaged element, except as specified is required:

refusal or engine damage when only one engine, its cowls or accessories is damaged;

damages only air screws, blades of rotor, blades of tail rotor, not load-bearing elements of glider, fairing, wings tip, antennas, sensors, blades, pnevmatik, braking devices, windshields, wheels or when chassis, panels of landing gear door are slightly damaged or when in covering there are small dents or holes, including the minor damages caused by hail or collision with birds (including holes in radome);

the air vehicle is missing or it appears in such place where access to it is absolutely impossible.

6) civil aviation organization - the legal entity performing activities in the field of civil aviation

7) authorized body in the field of civil aviation - the central actuator performing management in the field of use of airspace of the Republic of Kazakhstan and activities of civil and experimental aviation;

7-1) aviation event – any event connected with use of the air vehicle, providing and flight execution at any stage and also maintenance or its storage;

8) serious bodily harm - event during which to person, harm is done heavy or to average weight to health, and which:

requires hospitalization more than for 48 hours within seven days from the moment of receipt of damage;

led to fracture of any bone (except for simple fractures of fingers of hands, legs or nose), to dislocations in large joints of extremities and vertebras or to squeezing of soft fabrics with crush syndrome;

it is connected with the gaps of biological fabrics causing severe bleeding, damage of nervous trunks, muscles or sinews;

led to damage of any internal body;

it is connected with receipt of thermal, chemical and other burns of the second and third degree irrespective of the area of defeat, or any burns affecting more than 5% of surface of body;

it is connected with the confirmed fact of impact of infectious substances or the striking radiation;

9) the state of developer - the state having jurisdiction concerning the organization responsible for design of aircraft type;

10) the air vehicle - the device supported in the atmosphere due to its interaction with air excepting interaction with the air reflected from earth's (water) surface;

11) aircraft flight - movement of the air vehicle on earth's (water) surface and in airspace from start of take-off run in case of take-off (separation from terrestrial or surface of the water in case of vertical take-off) before the end of run (release of landing strip without stopping) or contacts of earth's (water) surface in case of vertical landing;

12) the maximum certified aircraft gross weight - the maximum allowable takeoff weight of the air vehicle specified in the certificate of type or flight manual of the civil air vehicle;

13) airborne recorder (FDR, CVR) – any recording instrument established onboard the air vehicle as additional source, data for conducting investigation of aviation incident or incident;

14) serious incident - incident which circumstances are specified the high probability of aviation incident taking place in connection with use of the air vehicle which, in case of the piloting aircraft, occurs since the moment when any face is raised aboard the air vehicle with intention to make flight, to the moment when all being onboard person left the air vehicle, or, in case of the drone aircraft, occurs since the moment when the air vehicle is ready to move out from the place with the purpose to make flight, until its stop at the end of flight and switching off of the fundamental power unit;

15) the state manufacturer - the state having jurisdiction concerning the organization responsible for final assembly of the air vehicle, engine or air screw;

16) incident - any event, except the aviation incident connected with use of the air vehicle which influences or could affect safety of operation;

17) the recommendation about safety control - the offer of authority on investigation, made on the basis of information obtained in case of investigation for the purpose of prevention of aviation incidents or incidents which under no circumstances does not set as the purpose determination of fault or responsibility for aviation incident or incident. In addition to the recommendations about safety control following from results of investigation of aviation incidents and incidents, recommendations about safety control can follow from different sources, including researches on safety-of-life function;

18) the adviser - person designated by authorized body in the field of civil aviation owing to availability at it the corresponding qualification for assistance to the authorized representative of this state in investigation;

19) the state of the place of event - the state in the territory of which aviation incident or incident took place;

20) the operator - the physical person or legal entity which is engaged in operation of civil air vehicles or offering the services in this area;

21) the state of the operator - the state in which there is the main place of activities of the operator or if the operator does not take such place of activities, the permanent place of stay of the operator;

22) the reasons - actions, failure to act, circumstances, conditions or their combination which led to aviation incident or incident. Determination of the reasons does not assume assignment of fault or establishment of administrative, civil or criminal liability;

23) investigation - the process which is carried out for the purpose of prevention of aviation incident or incident which includes collection and information analysis, preparation of the conclusions, including establishment of its reasons and/or concurrent factors, and development of recommendations about safety control;

23-1) taxonomy of ADREP (Accident/Incident data reporting) – the classification system of aviation events which is part of the ICAO system on data presentation about aviation incidents and incidents, the code of the attributes and related values allowing to carry out the analysis of tendencies in the field of aviation safety on these events;

24) field stage of investigation - period of time from the moment of the beginning of works of the Commission on site aviation incident or incident till the moment when works on site of incident or incident are stopped;

25) authority on investigation - the structural division of authorized body in the field of civil aviation performing activities both responsible for the organization and conducting investigation of aviation incidents and incidents;

26) State of Registry - the state in which register the air vehicle is entered;

27) the representative for investigation – the service employee of authority on investigation who had initial training to whom the organization and conducting investigations of aviation incidents and incidents in the field of civil aviation as a part of the commission on investigation of aviation incident or incident are charged;

28) the authorized representative – person designated by authority on investigation owing to availability at it the corresponding qualification for participation in the investigation conducted by other state;

29) the factual protocol – set of supporting documents and protocols where the facts, conditions and circumstances revealed during the investigation are stated.

Chapter 2. Procedure for conducting investigation of aviation incident in civil and experimental aviation

Paragraph 1. Notification on aviation incident

6. Bodies of servicing, in case of manned radio communication failure or loss of mark of the air vehicle in radar scope, transfer by air traffic to Committee of civil aviation of the Ministry for Investments and Development of the Republic of Kazakhstan (further - Committee) and authority on investigation the message on the incident according to the scheme of the notification about aviation incidents and incidents.

7. The operator of the air vehicle which was injured aviation incident no later than 24 hours sends the notification through system of obligatory data presentation on aviation events to Committee and authority on investigation, and also to authorized organization in the field of civil aviation.

The notification contains information:

1) about type of aviation incident;

2) classification of aviation incident (according to ADREP ICAO taxonomy);

3) about the manufacturer, model, assignment, national and registration signs and serial number of the air vehicle;

4) about the maximum aircraft gross weight;

5) about meteocondition at the time of aviation incident;

6) about the name of the owner, operator and/or lessee of the air vehicle;

7) surname of the aircraft commander and crew members;

8) about qualifications of the aircraft commander and nationality of crew members and passengers;

9) about date and time (local time or world-wide coordinated (further – UTC) aviation incident;

10) about the last point of departure and the planned Item of landing of the air vehicle;

11) provision of the air vehicle concerning any easily determined geographical Item, with indication of the width and longitude;

12) the number of crew members and passengers onboard – died and sustained serious bodily harms;

13) the number of the crew members and passengers who received serious bodily harms on the earth;

14) the description of aviation incident and damage rate of the air vehicle as far as it is known;

15) about physical characteristics of the area of aviation incident, and also information on difficulties with access to it or the special requirements concerning arrival on occurrence location;

16) availability and the description of dangerous goods onboard the air vehicle.

8. The authorized body in the field of civil aviation directs the notification on aviation incident with the minimum delay by means of the most convenient and bystry communicating device:

1) to State of Registry;

2) to the state of the operator;

3) to the state of developer;

4) to the state manufacturer;

5) ICAO if the maximum mass of the corresponding air vehicle exceeds 2250 kg or it is the turbo jet aircraft;

6) (further - IAC) if the Republic of Kazakhstan as the state of the place of event, has no information on event, respectively State of Registry or the state of the operator sends the notification on such event to the Interstate Aviation Committee to the state of developer, the state manufacturer and the state of the place of event.

9. In case of aviation incident with the air vehicle of the foreign state which occurred in the territory of the Republic of Kazakhstan, the authorized body in the field of civil aviation transfers the notification to representation of the operator, and also to the Ministry of Foreign Affairs of the Republic of Kazakhstan (further - the MFA of RK) which through diplomatic channels notifies State of Registry and the state of the operator.

10. The notification on aviation incident with the air vehicle of the Republic of Kazakhstan, occurred in the territory of foreign state, is notified by the aviation authorities of the state of the place of event according to Appendix 13 to the Convention ICAO, and also representation of the operator (owner) of the air vehicle through foreign institutions of the Republic of Kazakhstan.

11. The authorized body in the field of civil aviation notifies the states which show particular interest in aviation incident owing to the fact that among the dead or received heavy bodily harms there are citizens of this state, and also grants permission to these states to appoint experts who would have the right to give help and to be involved in investigation.

The notification is constituted in one of working languages of ICAO taking into account the language used by the receiver (receivers) if it does not cause excessive delay of information.

Paragraph 2. Organization of investigation of aviation incidents

12. Investigation of aviation incidents with air vehicles of civil and experimental aviation of the Republic of Kazakhstan, is assigned to the Commission.

13. For forming of structure of the Commission the authority by investigation sends inquiries to civil aviation organizations and state bodies which within three days from the moment of receipt of request present candidacies for inclusion in structure of the Commission.

14. At field stage of investigation from the moment of the beginning of works until the termination and in case of collection of the actual information the Commission coordinates the actions with representatives of the Ministry of Internal Affairs of the Republic of Kazakhstan (further - the Ministry of Internal Affairs of RK).

15. Members of the commission have the right:

1) to provide easy access to the place of aviation incident of the air vehicle and to (fragments) which are on it fragments and control of them;

2) to inspect the air vehicle after aviation incident, its constituents, the property which is onboard the air vehicle, irrespective of accessory of this property, and also means and objects of flight servicing of air vehicles;

To attract 3) to the solution of the tasks requiring knowledge in the respective areas of science and technology, employees of the organizations irrespective of their forms of business and patterns of ownership;

4) to interview eyewitnesses of aviation incident, persons who have or can be related to aviation incident, obtain necessary information from law enforcement agencies;

5) to study all questions concerning development, testing, production, operation and repair of the air vehicle which was injured aviation incident, and also questions of training of persons from among aeronautical personnel, air traffic management, accomplishment and flight servicing of air vehicles;

6) to participate in reading and disaggregation of records of onboard devices of registration of flight data (further - BUR);

7) to request and receive from state bodies, and also from physical persons and legal entities documents and materials on the questions connected with aviation incident;

8) to conduct researches of psychophysiological condition of crew members after approach of aviation incident with the air vehicle,

and also the corresponding persons from among aeronautical personnel.

The faces which are not tied with investigation process accomplishment are not allowed to reading and disaggregation of records DRILLS, and also use of information of the records DRILLS for the purpose of which are not relating to investigation of aviation incident is not allowed.

Powers of the Commission on investigation of aviation incident or incident in civil and experimental aviation are provided in appendix 1 to these rules.

16. Investigation of the aviation incident with the civil air vehicle of the Republic of Kazakhstan which happened in the territory of foreign state is conducted by authority on investigation of the state of the place of event, according to the legislation of this state. According to Appendix 13 to the Convention ICAO, the Republic of Kazakhstan appoints the authorized representative for participation in investigation. For the aid to the authorized representative the adviser (advisers) can be appointed.

17. On decision making about members of group of the specialists involved to investigation the adequate notice through the MFA of RK goes to the state in the territory of which there was aviation incident.

18. The operator (owner) of the air vehicle who is in the state of the place of event renders every possible assistance to group of specialists in investigation, including in transportation supply, communication, power supply, rooms for work and rest.

19. Authorized representatives and advisers in coordination with the commission chairman of the state of the place of aviation incident:

1) visit the place of aviation incident;

2) is inspected by the air vehicle or its parts;

3) obtain information containing testimonies of witnesses and offer scope of their poll;

4) get access to relevant physical evidences;

5) is received by relevant documents;

6) participate in reading of records of flight information;

7) participate in actions for investigation outside the place of aviation incident, such as survey and researches of aggregates, technical consultations, testing and modeling for the purpose of investigation;

8) participate in meetings about investigation, including the discussions connected with information analysis, formulations of conclusions, the reasons, the promoting factors and recommendations about safety;

9) make statements concerning different aspects of investigation.

20. The authorized representative and advisers provide to the state making investigation, all relevant information which is available for them and cannot distribute information on the course and results of investigation without the consent of the state making investigation.

21. If the intergovernmental agreement about air service establishes other rules of investigation of aviation incident, then the rules established by the agreement are applied.

22. In case of the aviation incident with the air vehicle of the Republic of Kazakhstan which happened in the territory of foreign state which is not the contracting state such state can transfer entirely or partially conducting investigation to the Republic of Kazakhstan according to the mutual arrangement. The Republic of Kazakhstan directs confirmation to this state about the participation in investigation. Investigation is made according to these rules. At the same time the state of the place of event can use all means for rendering assistance to conducting investigation.

23. If it is impossible to determine definitely that the place of aviation incident with the air vehicle of the Republic of Kazakhstan is in the territory of any state, in this case the Republic of Kazakhstan makes investigation of aviation incident independently, or can transfer entirely or partially conducting investigation to other state according to the mutual arrangement.

24. The aviation incident or incident which happened to the foreign air vehicle in the territory of the Republic of Kazakhstan are subject to investigation of authorized bodies by the commissions in spheres of aircraft or by mutual consent are investigated by foreign state of country of incorporation of the air vehicle (operator).

25. States of Registry, the operator, the developer, the manufacturer of the air vehicle can appoint the authorized representatives and advisers for participation in investigation.

Other interested states can appoint experts for participation in investigation. Authorized representatives of foreign states, their advisers and experts, as a rule, are not part of the Commission.

26. In case of transfer of investigation of aviation incident to the state of the operator or to State of Registry of the air vehicle, the Republic of Kazakhstan appoints the authorized representative for participation in investigation.

27. The authority on investigation if necessary appeals to IAC or to any state of assistance and assistance in investigation, including the direction of specialists for participation in investigation, and also in rendering assistance in disaggregation of means of objective control (FDR, CVR).

27-1. In case of investigation of aviation fatal accidents, authority on investigation conducting investigation is delegated fully or partially to IAC. At the same time the IAC makes investigation of aviation fatal accident on the basis of the national legal system, and the authority on investigation appoints the authorized representative for participation in investigation.

28. If from States of Registry, the operator, the developer or the manufacturer the request for that the air vehicle remained untouched before survey by the authorized representative of the state which addressed with this request, then all necessary measures for accomplishment of such request as far as it is almost feasible are taken arrived.

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