Source: https://www.federalregister.gov/articles/2014/08/12/2014-18921/investigation-procedures
Timestamp: 2015-07-01 17:00:10
Document Index: 434207974

Matched Legal Cases: ['art 831', 'art 831', 'art 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', 'art 845', '§ 831', 'art 831', '§ 831', 'art 831', 'art 831', 'art 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', 'art 850', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 821', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 800', '§ 800', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 1114', '§ 1114', 'art 801', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', 'art 840', 'art 850', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', '§ 831', '§ 831', '§ 831', 'art 850', '§ 831', '§ 831', '§ 831', 'art 850', 'art 850', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', 'art 831', '§ 831', 'art 831', 'ART 831', 'art 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 800', '§ 831', '§ 831', '§ 831', '§ 831', '§ 821', '§ 831', '§ 801', '§ 831', '§ 800', '§ 831', '§ 831', '§ 845', '§ 801', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 830', '§ 830', '§ 830', '§ 831', '§ 830', '§ 831', '§ 801', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', '§ 831', 'art 831', 'art 831', 'art 831', '§ 831', '§ 831', '§ 1154', '§ 831', '§ 831']

A Proposed Rule by the National Transportation Safety Board on
Dates: Comments must be received by October 14, 2014. Comments received after the deadline will be considered to the extent possible.
-47081 (18 pages)
Shorter URL: https://federalregister.gov/a/2014-18921 Related Topics
Investigation Procedures 1 action from January 2015 January 2015
Section 831.1Applicability of Part
Section 831.2Responsibility of NTSB
Section 831.3Authority of Directors
Section 831.4Nature of Investigation
Section 831.5Priority of NTSB Investigations
Section 831.6Request to Withhold Information
Section 831.7Witness Interviews
Section 831.8Investigator-in-Charge
Section 831.9Authority of NTSB Representatives
Section 831.10Autopsies and Postmortem Testing
Section 831.11Parties to the Investigation
Section 831.12Access to and release of wreckage, records, mail and cargo
Section 831.13Flow and Dissemination of Investigative Information
Section 831.14Proposed Findings
Section 831.20Responsibility of NTSB in Aviation Investigations
Section 831.21Authority of NTSB Representatives in Aviation Investigations
Section 831.22Other Government Agencies and NTSB Aviation Investigations
Section 831.23International Aviation Investigations
Section 831.30Responsibility of NTSB in Highway Investigations
Section 831.31Authority of NTSB Representatives in Highway Investigations
Section 831.40Responsibility of NTSB in Railroad, Pipeline, and Hazardous Materials Investigations
Section 831.41Authority of NTSB Representatives in Railroad, Pipeline, and Hazardous Materials Investigations
Section 831.50Responsibility of NTSB in Marine Investigations
Section 831.51Authority of NTSB Representatives in Marine Investigations
CERTIFICATION OF PARTY REPRESENTATIVE1
The NTSB received five comments in response to its June 25, 2012 notice describing its planned review of 49 CFR part 831. Organizations in the transportation industry whose members have previously participated in NTSB investigations as “parties” pursuant to part 831 submitted comments: The Air Line Pilots Association, International; Airlines for America (A4A); the Transportation Trades Department, AFL-CIO; GE Aviation; and six railroad labor organizations, which submitted a joint comment.1
The comments generally support the NTSB's party process, and made no specific substantive suggestions. The only comment that contained specific suggestions for substantive changes was the comment A4A submitted. We will address A4A's specific suggestions in turn in subsections II. and III.
A4A suggested several changes to various sections within part 831. In particular, A4A suggested the NTSB change § 831.6 to strengthen the protections from disclosure that the NTSB provides to submitters of voluntary safety-related information, such as information gathered through the Federal Aviation Administration (FAA)-NTSB Aviation Safety Information and Analysis Sharing System program.
A4A also stated witnesses whom the NTSB interview during investigations often must choose between having an attorney or a union official represent them. Therefore, A4A suggested the NTSB amend § 831.7 to allow a witness to have up to two representatives. In addition, regarding section 831.12 and access to information, the comment contained a lengthy description of how the NTSB might consider gaining access to new cockpit voice recorder (CVR) or Flight Data Recorder (FDR) recordings by remotely downloading the data from the devices, rather than removing the physical devices from each aircraft to read the data on them. A4A also suggested the NTSB establish “a firm deadline” for returning the physical devices to the air carrier. Regarding section 831.13 and dissemination of information concerning investigations, A4A suggested the NTSB clarify the term “information concerning an accident,” and consider implementing exceptions to the prohibition on disseminating information from an investigation by allowing such dissemination when necessary “to locate, review and evaluate information that may be related to the accident or requested by the NTSB,” to “prepare witnesses,” or to “share critical safety information” within the party's organization. Concerning this issue of sharing information from an NTSB investigation, A4A also stated, “[t]he concept that all such information is restricted to the Party Coordinator and group participants is impractical and can impede the investigative goals of the Board.” Finally, A4A suggested the NTSB provide parties an advance copy of analytical documents, but not proposed probable cause findings, “so that erroneous or incomplete factual conclusions can be pointed out and corrected in advance of the Sunshine Meeting.” A4A included this suggestion under § 831.14, which sets forth requirements for parties' submission of proposed findings of accident investigations.
III. Changes and Additions Back to Top
The NTSB proposes to reorganize part 831 because this part currently contains some sections that apply only to aviation accident and incident investigations and other sections that apply to investigations of transportation events that occur in the surface, rail, marine, and pipeline modes or involve the movement of hazardous materials. By including terms such as “crash,” “transportation event,” “collision,” “casualty,” “mishap,” and the like in lieu of the term “accident” in some places in the preamble's description of this part, and in some proposed sections of regulatory text, the NTSB provides additional descriptive terms of transportation events that it investigates in order to improve transportation safety. The NTSB proposes including other terms in the mode-specific subparts, as appropriate. As discussed below in the summary regarding proposed changes to § 831.1, the NTSB's inclusion of these terms is not exhaustive and does not serve as an expansion or a limitation on the NTSB's authority to investigate accidents and incidents.
The NTSB proposes amending § 831.1 to include an updated statute citation and to delete the second sentence, which states, “[r]ules applicable to accident hearings and reports are set forth in Part 845.” The NTSB believes this sentence is unnecessary. In addition, the NTSB proposes changing the first sentence, which currently references the “Independent Safety Board Act of 1974” and the “Federal Aviation Act of 1958” to read “49 U.S.C. 1101-1155.” The two Acts referenced in the current version of § 831.1 have been amended several times and codified in various locations in title 49 of the United States Code. In addition, these two Acts, as well as many other transportation-related statutes were repealed and recodified without any substantive changes as part of the recodification of title 49 of the United States Code in 1994. 103, section 7(b). The NTSB has broad authority within 49 U.S.C. 1101-1155 to conduct investigations; therefore, the NTSB believes the citation to 49 U.S.C. 1101-1155 appropriately identifies the source of the NTSB's authority for part 831.
In § 831.1, the NTSB proposes including a listing of transportation events, the investigation of which the NTSB conducts under the provisions of 49 CFR part 831. The NTSB's proposal in this regard reflects the NTSB's effort to incorporate terms commonly used in each modal industry, such as derailment or casualty. The NTSB remains cognizant of its authority as defined in part by the word “accident” in 49 U.S.C. 1101, which states that the term `accident' includes damage to or destruction of vehicles regardless of whether the initiating event is accidental or otherwise. However, various stakeholders describe transportation events with different terminology. Our use of the term “event” in subpart A, and of other terms in subparts B-E, reflects the NTSB's use of a general descriptor.
As described above, the NTSB proposes reorganizing part 831, to include a subpart that pertains to all modes of transportation subject to NTSB investigative jurisdiction (Subpart A) and mode-specific subparts (Subparts B, C, D, and E). The NTSB proposes moving the aviation-specific portions of part 831 from § 831.2 to subpart B. Therefore, the NTSB proposes non-substantive formatting changes to § 831.2 that are consistent with the proposed reorganization of part 831. For example, proposed §§ 831.30, 831.31, 831.40, 831.41, 831.50, and 831.51 are all derived from the current version of § 831.2.
The NTSB seeks to amend this section to explain in more detail its current practice of investigating transportation events. The NTSB's procedures concerning investigations have been modified over time, particularly in the commercial airline industry where events commonly require agency staff to make detailed inquiries to obtain information concerning passengers', crews', and other individuals' injuries and/or damage to property to determine whether the event is an accident or incident. The NTSB also engages in a process for determining the appropriate level of investigation of transportation events in other transportation modes. In general, the NTSB first collects preliminary information immediately following an event to determine whether: i. The event meets the criteria of a transportation event; ii. the NTSB will conduct a formal investigation, complete with visit(s) to the site of the event; iii. the NTSB will collect information remotely; or (iv) in some cases, close the inquiry without making a probable cause determination. As a result, the NTSB proposes new paragraph (a), titled “General,” and paragraph (b), titled “Phases of investigation.” The NTSB also proposes dividing paragraph (b) into two paragraphs: (1) Preliminary investigation, and (2) formal investigation. With regard to paragraph (a), the NTSB proposes text containing some technical edits, as well as the phrase “causes investigations to be conducted,” because the NTSB requests the FAA gather information or evidence on its behalf following certain aviation events. Likewise, the NTSB's relationship with the U.S. Coast Guard in accordance with 49 U.S.C. 1131(a)(1)(E), 49 CFR part 850, and its memorandum of understanding with the Coast Guard regarding investigations, provide that the Coast Guard may conduct certain investigative activities for the NTSB, upon request.
The NTSB proposes retaining other text in § 831.4 as part of the new paragraph (b) within § 831.4. This paragraph describes the phases of an NTSB investigation. The NTSB tailors each investigation to accomplish effectively and efficiently the objective of improving transportation safety.
In a formal investigation, the NTSB will proceed by gathering the facts to determine the probable cause of the transportation event. Once the NTSB determines a formal investigation is warranted, it will engage in fact-finding as described in the proposed language of § 831.4(b). Most of the language in paragraph (b) originates from the existing version of § 831.4. This paragraph states the NTSB may conduct an on-scene investigation, in which NTSB employee(s) visit the site, interview witnesses, conduct testing, extract data, collect documentation, and engage in any other activities that would assist the NTSB in gathering all discoverable facts relevant to the investigation. The NTSB proposes adding the phrase “extract data” to the sentence describing the NTSB's field investigation. Data recovery is often a critical component of investigations, and the NTSB frequently expends resources to download or extract data from recorders or devices that provide important information. The NTSB also proposes adding the phrases “interview witnesses” and “gather documentation” to this list, as both activities are often critical to conducting an investigation. Although the list in this regulatory text is not exhaustive, the NTSB believes these additions would be beneficial.
In addition, the NTSB proposes to retain language for paragraph (3) to note that its investigations are not for the purpose of determining liability. The proposed language is derived from language that currently exists in § 831.4, which states the Administrative Procedure Act does not apply to NTSB investigations, as they are solely fact-finding proceedings with no adverse parties. The NTSB also proposes removing the phrase, “no formal issues” because the meaning of this phrase is unclear; it is not a legal term of art, nor is it used in other regulations or the Administrative Procedure Act. The NTSB understands non-NTSB investigations for purposes of litigation, and litigation itself, often commence soon after the event occurs. The NTSB also remains aware of parties' and witnesses' interests, and is cognizant of attorneys' desire to take part in various aspects of the NTSB investigation. In this regard, the NTSB encourages attorneys to contact the NTSB Office of General Counsel when seeking information about an NTSB investigation. Coordinating with the NTSB Office of General Counsel will ensure agency investigators can remain focused on the agency's statutory obligation to investigate an event, rather than other interests arising from the transportation event.
The NTSB proposes amending § 831.5, titled “Priority of NTSB investigations,” by reorganizing the section into two paragraphs and by altering language. The NTSB proposes amendments to the existing text to achieve two objectives. First, the amendments provide a better organizational structure. Second, the amendments specifically address situations in which other regulatory and enforcement agencies seek to interview and gather evidence to take administrative or other action. The amendments balance the need for the NTSB to conduct its investigative activities in a manner that permits other agencies to fulfill their statutory mandates.
The NTSB has carefully considered the existing text, and proposes amendments to ensure other Federal agencies are aware of the NTSB's role as the Federal agency with priority over other investigations of transportation events. Consequently, the NTSB proposes the language, under the title “Priority of NTSB investigations” in § 831.5.
As indicated in both the existing and proposed language for § 831.5, the NTSB is fully aware other agencies (both Federal, state, and local) have other statutory responsibilities, such as rulemaking and enforcement. The NTSB does not seek to inhibit enforcement actions; however, the NTSB must be able to direct its investigations. Consistent with the language in the NTSB's enabling statute
concerning other federal agencies, the NTSB must ensure these agencies are aware the NTSB's investigation has priority. For this reason, the NTSB proposes language in § 831.5 to indicate other Federal agencies must conduct their work in a manner that recognizes the priority of the NTSB investigation. The NTSB believes the best way to accomplish this is for the employees of other Federal agencies who are involved in an investigation to contact the NTSB investigator-in-charge (IIC) prior to questioning a witness, gathering records or documents, or otherwise obtaining any type of information relevant to the non-NTSB investigation.
The NTSB, as discussed in the preamble concerning § 831.13, below, proposes that parties to an NTSB investigation must inform the NTSB of any safety-related actions (either preventative or remedial) they will take as a result of any information that becomes available during an NTSB investigation. The NTSB must remain aware of the actions another agency or organization is taking as a result of the information gathered during the course of the investigation. The NTSB believes such openness will ensure it remains fully informed of corrective actions and how those actions could affect the NTSB's activities and findings. The NTSB does not wish to impede enforcement or corrective action, but seeks to remain aware of the effects of other organizations' participation, and to ensure their involvement does not impair the NTSB investigation.
The NTSB also proposes language in § 831.5(a)(3) and (4), to ensure the NTSB is fully cognizant of all information pertinent to an investigation. Priority over other investigations means the NTSB must obtain evidence (including, but not limited to, records that predate the event, such as equipment maintenance records or operator training records, and statements from witnesses) in a timely manner. This first right of NTSB access to information is the best manner in which to ensure a complete, independent investigation, and applies to all organizations involved in the investigation. In amending this section, the NTSB seeks to ensure other agencies are aware the NTSB may request they delay collecting evidence or information until the NTSB approves of such collection. Similarly, NTSB investigations require party participants to assign relevant experts to NTSB investigations.
The NTSB proposes to make minor changes to § 831.6, titled “Request to withhold information.” First, the NTSB proposes adding the following two sentences after the “Trade Secrets Act” title in paragraph (a) of § 831.6: “This section applies to domestic matters. Information the NTSB receives concerning international aviation events is addressed in § 821.23 of this part.” The NTSB would not release information from an international investigation that the Trade Secrets Act protects.
The NTSB proposes re-codifying paragraph (a)(3) of § 831.6 as paragraph (b). The language of this paragraph would remain mostly unchanged. Within this paragraph the NTSB proposes slightly changing the description of “voluntarily-provided safety information” so the description will essentially duplicate the language of 49 U.S.C. 1114(b)(3).
The NTSB proposes codifying current paragraph 831.6(b), entitled “Other,” as § 831.6(c). The NTSB does not propose any substantive changes to paragraph (c).
As summarized above, A4A suggested in its comment responding to the NTSB's retrospective review notice that the NTSB strengthen the protections of § 831.6 “to facilitate future information exchange initiatives,” such as “the expected FAA-NTSB Aviation Safety Information and Analysis Sharing [ASIAS] System program.”
The NTSB is uncertain that it could withhold voluntarily provided information in response to a request under the FOIA, unless the NTSB had a statutory exemption permitting it to do so. For example, in protecting data obtained through Flight Operational Quality Assurance (FOQA) programs, the FAA relies on a statutory protection that protects from public disclosure reports data, and other information developed under the Aviation Safety Action Program, the FOQA Program, the Line Operations Safety Audit Program, information produced for purposes of developing and implementing a safety management system, and information prepared under the Aviation Safety Information Analysis and Sharing Program (or any successor program).
The NTSB believes including language in § 831.6 indicating the NTSB will not disclose voluntarily provided safety information relevant to a particular investigation would be contrary to the NTSB's enabling statute, which only prohibits the NTSB from disclosing “voluntarily provided safety-related information if that information is not related to the exercise of the Board's . . . investigation authority.” 49 U.S.C. 1114(b)(3)(emphasis added). Therefore, the NTSB currently does not propose altering § 831.6 to provide protections for voluntarily submitted information related to a specific investigation. The NTSB understands this topic is of keen interest to the transportation industry and other government agencies. As a result, the NTSB specifically invites comments on the issue of how the NTSB should handle the voluntary provision of transportation safety information. Section 831.7Witness Interviews
In the interest of clarity and consistency, the NTSB applies § 831.7 to situations in which a witness appears voluntarily for an interview, or in which the NTSB compels a witness to appear by issuing a subpoena. It is not unusual for witnesses to be represented in these situations and the NTSB is cognizant of litigation arising out of transportation events. In the event an attorney or other representative has questions concerning the NTSB's investigation or its pursuit of witness testimony, the attorney/representative should contact the NTSB Office of General Counsel.
The NTSB proposes changing the title of § 831.7 to “[w]itness interviews,” to describe this section in a more accurate manner.
The NTSB proposes these amendments for several reasons. First, some witnesses whom the NTSB seeks to interview have expressed their desire to be accompanied by more than one person. A4A recommended the NTSB change § 831.7 to allow more than one representative accompany each witness. In particular, A4A stated:
The designation of one witness representative, attorney or otherwise, does not recognize that witnesses are frequently both union members and employees of a party, with distinctly different duties and interests. This creates unnecessary conflict for a witness, since he or she has to choose between a union representative or an attorney. Increasing the permissible number of representatives to two would better protect a witness in the NTSB process.
The NTSB acknowledges NTSB investigators have indeed conducted interviews in which a witness seeks to have both a union representative and an attorney present during the interview. The NTSB, however, declines to propose changes to § 831.7 to allow for more than one representative per witness, for several reasons. The NTSB believes no more than one representative is reasonably necessary, to advise and provide support to the witness.
The NTSB also proposes adding a new paragraph (b) to § 831.7, to describe investigators' roles in overseeing interviews. This paragraph would clearly describe the interview as occurring under the supervision of the investigator, and would confirm the investigator has the authority to exclude a representative from the interview if the representative engages in disorderly conduct or is contumacious. The NTSB believes investigators are rarely confronted with such circumstances, but it is appropriate to propose this provision in § 831.7, to ensure representatives are aware NTSB investigators direct the course of interviews.
In addition, the NTSB proposes adding paragraph (c) to § 831.7, to clarify the NTSB will release transcripts or summaries of interviews and witnesses' and their representatives' names in records that appear in the NTSB public docket for an investigation, absent unusual or compelling circumstances. This determination concerning the existence of unusual or compelling circumstances is solely within the discretion of the NTSB. The NTSB believes the language it proposes in paragraph (c), therefore, confirms the NTSB has the discretion to withhold witnesses' names if circumstances merit such protection.
The NTSB proposes minimal changes to the text of § 831.8, which describes the duties of NTSB investigators-in-charge (IICs). However, the NTSB proposes organizing § 831.8 into paragraphs, and removing the parentheses from the sentence stating the role of a Board Member at the site of an investigation is as the official spokesperson for the NTSB. The NTSB believes these changes will allow for quick reference to specific provisions of the section, and will assist in the public's understanding of IICs' duties.
The NTSB also proposes including a reference to § 800.27 of the NTSB's rules, which provides IICs the authority to sign and issue subpoenas, administer oaths and affirmations, and take depositions (or cause them to be taken) in furtherance of an investigation. The NTSB believes referencing § 800.27 ensures the public and participants in NTSB investigations are aware of IICs' authority. In addition, the NTSB proposes removing the word “considerable” from the final sentence in § 831.8, which currently provides the IIC “continues to have considerable organizational and management responsibilities throughout later phases of the investigation, up to and including consideration and adoption of a report or brief of probable cause(s).” The NTSB does not believe the adjective “considerable” is necessary in this paragraph, and the inclusion of that term may imply the IIC does not have considerable responsibilities from the time the NTSB commences the investigation.
Section 831.9, currently titled “Authority of Board representatives,” discusses the NTSB's authority to enter property or wreckage and inspect, photograph, or copy any records or wreckage. Section 831.9 also discusses the NTSB's authority to issue subpoenas and conduct testing. The NTSB proposes changes to § 831.9, in the interest of making the section easier to understand. In general, the proposed revisions strive to convey clearly the following: (1) NTSB representatives have the authority to enter property and inspect, download, photograph, or retain items as necessary to the investigation; (2) the NTSB is authorized to obtain evidence, such as medical records or testimony, by issuing a subpoena; and (3) the NTSB has the authority to conduct and supervise testing of evidence, which includes tearing down tangible components and extracting data from equipment, and taking any further action necessary to obtain and preserve evidence.
The NTSB's authority to obtain information during the course of an investigation is broad. Title 49 U.S.C. 1134 authorizes any NTSB “officer or employee” to obtain information in furtherance of the investigation. In addition, 49 U.S.C. 1114(e) authorizes the NTSB to obtain drug test information, such as split samples. In this regard, the NTSB will work with manufacturers of devices to extract data to the extent obtaining such data is beneficial to the NTSB's investigation. For example, for many investigations, the NTSB now must extract data from wireless devices. The changes the NTSB proposes to § 831.9, therefore, accounts for advances in technology.
In this section, the NTSB proposes using the term authorized representative of the NTSB in lieu of “employee” because, on some occasions, the NTSB requests the assistance of the FAA, local law enforcement, or other party representatives to inspect or photograph the site of a transportation event, or collect evidence. Similarly, upon the approval of the IIC, the NTSB may utilize the assistance of other Federal agencies, such as the Coast Guard, the Federal Railroad Administration, the Pipeline and Hazardous Materials Safety Administration, or the Federal Motor Carrier Safety Administration, among other agencies. The NTSB maintains, in the initial phases of an investigation, employees of other Federal agencies who have arrived at the site of an event and begin to collect evidence on behalf of the NTSB are “authorized representatives” of the NTSB. Such conduct is consistent with the NTSB's party process, as more fully described below, in § 831.11.
Regarding the other portions of text in paragraphs (a)(1), (2), and (3), the proposed text is similar to the language in the existing version of § 831.9.
The NTSB proposes including the description of its subpoena authority in paragraph (b). The proposed text for paragraph (b) is identical to the current version of § 831.9, although paragraphs (1), (2), and (3) are new. These new provisions describe (1) the NTSB's authority to obtain medical records and specimens, and (2) the NTSB's status under the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law 104-91, as a “public health authority”
and (3) the NTSB's authority to obtain all other records necessary for an investigation, such as records from cell phones or other wireless devices, as well as credit card records. The NTSB often must issue subpoenas to obtain medical records from hospitals and other health care providers, and it relies on its status as a recognized “public health authority” to obtain such records. Including this terminology in § 831.9 will ensure hospitals and other providers who have medical records critical to an NTSB investigation are aware of the NTSB's status under the HIPAA. With regard to paragraph (3), the NTSB is committed to obtaining all information necessary for its investigations, including records from wireless devices, credit cards, and the like. The NTSB obtains and analyzes such records only when necessary, and conducts such analysis in the least intrusive manner. The NTSB acknowledges the potential confidentiality issues associated with such records and, in general, works with the providers of such records before contemplating any public release of any portion of such a record.
Finally, the NTSB proposes including paragraph (c) in § 831.9 to describe the NTSB's authority to conduct tests and examine evidence, which includes the extraction of data from recorders or equipment. Most of the language in the proposed version of § 831.9(c) is similar to the current version of the final two sentences in § 831.9(a), which is based on the NTSB's statute, at 49 U.S.C. 1134(d). The only term the NTSB added to the proposed version of paragraph (c)(1) is “extraction of data.” With the increasing prevalence of recording devices in daily life, the NTSB often encounters recorders associated with accidents which require downloading to reveal useful data during an investigation. The NTSB proposes the addition of this term because, with recent advances in technology and personal use thereof, the NTSB's investigations often require the downloading or other retrieval of data from recorders or other equipment.
The NTSB recognizes a party may need access to a recorder or equipment. The NTSB will return such items to their owners, once the NTSB investigation no longer requires the NTSB's possession of the devices. However, as described above in reference to proposed § 831.5(a)(3) and (4), once an investigation commences, the NTSB maintains priority and will direct how and when the extraction of data should occur. Section 831.9(c), as proposed, articulates this concept.
Section 831.10, titled “Autopsies,” states NTSB investigators are authorized to obtain copies of autopsy reports or order an autopsy, while observing local law protecting religious beliefs. The NTSB proposes amending this section to address postmortem testing results, which the NTSB frequently needs for the purposes of assessing whether a deceased operator consumed drugs or alcohol prior to a transportation event. Specifically, the NTSB proposes changing the title of 831.10 to “Autopsies and postmortem testing,” replacing the word “officials” with the word “authorities” in the first sentence, and referencing postmortem tests alongside autopsies in the text of § 831.10. When sufficient, the NTSB opts to request postmortem testing in lieu of a full autopsy. The NTSB understands autopsies are time-consuming and costly; therefore, the NTSB only requests an autopsy when the information from an autopsy is necessary to the investigation.
Section 831.11, titled “Parties to the investigation,” details the operation of the NTSB's process of designating parties when the agency undertakes an investigation. The NTSB proposes keeping the majority of the current text in § 831.11, although reorganizing it to add provisions bringing the description up-to-date and addressing issues that have arisen in certain investigations.
The NTSB proposes to title paragraph (a) “[p]articipants,” and include in it the existing text of § 831.11.
Concerning paragraph (a)(1), the NTSB notes no organization has a right to party status. The NTSB provides for participation of the FAA, pursuant to 49 U.S.C. 1132(c), when it is “necessary to carry out the duties and powers” of the FAA. As a matter of practice, the NTSB also often designates other Federal agencies to serve as parties. Additionally, in particularly complex investigations involving multiple parties, the NTSB organizes party representatives into groups arrayed by subject matter expertise, each with its own purpose of investigating a specific aspect of the event.
When the NTSB designates a particular organization as a party, the organization may ask that several employees of the organization be permitted to participate in each group. The NTSB will designate only qualified individuals who have expertise the NTSB determines is necessary to the investigation to participate in groups. The IIC ultimately has approval authority for each party participant and all group designees, and will assess which individuals should assist with the investigation as parties.
In addition, the NTSB proposes including the sentence, “[t]he party representatives proposed by party organizations to participate in the investigation should, to the extent practicable, be personnel who had no direct involvement in the event under investigation.” In some investigations, party participants either had some involvement in an event themselves, or had close ties to frontline employees involved in the event. The NTSB is concerned this could compromise the investigation, particularly in situations in which the NTSB is relying exclusively on that specific party for information. The proposed language clarifies party participants should be as independent as possible from the event. To the extent possible, this independence language would apply to FAA employees and representatives. The NTSB recognizes each investigation is different, and attempting to designate only party participants who have complete independence in some investigations may be an impossible goal. The NTSB proposes including the term “to the extent practicable” to provide adequate flexibility, while informing parties the NTSB expects its participants to act in an objective manner in assisting with the investigation.
Concerning paragraphs (a)(3) and (4), this language is from the current version of § 831.11(a)(2). The NTSB believes organizing § 831.11(a)(2) into two distinct paragraphs, as (a)(3) and (4), allows the public to follow paragraph (a) more easily.
The NTSB proposes paragraph (b) of § 831.11 be titled “Disclosures,” and include text that conveys two concepts: (1) The NTSB maintains discretion to disclose party representatives names, and (2) the NTSB may share information among parties for purposes of the investigation, but will preserve confidentiality to the greatest extent possible, and adhere to the provisions of 49 U.S.C. 1114 and § 831.6(b)(1) of this part.
The NTSB proposes keeping most of the text of § 831.11(b) as § 831.11(c), with the title “Party agreement.” The only significant change the NTSB proposes in this paragraph is the addition of the statement that employees of other Federal agencies will not be required to sign the Statement of Party Representatives. The NTSB's practice is to refrain from asking representatives of other Federal agencies to sign the Statement. The NTSB does not believe such signatures are necessary, as other Federal agencies understand the NTSB's party process, NTSB investigative procedures, and their responsibilities as party participants in investigations. As a result, the NTSB believes it is appropriate to indicate in paragraph (c) of § 831.11 that other Federal agencies need not sign the Statement of Party Representatives.
Lastly, in paragraph (d) of § 831.11, the NTSB proposes text concerning party inquiries and/or reviews. In this new proposed paragraph, the NTSB intends to include text acknowledging parties may conduct reviews or audits into certain aspects of a transportation event, and requiring party participants to inform the IIC in a timely manner of such contemporaneous reviews or audits.
The NTSB proposes only minimal edits to § 831.12. The NTSB proposes removing the final sentence of paragraph (b) of § 831.12, which refers to a form the NTSB completes upon the return of wreckage to its owner. Currently, this sentence states, “[w]hen such material is released, Form 6120.15, `Release of Wreckage,' will be completed, acknowledging receipt.” The NTSB does not believe a reference to a form is necessary in this section.
The NTSB notes A4A commented on § 831.12, by suggesting the NTSB change § 831.12 to allow remote read-outs of digital flight data recorders and cockpit voice recorders, to preclude the need for transporting the recorders to NTSB Headquarters in Washington, DC A4A also recommended the NTSB “establish a firm deadline for returning [recorders] to the [air] carrier.” The NTSB appreciates A4A's comments. The NTSB is aware of the advances in technology allowing the downloading of data to occur remotely as an aircraft pulls into the gate at its destination or otherwise. However, the NTSB believes this concern, while relevant to its investigations, is not appropriate for inclusion in 831.12 but rather will be considered as the agency reviews its policies and procedures regarding recorder data.
As to A4A's comment concerning deadlines for the return of recorders to air carriers, the NTSB returns recorders to air carriers once it completes the necessary work involving the recorder, and it abides by strict internal protocols to secure the recorder. The NTSB also endeavors to complete data downloading for recorders as quickly as possible. The NTSB declines to propose any changes to § 831.12 concerning the return of recorders because the requirements of each investigation will vary. The NTSB has noted A4A's comment, however, and may update its handbooks concerning recorders if the NTSB determines the establishment of a deadline would be possible.
As with several other sections in part 831, the NTSB proposes organizing § 831.13 into more paragraphs, and providing titles to each paragraph, to ensure the public can understand § 831.13 more easily. In paragraph (a), the NTSB proposes removing the reference to a “field investigation,” because that term is not defined in the NTSB's regulations, and the NTSB believes the phrase “at the site of the event” adequately conveys the intent.
Also in paragraph (a), the NTSB believes it is prudent to state clearly that § 831.13 applies from the time an investigation commences until the NTSB concludes its investigation. Parties who are uncertain as to whether the NTSB has concluded a particular investigation may inquire of the IIC. This temporal description results from parties' requests in some investigations to release information for purposes of civil litigation. In its responses to such requests, the NTSB notes it interprets this prohibition on disclosing information as only relevant to information obtained during the course of the investigation. In addition, A4A, in its comment, suggested: “[t]he NTSB should examine whether a definition of `information concerning an accident' that may not be released by a party would avoid misunderstandings about the scope of that term.” The NTSB agrees with this comment in principle, but notes it is difficult to provide an exhaustive list of the type of information that might be pertinent to every investigation. However, the NTSB believes the proposed description in paragraph (a) offers a better definition of the intent of the phrase, “information concerning the investigation.”
The NTSB proposes keeping the text in the existing version of § 831.13(b), but codifying the paragraph as § 831.13(c) and adding the title, “[p]rohibition on release of information.” The NTSB has referenced this provision in several instances since the promulgation of this regulation, and believes it is critical to NTSB investigations. Preliminary releases of information when an investigation is ongoing could result in the release of incorrect or incomplete information, which would impede the progress of an investigation and erode public confidence in the credibility of the investigation.
share critical safety information within its organization.
In subsequent discussions between NTSB staff and the A4A Safety Committee representatives,
some members of the committee expanded on these comments, indicating it would also be helpful to include language better defining the scope of information that may be shared with frontline employees, such as pilots, during an NTSB investigation.
In addition, in furtherance of the ultimate goal of making timely safety improvements, the NTSB would permit parties to share information gathered by the NTSB in the course of its investigation outside of their organizations, provided the parties fulfill certain criteria. First, the party must share the information with the IIC in a timely manner to receive approval of the IIC before the release is to occur.
In such cases, the IIC would evaluate how the dissemination of the information would improve safety, and would seek to take precautions to ensure the release of information would not impede the investigation. This evaluation process prior to the dissemination of investigative information allows the NTSB to appropriately balance the investigative needs and the potential safety improvements. This process also allows the NTSB and the party to work together to achieve the objective of improving safety in a timely manner. For example, the NTSB understands manufacturers may seek to take immediate action to improve the safety of their vehicles, equipment, or other materials, and the NTSB certainly shares this goal. Such action may include alerting customers of a safety concern with the product. Therefore, the NTSB believes providing additional clarity in § 831.13 will benefit investigative parties in all transportation modes.
Concerning paragraph (b)(5), the NTSB notes it has chosen to reference specifically the statutory descriptions of cockpit voice recorder and surface vehicle recorder recordings, codified at 49 U.S.C. 1114(c) and (d). The NTSB recognizes § 1114(c) describes “cockpit voice recorder” respectively, as follows: “[t]he Board may not disclose publicly any part of a cockpit voice or video recorder recording or transcript of oral communications by and between flight crew members and ground stations related to an accident or incident investigated by the Board [until the time of the investigative hearing or the time a majority of the other factual reports on the accident or incident are placed in the public docket]
”; similarly, § 1114(d) prohibits the NTSB from disclosing publicly “any part of a surface vehicle voice or video recorder recording or transcript of oral communications by or among drivers, train employees, or other operating employees responsible for the movement and direction of the vehicle or vessel, or between such operating employees and company communication centers, related to an accident investigated by the Board [until the time of the investigative hearing or the time a majority of the other factual reports on the accident or incident are placed in the public docket].” The NTSB consistently applies these provisions and exercises care in making any release determinations concerning voice or vehicle recordings.
In addition, the NTSB notes it is attentive to the needs of victims and victims' family members. The NTSB's Transportation Disaster Assistance Division provides information to families in accordance with 49 U.S.C. 1136 and 1138. The NTSB also extends the practice of providing information to family members concerning transportation events not specifically covered under 49 U.S.C. 1136 and 1138. During each investigation, the NTSB informs family members and survivors they may contact the Division at any time to inquire about the status of an investigation or other matters regarding the investigation. In responding to such inquiries, the NTSB remains mindful of the provisions and requirements in part 801 of this chapter, concerning the public release of information, as well as § 831.11 of this part, which states the role of party participants is to provide necessary technical expertise, and gather and review factual information. These regulations serve to protect ongoing investigations while allowing family members and survivors direct contact with NTSB employees who will respond to their inquiries and provide them with information in the timeliest manner possible.
In § 831.14, titled “[p]roposed findings,” the NTSB does not propose any substantive changes, but only proposes changing the word “Board” to “NTSB” in paragraph (a).
As summarized above, A4A submitted a comment requesting the NTSB add to § 831.14 a statement that the NTSB will provide a copy of the NTSB draft final report, including analytical conclusions but not necessarily probable cause and recommendations, to parties for review prior to a Board meeting, when the Board schedules a meeting on an investigation. A4A's comment cites the recommended standards and practices of ICAO, as countries who conduct aviation accident and incident investigations in accordance with these recommended standards and practices release draft reports to accredited representatives (who often seek the input of their technical advisers) in foreign aircraft investigations.
While the NTSB does not propose amending § 831.14 pursuant to A4A's comment concerning the sharing of draft reports, the NTSB is considering adopting a practice of sharing draft reports with parties in some modes. The NTSB plans to address this issue outside the purview of this NPRM. If the NTSB determines to engage in such sharing, it will ensure party representatives receive timely notification of the NTSB's plans.
As described above, the NTSB has determined organizing part 831 into mode-specific subparts would be helpful to NTSB investigators, party participants, and the public. Therefore, it is proposing new subparts B, C, D and E, respectively. The NTSB proposes moving the portions referencing mode-specific responsibilities, such as the existing version of § 831.2(a), which is titled “Aviation” and contains three lengthy paragraphs, to various sections within the proposed new subpart B. Similarly, the NTSB proposes dividing and relocating portions of the existing version of § 831.2(b), titled “Surface,” which currently states the NTSB is responsible for the investigation of railroad and pipeline accidents in which a fatality or in which substantial property damage has occurred, or which involve a passenger train. The regulation includes a reference to 49 CFR part 840. In addition, the regulation states the NTSB is responsible for major marine casualties and marine accidents involving a public and non-public vessel, or involving Coast Guard functions (under 49 CFR part 850). Regarding highway accidents, the regulation states the NTSB is responsible for accidents involving railroad grade-crossing events, the investigation of which is selected in cooperation with the States.
The NTSB proposes adding § 831.20, titled “[r]esponsibility of NTSB in aviation investigations,” to include the same text in the current version of § 831.2(a).
In addition, the NTSB proposes adding § 831.21 titled, “[a]uthority of NTSB representatives in aviation investigations.” The NTSB proposes including the aviation-specific text in current § 831.9(b) as the text for proposed § 831.21, to state NTSB employees possess the authority to examine and test any civil or public aircraft, as well as aircraft engines, propellers, appliances, equipment or any other property aboard the aircraft involved in an accident or incident.
As noted in the discussion concerning § 831.9, above, this proposed language is from the NTSB's enabling statute, which specifically provides the NTSB with authority to examine and test evidence related to an aviation accident.
The NTSB believes including this in Subpart B, as an aviation-specific authorization, is the best manner in which to organize part 831. The NTSB has not suggested substantive changes to this language, but only replaces “[t]he Board,” with “[a]ny employee of the NTSB,” to maintain consistent terminology throughout the NTSB's regulations.
The NTSB also proposes adding § 831.22, titled “Other Government agencies and NTSB aviation investigations.” The NTSB proposes moving part of the text of § 831.11(a)(4) to § 831.22(a). In addition, the NTSB proposes re-codifying the current version of § 831.2(a)(2) as paragraph (b) in § 831.22, with no substantive changes.
The NTSB proposes codifying the footnote within § 831.2(a)(2) as paragraph (c) in § 831.22, to state FAA representatives have the same authority as NTSB investigators when conducting activities on behalf of the NTSB.
The NTSB proposes adding paragraph (d) to § 831.22, to state the NTSB may exercise its discretion to make available a public docket with information from investigations in which the FAA has conducted the fact-finding, as described in paragraphs (b) and (c) of § 831.22.
The NTSB proposes adding § 831.23, titled “International Aviation Investigations,” to include most of the language from § 831.2(a)(2), which describes the NTSB's role in international aviation investigations. In particular, the NTSB proposes text for § 831.23 directly derived from § 831.2(a)(2); however, the NTSB proposes breaking the text into three distinct paragraphs. The NTSB believes such organization will aid in the ability to read and easily reference the description of the NTSB's role in foreign investigations.
In proposing to keep the reference to Annex 13 to the Convention on International Civil Aviation (the Chicago Convention) in the text of the regulation, the NTSB notes it will observe the recommended standards and practices ICAO issues, to the extent practicable. Such recommendations include releasing draft reports concerning accidents and incidents to accredited representatives, and permitting the representatives' subsequent sharing of these reports with their technical advisers. As noted above within the discussion concerning § 831.14 of this part, this practice differs from domestic investigations. However, in the interest of ensuring consistency with other countries' investigative practices in international investigations, and in observation of ICAO's recommended standards and practices, NTSB investigators-in-charge will release draft reports to accredited representatives.
Also, the NTSB proposes adding a new provision concerning advisers (also “technical advisers”) in foreign investigations. When an NTSB investigator is designated as an accredited representative (the “U.S. accredited representative”) under Annex 13, the U.S. accredited representative may appoint technical advisers to provide information and assist with the investigation. Similar to “parties” in domestic investigations, these technical advisers work under the supervision of the U.S. accredited representative. The NTSB believes it is beneficial to include a paragraph in § 831.23 describing this relationship.
The NTSB has encountered situations concerning foreign investigations in which technical advisers have not communicated with the U.S. accredited representative or the foreign investigator-in-charge, as per Annex 13. The NTSB believes including language these in § 831.23(c) will clearly describe the relationships Annex 13 contemplates between technical advisers, NTSB-designated U.S. accredited representatives, and foreign IICs. As a result, the NTSB anticipates technical advisers will exercise care in fulfilling their duties in assisting with the investigation, and in communicating about the investigation.
In addition, concerning the release of information in international investigations, the NTSB remains mindful of 49 U.S.C. 1114(f), which provides the NTSB will not release information concerning an international investigation until either the investigating country releases its report on the investigation, or two years have passed since the occurrence of the accident or incident. Based on this statutory requirement, technical advisers, who work at the direction of the NTSB, should not release information about the investigation unless the foreign IIC approves such release, the investigating country has made the investigation report publicly available, or two years have passed since the event. Based on this proscription, the NTSB believes a reference to § 831.13 in this section is beneficial.
The NTSB proposes including paragraph (d) in § 831.23, to include the text of the final sentence in the current version of § 831.2(a)(3).
The NTSB also proposes adding a new paragraph (e), to § 831.23, to clarify the NTSB has the authority to subpoena records or other evidence in furtherance of a foreign investigation. In this regard, the NTSB interprets the provisions of § 831.9, discussed above, to apply to foreign investigations. Paragraph (e) would consist of the following text: “The NTSB may issue a subpoena for records or other necessary evidence during the course of a foreign investigation, in accordance with the provisions of § 831.9 of this part.”
The NTSB proposes adding subpart C, titled “Highway Investigations,” to part 831. Within this new subpart, the NTSB proposes two sections, titled “[r]esponsibility of NTSB in highway investigations,” and “[a]uthority of NTSB representatives in highway investigations.” Neither of these sections consist of new text, but are derivations of the current language in §§ 831.2 and 831.9, respectively.
Regarding proposed § 831.30 describing the responsibility of the NTSB in highway investigations, the NTSB would retain portions of the text in the current version of § 831.2(b).
The NTSB proposes adding § 831.31 to describe the authority of NTSB representatives, some of which is set forth in the current version of § 831.9.
As proposed, § 831.9 includes several provisions concerning the NTSB's authority. However, the NTSB believes it would be helpful to include the statements of authority proposed in § 831.31, to ensure the highway-specific authorities are easy to locate.
This description of the NTSB's responsibility, from § 831.2, is derived from the NTSB's enabling statute, at 49 U.S.C. 1131(a)(1)(B).
The NTSB proposes adding subpart D, titled “Railroad, Pipeline, and Hazardous Materials Investigations,” to part 831. Within this new subpart, the NTSB proposes two sections, which are derivations of the current language in §§ 831.2 and 831.9, respectively.
Regarding the section describing the responsibility of the NTSB in highway investigations, the NTSB proposes retaining some text specific to railroad and pipeline events from § 831.2, under the heading, “[r]esponsibility of NTSB in railroad, pipeline, and hazardous materials investigations. This description of the NTSB's responsibility, from § 831.2(b), is derived from the NTSB's enabling statute, at 49 U.S.C. 1131(a)(1)(C) and (D).
The NTSB also proposes adding paragraph (c) to § 831.40, to describe the NTSB's responsibility to investigate certain hazardous materials events. Such a description is derived from portions of the current version of § 831.2(c). The NTSB proposes the following text for § 831.40(c): “(c) The NTSB is responsible for the investigation of accidents, collisions, crashes, derailments, explosions, incidents, and ruptures it selects that involve the transportation and/or release of hazardous materials.”
The NTSB proposes text for new § 831.41, to describe the NTSB's authority in railroad, pipeline, and hazardous materials investigations; this text is derived from the existing version of § 831.9.
Although slightly duplicative of the language in §§ 831.21 and 831.31, the NTSB believes including this section in each subpart will be helpful to the public, NTSB investigators, and other parties.
The NTSB proposes adding subpart E, entitled “Marine Investigations,” to part 831. Within this new subpart, the NTSB proposes two sections, entitled “[r]esponsibility of NTSB in marine investigations,” and “[a]uthority of NTSB representatives in marine investigations.” Neither of these sections consists of new text, but are derivations of current language in §§ 831.2 and 831.9, respectively.
The NTSB proposes text in § 831.50 stating the NTSB is responsible for investigating major marine accidents, allisions, casualties, collisions, crashes, and incidents involving a public and non-public vessel or involving functions of the United States Coast Guard. The proposed text of paragraph (a) within § 831.50 also includes a reference to part 850 of this chapter, which addresses marine investigations and the relationship the NTSB has with the Coast Guard.
The NTSB also proposes paragraphs (b) and (c) within § 831.50, which are derived from the existing version of § 831.2. The NTSB proposes organizing these provisions as three distinct paragraphs, set forth above, without footnotes. The existing version of § 831.2(b) included in a footnote the language about the NTSB's and Coast Guard's joint participation in certain marine investigations. The NTSB believes this principle is important, and, although described more fully in part 850, the NTSB believes it will be helpful to reference part 850 in paragraph (c) of proposed new § 831.50, and state the NTSB and the Coast Guard will jointly conduct some marine investigations.
Similar to §§ 831.21, 831.31, and 831.41, the NTSB also proposes text within § 831.51, concerning the authority of NTSB representatives in marine investigations.
The NTSB believes its proposed language, regarding marine investigations in which the NTSB is the lead investigative agency, will provide clarity to the Coast Guard and other investigative parties. This language currently exists in § 831.9; the NTSB only proposes moving some of the mode-specific text of § 831.9 to the mode-specific subparts.
Consistent with the existing and proposed text of § 831.11, regarding parties to NTSB investigations, the NTSB requires participants to sign the Statement of Party Representatives upon conferring party status. As described above, the NTSB does not ask representatives of Federal agencies to sign the Statement. In this NPRM, the NTSB does not propose any substantive changes to the Statement, but includes some minor, technical amendments for clarity. Concerning other potential changes, the agency is evaluating the need for substantive amendments to the Statement. Therefore, the NTSB solicits feedback on the Statement. For example, should the statement remain general, and incorporate by reference the regulations within part 831? Or would including a summary of the regulations of part 831 within the Statement be helpful? In addition, would expressly summarizing the provisions of § 831.13, which prohibits parties from disseminating investigative information without IIC approval, be helpful? In addition to these considerations, the NTSB welcomes comments on all aspects of the current version of the Statement.
List of Subjects in 49 CFR part 831 Back to Top
PART 831—INVESTIGATION PROCEDURES Back to Top
831.22 Other Government agencies and NTSB aviation investigations.
Appendix to Part 831—Statement of Party Representatives to NTSB Investigation. Authority:
§ 831.1 Applicability of this part.
§ 831.2 Responsibility of the NTSB.
(a) The provisions of §§ 831.20, 831.30, 831.40, and 831.50 describe the NTSB's responsibility to conduct investigations in each mode of transportation.
§ 831.3 Authority of Directors.
The Directors, Office of Aviation Safety, Office of Highway Safety, Office of Railroad, Pipeline and Hazardous Materials Investigations, and Office of Marine Safety, subject to the provisions of § 831.2 and part 800 of this chapter, may order an investigation into any transportation event.
§ 831.5 Priority of NTSB investigations.
(3) The NTSB investigation has first right to access wreckage, information, and resources it deems pertinent to its investigation. As described in § 831.9(c) of this part, the NTSB has exclusive authority to decide when, and the manner in which, testing, extraction of data, and examination of evidence will occur.
(3) Except as described in § 831.31 of this chapter, which applies to highway investigations, Federal agencies shall provide the results of their investigations to the NTSB when such investigations are for purposes of remedial action or safety improvement. In general, this requirement will not apply to enforcement records or enforcement investigation results.
§ 831.6 Request to withhold information.
(a) Trade Secrets Act. This section applies to domestic matters. Information the NTSB receives concerning international aviation events is addressed in § 821.23 of this part.
§ 831.7 Witness interviews.
(c) The NTSB will release transcripts or summaries of witness interviews in the NTSB public docket for the investigation, as defined at § 801.3(c) of this chapter. The NTSB will release names of witnesses and their representatives in investigative documents or other records in the NTSB public docket, unless the NTSB determines unusual or compelling circumstances exist to preclude disclosure.
§ 831.8 Investigator-in-charge.
(a) In addition to the authority stated in § 800.27 of this chapter, the investigator-in-charge (IIC) designated for an investigation has the responsibilities listed below.
§ 831.9 Authority of NTSB representatives.
(2) For purposes of the Health Insurance Portability and Accountability Act of 1996 (HIPAA), Public Law 104-191, the NTSB is a “public health authority” as that term is used in the regulations promulgated by the Department of Health and Human Services (see 45 CFR 164.501 or any successor regulation). Consistent with 49 U.S.C. 1101-1155 and HIPAA, a “covered entity” may disclose protected health information to the NTSB pursuant to subpoena. (3) The NTSB may issue subpoenas for all other records, data and information necessary for an investigation, including but not limited to, credit card records and records from portable electronic devices.
§ 831.10 Autopsies and postmortem testing.
(4) No party to the investigation shall be represented in any aspect of the NTSB investigation by any person who also represents claimants or insurers. No party representative may occupy a legal position (see § 845.13 of this chapter). Failure to comply with these provisions may result in sanctions, including loss of status as a party.
(b) Disclosures. (1) Party representatives' names may be disclosed in documents the NTSB places in the public docket for the investigation, as defined in § 801.3(c) of this chapter.
(2) The NTSB may share parties' information considered proprietary or confidential with other parties during the course of an investigation, but will preserve the confidentiality of the information to the greatest extent possible. The NTSB will adhere to the provisions of 49 U.S.C. 1114, as described in § 831.6(b)(1) of this part, in determining whether to share any such information in order to preserve the confidentiality of the information to the greatest extent possible.
(d) Party inquiries or reviews. Any party conducting or authorizing an inquiry or review of its own processes and procedures as a result of a transportation event the NTSB is investigating shall inform the investigator-in-charge in a timely manner of the nature of its inquiry or review to coordinate such efforts with the NTSB's investigation. Further, a party performing such an inquiry or review shall provide the IIC with details of findings from this work. Investigations performed by other Federal agencies during an NTSB investigation are addressed in § 831.5 of this part.
§ 831.13 Flow and dissemination of investigative information.
(1) All information shall be provided to the IIC (directly or through an NTSB employee) before being provided to any person or organization. Consistent with paragraph (c)(2) of this section, parties must notify the IIC in a timely manner of any intent to disseminate information within their organizations.
§ 831.14 Proposed findings.
Subpart B—Aviation Investigations Back to Top
§ 831.20 Responsibility of NTSB in aviation investigations.
The NTSB is responsible for the organization, conduct, and control of all aviation accident investigations, and those incidents subject to NTSB investigation (see §§ 830.2 and 830.5 of this chapter) within the United States, its territories and possessions, where the accident or incident involves any civil aircraft or certain public aircraft (as specified in § 830.5 of this chapter), including a collision involving civil or public aircraft (as specified in § 830.5) and an aircraft operated by the Armed Forces or an intelligence agency. It is also responsible for supporting the investigations of certain accidents and incidents that occur outside the United States, and which involve civil aircraft and/or certain public aircraft, when the accident or incident is not in the territory of another country (i.e., in international waters).
§ 831.21 Authority of NTSB representatives in aviation investigations.
Any employee of the NTSB, upon presenting appropriate credentials, is authorized to examine and test to the extent necessary any civil or public aircraft (as specified in § 830.5 of this chapter), aircraft engine, propeller, appliance, or property aboard such aircraft involved in an accident or incident.
§ 831.22 Other Government agencies and NTSB aviation investigations.
(d) The NTSB maintains its discretion to open a public docket, as defined in § 801.3 of this chapter, with information from investigations in which the FAA has conducted the fact-finding, as described in paragraph (b) of this section.
§ 831.23 International aviation investigations.
(c) Technical advisers. When the NTSB has designated an investigator to participate in an international investigation as an “accredited representative” under Annex 13, the accredited representative may elect to receive assistance from “advisers,” as defined in Annex 13, ¶¶ 5.24 and 5.24.1.
(2) The NTSB considers the provisions of § 831.13 of this part to apply to U.S. advisers working under the supervision of the U.S. accredited representative in international aviation investigations.
Subpart C—Highway Investigations Back to Top
§ 831.30 Responsibility of NTSB in highway investigations.
§ 831.31 Authority of NTSB representatives in highway investigations.
Subpart D—Railroad, Pipeline, and Hazardous Materials Investigations Back to Top
§ 831.40 Responsibility of NTSB in railroad, pipeline, and hazardous materials investigations.
§ 831.41 Authority of NTSB representatives in railroad, pipeline, and hazardous materials investigations.
Subpart E—Marine Investigations Back to Top
§ 831.50 Responsibility of NTSB in marine investigations.
§ 831.51 Authority of NTSB representatives in marine investigations.
Appendix to Part 831—Statement of Party Representatives to NTSB Investigation. Back to Top
I acknowledge I am participating in the above-referenced accident or incident investigation, on behalf of my employer who has been named a party to the National Transportation Safety Board (NTSB) safety investigation, for the purpose of providing technical assistance to the NTSB's evidence documentation and fact-finding activities. I understand as a party participant, I and my organization shall be responsive to the direction of NTSB personnel and may lose party status for conduct that is prejudicial to the investigation or inconsistent with NTSB policies or instructions. No information pertaining to the accident, or in any manner relevant to the investigation, may be withheld from the NTSB by any party or party participant.
I further acknowledge I have familiarized myself with the attached copies of the NTSB Investigation Procedures (49 C.F.R. Part 831) and “Information and Guidance for Parties to NTSB Accident and Incident Investigations,” and will comply with all procedures in Part 831. If I am the party coordinator for my party, I agree to take all reasonable steps to ensure the employees and participants of my organization comply with these requirements. This includes, but is not limited to, the provisions of 49 C.F.R. §§ 831.11 and 831.13, which, respectively, specify certain criteria for participation in NTSB investigations and limitations on the dissemination of investigation information.
No party coordinator or representative may occupy a legal position or be a person who also represents claimants or insurers. I certify my participation is not on behalf of either claimants or insurers, and, although factual information obtained as a result of participating in the NTSB investigation may ultimately be used in litigation (at the appropriate time, and in a manner that is not inconsistent with the provisions of 49 C.F.R. § 831.13 and 49 U.S.C. § 1154), my participation is to assist the NTSB safety investigation and not for the purposes of preparing for litigation. I also certify, after the NTSB Investigator-in-Charge (IIC) releases the parties and party participants from the restrictions on dissemination of investigative information specified in 49 C.F.R. § 831.13, neither I nor my party's organization will in any way assert in civil litigation arising out of the accident any claim of privilege for information or records received as a result of my participation in the NTSB investigation.
Party Organization/Employer1
1. American Train Dispatchers Association; Brotherhood of Locomotive Engineers and Trainmen; Brotherhood of Maintenance of Way Employees Division; Brotherhood of Railroad Signalmen; Brotherhood Railway Carmen Division; and United Transportation Union.
2. For further information concerning the FAA-NTSB Aviation Safety Information and Analysis Sharing System program, see the preamble discussion under proposed § 831.6, Request to withhold information, below.
3. 49 U.S.C. 1131(a)(2)(A) (stating, “an investigation by the Board under paragraph (1)(A)-(D) or (F) of this subsection has priority over any investigation by another department, agency, or instrumentality of the United States Government. The Board shall provide for appropriate participation by other departments, agencies, or instrumentalities in the investigation. However, those departments, agencies, or instrumentalities may not participate in the decision of the Board about the probable cause of the accident”); see also 49 U.S.C. 1135(a) (requiring the Secretary of the Department of Transportation to respond to NTSB safety recommendations within 90 days of the issuance of such recommendations).
4. For information concerning ASIAS, please see http://www.asias.faa.gov. ASIAS uses aggregate, protected data from industry and government voluntary reporting programs, without identifying the source of the data, to determine safety issues proactively, identify safety enhancements, and measure the effectiveness of solutions.
5. 49 U.S.C. 44735, as added by section 310(a) of the FAA Modernization and Reform Act of 2012, Pub. L. 112-95, 126 Stat. 11, 64 (Feb. 14, 2012).
6. 64 FR 59956 (Nov. 3, 1999); see also 45 CFR 164.501 and 164.512(b)(1)(i).
7. The NTSB's Major Aviation Investigations Manual, available at http://www.ntsb.gov/doclib/manuals/MajorInvestigationsManual.pdf, describes the NTSB's practice of organizing investigations into groups.
8. NTSB Cockpit Voice Recorder Handbook (November 2001), available at http://www.ntsb.gov/doclib/manuals/CVR_Handbook.pdf; NTSB Flight Data Recorder Handbook (December 2002), available at http://www.ntsb.gov/doclib/manuals/FDR_Handbook.pdf.
9. The NTSB sought additional information from A4A concerning their August 24, 2012 comment. Representatives from the A4A Safety Committee met with the NTSB Deputy Director of Aviation Safety on December 4, 2012, and discussed the items outlined in their comment. The docket for this rulemaking includes a memorandum containing a detailed description of all items discussed at the December 4 meeting. This memorandum is available as Document Number NTSB-GC-2012-0002-0007 in the docket for this rulemaking on the Regulations.gov Web site at http://www.regulations.gov/#!documentDetail;D=NTSB-GC-2012-0002-0007.
10. Sections 1114(c) and (d), however, allow for release of the recording transcript. Section 1114 is available to the public at http://www.gpo.gov/fdsys/pkg/USCODE-2009-title49/pdf/USCODE-2009-title49-subtitleII-chap11-subchapII-sec1114.pdf.
11. 49 U.S.C. 1134.
1. In aviation investigations this form may also be referred to as “Statement of Party Representatives to NTSB Investigation.”