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국토

INTERNATIONAL STANDARDS
AND RECOMMENDED PRACTICES
AIRCRAFT ACCIDENT AND INCIDENT INVESTIGATION
ANNEX 13
TO THE CONVENTION ON INTERNATIONAL CIVIL AVIATION
. . .
ATTACHMENT E. LEGAL GUIDANCE FOR THE PROTECTION OF
INFORMATION FROM SAFETY DATA COLLECTION AND PROCESSING SYSTEMS
1. Introduction
1.1 The protection of safety information from inappropriate use is essential to ensure its
continued availability, since the use of safety information for other than safety-related purposes may
inhibit the future availability of such information, with an adverse effect on safety. This fact was
recognised by the 35th Assembly of ICAO, which noted that existing national laws and regulations in
many States may not adequately address the manner in which safety information is protected from
inappropriate use.
1.2 The guidance contained in this Attachment is therefore aimed at assisting States enact
national laws and regulations to protect information gathered from safety data collection and
processing systems (SDCPS), while allowing for the proper administration of justice. The objective is
to prevent the inappropriate use of information collected solely for the purpose of improving aviation
safety.
1.3 Because of the different legal systems in States, the legal guidance must allow States
the flexibility to draft their laws and regulations in accordance with their national policies and
practices.
1.4 The guidance contained in this Attachment, therefore, takes the form of a series of
principles that have been distilled from examples of national laws and regulations provided by States.
The concepts described in these principles could be adapted or modified to meet the particular needs
of the State enacting laws and regulations to protect safety information.
1.5 Throughout this Attachment:
a) safety information refers to information contained in SDCPS established for the
sole purpose of improving aviation safety, and qualified for protection under
specified conditions in accordance with 3.1, below;
b) operational personnel refers to personnel involved in aviation operations who are
in a position to report safety information to SDCPS. Such personnel include, but
are not limited to, flight crews, air traffic controllers, aeronautical station
operators, maintenance technicians, cabin crews, flight dispatchers and apron
personnel;
c) inappropriate use refers to the use of safety information for purposes different
from the purposes for which it was collected, namely, use of the information for
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disciplinary, civil, administrative and criminal proceedings against operational
personnel, and/or disclosure of the information to the public;
d) SDCPS refers to processing and reporting systems, databases, schemes for
exchange of information, and recorded information and include:
1) records pertaining to accident and incident investigations, as described in
Annex13, Chapter 5;
2) mandatory incident reporting systems, as described in Annex 13, Chapter 8;
3) voluntary incident reporting systems, as described in Annex 13, Chapter 8;
and
4) self-disclosure reporting systems, including automatic data capture systems,
as described in Annex 6, Part I, Chapter 3, as well as manual data capture
systems.
Note.— Information on safety data collection and processing systems can
be found in the ICAO Safety Management Manual (Doc 9859).
2. General principles
2.1 The sole purpose of protecting safety information from inappropriate use is to
ensure its continued availability so that proper and timely preventive actions can be taken and
aviation safety improved.
2.2 It is not the purpose of protecting safety information to interfere with the
proper administration of justice in States.
2.3 National laws and regulations protecting safety information should ensure that
a balance is struck between the need for the protection of safety information in order to
improve aviation safety, and the need for the proper administration of justice.
2.4 National laws and regulations protecting safety information should prevent its
inappropriate use.
2.5 Providing protection to qualified safety information under specified conditions
is part of a State’s safety responsibilities.
3. Principles of protection
3.1 Safety information should qualify for protection from inappropriate use
according to specified conditions that should include, but not necessarily be limited to: the
collection of information was for explicit safety purposes and the disclosure of the
information would inhibit its continued availability.
3.2 The protection should be specific for each SDCPS, based upon the nature of
the safety information it contains.
3.3 A formal procedure should be established to provide protection to qualified safety
information, in accordance with specified conditions.
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3.4 Safety information should not be used in a way different from the purposes for which it was
collected.
3.5 The use of safety information in disciplinary, civil, administrative and criminal
proceedings should be carried out only under suitable safeguards provided by national law.
4. Principles of exception
4.1 Exceptions to the protection of safety information should only be granted by
national laws and regulations when:
a) there is evidence that the occurrence was caused by an act considered, in
accordance with the law, to be conduct with intent to cause damage, or
conduct with knowledge that damage would probably result, equivalent to
reckless conduct, gross negligence or wilful misconduct;
b) an appropriate authority considers that circumstances reasonably indicate
that the occurrence may have been caused by conduct with intent to cause
damage, or conduct with knowledge that damage would probably result,
equivalent to reckless conduct, gross negligence or wilful misconduct; or
c) a review by an appropriate authority determines that the release of the
safety information is necessary for the proper administration of justice, and
that its release outweighs the adverse domestic and international impact
such release may have on the future availability of safety information.
5. Public disclosure
5.1 Subject to the principles of protection and exception outlined above, any person
seeking disclosure of safety information should justify its release.
5.2 Formal criteria for disclosure of safety information should be established and should
include, but not necessarily be limited to, the following:
a) disclosure of the safety information is necessary to correct conditions that
compromise safety and/or to change policies and regulations;
b) disclosure of the safety information does not inhibit its future availability
in order to improve safety;
c) disclosure of relevant personal information included in the safety
information complies with applicable privacy laws; and
d) disclosure of the safety information is made in a de-identified, summarized
or aggregate form.
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6. Responsibility of the custodian of safety information
6.1 Each SDCPS should have a designated custodian. It is the responsibility of the
custodian of safety information to apply all possible protection regarding the disclosure of the
information, unless:
a) the custodian of the safety information has the consent of the originator of
the information for disclosure; or
b) the custodian of the safety information is satisfied that the release of the
safety information is in accordance with the principles of exception.
7. Protection of recorded information
7.1 Considering that ambient workplace recordings required by legislation, such as cockpit
voice recorders (CVRs), may be perceived as constituting an invasion of privacy for operational
personnel that other professions are not exposed to:
a) subject to the principles of protection and exception above, national laws
and regulations should consider ambient workplace recordings required by
legislation as privileged protected information, i.e. information deserving
enhanced protection; and
b) national laws and regulations should provide specific measures of
protection to such recordings as to their confidentiality and access by the
public. Such specific measures of protection of workplace recordings
required by legislation may include the issuance of orders of non-public
disclosure.

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