COMPLIANCE WITH THIS PUBLICATION IS MANDATORY

Transcription

1 BY ORDER OF THE SECRETARY OF THE AIR FORCE AIR FORCE INSTRUCTION MAY 2010 Law GROUND ACCIDENT INVESTIGATIONS COMPLIANCE WITH THIS PUBLICATION IS MANDATORY ACCESSIBILITY: Publications and forms are available on the e-publishing website at for downloading or ordering. RELEASABILITY: There are no releasability restrictions on this publication. OPR: AFLOA/JACC Supersedes: AFI , 15 October 2004 Certified by: AF/JAA (Mr. Gregory Girard) Pages: 130 This Instruction implements guidance from DoD Instruction , Accident Investigation, Reporting, and Record Keeping, and AFPD 51-5, Military Legal Affairs, and complements AFI , Safety Investigations and Reports, and AFPD 91-2, Safety Programs. This Instruction explains when and how to conduct a legal investigation of accidents occurring on land or a body of water that result in death, permanent total disability, or significant property damage. It provides guidance and procedures for conducting required ground accident investigations, including afloat mishaps. It describes how to prepare and distribute accident investigation reports. It also tells how to store and dispose of relevant physical evidence, documents, and other materials. This Instruction addresses release of accident information and interactions with the Next-of-Kin (NoK), Congress, media, and other interested parties. It prohibits unauthorized disclosure of accident investigation information by personnel subject to this Instruction. This Instruction applies to all military and civilian personnel in the United States Air Force, Air Force Reserve Command (AFRC), and Air National Guard (ANG). Failure to observe the prohibitions and mandatory provisions specified in paragraph of this Instruction by active duty Air Force members, AFRC members on active duty or inactive duty for training, and ANG members in federal service, is a violation of Article 92, Uniform Code of Military Justice (UCMJ). Failure to observe the same prohibitions and mandatory provisions by a civilian employee may result in administrative disciplinary action. This Instruction only applies to the following categories of DoD accidents, as the categories are defined in DoD Instruction , Accident Investigation, Reporting, and Record Keeping, and AFI , Safety Investigations and Reports: explosives and chemical agents, directed energy,

2 2 AFI MAY 2010 afloat, motor vehicle, ground, industrial, and aircraft accidents where there was no intent for flight. This Instruction applies to mishaps that occur during training events if the accidents otherwise constitute mishaps to which this Instruction applies. This Instruction does not apply to DoD accidents involving aircraft and unmanned aerial vehicles where there is intent for flight, or to other investigations covered by AFI , Aerospace Accident Investigations, which specifies the requirements for conducting legal investigations of accidents involving such assets. In addition, this Instruction does not apply to off-duty military mishaps or to accidents involving the administration of professional services, such as medical care and legal assistance. Only major commands (MAJCOMs) may supplement this Instruction. MAJCOMs will send one copy of each supplement to Claims and Tort Litigation Division, Air Force Legal Operations Agency (AFLOA/JACC), 1501 Wilson Blvd, Room 835, Arlington, VA Ensure that all records created as a result of processes prescribed in this publication are maintained in accordance with AFMAN , Management of Records, and disposed of in accordance with the Air Force Records Disposition Schedule (RDS) located at Reports generated from this publication are subject to the Privacy Act (PA) of 1974, Freedom of Information Act (FOIA) requirements and may contain copyrighted information. The reporting requirement in this publication (Chapter 8, paragraphs 8.1, 8.2, 8.4 through 8.9 of this Instruction) is exempt from licensing in accordance with AFI , The Information Collections and Reports Management Program; Controlling Internal, Public, and Interagency Air Force Information Collections, paragraph Refer recommended changes and questions about this publication through the appropriate chain of command to the Office of Primary Responsibility (OPR) using AF Form 847, Recommendation for Change of Publication. SUMMARY OF CHANGES This document has been substantially revised and must be completely reviewed. This change eliminates the requirement for commanders to convene a Ground Accident Investigation Board following mishaps that result solely in damage to government property (paragraph ); clarifies when a GAIB is required (para. 1.3); clarifies when a GAIB is discretionary (para. 1.4); further explains those circumstances when a GAIB is not required (paragraph 1.6); adds paragraph requiring convening authority to fund TDY travel of all GAIB members; reduces the time to complete the investigation from 45 days to 30 days (para ); removes the Media section of the GAIB report (figure 8.2); adds paragraph requiring technical order release authority be included in the Tabs section of the GAIB report (para ); modifies the guidance for including names of personnel in the completed GAIB report (para ); changes the standard of proof for substantially contributing factors to preponderance of evidence (para ); and changes the report format to allow using a three-ring binder (para ). Chapter 1 GROUND ACCIDENT AND SAFETY INVESTIGATIONS Purpose.... 7

3 AFI MAY Scope When GAIBs are Required Discretionary GAIBs Legal Investigation Alternatives Investigations Not Covered by This Instruction Objective of Ground Accident Investigations and Safety Investigations Investigation Boards and Reports Chapter 2 CONVENING A GROUND ACCIDENT INVESTIGATION BOARD (GAIB) Convening Authority GAIB Appointment Accidents Involving Air Reserve Component (ARC) Resources Accidents in Foreign Territory and Accidents Involving Foreign Military Resources Funding Chapter 3 GAIB COMPOSITION AND QUALIFICATIONS OF GAIB MEMBERS AND ADVISORS GAIB Composition Changes in GAIB Composition General Qualifications GAIB President Qualifications GAIB Legal Advisor Qualifications GAIB Advisors Qualifications Chapter 4 RESPONSIBILITIES Convening Authority: Convening Authority's Staff Judge Advocate (SJA): Convening Authority s Public Affairs Officer (PAO): GAIB President: GAIB Legal Advisor: Board Members and Advisors: Host Installation Commander: Host Installation Staff Judge Advocate (SJA) AFLOA/JACC Chapter 5 CONDUCTING GROUND ACCIDENT INVESTIGATIONS Initial Actions

4 4 AFI MAY Collecting and Considering Evidence Writing the GAIB Report Safeguarding GAIB Evidence Accident Investigation Timetable Figure 5.1. Suggested Schedule of Accident Investigation Actions Chapter 6 INTERVIEWING WITNESSES Responsibilities Interview Procedures Interviewing SIB Witnesses Rights and Privileges of Witnesses Preserving Witness Testimony Figure 6.1. Sample Format for Summarized Witness Testimony Figure 6.2. Rights Advisement for Military Suspects Figure 6.3. Rights Advisement for Civilian Suspects Chapter 7 RELEASING INFORMATION Prohibited Releases Early Release of Factual Information about the Accident Release of Status Information about Accident-Related Response Actions and Activities Release of Status Information about the Accident Investigation High-Interest Mishaps Figure 7.1. Sample First Release of Status Information about Investigations (Fatality Mishaps). 55 Chapter 8 THE GAIB REPORT Purpose Format Preparing the Report Executive Summary Summary of Facts Statement of Opinion Tabs Assembling the Report Completing the Report Figure 8.1. Format for the Executive Summary

5 AFI MAY Figure 8.2. Format for the Summary of Facts Figure 8.3. Format for the Statement of Opinion Figure 8.4. Sample Format for the Index of Tabs Figure 8.5. Sample Format for an Individual Tab Index Chapter 9 APPROVAL AND DISTRIBUTION OF THE GAIB REPORT Approval Process Releasing the Approved Report High-Interest Mishaps Handling Requests for the Approved GAIB Report Chapter 10 POST-INVESTIGATION MATTERS Release of GAIB Members Post-Investigation Memorandum Reopening the Accident Investigation Storage and Disposition of Wreckage and Other Evidence Clean up and Environmental Remediation or Restoration of Accident Site Retention of GAIB Report and Related Accident Investigation Documents Allegations Against Senior Officials or Colonels (or Equivalent) Chapter 11 ABBREVIATED GROUND ACCIDENT INVESTIGATIONS General Considerations Authorization Convening the GAIB Collecting and Considering Evidence Writing the GAIB Report Releasing Information about the Abbreviated Ground Accident Investigation Approval and Distribution of the GAIB Report Post-Investigation Matters Information Collections, Records, and Forms ATTACHMENT 1 GLOSSARY OF REFERENCES AND SUPPORTING INFORMATION 92 ATTACHMENT 2 FORMAT FOR GAIB CONVENING ORDER 107 ATTACHMENT 3 FORMAT FOR HOST INSTALLATION DESIGNATION LETTER 110 ATTACHMENT 4 ACCIDENT INVESTIGATION SUPPORT REQUIREMENTS 111 ATTACHMENT 5 FORMAT FOR GAIB REPORT COVER 114

6 6 AFI MAY 2010 ATTACHMENT 6 SAMPLE REQUEST FOR GAIB REPORT REVIEW 115 ATTACHMENT 7 SAMPLE NOTICE OF GAIB REPORT AND BRIEFING 116 ATTACHMENT 8 FORMAT FOR CONVENING AUTHORITY S ACTION 117 ATTACHMENT 9 SAMPLE GAIB REPORT DISTRIBUTION MEMORANDUM 118 ATTACHMENT 10 SAMPLE POST-INVESTIGATION MEMORANDUM 119 ATTACHMENT 11 SAMPLE EVIDENCE INVENTORY 120 ATTACHMENT 12 SAMPLE LOCATIONS OF WRECKAGE AND OTHER EVIDENCE LIST 121 ATTACHMENT 13 SAMPLE RECORDS TRANSMITTAL LETTER 122 ATTACHMENT 14 SAMPLE WITNESS LIST 123 ATTACHMENT 15 SAMPLE LIST OF INVESTIGATION TEAM INFORMATION 124 ATTACHMENT 16 FORMAT FOR GAIB FOREIGN MILITARY REPRESENTATIVE 126 ATTACHMENT 17 SAMPLE PRIVACY ACT STATEMENT 128 ATTACHMENT 18 MEMORANDUM FOR CONTRACTOR REPRESENTATIVES 129 ATTACHMENT 19 SAMPLE FORMAT FOR INTERVIEW SUMMARY IN 130

7 AFI MAY Chapter 1 GROUND ACCIDENT AND SAFETY INVESTIGATIONS 1.1. Purpose. In compliance with DoDI , Accident Investigation, Reporting, and Record Keeping, this Instruction provides guidance for conducting Ground Accident Investigation Boards (GAIB). GAIBs are legal investigations convened to inquire into the facts surrounding ground or afloat accidents, prepare a publicly releasable report, gather and preserve all available evidence for use in litigation, claims, disciplinary actions, administrative proceedings, and for other purposes Scope. This Instruction may be used as guidance for conducting legal investigations not otherwise required under this Instruction. In such cases, the report of investigation or other written report of the inquiry will not reference this Instruction as authority for the investigation. EXCEPTION: A Convening Authority described in paragraph 2.1 of this Instruction may convene a GAIB citing this Instruction as authority for a legal investigation of any incident not covered by AFI When GAIBs are Required. Except as provided in paragraph 1.6 of this Instruction, a GAIB must be convened for on-duty, Class A accidents involving: aircraft ground operations where there is no intent for flight; motor vehicle, ground or industrial mishaps, including those related to fire, combat training, or the workplace environment; radioactive materials; explosives; chemical agents; or a directed energy weapon, device, or equipment A Class A accident is one resulting in at least one of the following: A fatality or permanent total disability, as defined in DoDI The destruction of an Air Force aircraft. An aircraft that is non-repairable is a destroyed aircraft; however, an aircraft that is damaged but will not be repaired is not automatically a destroyed aircraft The total mishap cost is $2,000,000 or more to either government property, private property, or both. A GAIB is not required for mishaps causing damage solely to government property and not involving destruction of an aircraft; however, some type of legal investigation may still be required as described in paragraph 1.4 of this Instruction See DoDI , Enclosure 2 and AFI , Chapter 1 and Attachment 1 for more information about mishap categories and classes. Mishap costs are calculated using the guidance provided in AFI Calculate total mishap cost in accordance with guidance specified in DoDI , Enclosure 4; AFI ; and AFMAN For purposes of this Instruction only, DoD Personnel are on-duty when: Physically present at any location where they are to perform their officially assigned work. Officially assigned work includes organization-sponsored events an employee is permitted to attend, regardless of location Being transported by DoD or commercial conveyance to perform officially assigned work. This includes travel in private motor vehicles or commercial

8 8 AFI MAY 2010 conveyances while performing official duty but does not include routine travel to and from work or employee travel during a Permanent Change of Station (PCS) move On Temporary Duty (TDY). TDY personnel are on-duty 24-hours a day for any injury that results from activities essential or incidental to the TDY assignment. However, when personnel deviate from the normal incidents of the trip and become involved in activities, personal or otherwise, that are not reasonably incidental to the duties of the TDY assignment, the person ceases to be considered on-duty for purposes of this Instruction Discretionary GAIBs DoDI may mandate the legal investigation of a ground or afloat mishap for which a GAIB is not required as specified in paragraph 1.3 of this Instruction. However, a GAIB is discretionary in such cases. Conduct either a GAIB or another type of legal investigation (as described in paragraph 1.5 of this Instruction) for the following mishap categories requiring a legal investigation pursuant to DoDI : Mishaps likely to generate a large amount of public, media, or Congressional interest Mishaps from which litigation for or against the Government or a Government contractor is anticipated Mishaps from which disciplinary or adverse administrative action against an individual is anticipated Legal Investigation Alternatives For ground or afloat mishaps where a GAIB is not required as specified in paragraph 1.3 of this Instruction, other investigative formats are available to satisfy the DoDI legal investigation requirement. For other accidents requiring a legal investigation (i.e., Class B, C, D, or other lesser mishaps as defined by DoDI ), commanders should consider the following: Security Forces or Air Force Office of Special Investigations (AFOSI) investigations Commander-Directed Investigations Reports of Survey pursuant to AFMAN , Reports of Survey for Air Force Property Line of Duty determinations in accordance with AFI , Line of Duty (Misconduct) Determinations Investigations Not Covered by This Instruction. Investigations of the following accidents are not accomplished under this Instruction, except as directed by the MAJCOM commander (as noted in paragraph 1.5 of this Instruction): Accidents for which legal investigations are conducted pursuant to AFI Acts of vandalism, riots, civil disorders, sabotage, terrorist activities, or criminal acts, such as arson.

9 AFI MAY Accidents investigated by a federal or appropriate state government agency that produces a publicly releasable report of the investigation Accidents involving nuclear weapons, reactors, or radioactive materials involved in those systems Accidents involving the administration of professional services, including (but not limited to) diagnosing medical conditions, prescribing medication, providing dental care, performing surgery, administering physical therapy, accomplishing mental health evaluations, conducting counseling, and providing legal assistance and advice Suicides, homicides, intentionally self-inflicted injuries (e.g., Russian roulette), or death or injury resulting solely from illegal use of drugs or other substances All suspected cases of friendly fire. DoDI , at enclosures E and E , requires a legal investigation report for all suspected cases of friendly fire. Such investigations are not GAIBs. The commander of the applicable Unified Combatant Command convenes friendly fire investigations, and the commander chooses the Service s regulation that applies. Although this Instruction does not apply to friendly fire investigations, it may be used as a guide when conducting such investigations Incidents of intentional or expected damage to Air Force vehicles, systems, equipment, or other property in the course of authorized activities (e.g., authorized testing or combat training, including missile and ordnance firing, and destruction of a weapon system to prevent capture by an enemy or hostile force) Incidents involving damage and/or injury that occur as the direct action of an enemy or hostile force Mishaps that are not connected to the duties (i.e., the accident occurs outside the scope of employment) of the involved Air Force personnel Replacement of component parts due to normal wear and tear, and when any associated damage is confined to the component part Injuries associated with non-occupational diseases, when the disease, not the injury, is the proximate cause of a fatality, disability, or lost time (e.g., diabetes and its resultant complications) Injuries resulting from altercations, attack, or assault, unless incurred in relation to one s official duties (i.e., within the scope of one s federal employment) Injuries sustained before entry into military service or employment by the United States Government, unless specifically aggravated by current tenure of service Injuries or fatalities to persons in the act of escaping from or eluding military or civilian custody or arrest Death due to natural causes unrelated to the work environment Normal residual damage as a result of a missile launch Contractor accidents. DoDI defines a contractor accident as one involving injury or occupational illness to contractor personnel, or damage to contractor property or equipment.

10 10 AFI MAY Objective of Ground Accident Investigations and Safety Investigations. DoDI requires separate safety and legal investigations of accidents involving DoD personnel. Both the legal and safety investigations serve a distinct purpose The purpose of a legal investigation is to thoroughly inquire into the facts and circumstances surrounding accidents and prepare a publicly releasable report. The GAIB serves to obtain and preserve evidence for use in litigation, adjudication of tort claims, disciplinary actions, administrative actions, and for other purposes but does not focus on accident prevention The military departments within DoD use different terminology to refer to legal investigations. The Army uses the term "collateral investigation and the Navy uses the term "JAGMAN investigation. In the Air Force, AFI specifies the requirements for conducting Air Force legal investigations of accidents involving aircraft, missiles, and other aerospace assets Safety investigations and reports are conducted and written solely to prevent future mishaps. In order to quickly obtain accurate accident information, safety investigators are sometimes authorized to grant promises of confidentiality in aviation mishaps. Statements obtained with a promise of confidentiality are privileged and not releasable to legal investigators or to the public. Safety Investigations into Ground Accidents are not authorized to grant promises of confidentiality. In addition, the evaluations, analysis, opinions, conclusions, recommendations, and other indicia of the deliberative process of the safety investigators are also generally privileged and not releasable to legal investigators or to the public. Non-privileged safety information acquired by the safety investigators will be made available to the legal investigation. Prior to the legal investigation, the non-privileged safety information will also be provided to the convening authority s SJA upon request. Air Force safety investigations are carried out under AFI Investigation Boards and Reports Unless the Air Force Safety Center (AFSC) waives the requirement, safety investigation boards (SIBs) produce formal, two-part reports of their investigations of Class A on-duty mishaps. Part I of the SIB report contains non-privileged factual information and is provided to the GAIB and, prior to a legal investigation, to the convening authority s SJA upon request in order to determine whether an investigation is warranted. Part II contains confidential witness and contractor statements and documents, if any, as well as the SIB s deliberations, findings, and recommendations. Part II of an SIB Report is privileged and is not released for use by the GAIB The GAIB members assist the GAIB President in preparing a publicly releasable report of the facts and circumstances surrounding the mishap. The GAIB Report includes an Executive Summary, Summary of Facts, and only when specifically directed to by the convening authority, a Statement of Opinion on the cause, causes, and/or factors that substantially contributed to the accident. A Statement of Opinion is not normally required for GAIB Reports, except under extraordinary circumstances as described in paragraphs and of this Instruction.

11 AFI MAY The GAIB is a non-voting board, and the GAIB President is solely responsible for the contents of the GAIB Report. As permitted by and in compliance with the Privacy Act and Freedom of Information Act, GAIB Reports are: Provided and personally briefed, upon request, to individuals seriously injured in the accident (or their representatives) or to the Next-of-Kin (NoK) of persons who died because of the accident Released to members of the public and media, upon request Released to members of Congress, upon request Released to other interested government agencies, upon request Used by the Air Force for the adjudication of claims resulting from the accident Used by Air Force commanders as a source document to assist them in assessing whether any punitive or adverse administrative action should be taken against persons whose negligence or misconduct contributed to the accident Used for other purposes as necessary The non-privileged Part I of the SIB report must be completed prior to the start of the GAIB; in rare cases AFLOA/JACC may grant exceptions. Ongoing safety investigations take precedence over ground accident investigations, and in the event of conflicts between the two investigations regarding access to the accident site, acquiring and examining evidence, and interviewing witnesses, safety investigations have priority. For this reason, and to facilitate the GAIB process, the two investigations should not overlap in time When GAIBs are directed before or in lieu of SIBs, they will provide such factual information to the safety community, through the convening authority s safety directorate, as necessary to ensure safe operations and proper safety information tracking. Such factual releases do not require prior coordination or approval If there is no preceding SIB, a trained investigating officer (IO) not currently assigned to a full-time safety position may serve as a GAIB functional area expert (FAE) to assist in gathering factual, non-privileged evidence. In accordance with DoDI , Enclosure E4.6.2., personnel currently assigned to full-time safety positions will not be appointed a member or FAE of the GAIB. See paragraph of this Instruction.

12 12 AFI MAY 2010 Chapter 2 CONVENING A GROUND ACCIDENT INVESTIGATION BOARD (GAIB) 2.1. Convening Authority The MAJCOM commander of the organization that experienced the damage, fatality, or disability is responsible for convening the GAIB. AFI , Chapter 1 and Chapter 4 provide guidance on accounting for losses and determining investigative responsibility for safety investigations. The MAJCOM vice-commander may convene the accident investigation unless the MAJCOM commander withholds this authorization When an accident involves assets or personnel from more than one MAJCOM, the involved MAJCOM commanders will determine which command is responsible for any required accident investigation. The commander who convened the SIB normally convenes any associated GAIB When a mishap involves Air Force personnel or property and personnel or assets from another DoD Component, the same commander who would convene an SIB under AFI convenes the GAIB. See AFI for guidance on investigating mishaps involving multiple military services. Comply with DoDI , Enclosure 4, paragraph E4.13 on investigations and reports of DoD Joint Service accidents GAIB Appointment The Convening Authority initiates an accident investigation by convening a GAIB in writing The convening order is issued to the GAIB President. See Attachment The convening order will identify members appointed to the GAIB, and may also include any advisors or consultants the Convening Authority details to the Board A supplemental appointment order will be issued if the Convening Authority adds additional members to the Board A letter or other writing may be used to detail advisors or consultants to the Board after the convening order is issued Foreign national board members and advisors may also be appointed in accordance with paragraphs 2.4.1, 3.1.9, , and of this Instruction The convening authority s Staff Judge Advocate (SJA) may sign the convening order FOR THE COMMANDER after the convening authority selects a board president unless the MAJCOM commander withholds this authorization The Convening Authority s Staff Judge Advocate may appoint, remove, or substitute GAIB members (other than the GAIB President), advisors, or consultants unless the MAJCOM commander withholds this authorization For an accident investigation involving Air National Guard (ANG) or Air Reserve Component (ARC) personnel or property, the Convening Authority will, with the concurrence of the ANG or appropriate ARC, appoint an ANG or ARC member to the GAIB. Contact AFRC/JA or NGB/JA to coordinate the appointment.

13 AFI MAY Members of the AFRC or ANG who meet the rank/grade and training requirements specified in Chapter 3 of this Instruction may serve in any capacity on a GAIB, to include serving as the GAIB President. When initiating the accident investigation, the appointment orders for each ARC member should cite 10 United States Code, Section 12301(d) (10 U.S.C (d)) as authority. Ensure GAIB duties do not create a conflict of interest with the ARC member s civilian occupation or interests Personnel from other DoD Components who meet the rank/grade and training requirements specified in Chapter 3 of this Instruction may serve in any capacity on an Air Force GAIB. However, personnel from other DoD Components normally will not serve as GAIB President. In addition, the rank/grade and training requirements of Chapter 3 do not apply (but should be followed) when appointing personnel from another DoD Component. The convening authority s SJA will assist in coordinating appointment of GAIB Members from other DoD Components. AFI provides guidance on investigating mishaps involving multiple military services Accidents Involving Air Reserve Component (ARC) Resources The gaining MAJCOM commander convenes accident investigations initiated pursuant to this Instruction for accidents involving AFRC and/or ANG personnel and property. The gaining MAJCOM may delegate convening authority responsibilities to AFRC/CC or the NGB/CF; convening authority responsibilities may be delegated further consistent with paragraphs and of this Instruction The AFRC/CC is the convening authority for investigations initiated pursuant to this Instruction when the accident involves AFRC resources (personnel and property) alone (i.e., no regular Air Force personnel or resources are involved in the mishap). The NGB/CF is the convening authority for investigations initiated under this Instruction when the mishap only involves ANG personnel and resources. AFRC/CC and NGB/CF convening authority responsibilities may be delegated consistent with paragraphs and of this Instruction For mishaps involving AFRC and ANG resources, but no Air Force resources, AFRC/CC and NGB/CF will jointly decide which component will investigate the accident Accidents in Foreign Territory and Accidents Involving Foreign Military Resources Treaties, statutes, agreements, and/or other applicable authorities may affect the investigation of accidents that occur outside the United States involving Air Force personnel or assets. Similar authorities may affect the investigation of Air Force accidents involving personnel or property of foreign military forces. When an accident involving Air Force personnel or property occurs in a foreign territory or involves foreign military personnel or property, comply with this Instruction to the extent allowed by applicable treaties, agreements, and other applicable authorities. The requirement to conduct a GAIB and produce a GAIB Report in accordance with this Instruction remains unaffected by the location of the mishap or the degree of participation of a foreign country in the accident investigation When a mishap occurs in an area outside the United States, consult the SJA of the MAJCOM or component responsible for air operations in that country or area of

14 14 AFI MAY 2010 responsibility (AOR) for assistance in determining applicable constraints and additional requirements for conducting a ground accident investigation When a mishap involving Air Force resources and foreign military personnel or property occurs in the United States, consult the SJA of the MAJCOM or component to which the Air Force resources are assigned for assistance in determining applicable constraints and additional requirements for conducting a ground accident investigation Consult the servicing MAJCOM or component SJA for assistance in obtaining copies (and translations, if necessary) of reports written by foreign military or civilian authorities that investigate an accident involving Air Force resources (personnel or property) Funding The host installation funds all in-house support, even if the host installation is not assigned to the MAJCOM that convenes the GAIB (convening MAJCOM). In-house support includes, but is not limited to: work areas and office work space; computers with Internet access; use of a computer printer, copy machine, and fax machine; paper supplies and computer CDs; telephone service; use of government owned or leased vehicles; and use of audio-visual equipment and services. See Attachment 4 of this Instruction for a listing of typical GAIB support requirements. In cases where the GAIB conducts the investigation at a host installation other than the installation where the mishap occurred, the convening MAJCOM is responsible for substantial incremental costs incurred by the GAIB In cases in which the desired host installation is not assigned to the convening MAJCOM, concurrence of the convening authority should first be obtained. See Sample Memorandum to the Host Installation Commander (Attachment 3) If the host installation is not part of the convening MAJCOM, the host installation may seek reimbursement for GAIB expenses from the convening authority The convening authority funds TDY travel costs of personnel appointed as Air Force GAIB members, advisors, and witnesses, including members from other MAJCOMs. Invited observers from other services, agencies, or governments, such as those described in paragraph of this Instruction, should fund their own costs. For joint service boards, each military service funds its own personnel. See AFI , Volume I, Budget Guidance and Procedures, Chapters 7 and TDY GAIB members shall be placed on full per diem for the duration of the GAIB. Dual billeting, variations authorized, and rental car shall be authorized The convening MAJCOM funds leasing of vehicles or special equipment, leasing of communications, and other contractual services. The convening authority also funds costs associated with removal and storage of any wreckage, as well as any initial clean up of the accident site. However, the MAJCOM, ARC, or other DOD Component that owns, has operational control over, or is otherwise accountable for the vehicle, system, or other property determined by the Convening Authority to have caused the environmental damage at the accident site shall fund all costs associated with long-term accident site cleanup and environmental remediation unless the provisions of an applicable memorandum of agreement or intra-agency support agreement dictate otherwise.

15 AFI MAY Chapter 3 GAIB COMPOSITION AND QUALIFICATIONS OF GAIB MEMBERS AND ADVISORS 3.1. GAIB Composition For Class A mishaps, the GAIB must include a GAIB President and a Legal Advisor Other GAIB members and advisors may be appointed as circumstances require, depending upon the type and complexity of the mishap GAIB members and advisors may include individuals with extensive knowledge, training, and/or experience in specialty areas related to the mishap, including but not limited to: Medicine or medical sciences, if human factors are known or suspected to have been involved in the mishap Bioenvironmental engineering, if bioenvironmental health factors are known or suspected to have been involved in the mishap Vehicle maintenance, if the mishap involved a motor vehicle Civil engineering, if machinery, electrical equipment, drinking water treatment or distribution system components, wastewater treatment system components, or electricity distribution system components are or may have been involved in the mishap Fire protection, if the mishap resulted from fire Meteorology, if weather or weather service is known or suspected to have been a factor in the mishap Law enforcement or crime investigation, if the mishap involved a motor vehicle, machinery, weapon, or Security Forces Combat Arms activity (e.g., training on a firing range) Munitions, if the mishap involved explosive items or munitions Nuclear weapons, if the mishap involved a nuclear weapon system Nuclear reactors, if the mishap involved a nuclear reactor system or radiological system A Recorder should be appointed to the GAIB to assist with administrative needs as directed by the GAIB President The Host Installation Commander should provide the Recorder If there is no preceding Safety Investigation Board, and at the discretion of the Convening Authority, a trained IO not currently assigned to a full-time safety position may serve as GAIB advisor to assist in gathering factual, non-privileged evidence If the accident being investigated involves a training exercise, facility, system, or activity, the GAIB should include an appropriate individual with expertise in such activities.

16 16 AFI MAY An appropriate representative from the organization that planned the exercise or activity, or the organization that owns, operates or maintains the facility or system involved in the accident, may be detailed to advise the GAIB, but should not be appointed as a GAIB member. See paragraph 3.6 of this Instruction for guidance on GAIB advisors For accidents involving ARC personnel or property, the convening authority will appoint an appropriate ARC member to the GAIB IAW paragraph through of this Instruction The GAIB may include personnel from other DoD Components whose personnel or property were involved in the accident. See paragraph of this Instruction for guidance on the appointment of GAIB members from other DoD Components For an accident that involves foreign military personnel or property, an appropriate representative of each foreign military service whose resources were involved in the mishap may be appointed as a GAIB Member or serve as a GAIB Advisor or Observer. See paragraph 2.4 of this Instruction for guidance on accidents involving foreign military resources Foreign military service representatives should be GAIB members if the membership of any SIB convened for the accident includes a foreign military service representative Consult HQ USAF/JAO before inviting foreign military service representatives For an accident that occurs in a foreign country or other area outside the United States, an appropriate foreign country representative may be appointed as a GAIB member or serve as a GAIB advisor. See paragraph 2.4 of this Instruction for guidance on accidents in foreign territory The foreign country representative should be a GAIB member if the membership of any SIB convened for the accident included a foreign country representative Consult HQ USAF/JAO if questions arise about the appropriate way to request or invite foreign country representatives The convening authority may authorize foreign military service representatives and foreign country representatives as observers to GAIB proceedings. See Attachment 16 of this Instruction for a sample letter for appointing GAIB observers Changes in GAIB Composition During the investigation, the GAIB President may request the following: Appointment of additional Board members Detailing of advisors to the Board Release or replacement of any individual who is serving as a GAIB member or GAIB advisor, to include the GAIB Legal Advisor General Qualifications.

17 AFI MAY GAIB members and advisors may be appointed from the same installation, facility, or activity where personnel involved in the accident (to include injured and deceased personnel) were assigned or attached, but should not be appointed from the same squadrons or groups of the individuals involved The majority of GAIB members must come from outside the squadrons or groups to which individuals involved in the accident were assigned or attached GAIB members and advisors should not be appointed from any squadron or group that is accountable for any equipment, material, facility, or other property involved in the accident (to include property that was damaged in the mishap) No person who previously served as a member of or advisor to the SIB shall serve as such for the GAIB for the same accident No person who is currently assigned to the AFSC or to an Air Force installation, Numbered Air Force (NAF), or MAJCOM safety office will serve as a GAIB member or advisor. See also paragraph of this Instruction GAIB members must not have conflicts of interest that would prevent their impartial investigation of the accident GAIB President Qualifications For Class A mishaps, the GAIB President must be at least a field grade officer, or the civilian equivalent, that is senior in grade to each of the federal government personnel (military members or civilian employees) involved in the accident (to include injured and deceased personnel), and if practicable, should be at least the same grade as any corresponding SIB President The GAIB President will not come from the squadron or group to which any individual involved in the accident (to include injured and deceased personnel) was assigned or attached when the mishap occurred, but may come from the same wing and/or installation of the individual involved The GAIB President will not come from any squadron or group that is accountable for property involved in the accident When the property involved in the accident is unique or rare (e.g., experimental equipment or vehicle, one of only a few similar laboratories or shops), or when expertise required to conduct the investigation is unique or rare (e.g., specialized knowledge or training that is not widely available), AFLOA/JACC may waive this requirement The GAIB President should be a graduate of a HQ AFSC safety investigation course (e.g., Board President Course or Aircraft Mishap Investigation Course) GAIB Legal Advisor Qualifications The GAIB Legal Advisor should be at least a senior captain (O-3) and should be appointed based on training, ability, and experience. Formal training on mishap investigation (e.g., Aircraft Accident Investigation Course or AIB Legal Advisor Course) is required, but this requirement may be waived by AFLOA/JACC in exceptional circumstances.

18 18 AFI MAY The GAIB Legal Advisor may come from the same wing and/or installation as the GAIB President but must come from a different legal office than that of any legal office personnel involved in the accident (to include injured and deceased personnel) GAIB Advisors Qualifications Depending on the circumstances, one or more functional area experts may be detailed to assist the GAIB, but do not serve as GAIB members and shall not be appointed on the convening order A military member or civilian employee with sufficient knowledge, skill, or training regarding a functional area may serve as a GAIB advisor in that particular area Personnel from other DoD Components, federal or state agencies, commercial entities (to include DoD contractors), and private citizens may serve as GAIB advisors in their areas of expertise Foreign military service representatives and foreign country representatives may serve as GAIB advisors in their areas of expertise. See paragraphs 2.4, 3.1.9, , and of this Instruction for guidance on foreign military representatives and foreign country representatives In unique cases, technical assistance from contractor personnel may be needed. Contractor personnel may be appointed as a functional area expert (FAE) if: 1) assistance from the contractor is vital to the investigation; 2) there are no other reasonable governmental alternatives; 3) there is no indication of contractor culpability or other conflict of interest; 4) the contractor s service as an FAE is within the scope of the contract; and 5) the contractor personnel completes a nondisclosure agreement (Attachment 18 of this Instruction) For a mishap that involves explosive items or munitions, a representative from the Air Force Operational Test and Evaluation Center (AFOTEC) should be detailed as a GAIB advisor if AFOTEC-managed operational test and evaluation (OT&E) assets, procedures, or equipment are involved For an accident that involves a nuclear reactor system or radiological system, a representative from the Department of Energy (DOE) should serve as a GAIB advisor if DOE-DoD agreements apply for the system involved.

19 AFI MAY Convening Authority: Chapter 4 RESPONSIBILITIES Directs subordinate commanders or functional staff directors to nominate qualified personnel to serve on GAIBs Convenes the investigation and issues the appointment orders to the GAIB President, using the format specified in Attachment 2 of this Instruction At a minimum, the GAIB will consist of a GAIB President and a GAIB Legal Advisor The convening authority may appoint subject matter experts to serve as GAIB Members or detail them to provide technical assistance to the board as GAIB Advisors The convening authority should not appoint foreign military services representatives and foreign country representatives to serve as GAIB members or GAIB advisors and should not authorize foreign military services representatives and foreign country representatives to observe GAIB proceedings unless the representatives first agree in writing to comply with the provisions of this Instruction that prohibit disclosure of information about the GAIB s work until after the convening authority has approved the GAIB Report. See Attachment 16 and paragraph of this Instruction The convening authority s SJA prepares the letter or other document used to memorialize the agreement to comply with this Instruction Consult HQ USAF/JAO if questions arise about the appropriate way to handle issues involving foreign military service representatives and foreign country representatives The convening authority may require that the GAIB President prepare a Statement of Opinion about the cause, causes, and/or substantially contributing factors of the accident Statements of Opinion should normally be required only in those rare circumstances in which the convening authority desires the Board President to provide for public record a personal conclusion of what caused the accident. If an SIB was conducted, such information would already have been provided to the convening authority and is privileged and confidential Careful deliberation should precede the decision to require a Statement of Opinion, since the GAIB Report is publicly releasable and can be used against the United States in administrative and judicial proceedings (including tort claims and litigation). Although 10 U.S.C. 2254(d) prohibits considering the opinions as to cause for aircraft accidents as evidence in civil or criminal proceedings or as an admission of liability by the United States, there is no statutory protection for opinions related to ground mishaps.

20 20 AFI MAY Designates the host installation and ensures the Host Installation Commander provides the support prescribed by this Instruction The convening authority will send the commander of the Air Force installation nearest to the accident site a memorandum that identifies the installation as being responsible for providing administrative and logistic support for the accident investigation. Attachment 3 of this Instruction provides the format for the host installation designation letter Whenever the nearest Air Force installation is attached to a different MAJCOM than the convening authority or is an ARC installation, the Convening Authority will coordinate designation as host installation with that command. In such cases, the letter designating the host installation should reflect the involvement of an appropriate higher level of command in making the designation Provides funding for costs associated with conducting accident investigations IAW paragraph 2.5 of this Instruction Ensures appropriate condolence letters are sent to the NoK IAW AFI , Assistance to Survivors of Persons Killed in Air Force Aviation Mishaps and Other Incidents, AFI , Civilian Survivor Assistance, and AFI , Casualty Services Determines what factual information or documents concerning the accident will be released to the public prior to completion of the investigation, under the criteria contained in Chapter 7 of this Instruction Approves the GAIB Report, using the format specified in Attachment 8 of this Instruction. Approval indicates the GAIB Report meets statutory and regulatory requirements. Approval does not indicate whether the convening authority agrees or disagrees with the Statement of Opinion, if the convening authority requires a Statement of Opinion. See paragraphs 9.1 and 11.7 of this Instruction for guidance on approval of the GAIB Report Approves the Notification and Release Plan created by the servicing Public Affairs Officer (PAO) Upon approval of the GAIB investigation, ensures that an appropriate official sends a letter to individuals who were seriously injured in the accident and to the NoK of military members and civilians who died because of the accident, advising them of the opportunity to be personally briefed and/or receive a copy of the report. See sample at Attachment 7 of this Instruction Ensures compliance with the reporting requirements of AFI , Inspector General Complaints Resolution, Chapter 3, whenever either of the following applies: The GAIB Report documents, or the GAIB otherwise uncovers adverse information, misconduct, or inappropriate or improper conduct against senior officials or colonels (or equivalent). See Attachment 1 of this Instruction for definitions of adverse information, adverse personnel action, and senior official. See AFI for the definition of misconduct, inappropriate conduct, and improper conduct The mishap results in disciplinary or other adverse personnel action being taken against senior officials or colonels (or equivalent).

21 AFI MAY Releases to the public an official written statement regarding accountability, if and when appropriate, in cases where misconduct, negligence, or other failure to meet standards by any Air Force military member or civilian employee is alleged, either directly or indirectly, in the GAIB Report. Such statements will be coordinated with the supporting PAO and SJA prior to public release Convening Authority's Staff Judge Advocate (SJA): Advises the convening authority on whether or not convening a GAIB is required for a specific accident. If a GAIB is deemed discretionary, then advises on propriety of convening a GAIB If foreign interests are involved in the mishap, the convening authority s SJA shall advise on international legal requirements and how a GAIB may affect foreign military and civilian authorities Depending on the circumstances, the convening authority s SJA shall advise as to whether personally identifying information, including names (particularly of nonemployee civilian witnesses), are releasable under the Freedom of Information Act IAW DoD Regulation /AF Supplement, DoD Freedom of Information Act (FOIA) Program, and therefore not included in the publicly releasable GAIB Report. Further, if the mishap occurs outside of the United States and United States territories, the convening authority s SJA shall advise the convening authority whether personally identifying information of DoD personnel involved in the mishap should be omitted from the GAIB Report (to include the narrative portion and tabs) pursuant to 10 U.S.C. 130b. See para of this Instruction Identifies the GAIB Legal Advisor and provides oversight, guidance, and assistance as necessary to the GAIB throughout the investigation Reviews the GAIB Report for legal sufficiency and for compliance with this Instruction Seeks review and comments on the GAIB Report from appropriate members of the convening authority's staff Prepares the convening authority s Action IAW the format specified in Attachment 8 of this Instruction Submits the GAIB Report to the convening authority for final action, with staff comments and the legal review under separate cover Provides coordination on the Notification and Release Plan created by the convening authority s PAO Prepares a letter transmitting the GAIB Report, signed by an appropriate official, to the seriously injured individuals (or their representatives) involved in the accident and to the NoK of individuals who died because of the accident, upon request of the seriously injured individuals or NoK per paragraph of this Instruction Distributes the GAIB Report IAW paragraphs 9.2 through 9.4 and 11.7 of this Instruction.

22 22 AFI MAY Serves as release authority for the approved GAIB report, unless release authority was withheld by the convening authority Advises the convening authority when the GAIB Report documents, or the GAIB investigation otherwise uncovers, adverse information, misconduct, or inappropriate or improper conduct against senior officials and colonels (or equivalent). See Attachment 1 of this Instruction for definitions of adverse information, adverse personnel action, misconduct, inappropriate conduct, improper conduct, and senior official Advises the convening authority about any disciplinary or other adverse personnel action taken against senior officials or colonels (or equivalents) as a result of the mishap. See Attachment 1 of this Instruction for definitions of adverse information, adverse personnel action, misconduct, inappropriate conduct, improper conduct, and senior official Unless such authority is withheld by the convening authority, grants or denies GAIB Presidents requests for extensions of time for submitting GAIB Reports and adds, removes, or substitutes GAIB members Upon approval of the report, ensures all personal notes and drafts of the report are destroyed Convening Authority s Public Affairs Officer (PAO): Releases factual information about the mishap, including photographs, and the ground accident investigation report IAW AFI , Public Affairs Policies and Procedures For high-interest mishaps, creates a Notification and Release Plan for the GAIB Report. The Plan must be coordinated with the convening authority s SJA and submitted to the convening authority for approval. The plan should include: A timeline for release of the approved GAIB Report to seriously injured individuals, the NoK of individuals who died as a result of the accident, and the general public. When appropriate, the timeline will include briefings about the accident investigation and Report. See Chapter 9 of this Instruction for applicable briefing and release requirements A description of public, press, and congressional interest in the accident investigation A proposed press release about the accident investigation and approved GAIB Report For high-interest mishaps as defined in paragraph of this Instruction, anticipated questions and answers about the investigation and Report Provides community and media relations assistance to the GAIB President as necessary from initiation of the GAIB through presentation of the GAIB Report to individuals who were seriously injured in the accident and the NoK of military members and civilians who died because of the accident Provides the GAIB President community and media relations assistance as needed on inquiries and issues that arise after completion of the accident investigation and presentation of the GAIB Report to seriously injured individuals and the NoK of deceased individuals.

23 AFI MAY GAIB President: Supervises GAIB members and ensures the investigation and resulting GAIB Report are thorough and in compliance with this Instruction Requests, as necessary, the replacement of GAIB members, appointment of additional GAIB members, and/or detailing of individuals with technical expertise in a relevant area (e.g., medical, human factors, maintenance, engineering, security, and public affairs) to serve as GAIB advisors Writes the GAIB Report and is solely responsible for the contents of the Report, to include the Statement of Opinion, if the convening authority requires a Statement of Opinion Completes the GAIB Report within 30 calendar days of receipt of Part I of the SIB Report or upon receipt of non-privileged evidence from the SIB, unless an extension is granted If there is no SIB, completes the GAIB Report within 45 days after the GAIB is convened, unless an extension is granted Releases information about the accident and ground accident investigation IAW Chapter 7 of this Instruction. Briefs GAIB members and advisors, before they begin working for the GAIB, on the provisions of this Instruction that prohibit disclosure of information about the GAIB s work until after the GAIB Report has been released to the public Channels information about the status and progress of the accident investigation to individuals who were seriously injured in the accident and the NoK of individuals who died because of the accident Coordinates responses to information requests pertaining to the on-going ground accident investigation with the convening authority s SJA and PAO Briefs the convening authority and other officials regarding the investigation results, as directed by the convening authority Serves as the primary briefing officer to the NoK and seriously injured individuals Prepares the Post-Investigation Memorandum IAW paragraph 10.2 of this Instruction Responds to inquiries and issues that arise after completion of the accident investigation and presentation of the GAIB Report to seriously injured individuals and the NoK Coordinates all post-gaib responses to inquiries and issues with the convening authority s SJA and, when appropriate, PAO Proceeds to the accident site (or to the location where the SIB convenes) within 48 hours after arrival of the SIB President, if directed by the convening authority If directed to proceed to the accident site, the GAIB President must meet with the SIB President to coordinate receipt of non-privileged information from the SIB and to coordinate viewing the accident scene. After meeting with the SIB President and viewing the accident scene, the GAIB President may leave the accident site.

24 24 AFI MAY The GAIB Legal Advisor should accompany the GAIB President on any viewing of the accident site. See paragraph of this Instruction In cases where it is not practical or necessary to proceed immediately to the accident scene, or it will not significantly assist the GAIB President to view the scene before all the evidence is disturbed or removed, the Convening Authority may choose not to direct the GAIB President to visit the accident site Regardless of whether the GAIB President is directed to the accident site, he/she is not relieved of the responsibilities to release information and respond to requests for information prescribed in paragraphs and of this Instruction The convening authority should consider directing the GAIB President to proceed to the accident site shortly after the arrival of the SIB because of the advantages of viewing the scene before evidence is disturbed or removed The GAIB President may travel to and view the accident scene even if not directed to do so, if the GAIB President believes it will be beneficial to the GAIB Provides the convening authority s SJA and the responsible base SJA written notice of any adverse information that was uncovered during the accident investigation and not otherwise fully discussed in the Report Adverse information includes evidence of negligence, wrongful conduct, violations of applicable laws, and violations of applicable directives or policy The GAIB President will submit the notice of adverse information at the same time as (or before) the GAIB Report, but in a separate document Controls evidence, to include wreckage, during the accident investigation The GAIB President receives custody and control of evidence from the SIB President at the conclusion of the SIB. If there is no SIB, the GAIB President receives custody and control of evidence from the Incident Commander or other Air Force official responsible for safeguarding the evidence prior to commencement of the GAIB Upon completion of the GAIB s investigation, the GAIB President must inventory and transfer control of wreckage to the Host Installation Commander for removal and storage until AFLOA/JACC releases the wreckage from legal hold The GAIB President transfers custody and control of wreckage and other evidence IAW paragraphs 10.2 and 10.4 of this Instruction Makes certain that GAIB members do not have conflicts of interest that would prevent their impartial investigation of the accident Ensures GAIB members have not had access to privileged safety information from the corresponding SIB Upon approval of the Report, ensures GAIB members destroy all personal notes and drafts of the report GAIB Legal Advisor:

25 AFI MAY Provides legal advice and assistance to the GAIB President throughout the investigation Accompanies the GAIB President on any viewing of the accident scene Before the GAIB President and members receive evidence from any SIB convened to investigate the mishap, reviews and screens the evidence to make sure it does not contain privileged safety information. Contacts the convening authority s SJA and AFSC/JA for guidance if the review finds privileged safety information or AFI privilege markings on any document As used in paragraph of this Instruction, evidence includes documents, drawings, photographs, videotapes, and other means of recording information. Evidence also means wreckage, physical objects, and test reports For Class A and other mishaps where the SIB prepares a two-part report IAW AFI , the documents referenced in paragraph of this Instruction include Part I of the SIB Report Serves as liaison between the GAIB and both the convening authority s SJA and the host installation SJA Provides the GAIB President advice and assistance regarding the early release of information and responding to information requests from any source. See Chapter 7 of this Instruction for guidance on releasing information. For accidents in foreign territory, coordinate closely with the convening authority s SJA and host installation SJA as appropriate when handling foreign government or foreign military requests for information or evidence Oversees the collection, preservation, and disposition of evidence IAW this Instruction Participates in all witness interviews and ensures the advisements and questions to witnesses are proper. These advisements include explanation of the GAIB process and authority and witnesses rights and duties regarding answering the interviewer s questions and, more generally, to cooperate with the GAIB. See figures 6.2 and 6.3 of this Instruction for specific contents of required advisements Reviews the GAIB Report for legal sufficiency and for compliance with this Instruction before it is submitted to the convening authority for approval The GAIB Legal Advisor will ensure information required to be withheld under DoD Regulation /AF Supplement, and privileged, protected, or otherwise nonreleasable documents and information (e.g., health information, medical reports, autopsy reports, Social Security numbers, FOUO markings, controlled unclassified military information (CUMI), and Arms Export Control Act restrictions) are not contained in the GAIB Report The personally identifying information, to include name, rank, duty address, and official title, of DoD personnel in overseas units, sensitive units, or routinely deployable units, may be omitted from the GAIB report per 10 U.S.C. 130b, following consultation with and approval by the convening authority s SJA.

26 26 AFI MAY If the convening authority requires a Statement of Opinion, the GAIB Legal Advisor will ensure the Statement of Opinion meets legal standards Edits the draft GAIB Report to ensure overall writing style is consist, technical terms and language are plainly defined or explained for public understanding, and acronyms are appropriately identified Upon receipt of the SIB Part 1, is relieved of all other duties until the GAIB is completed Board Members and Advisors: The responsibilities of the GAIB President and Legal Advisor are described in paragraphs 4.4 and 4.5 of this Instruction Provide advice and assistance to the GAIB President in their specified areas of knowledge, training, or experience. At the direction of the GAIB President, they: Gather documents and other evidence relevant to the accident Evaluate and analyze evidence gathered during the GAIB investigation, to include witness statements Report their findings and conclusions to GAIB President, but do not release information about the accident investigation except as authorized in Chapter 7 of this Instruction Perform GAIB-related tasks as assigned by the GAIB President Will review Chapters 5, 6, and 8 of this Instruction for requirements and guidance on conducting GAIB investigations and preparing GAIB Reports Upon appointment as GAIB members or advisors, the GAIB becomes their primary duty. They are relieved of all non-gaib duties until the GAIB Report is complete Host Installation Commander: Provides emergency response to the mishap IAW AFI , AFI , Air Force Emergency Management (EM) Program Planning and Operations, and the host installation s Mishap Response Plan Provides fire protection, security, medical, legal, casualty assistance, and other emergency response services. See AFI , paragraph Chapter 2, for specific requirements Provides administrative and logistical support to the GAIB Provides the GAIB office space, computer support, communications, audio visual, reproduction, telephone data fax machine, transcription equipment and personnel, billeting, and other support. See Attachment 4 of this Instruction for a list of typical GAIB support requirements Funds all in-house support even if the host installation is not assigned to the convening authority s MAJCOM. See paragraph 2.5 of this Instruction for guidance on funding issues.

27 AFI MAY Appoints a Host Installation Liaison Officer to assist the GAIB obtain administrative and logistical support, as well as arrange witness interviews of personnel assigned to the installation Conducts initial clean up of the accident site and, unless directed otherwise by the convening authority, any required environmental remediation or restoration actions See AFI , The Environmental Restoration Program, for information concerning environmental remediation and restoration in the United States and its territories. See AFI , Environmental Program in Foreign Countries, and applicable Unified Combatant Command directives for information about remediation of accident sites in areas outside the United States. In addition, the Host Installation SJA should consult with the convening authority s SJA and/or AFLOA/JACE The host installation SJA should consult the convening authority s SJA and/or AFLOA/JACE for questions regarding obtaining access and easements to accident sites when the landowner denies access See paragraph of this Instruction for guidance on environmental funding issues Collects, safeguards, and disposes of wreckage and other evidence in accordance with this Instruction Unless the convening authority directs otherwise, the host installation is responsible for removing wreckage and other evidence from the accident site and storing it IAW AFI , the individual with command responsibility for the mishap site (the designated Incident Commander) takes and retains initial custody of accident scene evidence. At his discretion, the Incident Commander transfers custody of wreckage and other evidence to the SIB President, or to the GAIB President if there is no SIB. The SIB President transfers custody to GAIB President when the SIB no longer needs the evidence. Each transfer should be made in writing Unless the convening authority directs otherwise, the host installation will store and protect wreckage and other mishap evidence after approval of the GAIB Report. See paragraph 10.4 of this Instruction for additional requirements regarding storage and disposal of evidence Host installation commanders in foreign countries must coordinate closely with the convening authority s SJA to ensure awareness of international obligations and sensitivities Host Installation Staff Judge Advocate (SJA) Provides assistance to the Host Installation Liaison Officer and GAIB Legal Advisor when appropriate Arranges witness interviews of civilian employees, contractor employees, and foreign nationals When required, works with the installation labor relations officer to coordinate with appropriate labor unions regarding civilian employee interviews.

28 28 AFI MAY When arranging interviews of contractor employees, consults with the appropriate installation contracting personnel to ensure compliance with applicable contracts When arranging interviews of foreign nationals, ensures compliance with applicable international agreements When requested, works with appropriate installation personnel to obtain relevant records, reports, leases, permits, contracts, and other documents owned or maintained by offices or activities attached to the host installation Provides support to the Host Installation Commander Assists in the appointment and supervision of a Host Installation Liaison Officer Provides transcription equipment and personnel to the GAIB President, if needed Provides advice and assistance on legal issues pertaining to the host installation s response to the accident The legal issues may include, but are not limited to, removal and storage of evidence, environmental cleanup requirements for the accident scene, media inquiries about the accident, and disposition of evidence Through the convening authority s SJA, consults with AFLOA/JACC about the release of wreckage and other evidence from legal hold. AFLOA/JACC is the evidence release authority for wreckage and other evidence, except as provided in Chapter 11 of this Instruction. See Chapters 10 and 11 of this Instruction for guidance on disposition of evidence Host Installation SJAs in foreign countries will coordinate closely with the convening authority s SJA when handling requests for information or evidence by foreign governments or foreign military liaisons AFLOA/JACC Develops guidance and procedures for conducting accident investigations of ground and afloat accidents that result in death, serious injury, or significant property damage Adjudicates administrative tort claims arising out of ground and afloat accidents IAW AFI , Tort Claims Provides litigation support to the Department of Justice in litigation arising out of ground and afloat accidents IAW AFI , Civil Litigation Oversees the AFLOA/JACC Accident Investigation Board Field Support Center (AFLOA/JACC-AIB FSC). The AFLOA/JACC-AIB FSC staffs, trains, and equips a cadre of judge advocates and paralegals to serve as GAIB legal advisors and recorders at the request of Air Force MAJCOMs In coordination with the Air Force Judge Advocate General s School, provides Air Force-wide technical training and guidance on conducting GAIBs and preparing GAIB reports.

29 AFI MAY Provides assistance to convening authorities when appropriate. Normally, AFLOA/JACC will provide advice and support through the appropriate SJAs and/or GAIB Legal Advisors Is the release authority for wreckage and other evidence, except as provided in Chapter 11 of this Instruction. AFLOA/JACC will act on requests for access to GAIB evidence after approval of the GAIB Report, and will act on requests for release of evidence from legal hold.

30 30 AFI MAY 2010 Chapter 5 CONDUCTING GROUND ACCIDENT INVESTIGATIONS 5.1. Initial Actions. Upon appointment or detail to the GAIB, members and advisors should do the following: Review the following documents as necessary or appropriate depending on their role on the Board: AFI , Ground Accident Investigations, and any MAJCOM supplement AFI Section 2F of this Instruction provides useful information about examining witnesses, rights advisements, and handling evidence. Section 2G provides helpful information about writing investigation reports SAF/IGQ Inspector General Guide for Investigating Officers and Commander- Directed Investigation (CDI) Guide. These guides can be downloaded from SAF/IGQ s webpage AFI This Instruction focuses on aviation mishaps, but applies to all accidents involving Air Force personnel (military and civilian) and property AFI This Instruction includes a detailed description of Part I of the SIB Report, which will often form Tabs A-S of the GAIB Report AFI , Privacy Act Program. This Instruction will help the GAIB determine what information gathered must be redacted prior to publication of the Report DoD Regulation /Air Force Supplement, DoD Freedom of Information Act Program. This regulation describes how to handle and process requests for documents under the Freedom of Information Act, 5 U.S.C While the completed GAIB Report may be releasable in full to the public, early release of information is limited AFI , Information Security Program Management. This implements AFPD 31-4, Information Security, and supplements DoD R, Information Security Program. These publications describe how to protect and handle classified and unclassified controlled information such as For Official Use Only Relevant international agreements, memoranda of agreement, Uniform Combatant Command directives, or other sources of requirements or guidance identified by the convening authority or the convening authority s SJA The GAIB President: Contacts the convening authority s SJA for a briefing on GAIB process and procedures Contacts the GAIB Legal Advisor to discuss viewing the mishap site prior to removal of any wreckage and give instructions regarding notifying other GAIB Members about when and where to meet the GAIB President Contacts the SIB President, if any, to:

31 AFI MAY Determine the status of search and rescue, recovery of remains, and salvage operations Coordinate a visit to the mishap site prior to removal of any wreckage, if desired Determine the status of the safety investigation in order to decide how to proceed with the GAIB. Although the SIB President may not discuss privileged safety information, the SIB President may relay the facts of the accident and describe the technical reports that will be in Part I of the SIB Report Coordinate a face-to-face transfer of Part I of the SIB Report and all other non-privileged documents from the SIB to the GAIB. Ensure that the GAIB receives the original documents gathered by the SIB, even if the SIB provides an electronic copy of Part I of the SIB Report. The GAIB Legal Advisor should be present for a face-to-face transfer of the SIB Part I from the SIB to the GAIB. The GAIB President may also be present for the face-to-face transfer of the SIB Part I from the SIB to the GAIB Before the GAIB President and GAIB members review the Part I and other SIB-provided evidence, the GAIB Legal Advisor must screen the evidence to ensure it does not contain privileged information. Documents containing privileged information should be returned to the SIB. The GAIB Legal Advisor should consult the convening authority s SJA and AFSC/JA if questions arise After the GAIB Legal Advisor finishes screening the Part I, the GAIB should review it to determine which, if any, additional tests should be conducted (e.g., metallurgy, hydraulics, simulator, forensics, control surfaces) Request a list of the names, duty titles, organizations, and phone numbers of SIB witnesses so the GAIB knows who the SIB interviewed about the accident. The list should indicate the role of each witness in the accident (e.g., driver, observer, responder, or NoK or family member of an individual involved in the accident) Request the SIB release witnesses Coordinate transfer of wreckage and other evidence when no longer needed by the SIB. The transfer should be in writing from the SIB President to the GAIB President Contacts the Incident Commander, if necessary, to: Determine the status of search and rescue, recovery of remains, and salvage operations Coordinate a visit to the mishap site prior to removal of any wreckage, if desired or when directed by the convening authority Coordinate transfer of wreckage and other evidence when safe to do so. The transfer should be in writing from the Incident Commander to the GAIB President Contacts the Host Installation Commander or the Host Installation Liaison Officer to obtain work areas, equipment, administrative assistance, and other support.

32 32 AFI MAY 2010 See Attachment 4 of this Instruction for a listing of typical support requirements for a GAIB The work area should be private and as convenient as possible for both the GAIB and witnesses. Avoid using the installation courtroom since a judicial atmosphere may make witnesses uncomfortable The GAIB members will proceed to the host installation or other locations as directed by the GAIB President. Temporary duty orders will be prepared locally. Orders should authorize 45 days of travel, authorize a rental car, provide for variations in travel to more than one location, and billeting at multiple locations at the same time. See paragraph 2.5 of this Instruction for guidance on funding issues. If the investigation requires travel outside the United States, GAIB members should consult their local military or civilian personnel flight before departing their home station for guidance about travel restrictions and requirements Collecting and Considering Evidence After review by the GAIB Legal Advisor, GAIB members review the documents and other materials provided by the SIB and provide feedback to the GAIB President on information and records within their area of expertise The GAIB gathers and reviews documents and other evidence related to the mishap Relevant evidence may include, but is not limited to: Personnel, training, medical, driving, and criminal records The medical member shall, IAW DoD R, DoD Health Information Privacy Regulation, paragraphs C7.1 and C7.11, obtain and review all relevant medical evidence, including medical records, autopsy protocols, X- rays, and toxicology reports from Air Force medical facilities. The medical member shall attempt to obtain such records from other non-air Force medical facilities, IAW DoD R, paragraph C5.1. Because of privacy concerns, do not include these documents in the GAIB Report without first consulting the convening authority s SJA. Generally, the GAIB Report should include medical record extracts or summaries only. Medical record summaries should be prepared by a GAIB member or GAIB advisor with specialized knowledge or training in medicine. The GAIB Legal Advisor should review and, if appropriate, comment on the summaries while they are in draft form Diagrams, drawings, maps, and models Leases, licenses, and credentials Photographs, videotapes, voice recordings Classified documents, videotapes, recordings, photographs, or other materials Documents that contain information that is not publicly releasable because of applicable restrictions under the Privacy Act (5 U.S.C. 552a), the Arms Export Control Act (22 U.S.C to 2799aa), the Export Administration Act of 1979 (50 U.S.C. App ), or other legislation. See paragraph of this Instruction for restrictions on inclusion of these documents in the GAIB Report.

33 AFI MAY Contract documents, technical orders, design manuals, handbooks, and other sources of requirements or standards that are not authorized for public release without prior approval of the documents authors or custodians. See paragraph of this Instruction for restrictions on inclusion of these documents in the GAIB Report Statutes, regulations, and government agency policy documents The GAIB Members should consult with the office of primary responsibility for the relevant instructions, directives, policy guidance, and regulations to ensure that the references being used by the GAIB are current, accurate, and complete, and that the GAIB is correctly interpreting the references Relevant evidence does not include privileged safety documents or privileged safety information Relevant evidence may be owned and/or maintained by any person, office, or organization, to include government and non-government individuals and entities. Government entities may be federal, state, and/or local officials, offices, or organizations Access to, use of, and publication of documents generated by individuals and agencies from a foreign country or other area outside the United States may require coordination with authorities of the foreign country or area. Consult with the convening authority s SJA, the appropriate MAJCOM SJA, and/or HQ USAF/JAO for guidance and assistance with these documents The GAIB will identify and interview witnesses, and document witness interviews, IAW Chapter 6 of this Instruction Writing the GAIB Report. The GAIB President will prepare and assemble the accident investigation report IAW Chapter 8 of this Instruction Safeguarding GAIB Evidence The GAIB will take appropriate steps to preserve and protect documents and other evidence, to include wreckage, obtained during its proceedings GAIB members will not make redactions or add explanatory remarks to original documents. Instead, they will make alterations and redactions on photocopies and use only photocopies of the originals as working documents The GAIB will retain original photographs, photograph negatives, videotape recordings, witness interview notes, and certified copies of original documents, records, or recordings and forward to the convening authority s SJA upon completion of the accident investigation. Obtain certified copies IAW AFI , Chapter Upon approval of the GAIB Report, the GAIB President will release, return, destroy, or forward GAIB evidence IAW Chapter 10 of this Instruction Some documents (i.e., medical, dental, flying, training, and personnel records) are to be returned to their proper custodian after the GAIB Report is approved. Consult the convening authority s SJA for guidance on which documents must be returned to their proper custodian and when to do so.

34 34 AFI MAY Use transmittal letters to document the return of original documents to their proper custodians and forward a copy of the transmittal letters to the convening authority s SJA with the Post-Investigation Memorandum required by paragraph 10.2 of this Instruction Accident Investigation Timetable The GAIB, including completion of the GAIB Report, should be complete within 30 calendar days from the GAIB President s receipt of either the complete Part I of the SIB Report, or, if there is no Part I, all releasable portions of a SIB Report prepared for the mishap If there is no safety investigation of the mishap, the GAIB should be complete within 45 calendar days from the date of the GAIB appointment letter The GAIB President may request additional time to complete the investigation through the convening authority s SJA. When requesting additional time, the GAIB President will explain why an extension is needed and will specify a projected submission date for the GAIB Report Figure 5.1 of this Instruction provides a suggested schedule for completing accident investigation tasks. Because accidents differ in nature and create varying challenges for accident investigators, the schedule is only a guide. The GAIB President should devise his or her own timetable for investigating the mishap and preparing the GAIB Report within the required time. Figure 5.1. Suggested Schedule of Accident Investigation Actions. Days If there is a safety investigation, these activities occur before release of Part I of the SIB Report. If there is no safety investigation, these actions occur during week one. Activity GAIB President: Reviews relevant instructions Contacts: Convening authority s SJA SIB President, if any, or Incident Commander GAIB Legal Advisor Host Installation Commander Views accident scene Contacts detailed GAIB members and GAIB advisors Tasks detailed GAIB members and GAIB advisors Requests additional GAIB members and/or GAIB advisors Other GAIB members: Review relevant instructions

35 AFI MAY Perform tasks assigned by GAIB President 1-5 GAIB President: Receives: Part I of SIB Report and other documents from SIB Witness list from SIB Wreckage and other evidence from SIB Reviews Part I of SIB Report after GAIB Legal Advisor has screened it Distributes screened SIB documents to GAIB members Tasks detailed GAIB Members and GAIB Advisors Requests additional GAIB Members and/or GAIB Advisors Begins witness interviews Requests additional testing Begins initial analysis Provides seriously injured individuals or NoK with status information on the investigation, as required GAIB Legal Advisor: Screens Part I of SIB Report, other documents, and evidence from SIB for privileged safety information Returns any privileged safety documents or evidence to SIB Assists with witness interviews: Administers oaths and affirmations Answers GAIB President s questions Advises GAIB President on witness rights Performs tasks assigned by GAIB President Other GAIB members: Review Part I of SIB Report, screened SIB documents, and evidence provided by SIB Perform tasks assigned by GAIB President

36 36 AFI MAY 2010 Days Activity 6-20 GAIB President: Completes initial and follow-up interviews Obtains and reviews results of requested additional tests Completes analysis Assembles GAIB Report Schedules reproduction of documents for inclusion in GAIB Report Finalizes Summary of Facts Drafts Statement of Opinion (if convening authority requires one) Tasks detailed GAIB members and GAIB advisors Provides seriously injured individuals or NoK with status information on the investigation, as required GAIB Legal Advisor: Assists with witness interviews Monitors compilation of GAIB Report Tabs Ensures GAIB Report is correctly assembled and complete Reviews Summary of Facts Performs tasks assigned by GAIB President Other GAIB Members: GAIB President: Perform tasks assigned by GAIB President Finalizes Statement of Opinion (if one is required) Drafts Executive Summary Sends electronic copy of draft report to convening authority s SJA for informal legal review Sends Summary of Facts and Statement of Opinion to reproduction Mails original and copies of GAIB Report to convening authority s SJA as required Prepares letters of appreciation for accident investigation support Tasks other GAIB Members Provides seriously injured individuals or NoK with status information on the investigation, as required

37 AFI MAY GAIB Legal Advisor: Reviews Statement of Opinion (if one is required) Reviews Executive Summary Ensures original and copies of GAIB Report are mailed to convening authority s SJA as required Performs tasks assigned by GAIB President Other GAIB Members: Perform tasks assigned by GAIB President

38 38 AFI MAY Responsibilities. Chapter 6 INTERVIEWING WITNESSES Upon request from the GAIB President, the convening authority s SJA: Assists in arranging interviews of personnel from other DoD Components, to include members of other military services, and ARC personnel Assists in arranging interviews with members of foreign military services and foreign nationals The GAIB President: Establishes a witness interview schedule to keep track of potential witnesses, and a timetable for conducting witness interviews. When developing the interview schedule, the GAIB President should consider the order in which to interview witnesses, or whether some key witnesses should be interviewed twice, once at the beginning of the investigation and later toward the end of the investigation. The interview schedule should be flexible to accommodate witness availability Conducts all witness interviews Ensures witnesses are advised of any documents or other items that should be brought to the interview. Such documents should be included in the GAIB Report as attachments to the witness testimony, statement, or interview summary Authorizes GAIB members and advisors to attend witness interviews that will involve technical matters within their subject areas of expertise May authorize other Board Members and Advisors to question the witness during the interview. Ensures that Board Members or Advisors who ask questions during the interview are identified on the audio recording each time they ask a question or make a comment on the record and their presence and participation is noted on witness interview transcripts or summaries The Legal Advisor: Attends all interviews. Ensures the following witness interview procedures are conducted: each witness is advised of his/her rights and responsibilities regarding testimony provided to the GAIB and placed under oath or affirmation before testimony on the record. Provides the GAIB President legal advice as appropriate Consults the Host Installation SJA for guidance before interviewing any federal civilian employees who may be covered by a bargaining unit Federal civilian employees may be asked if they are represented by a certified bargaining unit but may not be asked if they are union members The GAIB Members:

39 AFI MAY Attend interviews at the request of the GAIB President where technical or specialized matters will be discussed that are within their areas of expertise When authorized by the GAIB President, question witnesses during interviews The Host Installation SJA: Provides guidance upon request regarding interviewing local federal civilian employees who may be covered by a bargaining unit Interview Procedures Air Force military members and civilian employees must cooperate with the GAIB, to include being interviewed as witnesses, unless they assert a legal right or privilege not to do so. DoD Contractor employees may also be required to cooperate, depending on the terms of the applicable contract. See paragraph 6.4 of this Instruction for guidance on witness rights and paragraph of this Instruction for guidance on interviewing DoD Contractor employees Prior to the formal witness interview introduction and before beginning the recording, ask the witness to provide the information outlined in Attachment 14 of this Instruction. Explain that gathering this personal information (name, address, Social Security Number, etc.) is authorized by the Privacy Act of 1974 and provide each witness with the Privacy Act Statement at Attachment 17 of this Instruction Prior to the start of the recorded interview, witnesses should also be reminded to avoid guessing or speculation, or making specific disciplinary or corrective recommendations. If during the interview, an expert provides an opinion within his/her area of expertise, the interviewer should ask for the factual basis of his/her opinion. Expert opinions should be kept within the scope of the mishap and not address fleet-wide concerns or Air Force-wide practices Interviews should be conducted in person. Interviews by telephone or video teleconference may be used when an in-person interview is impossible or impractical because the witness is deployed, on temporary duty assignment, or otherwise unavailable. For telephone interviews or video teleconference interviews, take appropriate steps to verify the identity of the witness The GAIB President or Legal Advisor or any active duty officer or active duty senior non-commissioned officer shall administer the oath or affirmation to the witness on the record Witnesses may not use their own recording devices to record their interviews. This protects from information being released prematurely to the public Before beginning a telephone or video teleconference interview, inform the witness that the interview will be recorded. Do not record the interview without the witness consent. Ensure the consent is recorded If the interview is conducted via video teleconference, it is not necessary to record the video portion of the interview. To enable the GAIB team to both view and hear a video teleconference interviewee, the interview may be conducted via live-feed

40 40 AFI MAY 2010 video teleconference with only the audio portion recorded by the GAIB's recording device The GAIB interviewer will begin all interviews with a witness introduction. The introduction, with appropriate modifications, will be: My name is [interviewer s name]. [I am/we are] investigating the [type of accident] accident that occurred on [date], [at/in/near location of accident]. This investigation, conducted under AFI , is separate and apart from any safety investigation conducted under AFI This legal investigation is convened to inquire into the facts surrounding the accident, to prepare a publicly releasable report, and to gather and preserve all available evidence for use in litigation, claims, disciplinary actions, administrative proceedings, and for other purposes. [A safety investigation was previously conducted concerning this accident. Any testimony you gave before the safety investigation board will be kept confidential, if you were so advised, and can be used only for accident prevention purposes. This board does not have access to any confidential testimony you gave before the safety investigation board.] Your testimony to [me/us] may be used for any proper purpose. Additionally, your testimony can be released to the public. Do you understand the purpose of this accident investigation? [Do you understand the difference between your testimony before the safety board and this accident board?] In compliance with Privacy Act and the Air Force Privacy Act Program, you were given or shown a copy of the Privacy Act Statement prior to the start of this interview The GAIB interviewer will end each interview with the following questions, the answers to which may prompt the interviewer to ask additional questions, interview new witnesses, or consider evidence the Board might not have otherwise considered Does the witness know of anyone else who might have information that the GAIB would find helpful in its investigation Are there any documents, reports, or other evidence the Board might find helpful in its investigation Is there anything that was not discussed during the interview that the witness thinks might be helpful to the accident investigation The interviewer will advise the witness that he or she is subject to recall The GAIB should expect to recall witnesses since testimony from other witnesses may prompt the Board to seek clarification of previous testimony. For this reason, the GAIB should consider retaining witnesses in the local area until they are no longer needed for further interviews The interviewer will remind the witness of the official nature of the interview and direct the witness not to discuss his or her testimony with anyone without the GAIB President s permission, or until the GAIB Report has been officially released to the public The GAIB interviewer will comply with the rights advisement provisions of paragraph 6.4 of this Instruction DoD military members and civilian employees must testify under oath or affirmation. Other witnesses are not required to provide sworn or affirmed testimony, but the GAIB interviewer should attempt to question them under oath or affirmation.

41 AFI MAY Before questioning a witness under oath or affirmation, one of the following declarations will be administered: For sworn testimony, Do you solemnly swear that the testimony you are about to give in the matter now under investigation shall be the truth, the whole truth, and nothing but the truth, so help you God? For affirmed testimony, Do you solemnly affirm that the testimony you are about to give in the matter now under investigation shall be the truth, the whole truth, and nothing but the truth? The GAIB cannot grant promises of confidentiality to witnesses. The contents of all interviews are subject to public release except for classified information. See paragraph of this Instruction for restrictions on the release of classified information in the GAIB Report Do not ask witnesses to speculate or guess, or to provide their opinions on the ultimate cause or causes of the accident. If experts provide opinions within their area of expertise, ask for the factual basis of their opinions See Chapter 2 of AFI and SAF/IGQ Inspector General Guide for Investigating Officers and Commander-Directed Investigation (CDI) Guide, referenced in paragraph of this Instruction, for additional information about interviewing witnesses Witnesses, GAIB members, GAIB advisors, reporters, or stenographers, and all other participants must be properly cleared before they may participate in classified interviews. Remind participants in classified interviews that AFI applies regarding the safeguarding of classified information. See paragraph of this Instruction for restrictions on the release of classified information in the GAIB Report Interviewing SIB Witnesses The SIB President will provide the GAIB President with a list of witnesses the SIB interviewed. The list will provide the name and contact information for each SIB witness The GAIB is not required to interview all of the SIB witnesses, but all SIB witnesses should be contacted. If the SIB witness will not be interviewed, a notation should be made on the SIB witness list that indicates why the SIB witness was not interviewed (e.g., redundant testimony expected, irrelevant testimony expected, witness unavailable, relevant information obtained through other sources). Include the witness list in the Post-Investigation Memorandum detailed in paragraph 10.2 of this Instruction The GAIB will not interview a SIB witness until the SIB President releases that witness Before starting an interview, the GAIB interviewer will explain the differences between safety investigations and accident investigations to the witness. See advisement in paragraph of this Instruction for appropriate language SIB witnesses who have been promised confidentiality by safety investigators must not disclose privileged safety information to GAIB Members. If a witness begins to disclose privileged information, the interview must pause to remind the witness of the prohibition. To prevent such occurrences, witnesses should be reminded not to reference the safety board

42 42 AFI MAY 2010 during the interview by making remarks such as, Like I told the safety board, in their answers to the GAIB If the GAIB receives a record of a witness interview or statement from the SIB, the GAIB President may ask the witness to adopt the prior testimony or statement as a sworn statement after the witness acknowledges the oath or affirmation If the witness adopts his or her SIB testimony, the relevant transcript or record from the SIB shall be included in the GAIB Report as an attachment to the GAIB witness' testimony or interview summary if it is not already included in the SIB Part I Rights and Privileges of Witnesses General Guidance DoD personnel may not refuse to answer questions simply because their answers may adversely affect another person. They may only refuse to answer questions to prevent self-incrimination Interviews should still be initiated even if the interviewer anticipates the witness will invoke his or her rights or privileges against self-incrimination, in order to make the invocation a matter of record Military Witnesses Articles 31(a) of the Uniform Code of Military Justice (10 U.S.C ) (UCMJ) provide that no persons subject to the UCMJ may be compelled to incriminate themselves or answer any question the answer to which may tend to incriminate them Before questioning a military member the interviewer suspects committed an offense punishable under the UCMJ, the GAIB interviewer must advise the military witness of the rights provided by Articles 31(a) and (b) of the UCMJ. Use the rights advisement found at Figure 6.2 of this Instruction When the interviewer does not suspect the military witness of violating the UCMJ until after beginning to question the witness, the interviewer will stop the interview as soon as he or she suspects a UCMJ violation and provide the rights advisement in Figure 6.2 of this Instruction If, after being advised of his or her Article 31 UCMJ rights, the military witness requests a lawyer or elects to remain silent, the GAIB interviewer will stop the interview and refer the witness to the host installation Area Defense Counsel (ADC). After the witness consults with a defense attorney, contact the attorney to determine if the witness is willing to testify. If the witness is willing to testify, the GAIB interviewer will readminister the rights advisement before questioning the witness. The witness attorney may attend the interview and provide legal advice to the witness during the interview. However, the attorney may not ask or answer questions on behalf of the witness, and may not interrupt or improperly interfere with the interview If a military witness is not suspected of an offense punishable under the UCMJ, but invokes his/her right against self-incrimination, refer the witness to the host installation ADC.

43 AFI MAY If, after rights advisement and (if requested) consultation with a defense attorney, a military member suspected of committing an offense punishable under the UCMJ agrees to testify under oath or affirmation, then the following statement should appear immediately before the witness testimony: Having been duly sworn and advised of the allegations, of [his/her] rights under Article 31, Uniform Code of Military Justice, and of [his/her] rights to counsel, and having acknowledged [his/her] understanding of those rights, and having affirmatively waived those rights, the witness testified as follows: If no ADC is stationed at the host installation, contact the Host Installation SJA to obtain contact information for other defense counsel the witness may contact For accidents involving ARC personnel, the GAIB President must determine what the duty status of the Air Force Reserve or Air National Guard member being interviewed was at the time of the accident. The determination must be made prior to the interview because different duty statuses require different protections during the interview process. Consult the GAIB Legal Advisor for assistance in determining duty status and required protections. Include a copy of the interviewee s orders, civilian or military pay stub, or duty roster for drill days in the GAIB Report. When ARC personnel are suspected of a crime, provide the appropriate rights advisement (Figure 6.2 or Figure 6.3 of this Instruction) after verifying the witness duty status at the time of incident and at the time of the interview. Whenever possible, the GAIB should arrange to interview the witness at a time he/she is on federal military status Federal Civilian Employee Witnesses Disciplinary Examinations If the employee is a member of a certified bargaining unit represented by a labor organization and both (1) reasonably believes that he or she might be disciplined as a result of the interview, and (2) requests union representation, then the employee is entitled to have a union official or steward present during the interview. This right is found in 5 U.S.C. 7114(a)(2)(B) and is frequently referred to as the employee s Weingarten rights If the bargaining unit member requests union representation before or during the interview, the interviewer should consult with the Host Installation SJA. The interviewer s options are (1) grant the request, (2) cancel the interview, or (3) offer the employee the choice of either conducting the interview unaccompanied by a union representative or having no interview at all Weingarten rights belong to the employee, not to the union. If the employee does not ask for a union representative, then the union has no right to demand that a representative be present. The right exists for all federal civilian employees who are members of a certified bargaining unit, whether they are members of the union or not. Do not ask the employee if he or she is a member of the union, but you may ask the member if he or she is a member of the bargaining unit for purposes of determining whether they have Weingarten rights.

44 44 AFI MAY The law does not require an employee be notified of their Weingarten rights prior to the interview. However, some local union contracts stipulate that management officials of an installation will provide notice before each interview. Exercise caution when interviewing federal civilian employees to ensure there are no violations of the terms of a local contract Formal Discussions During a formal discussion, the union has a right for a union representative to be present and the employee must be advised of his/her Brookhaven rights, i.e., certain safeguards set out by the Federal Labor relations Authority to protect employees from coercive questioning concerning matters involving their statutorily protected rights. A formal discussion applies only to discussions that concern a grievance, personnel policy or practice or other general condition of employment. These terms are defined broadly by the Federal Labor Relations Authority. These are not normally the subjects of a GAIB witness interview, which more likely would seek to establish an employee s specific actions, conduct, and observations relevant to the mishap at issue. However, questions about workplace actions, the workplace atmosphere, or general environment of the work center (e.g., how often did personnel use government owned or leased vehicles for personal use) are considered discussions about general conditions of employment. If there is any question whether an interview might constitute a formal discussion, which would require union notice, the GAIB Legal Advisor should consult with the Host Installation SJA or the Labor Law Field Support Center at AFLOA/JACL A union official, steward or other representative attending a GAIB witness interview may advise the federal employee who is being interviewed, but may not ask or answer questions on behalf of the witness, and may not interrupt or improperly interfere with the interview Rights Advisements Before questioning a civilian employee suspected by the interviewer of committing a violation of federal or local state criminal law, consult the convening authority s SJA for guidance on how to proceed. The Fifth Amendment to the United States Constitution provides rights to persons that are not subject to the UCMJ. The convening authority s SJA should consider whether to consult with the Host Installation SJA in order to determine whether or not civilian criminal investigators should become involved. If the GAIB President decides to interview the witness, first provide the rights advisement in Figure 6.3 of this Instruction If after rights advisement, the civilian employee agrees to testify under oath or affirmation, then the following statement should appear immediately before the witness testimony: Having been duly sworn and advised of [his/her] rights under the Fifth Amendment to the Constitution of the United States, and of [his/her] rights to counsel, and having acknowledged [his/her] understanding of those rights, and having affirmatively waived those rights, the witness testified as follows:

45 AFI MAY In appropriate cases, a witness may have both a union representative and legal counsel present during an interview. However, only the GAIB members may ask questions and only the witness may answer questions during the interview DoD Contractor Employee Witnesses The GAIB President may choose to have an Air Force contract management representative present when interviewing employees of DoD contractors. The contract management representative may be able to help obtain company records and determine company policies. In addition, this representative may provide assistance if the employee contends that rights under a contractor s labor-management agreement are being abridged Before questioning a contractor employee the interviewer suspects committed a crime of federal or local state law, consult the convening authority s SJA for guidance on how to proceed. The convening authority s SJA should consider whether to consult with the Host Installation SJA in order to determine whether or not civilian criminal investigators should become involved. If the GAIB President decides to interview the witness, first provide the rights advisement in Figure 6.3 of this Instruction If after rights advisement, the contractor employee agrees to testify under oath or affirmation, then the following statement should appear immediately before the witness testimony: Having been duly sworn and advised of [his/her] rights under the Fifth Amendment to the Constitution of the United States, and of [his/her] rights to counsel, and having acknowledged [his/her] understanding of those rights, and having affirmatively waived those rights, the witness testified as follows: Other Witnesses The GAIB President should allow other witnesses to bring appropriate advisors to an interview. However, only GAIB members may ask questions and only the witness may answer questions during the interview Before questioning a civilian witness the interviewer suspects committed a crime under federal or local state law, consult the convening authority s SJA for guidance on how to proceed. The convening authority s SJA should consider whether to consult with the Host Installation SJA in order to determine whether or not civilian criminal investigators should become involved. If the GAIB President decides to interview the witness, first provide the rights advisement in Figure 6.3 of this Instruction If after rights advisement, the witness agrees to testify under oath or affirmation, then the following statement should appear immediately before the witness testimony: Having been duly sworn and advised of [his/her] rights under the Fifth Amendment to the Constitution of the United States, and of [his/her] rights to counsel, and having acknowledged [his/her] understanding of those rights, and having affirmatively waived those rights, the witness testified as follows: Consult the convening authority s SJA for guidance on interviewing foreign military personnel and foreign nationals that the GAIB interviewer suspects, or comes to

46 46 AFI MAY 2010 suspect, of acting in violation of United States (federal and state) criminal laws or the criminal laws of the witnesses countries of citizenship Preserving Witness Testimony Record the testimony of each witness. This is a requirement even when witnesses are interviewed by telephone or by video teleconference. See paragraph of this Instruction for additional requirements for telephone or video teleconference interviews Record the witness introduction and administration of the oath or affirmation. In addition, record the date, time, and place of interview, as well as the persons present. Before recording questions and answers, record the witness saying his or her full name, rank, job title, and present duty assignment and location See paragraph of this Instruction for guidance as to whether the names of individuals involved in a mishap will be included in the final GAIB report Before beginning the audio recording, conduct a pre-interview to obtain the witness Social Security number, home address, duty phone, home telephone number, and any other protected information. Include this information with the Post-Investigation Memorandum required by paragraph 10.2 of this Instruction Do not permit witnesses to talk with their hands, since this cannot be transcribed. Similarly, ask the witnesses to answer "Yes" or "No" rather than nodding their heads or responding "Uh-huh." If witnesses testify using a diagram, ask them to mark or place numbers where events or actions occurred. Include the diagram in the GAIB Report as an attachment to the appropriate interview transcript or summary. If witnesses describe distances with their hands, translate the distance for the record (e.g., "For the record, the witness is holding his hands approximately three feet apart") Reduce witness testimony to writing by transcribing the testimony verbatim or by summarizing the relevant portions of the testimony. Include the transcript or summary in Tab V of the GAIB Report. See Figure 6.1 of this Instruction for a recommended format for summarizing testimony If the witness testimony is critical, have the recording transcribed in its entirety. However, if only a small portion of the testimony is valuable, or if exact words are not important, the testimony may be summarized Ask the individual who will transcribe the interviews to verify the suitability and quality of the recording equipment before starting the interviews The interviewer should take thorough interview notes to assist in writing a coherent, accurate summary of witness testimony If a witness interview is summarized, the witness should sign the summary. Before the witness signs the summary, place the witness under oath or affirmation. The witness may sign the interview summary in person or by mail If the witness is not available in the immediate area, the GAIB President may or fax the witness a copy of his or her statement to review and sign. The witness should or fax the signed signature page back to the GAIB President and mail the original signed signature page to the GAIB President.

47 AFI MAY Since interview summaries are included in the GAIB Report and are publicly releasable, do not include privacy information (e.g., Social Security numbers, home addresses, home telephone numbers) in the summary If a witness declines to sign a summarized statement on the grounds that it does not accurately reflect his or her testimony, review any audio recordings and notes with the witness and reach an agreement on what the witness said or intended. It is important the witness concurs with the summarized statement of his or her testimony. If agreement cannot be reached, use a verbatim transcript of the testimony instead of a summary When preparing verbatim transcripts, double space between questions. Number all questions and answers included on the document using the following scheme: Q1 for the first question and A1 for the first answer, Q2 for the second question and A2 for the second answer, and so on. Use the same scheme when including verbatim questions and answers in statements of summarized testimony. Be sure verbatim transcripts clearly identify the individuals who are asking and answering each question Define acronyms and technical terms used in the interview process since the public may not understand them Package and label all audiotapes, interviewer notes, stenographer notes, and any items containing recordings of witness testimony. Send these items with the Post-Investigation Memorandum to the convening authority s SJA for storage after the GAIB Report is approved. See paragraph 10.2 of this Instruction for guidance on post-investigation matters.

48 48 AFI MAY 2010 Figure 6.1. Sample Format for Summarized Witness Testimony Figure 6.2. Rights Advisement for Military Suspects.

49 AFI MAY Figure 6.3. Rights Advisement for Civilian Suspects.

50 50 AFI MAY Prohibited Releases. Chapter 7 RELEASING INFORMATION Providing seriously injured individuals (or their representatives), NoK, and the public the results of an accident investigation conducted pursuant to this Instruction is a high priority for the Air Force. Unauthorized disclosure of information gathered by a GAIB or about the investigation itself disrupts and may adversely impact the accident investigation process. To avoid the problems that arise from an unauthorized disclosure of GAIB-related information, coordinate and release information about accident investigations and completed GAIB Reports in compliance with this chapter of this Instruction, AFI , DoD Regulation /Air Force Supplement, DoD R, Department of Defense Privacy Program, DoD R, and AFI GAIB members, GAIB advisors, contractors, and federal government employees who have had or obtained access to GAIB-related information (e.g., evidence gathered by the GAIB and the contents of the GAIB Report) will not disclose that information for any purpose other than official and authorized purposes prior to the official public release of the GAIB Report. Prior to public release of the GAIB Report, the only authorized disclosures of GAIB information or the contents of a GAIB Report are for the purpose of facilitating the GAIB investigation. Any other disclosures must be specifically approved by the convening authority s SJA The prohibition of paragraph of this Instruction does not apply to disclosures made IAW paragraph 7.2 of this Instruction or other disclosures made for official or authorized purposes This prohibition does not preclude the GAIB from seeking information from any source during the investigation process to include disclosing information to a witness in order to fully develop questioning. In such cases, the witness shall be instructed not to disclose any information learned during the interview Failure to comply with the prohibition of paragraph of this Instruction by an active duty Air Force member, AFRC member in active duty or inactive duty for training status, or an ANG member in federal service, is a violation of Article 92 of the UCMJ Failure to comply with paragraph of this Instruction by a DoD civilian employee may result in administrative disciplinary action independent of any actions for violation of applicable federal and state laws. Violations by DoD contractor personnel will be reported to the appropriate DoD or Air Force contracting official Early Release of Factual Information about the Accident When the requirements of 10 U.S.C. 2254, listed under paragraph of this Instruction, have been satisfied, the convening authority, or their SJA unless such authority is withheld, shall authorize the public disclosure of unclassified recordings, scientific reports, and other factual information regarding the accident prior to public release of the GAIB Report. However, the requirements of paragraph shall not limit the convening

51 AFI MAY authority s ability to release factual information prior to public release of the GAIB Report when the convening authority deems it appropriate If the accident involved military or civilian employees from other MAJCOMs, other DoD Components, or foreign military services, the release should be coordinated with the other officials and organizations involved before the authorization is made. Similar coordination may be needed or appropriate if the mishap involves a prominent public official The convening authority s PAO and SJA will provide assistance regarding contacting offices and officials outside the convening authority s command. In addition, AFLOA/JACC will provide assistance as appropriate Factual information within the possession of the GAIB shall be released prior to public release of the GAIB Report when each of the following conditions are met: The information is specifically requested, such as pursuant to the Freedom of Information Act or through a media inquiry The information will be included in the releasable GAIB Report Early release of the information will not impede the ability of investigators to continue conducting the accident investigation or any on-going safety investigation The information would not be required to be withheld under the Freedom of Information Act. Information that is required to be withheld from public release includes classified information or information that would clearly warrant an invasion of an individual s privacy that is not outweighed by the public interest in knowing how the Air Force conducts its mission For purposes of paragraph 7.2 of this Instruction, factual information includes documents, diagrams, photographs, and other evidence that will be included in the publicly releasable GAIB Report, but does not include any findings or opinion of the GAIB The GAIB President will coordinate any early release with the convening authority s PAO and SJA. See paragraph 7.5 of this Instruction for additional requirements when the accident investigation involves a High-Interest Mishap Release of Status Information about Accident-Related Response Actions and Activities It is important to keep seriously injured individuals (or their representatives), NoK, and the public informed of the status of accident-related response actions and activities that are separate from any safety investigation and the legal investigation of the mishap Examples of these actions and activities include search and rescue operations, recovery of remains, salvage efforts, emergency response activities, and environmental remediation of the accident site At any time, an appropriate authority may make a public disclosure of the status of accident-related response actions and activities described in paragraph of this Instruction, as long as such information, at the time of disclosure, would not be required to be withheld under the Freedom of Information Act. Information that is required to be withheld from public release includes classified information or information that would clearly warrant

52 52 AFI MAY 2010 an invasion of an individual s privacy that is not outweighed by the public interest in knowing how the Air Force conducts its mission. In addition: The disclosure must not be likely to adversely impact any on-going safety investigation or ground accident investigation The disclosure must not conflict with policy of the command or commands responsible for investigating the mishap and taking the accident-related response action or activity that is the subject of the release Seriously injured individuals (or their representatives) involved in the accident and the NoK of individuals that died as a result of the accident will be notified before the disclosure is made to the media, the public, or individuals not involved in the accident The disclosure must not precede notification to appropriate outside officials and organizations when the mishap involves military or civilian employees from outside MAJCOMs, other DoD Components, or foreign military services. Similar notification may be necessary or appropriate when the accident involves foreign nationals or prominent public figures Outside officials and organizations and outside MAJCOMs refers to officials, organizations, and MAJCOMs other than the organization and MAJCOM to which the individual making the disclosure is assigned or attached Consult the convening authority s PAO and SJA for assistance in identifying when and where to make notifications under paragraph of this Instruction As used in paragraph of this Instruction, appropriate authority means an employee or office within the command or commands responsible for investigating the mishap and taking the accident-related response action or activity that is the subject of the disclosure of information The GAIB President or GAIB Legal Advisor are considered an appropriate authority for releasing information about accident-related response actions and activities Release of Status Information about the Accident Investigation It is important to keep seriously injured individuals (or their representatives), NoK, and the public informed of the status of efforts to investigate an accident pursuant to this Instruction The GAIB President is responsible for the release of all status information on the ground accident investigation and any safety investigation, to include the release of factual information regarding the accident that would not be required to be withheld under the Freedom of Information Act The GAIB President must coordinate the release of status information about investigations with the convening authority s SJA and PAO The GAIB President may release information about the status of the accident investigation without prior approval from the Convening Authority, unless the accident is

53 AFI MAY a High-Interest Mishap. See paragraph 7.5 of this Instruction for applicable requirements when the accident investigation involves a High-Interest Mishap Prior to disclosure of status information, notification to appropriate outside officials and organizations may be necessary or appropriate when the mishap involves military or civilian employees from outside MAJCOMs, other DoD Components, or foreign military services. Similar notification may be necessary or appropriate when the accident involves foreign nationals or prominent public figures Outside officials and organizations and outside MAJCOMs refers to officials, organizations, and MAJCOMs other than the organization and MAJCOM to which the individual making the disclosure is assigned or attached For purposes of this Instruction, releasing status information about investigations to seriously injured individuals or NoK will constitute public release of the information When relaying status information on accident and safety investigations to seriously injured individuals (or their representatives), NoK of individuals who died as a result of the accident, and the public, the following guidance applies: Use Family Liaison Officers (FLOs) instead of the GAIB President or other GAIB members to provide status information on the investigations to seriously injured individuals (or their representatives) and NoK Having a GAIB member provide the information could result in a situation where GAIB members are perceived as having lost their objectivity with regard to the accident investigation Ideally, GAIB members should only contact seriously injured individuals and NoK to introduce themselves, conduct formal interviews, and/or perform postinvestigation briefings required by paragraph of this Instruction The GAIB President may hold press conferences and issue press releases. However, release information to the seriously injured individuals and NoK before disclosing it in a press conference or press release High-Interest Mishaps. The provisions of this paragraph apply for accident investigations of High-Interest Mishaps. These requirements apply in addition to or instead of, as appropriate, the requirements specified in paragraphs 7.1 through 7.4 of this Instruction High-Interest Mishaps are accidents in which there is loss of life, serious personal injuries, significant civilian property damage, or accidents that are likely to generate widespread media or congressional interest Prior to an early release of factual information or disclosure of any status information under this chapter, any necessary or appropriate notification to appropriate outside officials and offices must be made The requirements of paragraph of this Instruction apply when the accident involves military or civilian employees from outside MAJCOMs, other DoD Components, or foreign military services. These requirements also apply when the accident involves foreign nationals or prominent public figures.

54 54 AFI MAY Outside officials and offices and outside MAJCOMs refers to officials, offices, organizations, and MAJCOMs other than the MAJCOM that convened the investigation Prior to an early release of factual information or disclosure of any status information under Chapter 7 of this Instruction, notification must be made to seriously injured individuals (or their representatives) and the NoK of individuals who died as a result of the accident At least two duty days prior to any disclosure to seriously injured individuals (or their representatives) or NoK under paragraph 7.4 of this Instruction, the convening authority s SJA must coordinate with AFLOA/JACC for immediate distribution to The Judge Advocate General (TJAG) for his or her information and review. The convening authority s SJA must forward the planned disclosure to AFLOA/JACC by or fax as part of this coordination. Coordinate early because disclosure may not occur before at least two days after TJAG receives the planned disclosure from AFLOA/JACC If the High-Interest Mishap involves loss of life, the GAIB President must initiate an information disclosure about the status of the safety and accident investigations following arrival at the accident scene (or the location from which the SIB is working). Figure 7.1 is a sample initial information disclosure for High-Interest Mishaps involving a fatality If the GAIB President follows the sample at Figure 7.1 when making the first release of status information about the investigations, and no specific investigation information is added, the notification and approval requirements of paragraph of this Instruction do not apply.

55 AFI MAY Figure 7.1. Sample First Release of Status Information about Investigations (Fatality Mishaps).

56 56 AFI MAY 2010 Chapter 8 THE GAIB REPORT 8.1. Purpose. The GAIB President documents the results of the accident investigation in the GAIB Report. As indicated in paragraph 1.1 of this Instruction, the GAIB Report is a publicly releasable report of the facts and circumstances surrounding the accident the GAIB investigated. The GAIB Report includes an Executive Summary and Summary of Facts. When specifically required by the Convening Authority, the GAIB Report also includes a Statement of Opinion on the cause, causes, and/or factors that substantially contributed to the mishap Format Arrange the components of the GAIB report in the following sequence, from front cover to back cover of the report Cover sheet (front). Use the format specified in Attachment 5 of this Instruction Convening Authority s approval letter Executive Summary. Prepare IAW paragraph 8.4 of this Instruction Summary of Facts. Prepare IAW paragraph 8.5 of this Instruction Statement of Opinion, if the Convening Authority requires one. Prepare IAW paragraph 8.6 of this Instruction Index of Tabs. Prepare IAW paragraph of this Instruction Tabs. Organize IAW paragraph 8.7 of this Instruction Cover sheet (back). Use a blank page For Abbreviated Ground Accident Investigations, the format described in paragraph of this Instruction may be modified to the extent allowed under Chapter 11 of this Instruction Preparing the Report The GAIB Report will contain factual information about the accident, including supporting documentary and testimonial evidence, as well as photographs and other graphics as required The GAIB Legal Advisor will review all documents obtained from the SIB President to ensure they only reflect facts and do not draw ultimate conclusions about causation The GAIB Legal Advisor will redact from the SIB Tabs information that is inappropriate for public release and safety-privileged information Opinions and conclusions in technical analyses reports included in the SIB Part I are appropriate for public release The GAIB Report will not include the following types of information: Recommendations or suggested corrective actions.

57 AFI MAY Recommendations or concerns arising from the accident investigation. Consistent with paragraph of this Instruction, the GAIB President will advise the convening authority of any recommendations or concerns in a separate document from the GAIB Report Original personnel, training, medical, or flight records of individuals involved in the accident Photocopies of relevant records may be included in the GAIB Report. Other records not included in the report should be noted as reviewed but not relevant to the mishap. Redactions or masking may be necessary to prevent violation of privacy or other applicable restrictions Original audio or video recordings, or photographs taken of the accident or any emergency response to the mishap Duplicates of recordings and photographs may be included in the GAIB Report. Editing or masking may be necessary to prevent violation of privacy or other applicable restrictions Audio recordings or video recordings of witness interviews Privileged safety information Contractor propriety data Any graphic description of injuries, including those descriptions routinely found in autopsy protocols, medical records, human remains' scatter diagrams, or photographs showing human remains Any document that estimates or gives monetary damage amounts of potential or actual third-party claims against the government Information that is exempt from disclosure under the Freedom of Information Act, 5 U.S.C See DoD Regulation /Air Force Supplement, DoD Freedom of Information Act Program, for restrictions on disclosure of information that qualifies for exemption from the release requirements of the Freedom of Information Act. See also paragraph of this Instruction regarding deployed/overseas personnel Information protected by the Privacy Act, 5 U.S.C. 552a. See AFI , Privacy Act Program, for restrictions on disclosure of information protected by the Privacy Act Information protected by the Arms Export Control Act, 22 U.S.C aa, or the Export Administration Act of 1979, 50 U.S.C. App , except as provided in paragraph of this instruction Information that is classified, except as allowed by paragraph of this Instruction The GAIB Report will only include information that is publicly releasable. Information is not publicly releasable if a statute or regulation prohibits its disclosure or a non-government entity controls disclosure of the information.

58 58 AFI MAY The GAIB Legal Advisor should contact the convening authority s SJA and/or AFLOA/JACC for assistance in determining if specific information is publicly releasable For accidents occurring in or involving personnel assigned/deployed overseas, consult with the convening authority s SJA to assess the applicability of redacting personally identifying information as permitted under 10 U.S.C. 130b, and under FOIA exemptions 3 and 6. See paragraph of this instruction Maintenance documents, including Maintenance Manuals, Technical Orders, and Time Compliance Technical Orders may be subject to the Arms Export Control Act, 22 U.S.C aa, or the Export Administration Act of 1979, 50 U.S.C. app Obtain written approval from the Technical Content Manager (TCM) before including extracts of these publications in the GAIB Report. See AFI , Disseminating Scientific and Technical Information, for guidance on obtaining approval for inclusion of restricted technical information in the GAIB Report Include the approval from the TCM in the Tabs to the Report and in the Post-Investigation Memorandum as required by paragraph 10.2 of this Instruction If the TCM denies authorization to include technical information in the GAIB Report, the decision may be appealed through the TCM s chain of command The convening authority s SJA may opt to have a TCM review the entire GAIB report after it is submitted for final review. Alternatively, if a TCM final review at the MAJCOM level is not anticipated, the GAIB legal advisor may consider asking the TCM to review the SIB Part I to ensure all technical data has been approved for public release The GAIB Report will not include classified documents except as allowed in paragraph of this Instruction If classified documents are absolutely essential to support the Statement of Opinion, when the convening authority requires a Statement of Opinion, the GAIB President will include the classified testimony, documents, and information in a separate classified addendum. This will allow the unclassified portion of the GAIB Report to be publicly released without redacting text Even though portions of an individual's testimony may be classified, it is not necessary to include the entire testimony in the classified addendum. Instead, include as much unclassified testimony as possible in the unclassified portion of the GAIB Report. It is recommended that two separate interviews (one classified and one unclassified) be conducted when classified information is germane to the investigation If a classified interview does not yield information relevant to the cause of the mishap, do not transcribe the interview Recordings of classified interviews, as with all interviews, should be provided to the convening authority s SJA in accordance with paragraph of this Instruction. See AFI for instructions on how to protect and handle classified information, including tape recordings of classified interviews.

59 AFI MAY If the GAIB Report includes a classified addendum, the unclassified portion of the report will disclose that a classified addendum exists The GAIB Report will not include excerpts of instructions, regulations, and policy documents without also providing the corresponding front title pages of the documents The GAIB Report is exempt from licensing with a report control symbol (RCS) under AFI , The Information Collections and Reports Management Program; Controlling Internal, Public, and Interagency Air Force Information Collections, paragraph When possible, names of individuals involved in a mishap event should be disclosed in the GAIB report. However, DoD policy and federal law (The FOIA) requires names not to be released if it is determined doing so would or could constitute a clearly unwarranted invasion of personal privacy that is not outweighed by the public s right to know how the Air Force performs its statutory mission. Usually, names of witnesses not involved in the mishap particularly non-employee civilian witnesses will not be included in the publicly releasable report as their names in and of themselves provide no information of how the Air Force conducts its mission. The inclusion of mishap personnel, GAIB members, and witness names in the publicly releasable GAIB report will be consistent with DoD policy on the release of DoD personnel names, the FOIA, and privacy concerns. The GAIB Legal Advisor will consult with the convening authority s SJA with regards to whether the names of individuals involved in a mishap will be included in the GAIB report (to include both the narrative portion and all tabs) based on a FOIA analysis weighing public disclosure interests against individual safety/security/privacy interests Additionally, for DoD personnel in overseas, sensitive, or routinely deployable units, personally identifiable information, including names, may be withheld. The HAF/IMII FOIA office (Chief, Information Office Support Division for the AF FOIA) maintains an updated list of overseas, sensitive, and routinely deployable units that are covered under this policy, which is based on 10 U.S.C. 130b. The list may also be obtained through HQ USAF/JAA. Personally identifying information according to 10 U.S.C. 130b, means the person s name, rank, duty address, and official title and information regarding the person s pay If names of individuals involved in the mishap are omitted from the GAIB report, include an attachment to the post-investigation memorandum listing their names, their social security numbers, contact information, and a FOIA analysis provided by the convening authority s SJA supporting the name omissions Omitted names shall be replaced by job identifiers or roles in the mishap such as, mishap driver, mishap operator, mishap sensor operator, witness 1, etc Remove all or part of all signatures from the report so the actual signature cannot be misused. If the signature is relevant to the mishap or investigation and if the entire signature is removed, replace it with a marking that states, signed. If the signature is not relevant to the mishap or to the investigation, it may be removed entirely The signature of the Board President is not removed from the copy of the report provided to the NoK or persons with serious injury Executive Summary.

60 60 AFI MAY The Executive Summary is a brief statement of the basic facts surrounding the accident being investigated. When the convening authority requires that the GAIB Report include a Statement of Opinion, the Executive Summary includes a brief statement of the GAIB President s opinion regarding the cause, causes, and/or factors that substantially contributed to the mishap The Executive Summary is a stand-alone document. It must be complete and make sense without reference to the Summary of Facts, any Statement of Opinion required by the convening authority, or any other document The Executive Summary should be written in a style that will be easily understood by the general public, much like a press release The Executive Summary should be a one-page, single-spaced document that includes the following items: Date, time, and location of the accident Identification of the equipment, vehicle, facility, system or other Air Force property involved in the accident by model number, serial number, facility code, or other appropriate designator Brief summary of the facts and circumstances of the accident Number of individuals injured and killed. This includes DoD military and civilian personnel, DoD contractor employees, and all other people General description of property damage. This includes damage to DoD property and damage to property owned by commercial entities or private citizens who have no DoD affiliation Abbreviated statement of opinion on the cause, causes, and/or factors that substantially contributed to the accident. This includes identification of the legal standards the GAIB President used to evaluate the evidence the GAIB collected. This requirement only applies when the convening authority requires that the GAIB Report include a Statement of Opinion The Executive Summary will not include the names of individuals involved in the accident. Instead, it will refer to individuals by position or other general description (e.g., Mishap Driver No. 1, Bystander, and Munitions Technician) The Executive Summary states findings in the third person form (e.g., The GAIB President found... ) The GAIB President does not sign the Executive Summary Figure 8.1 of this Instruction is the format used for the Executive Summary Summary of Facts The Summary of Facts provides a thorough discussion of the relevant facts surrounding the accident being investigated The Summary of Facts will present the facts in a narrative style.

61 AFI MAY The Summary of Facts will not include conclusions or opinions about the cause, causes, and/or factors that substantially contributed to the accident There is no standard length for the Summary of Facts The length of the Summary of Facts will depend on the type of accident being investigated and the amount of information available to the GAIB The Summary of Facts should be as comprehensive as necessary to meet the composition requirements specified in Chapter 8 of this Instruction The Summary of Facts will be printed out on single-sided pages The Summary of Facts must be self-contained and fully supported by evidence included in the GAIB Report. A reader must not have to refer to any other documents to understand the complete story of the accident Each factual statement in the Summary of Facts should be followed by a parenthetical reference to the supporting evidence included in the Tabs of the GAIB Report. For instance, Several witnesses observed lightning strikes just before the accident. (Tabs V-1.6, V-4.9, V-5.16) and Air Weather Service reports indicated severe thunderstorms in the area at the time. (Tab F-3) Arrange the Summary of Facts by items and address each item in the numerical order specified in Figure 8.2 of this Instruction. The Summary must address each listed item in Figure 8.2, even if only to state that the item is not applicable or is not relevant. Add items to the Summary if necessary to address other relevant issues Statement of Opinion The Statement of Opinion presents the GAIB President s personal opinion regarding the cause, causes, and/or substantially contributing factors of the accident being investigated. In those rare instances when a Statement of Opinion is required (see paragraph of this Instruction), it must be clear, complete, and concise The Statement of Opinion should be a brief document, normally no longer than three pages The Statement of Opinion must not address matters outside the scope of the GAIB The Statement of Opinion must be self-contained. A reader must not have to refer to any other document to know the GAIB President s opinion and the bases for that opinion The Statement of Opinion should mention specific facts that support the stated conclusions The Statement of Opinion will not mention any facts that are not included in the Summary of Facts or supported by evidence located at Tabs within the GAIB Report Standard of Proof. The Statement of Opinion must clearly state the standard used to make conclusions about the accident.

62 62 AFI MAY Use language such as, I find by clear and convincing evidence that the cause of the accident was... and/or I find sufficient evidence to conclude that the following factors substantially contributed to the mishap: Provide an opinion about the cause or causes of the accident only when clear and convincing evidence supports the opinion Each individual cause cited must be supported by clear and convincing evidence Clear and convincing evidence enables the accident investigator to reach a conclusion without serious or substantial doubt. In other words, the opinion must be supported by credible evidence that shows it is highly probable that the conclusion is correct. However, clear and convincing evidence does not mean that another person, looking at the same facts, may not reach a different conclusion Consult the GAIB Legal Advisor for guidance in determining if the available evidence meets the clear and convincing standard of proof Substantially Contributing Factors. If the GAIB President is unable to determine a cause, he/she shall describe the factors, if any, which substantially contributed to the mishap. In cases where the GAIB President is able to determine the cause(s) of the mishap, he/she may also describe substantially contributing factors Fully explain the direct connection between each substantially contributing factor and the accident Each substantially contributing factor must be supported by a preponderance of evidence. A preponderance of evidence is the greater weight of credible evidence Evidence Considered. When weighing the evidence, consider all available evidence including: Direct evidence, i.e., that is based on actual knowledge or observation of witnesses, and Indirect evidence, i.e., facts or statements from which reasonable inferences, deductions, and conclusions may be drawn to establish an unobserved fact, knowledge, or state of mind Weighing Evidence. The weight of the evidence is not determined by the number of witnesses or exhibits but by considering all the evidence and evaluating factors such as a witness behavior, opportunity for knowledge, information possessed, ability to recall and related events and relationship to the matter being considered Date and sign the Statement of Opinion as President, Ground Accident Investigation Board When preparing the Statement of Opinion, begin the Statement on a new page and copy it onto single-sided pages Figure 8.3 of this Instruction is the format for the Statement of Opinion Prepare a Statement of Opinion and include it in the GAIB Report only when it is requested by the Convening Authority. A thorough, well-documented GAIB investigation allows the facts to speak for themselves.

63 AFI MAY Tabs The evidence gathered by the GAIB and placed into the report is organized using Tabs Tabs A through S of the GAIB Report are reserved for evidence included in Part I of the SIB Report. See AFI , Chapter 6 and AFMAN , Ground Safety Investigations and Reports, for additional guidance on the type of information included in Part I of the SIB report Part I of the SIB report contains factual non-privileged information arranged by Tabs. Part I of a formal privileged safety report is inserted into the GAIB Report as Tabs A through S. The SIB for a ground mishap is only instructed to use, at a minimum, Tabs A, B, C, G, O, Q, R and S IAW AFMAN , Chapter 6. Do not add the Tabs the SIB did not use. New evidence gathered by the GAIB must be inserted into new Tabs, e.g. Tabs T through AA If there is no formal SIB report, insert the appropriate, non-privileged evidence received from the Safety Investigation in the relevant Tabs A through S of the GAIB report See AFI , Chapter 6, and AFMAN , Chapter 6, for information about SIB reports An Index of Tabs will be included in the GAIB Report immediately preceding individual Tabs The Index of Tabs will identify all Tabs contained in the GAIB Report. Figure 8.4 is a sample format that may be used for preparing the Index of Tabs A separate Tab Index will be created for each Tab that contains sub-tabs. Each individual Tab Index will be placed in the GAIB Report immediately preceding the first sub-tab included in the individual Tab. Figure 8.5 is a sample format that may be used for preparing an index for a Tab that contains sub-tabs Separate Tabs identify different types of evidence. For example, Tab S contains photographs; Tab V contains statements from witnesses and summaries of witness interviews. Sub-Tabs should be used when a Tab contains multiple documents Number each page of the documents contained in Tabs or sub-tabs in numeric order with the appropriate Tab letter followed by a dash and number (Tab W-1, W-2, etc.). For example, Tab Z contains photographs; Tab Z-1 contains a photograph of the mishap vehicle and Tab Z-2 a map of the mishap area Each witness interview should be documented in a separate sub-tab of Tab V. For example, Tab V-5 is summarized testimony for Private Daniel Willhide s first interview, Tab V-6 is the summarized testimony of Private Willhide s second interview, and Tab V-7 is the verbatim transcript of the interview of Captain Mabelle Fortner. For each witness interview sub-tab, number each page by placing the appropriate number following a decimal point that is placed after the sub-tab number. For example, the fourth page of a witness statement identified as Tab V-3 would be referenced as Tab V A reference to pages 5 and 6 of the witness statement identified as Tab V-3 would be cited as Tab V or Tab V-3.5 thru V-3.6.

64 64 AFI MAY When providing a source for evidence in the Summary of Facts or Statement of Opinion, reference the Tab or Sub-tab number and appropriate page number or numbers. For example, if two different witnesses said the truck rolled over and then exploded, the Summary of Facts might say, Two eyewitnesses saw the truck roll over and then explode (Tab V-6.4, V-8.2 thru V-8.3) Include documents, photographs, recordings, and other types of evidence in the GAIB Report under one or more of the Tabs listed below Tab A - Distribution Memorandum and Safety Investigator Information Tab B Not Used Tab C - Preliminary Message Report Tab D - Maintenance Reports, Records, and Data Tab E Not Used Tab F - Weather and Environmental Records and Data Tab G - Personnel Records Tab H - Egress, Impact, and Crashworthiness Analysis Tab I - Deficiency Reports Tab J - Releasable Technical Reports and Engineering Evaluations Tab K - Mission Records and Data Tab L - Data from On-Board Recorders Tab M - Data from Ground Radar and Other Sources Tab N - Transcripts of Voice Communications. These are written transcripts of recorded voice communications between Air Force personnel and other individuals involved in the accident being investigated Tab O - Any Additional Substantiating Data and Reports. This is supporting data not otherwise defined. It can include, for instance, local operating instructions and training records Tab P Damage and Injury Summaries. This lists the total damage to all government property, materiel, and equipment Tab Q - Legal Board Transfer Documents. These are the transfer papers from the SIB to the GAIB Tab R - Releasable Witness Testimony The GAIB may exclude any non-relevant or inappropriate interviews contained in Tab R Tab S - Releasable Photographs, Videos, and Diagrams Tab T - Individual Records and Orders Not Included in Tab G. For accidents involving ARC personnel, determine the type of duty orders applicable to them at the time of the accident. Include this information and copies of those orders in this Tab.

65 AFI MAY Consult the GAIB Legal Advisor for assistance in determining duty status of Air Force and ARC civilian and military personnel involved in the accident Tab U - Maintenance Records Not included in Tabs D or O Tab V - GAIB Witness Testimony and Statements. This includes sworn and unsworn statements made by witnesses, and summaries of witness interviews prepared by the GAIB President Each interview in Tab V shall have a header and/or footer stating the name of the interviewee. For example, Interview of Captain Mabelle Fortner. If a name is not releasable in accordance with para of this Instruction, either replace the name with the interviewee's initials (e.g. "Captain M.F.") or position (e.g. "Witness #1") Tab W - Statements of Injury and Death. This Tab contains statements that identify the injuries or death resulting from the accident being investigated. It must not include information that violates the provisions of the Privacy Act, 5 U.S.C. 552a, as implemented by AFI , DoD R, DoD Health Information Privacy Regulation, or constitutes a clearly unwarranted invasion of personal privacy under the Freedom of Information Act, 5 U.S.C. 552, as implemented by DoD Regulation /Air Force Supplement, DoD Freedom of Information Act Program. Provide information about injuries and death only to the degree of detail sufficient to support the findings and conclusions. Avoid graphic descriptions of trauma or injuries. Do not include the autopsy protocol. Be mindful of potential sensitivities of the seriously injured individuals and NoK. The medical member should draft a general statement indicating the cause of death or injury and describe any abnormal laboratory test results or other medical factors affecting the performance of Air Force personnel involved in the accident Tab X - GAIB Appointment Documents. This includes all documents that appoint or release GAIB Members and detail or dismiss GAIB Advisors Tab Y - Photographs Not Included in Tab S Tab Z - Accident-Related Duty Documents. This Tab includes documents or other evidence Air Force civilian and military personnel involved in the accident relied upon to prepare or carry out the duties they were performing when the accident occurred. It may include blueprints, test reports, weather forecasts, operating instructions, maps, permits or licenses, and/or training manuals Tab AA - Applicable Regulations, Directives, and Other Government Documents. This Tab includes instructions or regulations, operating instructions, manuals, permits or licenses, and other documents issued by appropriate government authorities, to include Air Force officials. It only includes policy and/or guidance documents that are relevant and applicable to the accident being investigated. Ensure the documents included in the Tab are the version that was current at the time of the mishap and are not restricted from public release. If a document is long, the GAIB President should obtain a complete copy but only include in this Tab the cover pages and relevant portions of the document.

66 66 AFI MAY Remove Controlled Unclassified Information such as For Official Use Only markings, Social Security numbers, home addresses, home telephone numbers, and other protected information from SIB Report documents before including them in the GAIB Report. See paragraph of this Instruction for restrictions on GAIB Report content Before redacting or masking For Official use Only or Controlled Unclassified Information markings, make sure the document is publicly releasable Create additional Tabs for the GAIB Report to accommodate any evidence the GAIB gathers that does not meet the description for Tabs T through AA. Label new Tabs alphabetically, beginning with Tab BB. See paragraph of this Instruction for use of Tabs A through S of the GAIB Report Assembling the Report Assemble the completed report on 8 1/2" x 11" paper, secured at the top or in a threering binder The Cover Page, Executive Summary, Table of Contents, List of Commonly Used Acronyms, Summary of Facts, and the Statement of Opinion shall be printed on one side only. The pages in the Tab sections may be single or double-sided Excluding the GAIB Report cover and the SIB Part I portion, all pages of the GAIB Report should have a centered footer in size 11 italicized font indicating the location and date of the mishap The GAIB should not alter the header or footer of pages included in the SIB Part I If the Report exceeds the thickness of the binder, assemble it in multiple volumes. Label the binders (example: 1 of 3) 8.9. Completing the Report. Submit the completed GAIB Report for approval IAW paragraph 9.1 of this Instruction. See paragraphs 9.2 through 9.4 of this Instruction for requirements regarding distribution of the approved GAIB Report.

67 AFI MAY Figure 8.1. Format for the Executive Summary.

68 68 AFI MAY 2010 Figure 8.2. Format for the Summary of Facts.

69 AFI MAY

70 70 AFI MAY 2010

71 AFI MAY