Investigation Workflow

An investigation is a structured process to determine the facts, conditions, and circumstances of a safety event, identify root causes, and recommend corrective or preventive actions (CPAs). Investigations are initiated from safety reports and are a core component of Safety Assurance under 14 CFR Part 5 Subpart D. ICAO Annex 13 establishes a 30-day target for preliminary report completion.

Investigation Statuses

Status	API Value	Description
New	`new`	Investigation created and assigned. Scope and initial facts being established.
Data Collection	`data_collection`	Active evidence gathering underway — witness interviews, document collection, flight data extraction.
Analysis	`analysis`	Root cause analysis in progress — applying 5 Whys, Fishbone, or Barrier Analysis methods. Findings being documented.
Review	`review`	Investigation report submitted for safety manager review and approval.
Completed	`completed`	Investigation complete. All findings finalized, CPAs generated. Record is immutable.

Status Lifecycle

Status Transition Rules

From	To	Permitted Roles	Conditions
New	Data Collection	Lead investigator, safety manager	At least one investigator assigned
Data Collection	Analysis	Lead investigator	Evidence collection sufficient to begin analysis
Analysis	Review	Lead investigator	At least one root cause documented; investigation report narrative complete
Review	Completed	Safety manager, admin	Review complete; findings accepted; all recommended CPAs created
Review	Data Collection	Safety manager, admin	Return reason documented

View Modes

The investigation list supports two display modes. Users can toggle between them at any time.

Mode	Description	Best For
Kanban	Columns represent statuses (New, Data Collection, Analysis, Review, Completed). Investigation cards move left to right as they progress. Drag-and-drop supported for permitted transitions.	Visual tracking of investigation pipeline and workload distribution.
List	Sortable, filterable table view with columns for status, assignee, linked reports, priority, and age.	Bulk review, sorting by due date, and exporting investigation data.

Investigation Roles

Role	Responsibilities
Investigator	Collects evidence, conducts interviews, documents facts, performs analysis. Can be assigned to one or more investigations.
Lead Investigator	Coordinates the investigation team, manages scope and timeline, authors the investigation report, submits findings for review. Responsible for root cause analysis.
Safety Manager	Assigns investigations, reviews findings, approves or returns reports, ensures CPAs are generated and tracked. Has oversight of all investigations within the workspace.

Root Cause Analysis Methods

PlaneConnection provides three structured RCA methodologies accessible from the investigation’s Analysis tab.

5 Whys

Iterative questioning technique that traces causal chains from the event back to the root cause.

Field	Description
`event_statement`	Description of the event being analyzed.
`why_1` through `why_5`	Each successive “why” question and answer.
`root_cause`	The fundamental cause identified at the end of the chain.

Applicability: Simple, linear cause chains. Effective for operational and procedural failures.

Fishbone (Ishikawa) Diagram

Categorized cause-and-effect diagram that organizes contributing factors into standard categories.

Category	Scope
People	Human factors, training, fatigue, experience, communication.
Procedures	SOPs, checklists, regulatory requirements, documentation.
Equipment	Aircraft systems, ground equipment, tools, software.
Environment	Weather, airport conditions, organizational culture, time pressure.
Management	Supervision, resource allocation, scheduling, policies.
Materials	Fuels, fluids, parts, supplies, documentation materials.

Applicability: Complex events with multiple contributing factors across different domains.

Barrier Analysis

Examines the defenses (barriers) that should have prevented the event and identifies where they failed or were absent.

Field	Description
`hazard`	The identified hazard or threat.
`target`	The person, asset, or system that was harmed or at risk.
`barriers`	List of barriers (physical, procedural, administrative) that existed or should have existed.
`barrier_status`	For each barrier: `effective`, `failed`, `bypassed`, or `absent`.
`gap_analysis`	Explanation of why each failed or absent barrier did not perform as intended.

Applicability: Events involving defense-in-depth failures. Particularly effective for incidents where multiple safeguards broke down.

Findings Documentation

A finding is a factual statement about a condition, event, or practice identified during the investigation. Each finding includes:

Field	Type	Description
`title`	String	Brief description of the finding.
`description`	Text	Detailed narrative of what was found.
`category`	Enum	`procedural`, `training`, `equipment`, `environmental`, `organizational`, `human_factors`.
`contributing_factor`	Boolean	Whether this finding is a contributing factor to the event.
`evidence`	Array	References to supporting evidence (documents, photos, interview records).
`created_at`	Timestamp	When the finding was documented (UTC).

Timeline Tab

The investigation Timeline tab provides a chronological reconstruction of the event. Each timeline entry includes:

Field	Description
`timestamp`	Date and time of the event or action (local time with UTC offset).
`description`	What occurred at this point.
`source`	How this information was obtained (interview, flight data, ATC recording, document review).
`evidence`	Linked evidence items supporting this entry.

The timeline is sortable and filterable. It serves as the factual backbone of the investigation report.

Recommended CPAs

Investigations produce recommended Corrective and Preventive Actions. Each recommendation includes:

Field	Type	Description
`title`	String	Short description of the recommended action.
`description`	Text	Detailed description of what should be done.
`type`	Enum	`corrective` (addresses existing deficiency) or `preventive` (prevents future occurrence).
`priority`	Enum	`critical`, `high`, `medium`, or `low`.

When approved, recommendations are converted into CPA records that enter the CPA lifecycle.

ICAO Annex 13 Compliance

Requirement	Target	PlaneConnection Feature
Preliminary report	30 days from event	Age indicator on investigation cards. Amber warning at 21 days, red at 30 days.
Final report	12 months (target)	Due date tracking and overdue notifications.
Non-punitive purpose	Investigation for prevention, not blame	Just Culture framework integration.

Linked Records

An investigation can be linked to:

One or more safety reports — the originating events.
One or more CPAs — the resulting actions.
Risk assessments — associated hazard evaluations.
MOC records — if the event relates to a change management process.

Regulatory Alignment

Part 5 Section	Requirement	Investigation Component
5.71(a)(4)	Employee safety reporting	Linked safety reports
5.73	Safety performance assessment	Findings and root cause analysis
5.75	Continuous improvement	Recommended CPAs
5.97	SMS records	Investigation records retained minimum 5 years

Report Statuses

How report statuses connect to investigation triggers.

CPA Lifecycle

Lifecycle for actions generated from investigation findings.

Manage Investigations

Run an investigation from initiation to closure.

Just Culture Framework

Behavior classification framework used during investigations.

SMS Reference

SmartScore

Operations Reference

FBO Reference

Maintenance Reference

Operational Reports

Portal Reference

Platform Reference

API Reference

Investigation Statuses

Status Lifecycle

Status Transition Rules

View Modes

Investigation Roles

Root Cause Analysis Methods

Findings Documentation

Timeline Tab

Recommended CPAs

ICAO Annex 13 Compliance

Linked Records

Regulatory Alignment

Report Statuses

CPA Lifecycle

Manage Investigations

Just Culture Framework

​Investigation Statuses

​Status Lifecycle

​Status Transition Rules

​View Modes

​Investigation Roles

​Root Cause Analysis Methods

​Findings Documentation

​Timeline Tab

​Recommended CPAs

​ICAO Annex 13 Compliance

​Linked Records

​Regulatory Alignment

​Related

Report Statuses

CPA Lifecycle

Manage Investigations

Just Culture Framework

Investigation Statuses

Status Lifecycle

Status Transition Rules

View Modes

Investigation Roles

Root Cause Analysis Methods

Findings Documentation

Timeline Tab

Recommended CPAs

ICAO Annex 13 Compliance

Linked Records

Regulatory Alignment

Related