> ## Documentation Index
> Fetch the complete documentation index at: https://docs.planeconnection.com/llms.txt
> Use this file to discover all available pages before exploring further.
# Investigation Workflow
> Statuses, view modes, RCA methods, and approval workflows for safety investigations.
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
```mermaid theme={}
stateDiagram-v2
[*] --> New : Investigation created
New --> Data_Collection : Evidence gathering begins
Data_Collection --> Analysis : Analysis begins
Analysis --> Review : Submitted for review
Review --> Completed : Safety manager approves
Review --> Data_Collection : Returned for additional work
Completed --> [*]
```
## 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.
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.
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.
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](/en/reference/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 |
## Related
How report statuses connect to investigation triggers.
Lifecycle for actions generated from investigation findings.
Run an investigation from initiation to closure.
Behavior classification framework used during investigations.