96-18533. Proposed Advisory Circular (AC) 120-XX, Air Transportation Partnership for Safety Programs  

  • [Federal Register Volume 61, Number 141 (Monday, July 22, 1996)]
    [Notices]
    [Pages 37953-37958]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 96-18533]
    
    
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    DEPARTMENT OF TRANSPORTATION
    Federal Aviation Administration
    [AC 120-XX]
    
    
    Proposed Advisory Circular (AC) 120-XX, Air Transportation 
    Partnership for Safety Programs
    
    AGENCY: Federal Aviation Administration (FAA), DOT.
    
    ACTION: Notice of Proposed Advisory Circular (AC) 120-XX, and request 
    for comments.
    
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    SUMMARY: This notice announces the publication of, and requests 
    comments on, a proposed AC that provides guidance for establishing air 
    transportation partnership for safety programs. These programs, which 
    are entered into by the FAA and entities within the air transportation 
    industry, are intended to generate safety information that may not 
    otherwise be obtainable. The FAA is implementing a 2-year demonstration 
    program for the use of these programs under which information can be 
    collected and analyzed to measure the programs' effect on safety.
    
    DATES: Comments must be received on or before August 21, 1996.
    
    ADDRESSES: Send all comments on the proposed AC to: Federal Aviation 
    Administration, Air Transportation Division, AFS-200, 800 Independence 
    Avenue SW., Washington, DC 20591.
    
    FOR FURTHER INFORMATION CONTACT:
    Kent Stephens, AFS-230, Federal Aviation Administration, P.O. Box 
    20034, Dulles International Airport, Washington, DC 20041, or telephone 
    (703) 661-0333 x5131.
    
    SUPPLEMENTARY INFORMATION: The proposed AC may be downloaded from the 
    FedWorld BBS by dialing (703) 321-8020, ANSI, 8, 1, N, 9600 baud, or 
    through the Internet at the following Uniform Resource Location (URL): 
    flp://fwux.fedworld.gov/pub/faa/faa.htm. The file name is ``AC XX-
    XX.TXT.''
    
    Comments Invited
    
        Interested persons are invited to comment on the proposed AC by 
    submitting such written data, views, or arguments as they may desire. 
    Commenters should identify the AC, and submit comments, in duplicate, 
    to the address specified above. All comments received on or before the 
    closing date for comments will be considered by the Air Transportation 
    Division, AFS-200, before issuing the final AC. Comments may be 
    inspected at Federal Aviation Administration, Air Transportation 
    Division, AFS-200, 800 Independence Ave., SW., Washington, DC 20591 
    between the hours of 9:00 a.m. and 4:00 p.m. weekdays, except Federal 
    holidays.
    
    Background
    
        In recent years, the FAA and the air transportation industry have 
    sought alternative means for addressing safety problems and identifying 
    potential safety hazards. To this end, the FAA, in cooperation with 
    industry, established several demonstration partnerships for safety 
    programs in an effort to increase the flow of safety information to 
    both the air carrier and FAA. Among these programs were the USAir 
    Altitude Awareness Program, the American Airlines Safety Action Program 
    (ASAP), and the Alaska Airlines Altitude Awareness Program. As an 
    outcome of the Safety Conference held on January 9-10, 1995, the 
    Secretary of Transportation and the Administrator of the Federal 
    Aviation Administration (FAA) announced that standardized policy and 
    procedures would be provided for the use of these programs. Following 
    publication of a final AC, the FAA will amend appropriate agency orders 
    to provide internal guidance for the development of partnership for 
    safety programs.
    
        Issued in Washington, DC, on July 17, 1996.
    Thomas C. Accardi,
    Director, Flight Standards Service.
    
        The text of the proposed AC reads as follows:
        1. Purpose. This advisory circular (AC) provides guidance for 
    establishing air transportation partnership for safety programs 
    (partnership for safety programs). As an outcome of the Safety 
    Conference held on January 9-10, 1995, the Secretary of Transportation 
    and the Administrator of the Federal Aviation Administration (FAA) 
    announced that standardized policy and procedures would be provided for 
    the use of these programs.
        2. Background. In recent years, the FAA and the air transportation 
    industry have sought alternative means for addressing safety problems 
    and identifying potential safety hazards. To this end, the FAA, in 
    cooperation with industry, established several demonstration 
    partnership for safety programs in an effort to increase the flow of 
    safety information to both the air carrier and FAA. Among these 
    programs were the USAir Altitude Awareness Program, the American 
    Airlines Safety Action Program (ASAP), and the Alaska Airlines Altitude 
    Awareness Program. These programs included incentives to encourage 
    employees of certificate holders participating in the programs to 
    disclose information and identify possible violations of the Federal 
    Aviation Regulations without fear of punitive legal enforcement 
    sanctions. Events reported under a program that involved an alleged 
    violation of the Federal Aviation Regulations by the certificate holder 
    were handled under the voluntary disclosure policy, provided the 
    elements of that policy
    
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    were satisfied. The FAA is expanding the use of partnership for safety 
    programs through the implementation of a 2-year demonstration program 
    under which information and data can be collected and analyzed to 
    measure their effect on aviation safety.
        3. Key Terms. The following key terms and phrases are defined to 
    ensure a standard interpretation of the guidance in this AC:
        a. Administration Act. Administrative action is a means for 
    disposing of violations or alleged violations that do not warrant the 
    use of legal enforcement sanctions. The two types of administrative 
    action are a warning notice and a letter of correction:
        b. Air Carrier. An air carrier is a person who undertakes directly 
    by lease, or other arrangement, to engage in air transportation.
        c. Certificate Holder. For purposes of partnership for safety 
    programs, a certificate holder refers to a person authorized to operate 
    under part 121 of the Federal Aviation Regulations or who holds a 
    certificate issued under part 145 of the Federal Aviation Regulations.
        d. Certificate Holding District Office (CHDO). The CHDO is the 
    Flight Standards District Office (FSDO) having responsibility for the 
    geographic area in which a certificate holder's principal base of 
    operations is located.
        e. Enforcement-Related Incentive. For purposes of partnership for 
    safety programs, an enforcement-related incentive refers to an 
    assurance that lesser enforcement action will be used to address 
    certain alleged violations of the Federal Aviation Regulations to 
    encourage participation by certificate holder employees.
        f. Major Domestic Repair Station. For purposes of partnership for 
    safety programs, a major domestic repair station refers to a part 145 
    repair station located in the United States certificated to perform 
    airframe and/or engine work on transport category aircraft having a 
    maximum takeoff gross weight of 75,000 lbs. or greater.
        g. Memorandum of Understanding. For purposes of partnership for 
    safety programs, memorandum of understanding (MOU) refers to the 
    written agreement between two or more parties setting forth the 
    purposes for, and terms of, a partnership for safety program.
        h. Party/Parties. For purposes of partnership for safety programs, 
    the terms ``party/parties'' refers to the certificate holder, the FAA, 
    and any other person or entity (e.g., labor union or other industry or 
    Government entity) that is a signatory to the MOU.
        i. Safety-Related Report. A safety-related report refers to a 
    written account of an event that involves an operational or maintenance 
    issue related to safety of flight, reported through a partnership for 
    safety program.
        j. Voluntary Disclosure Policy. The voluntary disclosure policy is 
    a policy under which part 121, 135, and 145 certificate holders may 
    voluntarily report alleged violations of the Federal Aviation 
    Regulations and develop corrective action satisfactory to the FAA to 
    preclude their recurrence. Certificate holders who satisfy the elements 
    of the voluntary disclosure policy, receive a letter of correction in 
    lieu of civil penalty action. Voluntary disclosure reporting procedures 
    are outlined in AC 120-56.
        4. Applicability. Partnership for safety programs are intended for 
    air carriers that operate under part 121 of the Federal Aviation 
    Regulations. They are also intended for major domestic repair stations 
    certificated under part 145 of the Federal Aviation Regulations. 
    Partnership for safety programs are entered into voluntarily by the 
    FAA, a certificate holder, and if appropriate, other parties.
        5. Development. Certificate holders may develop programs and submit 
    them to the FAA for review and acceptance in accordance with the 
    guidance in this AC. The FAA will determine whether a program is 
    accepted. The FAA may suggest that a certificate holder develop a 
    partnership for safety program to resolve an identified safety problem.
        6. Resources. A partnership for safety program can result in a 
    significant commitment of resources by the parties to the program. 
    During the development of a program, it is important that each party is 
    willing to commit the necessary personnel, time, and monetary resources 
    to support the program.
        7. Enforcement Policy.
        a. Enforcement-Related Incentive. Partnership for safety programs 
    may include an enforcement-related incentive to encourage participation 
    by certificate holder employees. Any enforcement-related incentive 
    should be limited to that needed to achieve the desired goal and 
    results of the program. Alleged violations of the Federal Aviation 
    Regulations by certificate holder employees disclosed through safety-
    related reports will ordinarily be addressed with administrative action 
    provided the alleged violations do not involve deliberate misconduct; a 
    serious and substantial deviation from required conduct; criminal 
    conduct; an accident; or conduct that demonstrates, or raises a 
    question of, a lack of qualification. Alleged violations that involve 
    deliberate misconduct; a serious and substantial deviation from 
    required conduct; criminal conduct; an accident; and conduct that 
    demonstrates, or raises a question of, a lack of qualification are 
    excluded from a partnership for safety program. Any enforcement-related 
    incentive will not apply to these violations. Failure of any individual 
    to complete any corrective action in a manner acceptable to the FAA may 
    result in the reopening of the case and referral of the alleged 
    violation for legal enforcement action.
        b. Repeated Instances of Misconduct. Notwithstanding the guidance 
    in paragraph 205 of FAA Order 2150.3A, Compliance and Enforcement 
    Program, repeated instances involving the same or similar type of 
    misconduct previously addressed with administrative action under the 
    program, may also be covered under the program. The determination 
    whether a repeated violation will be covered under a program will be 
    made by the FAA on a case-by-case basis, upon consideration of the 
    facts and circumstances surrounding the violation.
        c. Use of Safety-Related Reports. All safety-related reports should 
    be fully evaluated and, to the extent appropriate, investigated by the 
    FAA. Any safety-related report that concerns an alleged violation(s) 
    that is excluded from partnership for safety programs, i.e., alleged 
    violations involving deliberate misconduct; a serious and substantial 
    deviation from required conduct; criminal conduct; an accident; or 
    conduct that demonstrates, or raises a question of, a lack of 
    qualification, will be referred to an appropriate office within the FAA 
    for any additional investigation and reexamination and/or legal 
    enforcement action, as appropriate. A closed case involving a violation 
    addressed with the enforcement-related incentive, or for which no 
    action is taken, may be reopened and appropriate legal enforcement 
    action taken if evidence later is discovered that establishes that the 
    violation should have been excluded from the program. For alleged 
    violations not excluded under a partnership for safety program, neither 
    administrative action nor punitive legal enforcement action will be 
    taken against an individual for an alleged violation reported under the 
    program unless there is sufficient evidence of the violation, other 
    than the individual's safety-related report. ``Sufficient evidence'' 
    means evidence gathered by an investigation not caused by, or otherwise 
    predicated on, the individual's safety-related report.
        d. Violations of Certificate Holder. Alleged violations of 
    certificate holders
    
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    disclosed through a safety-related report under a partnership for 
    safety program will be handled under the voluntary disclosure policy, 
    provided the certificate holder voluntarily reports the alleged 
    violations to the FAA and the other elements of that policy are met. 
    (See AC 120-56 and FAA Order 2150.3A, Compliance and Enforcement 
    Program, Compliance/Enforcement Bulletin No. 90-6).
        e. Examples. The following are examples of events that might be 
    reported under a partnership for safety program and the probable action 
    that would be taken by the FAA for an alleged violation disclosed by 
    the safety-related report.
        (1) Examples of events where an alleged violation ordinarily would 
    be addressed by the enforcement-related incentive.
        (i) A pilot reports an altitude deviation where the aircraft was 
    assigned by ATC to climb to an altitude of 10,000 ft. MSL, but actually 
    levels off at 11,000 ft. MSL. Evidence of the violation, other than the 
    safety-related report, (e.g., air traffic control tape, air traffic 
    controller's statements) is gathered by an investigation not caused by, 
    or otherwise predicated on, the filing of the safety-related report. 
    The pilot's alleged violation does not involve conduct that is excluded 
    from the partnership for safety program. The alleged violation 
    therefore would be addressed by the enforcement-related incentive.
        (ii) A repair station technician reports that he/she was assigned 
    to accomplish a required inspection (RII); however, he/she 
    inadvertently neglected to sign the check sheet that the inspection was 
    completed. Evidence of the alleged violation, other than the 
    technician's safety-related report, reveals that the inspection was 
    accomplished and the check sheet was not signed. This evidence was 
    gathered by an investigation not caused by, or otherwise predicated on, 
    the filing of the safety-related report. The alleged violation does not 
    involve conduct that is excluded from the partnership for safety 
    program. The technician's alleged violation therefore would be 
    addressed by the enforcement-related incentive.
        (2) Examples of events involving an alleged violation that is 
    excluded from the partnership for safety program and to which the 
    enforcement-related incentive would not apply.
        (i) A pilot submits a report indicating that after takeoff he/she 
    operated an aircraft below an altitude of 1,000 ft. AGL over a 
    congested area. Investigation of this event revealed that the aircraft 
    was deliberately flown at an altitude of 500 ft. AGL over a city ten 
    miles from the airport. Due to the deliberate nature of the pilot's 
    conduct, it would not be covered under the partnership for safety 
    program and the alleged violation would not be addressed by the 
    enforcement-related incentive. The safety-related report would be 
    referred for legal enforcement action.
        (ii) A technician submits a report stating that he/she had used a 
    lubricant other than what was stated in the maintenance manual for an 
    engine valve installation. No authorized substitute lubricants were 
    available. The investigation revealed that the technician intentionally 
    used a substitute non-approved lubricant. These actions were not in 
    accordance with the maintenance manual or company procedures. Because 
    these actions were a substantial deviation from required conduct, and 
    intentional, the technician's conduct would not be covered under the 
    partnership for safety program and the alleged violation would not be 
    addressed by the enforcement-related incentive. The safety-related 
    report would be referred for reexamination and/or legal enforcement 
    action.
        (3) Example of an event where no action would be taken for an 
    alleged violation disclosed through a safety-related report.
        (i) A pilot reports an altitude deviation where the aircraft was 
    assigned by ATC to climb to an altitude of 10,000 ft. MSL, but actually 
    levels off at 11,000 ft. MSL. The only evidence of the deviation is the 
    pilot's safety-related report filed under the partnership for safety 
    program. Since the pilot's safety-related report will not be used as 
    evidence to support taking punitive legal enforcement action or 
    administrative action against the pilot, and no other evidence of the 
    alleged violation is available, there is insufficient evidence to 
    support a violation of the Federal Aviation Regulations. Therefore, the 
    case would be closed with no action.
        8. Corrective Action. The FAA will work with a certificate holder 
    to develop acceptable corrective action that should be taken based on 
    information obtained under a partnership for safety program. The 
    decision to accept the corrective action implemented under a 
    partnership for safety program in lieu of legal enforcement action 
    remains solely with the FAA.
        9. Memorandum of Understanding (MOU). The provisions of a 
    partnership for safety program that is acceptable to the FAA should be 
    set forth in a MOU signed by each party. A program will be implemented 
    in accordance with the provisions of its MOU. A sample is provided in 
    the appendix of this document. Each MOU will be based on the parties' 
    different needs and purposes for a partnership for safety program.
        a. The MOU should set forth the elements of the partnership for 
    safety program, including at least the following:
        (1) A statement of the essential safety information that is 
    reasonably expected to be obtained through the program and the safety 
    problem(s) that is reasonably expected to be addressed through the 
    program.
        (2) The benefits to be gained by the program.
        (3) The duration of the program, which should be limited to the 
    period of time needed to achieve the desired goals and benefits 
    articulated in the program. Programs initially should have a duration 
    of no longer than 1 year and should be reviewed prior to renewal.
        (4) A process for timely reporting to the FAA all events disclosed 
    under the program; procedures for the resolution of those events that 
    are safety-related; and procedures for continuous tracking and analysis 
    of safety-related events.
        (5) Any enforcement-related incentive that is needed to achieve the 
    desired goal and results of the program.
        (6) The frequency of periodic reviews by the parties to determine 
    whether the program is achieving the desired results. These reviews are 
    in addition to any other review conducted by the FAA.
        (7) A point of contact within each party who is responsible for 
    oversight of the program.
        (8) A process for training and distributing information about the 
    program to certificate holder employees and procedures for providing 
    feedback to individuals who make safety-related reports under the 
    program.
        b. The MOU also should address the following elements that will 
    pertain to any partnership for safety program.
        (1) The program can be terminated at any time by any party.
        (2) Failure of any party to follow the terms of the agreement 
    ordinarily will result in termination of the program.
        (3) Failure of a certificate holder to follow through with 
    corrective action acceptable to the FAA to resolve any safety 
    deficiencies ordinarily will result in termination of the program.
        (4) Modifications of the MOU must be approved by all parties.
        (5) Termination or modification of a program will not adversely 
    affect anyone who acted in reliance on the terms of a program in effect 
    at the time of that action, i.e., when a program is
    
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    terminated all reports and investigations that were in progress will be 
    handled under the provisions of the program until they are completed.
        (6) Any enforcement-related incentive will not apply to alleged 
    violations involving deliberate misconduct; a serious and substantial 
    deviation from required conduct; criminal conduct; an accident; or 
    conduct that demonstrates, or raises a question of, a lack of 
    qualification.
        c. The MOU must be signed by an authorized representative of each 
    party. The MOU will be signed by the CHDO manager on behalf of the FAA 
    after coordination with the Director, Flight Standards Service, AFS-1, 
    and the Associate Administrator for Regulation and Certification, AVR-
    1.
        10. Acceptance/Renewal Procedures.
        a. The certificate holder should initially develop and present a 
    program to the CHDO for review. The CHDO and the certificate holder 
    will review it to ensure that it satisfies the guidance provided in 
    this AC, FAA Order 2150.3A, Compliance and Enforcement Program, and 
    Flight Standards handbooks for establishing a partnership for safety 
    program. Prior to acceptance, a program will be reviewed to ensure that 
    FAA resources are available to administer the program effectively. When 
    the FAA determines that a program proposal requires excessive agency 
    resources, a matter within the sole discretion of the FAA, it will 
    suggest modifications to the program proposal or disapprove the 
    proposal.
        b. When the CHDO is satisfied that a program satisfies the guidance 
    in this AC, FAA Order 2150.3A, Compliance and Enforcement Program, and 
    Flight Standards handbook guidance, the CHDO manager will forward two 
    copies of the MOU through the Flight Standards Division regional office 
    to the appropriate headquarters program office(s), i.e., AFS-200 for 
    operations programs and AFS-300 for airworthiness programs and repair 
    station programs and to both offices for programs that encompass both 
    operations and airworthiness. The program offices will review and 
    forward the MOU to the Office of the Chief Counsel for appropriate 
    legal review. All programs must receive final approval of the Director, 
    Flight Standards Service, AFS-1, and Associate Administrator for 
    Regulation and Certification, AVR-1. AFS-1 will indicate approval of 
    the MOU by FAA memorandum to the CHDO Manager. Following approval by 
    AFS-1 and AVR-1, the CHDO manager will sign the MOU on behalf of the 
    FAA.
        c. Program renewal will be handled in accordance with the guidance 
    for the review and renewal of programs, provided in FAA Order 2150.3A, 
    Compliance and Enforcement Program. The CHDO will forward its 
    recommendation whether a program should be renewed, along with 
    supporting information, in accordance with the procedures outlined in 
    Flight Standards handbooks.
        11. Recordkeeping. The parties should maintain those records 
    necessary for a program's administration and evaluation.
    Appendix 1. Sample Memorandum of Understanding (MOU)
        This is a sample of a memorandum of understanding (MOU) for an air 
    transportation partnership for safety program. It is for illustrative 
    purposes; an actual MOU developed by a certificate holder may be 
    different from this sample. An MOU should address the elements of a 
    partnership for safety programs that are set forth in FAA guidance 
    material.
    
    Memorandum of Understanding
    
    General
    
        ABC Airlines, Inc. is a Federal Aviation Regulation part 121 
    domestic air carrier engaged in scheduled passenger operations within 
    the United States, Mexico, and Canada. It also conducts passenger 
    charter and cargo operations. ABC Airlines operates 100 turbojet 
    aircraft and has over 3500 employees including 1100 flight crewmembers 
    (pilots and flight engineers) represented by ABC pilot union.
    
    Purpose
    
        Over the past six months ABC Airlines has experienced an increase 
    in certain types of incidents that have resulted in problems relating 
    to safety of flight, including violations of the Federal Aviation 
    Regulations by the company and its flight crewmembers. Such incidents 
    have occurred during all phases of flight and have involved the 
    following: noncompliance with air traffic control (ATC) clearances, 
    e.g., routing, heading, and altitude deviations; runway and taxiway 
    incursions; and departure without proper flight plan fuel onboard. To 
    obtain valuable safety information that may lead to correcting these 
    and other safety of flight problems, ABC Airlines is entering into a 
    partnership for safety program with its flight crewmembers, represented 
    by ABC pilot union, and the FAA. This memorandum of understanding (MOU) 
    describes the provisions of the program. The objective of the program 
    will be to gather safety information from the flight crewmembers that 
    will focus on the incidents described above and to obtain information 
    concerning any additional safety of flight item that a flight 
    crewmember believes should be reported. The information will be 
    analyzed in order to develop and implement solutions to safety problems 
    identified under the program.
    
    Benefits
    
        The program will provide a voluntary, cooperative, non-punitive 
    environment for the open reporting of safety of flight concerns. 
    Through such reporting all parties will have access to valuable 
    information that may not otherwise be obtainable. This information will 
    be analyzed in order to develop corrective action to solve safety 
    problems and minimize deviations from the Federal Aviation Regulations.
    
    Applicability
    
        The ABC Airlines Pilot Partnership Program (APPP) applies to all 
    flight crewmember employees of ABC Airlines. Alleged violations of the 
    Federal Aviation Regulations that involve deliberate misconduct; a 
    serious and substantial deviation from required conduct; criminal 
    conduct; an accident; or conduct that demonstrates, or raises a 
    question of, a lack of qualification are excluded from the program. 
    Repeated instances involving the same or similar type of misconduct 
    previously addressed by the enforcement-related incentive may be 
    covered under the program. The determination whether a repeated 
    instance will be covered under the program will be made by the FAA on a 
    case-by-case basis.
        Apparent violations of the Federal Aviation Regulations by ABC 
    Airlines that are discovered under this program will be handled under 
    the voluntary disclosure policy, provided ABC Airlines voluntarily 
    reported the alleged violations to the FAA and the other elements of 
    that policy are met. (See AC 120-56 and FAA Order 2150.3A, Compliance 
    and Enforcement Program, Compliance/Enforcement Bulletin No. 90-6). Any 
    modifications of this MOU must be approved by all parties to the 
    agreement.
    
    Program Duration
    
        The APPP is designed to identify and correct specific problems 
    related to flight safety at ABC Airlines. The duration of the program 
    will be 1 year, beginning the date it is implemented by the parties to 
    this MOU. The program may be terminated at any time for any
    
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    reason by ABC Airlines, the FAA, or any other party. If the program is 
    terminated, all safety-related reports that have been submitted will 
    continue to be processed under the MOU in effect at the time of the 
    program's termination. If necessary, the program may be renewed at the 
    end of 1 year provided that a final review and analysis supports 
    renewal of the program and all parties agree to renewal of the program. 
    Failure of any party to follow the terms of the program ordinarily will 
    result in termination of the program. Failure of ABC Airlines to follow 
    through with corrective action to resolve any safety deficiencies 
    ordinarily will result in termination of the program.
    
    Reporting Procedures
    
        When a pilot observes a safety problem or experiences an incident 
    during flight, he/she should note the problem or incident and be able 
    to describe it in enough detail so that it can be evaluated by a third 
    party. For example, if the safety incident involves a deviation from an 
    ATC clearance the pilot should note the date, time, place, altitude, 
    flight number, and ATC frequency along with enough other information 
    describing the incident and any perceived safety problem. After the 
    trip sequence has ended for that day the pilot should complete ABC 
    Airlines APPP form number 123 for each safety problem or incident 
    (hereinafter referred to as ``report'') and submit it by company mail 
    to the Director of Flight Operations, Attn: APPP Manager. This should 
    be accomplished in a timely manner. In order for the flight crewmember 
    who submitted the report to be covered under the partnership for safety 
    program and eligible for any FAA enforcement-related incentive, the 
    report must be mailed within 24 hours after the end of the flight 
    sequence for the day of occurrence, absent extraordinary circumstances. 
    For example, if the incident occurred at 14:00 Hrs. on Monday and the 
    pilot completes his/her flight sequence for that day at 19:00 Hrs., the 
    report should be mailed no later than 19:00 Hrs. the following day 
    (Tuesday). In order for all flight crewmembers to be covered under the 
    APPP for any regulatory violations resulting from an incident, they 
    must all sign the same report or submit separate individual reports for 
    the same incident. If the company mail system is not available to the 
    flight crewmember at the time he/she needs to file a report, the 
    crewmember may contact the APPP manager's office and file a report via 
    fax or telephone.
    
    Point of Contact
    
        The Event Review Committee (ERC) will be comprised of the APPP 
    manager, representing ABC Airlines Flight Department management; the 
    APPP coordinator for ABC Pilot Union; and an FAA inspector from the FAA 
    Certificate Holding Flight Standards District Office (CHDO) for ABC 
    Airlines, or designees in their absence.
    
    APPP Manager
    
        When the report is received by the APPP manager, he/she will record 
    the date and time of any incident described in the report and the date 
    and time that the report was submitted through the company mail system. 
    The APPP manager will enter the report, along with all of the 
    supporting data, on the agenda for the next ERC meeting. Untimely 
    reports may still be considered by the ERC if extraordinary 
    circumstances precluded timely submission of the report, e.g., a flight 
    crewmember became ill requiring hospitalization at the termination of 
    the flight. In those cases, the report should be mailed via company 
    mail as soon as is reasonably possible. The FAA representative to the 
    ERC will determine whether a report is submitted in a timely manner. To 
    confirm that a report has been received, the APPP manager will send a 
    written receipt (ABC Airlines APPP form number 234) through the company 
    mail system to each flight crewmember who submits a report. The receipt 
    will confirm whether or not the report was determined to be timely. The 
    APPP manager will serve as the focal point for information about, and 
    inquiries concerning the status of, APPP reports, and for the 
    coordination and tracking of recommendations.
    
    Event Review Committee (ERC)
    
        The ERC will review and analyze reports submitted by flight 
    crewmembers under the program, identify actual or potential safety 
    problems from the information contained in the reports, and propose 
    solutions for those problems. The ERC is responsible for tracking the 
    status of each APPP report and for providing feedback to the individual 
    who submitted the report. It will also conduct a review of the program 
    six months after its inception. This review is in addition to any other 
    reviews conducted by the FAA. The ERC also will be responsible for 
    preparing a final report on the program at its conclusion. If renewal 
    of the program is anticipated, the ERC will prepare and submit that 
    report to the FAA 60 days in advance of the termination date for the 
    initial program.
    
    ERC Process
    
        The ERC will meet as necessary to review and analyze reports that 
    will be listed on an agenda submitted by the APPP manager. The ERC will 
    determine the time and place of the meeting. The ERC will meet at least 
    twice a month; the frequency of meetings will be determined by the 
    number of reports that have accumulated. It is anticipated that three 
    types of reports will be submitted to the ERC: safety-related reports 
    that appear to involve a violation(s) of the Federal Aviation 
    Regulations; reports that are of a general safety concern but do not 
    appear to involve a violation(s) of the Federal Aviation Regulations; 
    and any other reports, e.g., reports involving catering and passenger 
    ticketing issues. The ERC will forward non-safety reports to the 
    appropriate ABC Airlines department head for his/her information and if 
    possible, internal (ABC Airlines) resolution. For reports related to 
    flight safety, including reports involving possible violations of the 
    Federal Aviation Regulations, the ERC will analyze the report; conduct 
    interviews of reporting crewmembers; and gather additional information 
    concerning the matter described in the report, as necessary.
        The ERC should also make recommendations to ABC Airlines for 
    appropriate comprehensive fixes. Such comprehensive fixes might include 
    changes to ABC Airlines procedures, aircraft equipment modifications, 
    or additional training for a crewmember. Any recommended changes that 
    affect ABC Airlines will be forwarded through the APPP manager to the 
    appropriate department head for consideration and comment, and, if 
    appropriate, implementation. The FAA will work with ABC Airlines to 
    develop acceptable comprehensive fixes. The APPP manager will track the 
    implementation of the recommended comprehensive fixes and report on the 
    progress of the fixes to the ERC as part of the regular ERC meetings. 
    Any recommended comprehensive fix that is not implemented should be 
    recorded along with the reason it was not implemented.
    
    FAA Enforcement
    
        All reports submitted under the APPP that involve potential 
    violations of the Federal Aviation Regulations will be referred to the 
    FAA representative of the ERC for evaluation and, to the extent 
    appropriate, investigation. The FAA representative will review the 
    report
    
    [[Page 37958]]
    
    and determine whether the alleged violation is supported by sufficient 
    evidence, other than the individual's safety-related report. 
    ``Sufficient evidence'' means evidence gathered by an investigation not 
    caused by, or otherwise predicated on, the individual's safety-related 
    report. Alleged violations supported by such evidence will ordinarily 
    be addressed with administrative action provided the alleged violations 
    do not involve deliberate misconduct; a serious and substantial 
    deviation from required conduct; criminal conduct; an accident; or 
    conduct that demonstrates, or raises a question of, a lack of 
    qualification. Administrative action has been determined to be a 
    necessary enforcement-related incentive to achieve the desired results 
    and goals of the program.
        Alleged violations that involve deliberate misconduct; a serious 
    and substantial deviation from required conduct; criminal conduct; an 
    accident; or conduct that demonstrates, or raises a question of, a lack 
    of qualification are wholly excluded from the APPP. Such violations 
    will not be addressed with the enforcement-related incentive, i.e., 
    administrative action. Safety-related reports that concern such 
    violations will be referred to an appropriate office within the FAA for 
    any additional investigation and reexamination and/or legal enforcement 
    action, as appropriate.
        In order for an alleged violation covered under the APPP to be 
    addressed with administrative action, the elements of paragraph 205 of 
    FAA Order 2150.3A must be satisfied, and the individual committing the 
    alleged violation must agree to accomplish any corrective action 
    determined appropriate by the FAA representative to the ERC. 
    Notwithstanding the guidance in paragraph 205 of FAA Order 2150.3A, 
    Compliance and Enforcement Program, however, repeated instances 
    involving the same or similar type of misconduct previously addressed 
    with administrative action under the APPP may also be covered under the 
    program. The determination whether a repeated instance will be covered 
    under the APPP will be made on a case-by-case basis by the FAA, upon 
    consideration of the facts and circumstances surrounding the violation.
        The ERC may review and discuss the evidence available to support an 
    alleged violation reported under the APPP. The FAA representative to 
    the ERC will determine the enforcement action, if any, that should be 
    initiated for the alleged violation. The FAA will work with a 
    certificate holder to develop acceptable comprehensive fixes for safety 
    problems identified from information obtained under the APPP. The 
    decision to accept the corrective actions implemented under a 
    partnership for safety program in lieu of legal enforcement action 
    remains solely with the FAA.
    
    Employee Feedback
    
        The APPP manager will publish a synopsis of the reports received 
    from the flight crewmembers in the partnership for safety program 
    section of the monthly ``ABC Airlines Employee Newsletter.'' The 
    synopsis will include enough information so that reporting flight 
    crewmembers can identify their reports. Employee names, however, will 
    not be included in the synopsis. The outcome of each report will be 
    published. Any employee who submitted a report may also contact the 
    APPP manager to inquire about the status of his/her report.
    
    Information and Training
    
        The details of the APPP will be made available to all flight 
    crewmembers and their supervisors by publication in Section 5 of the 
    ABC Airlines flight crew operating manual. Each flight crewmember will 
    receive written guidance outlining the details of the program at least 
    two weeks before the program begins. Each flight crewmember also will 
    receive additional instruction concerning the program during the next 
    regularly scheduled recurrent training class. All new hire pilot 
    employees will receive training on the program during initial training.
    
    Recordkeeping
    
        All official documents and records regarding this program will be 
    kept by the APPP manager and made available to the parties to this 
    agreement at their request. The ABC Airlines Pilot Union and FAA will 
    maintain whatever records they deem necessary to meet their needs.
    
    Signatories
    
    ----------------------------------------------------------------------
    Director of Operations, ABC Airlines
    
    ----------------------------------------------------------------------
    Date
    
    ----------------------------------------------------------------------
    President, ABC Airlines Pilot Union
    
    ----------------------------------------------------------------------
    Date
    
    ----------------------------------------------------------------------
    Manager, FAA CHDO
    
    ----------------------------------------------------------------------
    Date (End of draft AC)
    
    [FR Doc. 96-18533 Filed 7-19-96; 8:45 am]
    BILLING CODE 4910-13-M
    
    
    

Document Information

Published:
07/22/1996
Department:
Federal Aviation Administration
Entry Type:
Notice
Action:
Notice of Proposed Advisory Circular (AC) 120-XX, and request for comments.
Document Number:
96-18533
Dates:
Comments must be received on or before August 21, 1996.
Pages:
37953-37958 (6 pages)
Docket Numbers:
AC 120-XX
PDF File:
96-18533.pdf