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

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

[[Page 37954]]

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

[[Page 37955]]

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

[[Page 37956]]

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

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Director of Operations, ABC Airlines

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Date

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President, ABC Airlines Pilot Union

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Date

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Manager, FAA CHDO

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Date (End of draft AC)

[FR Doc. 96-18533 Filed 7-19-96; 8:45 am]

BILLING CODE 4910-13-M