U .S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Aviation Safety Action Program Date: 3/31/20 AC No: 120-66C Initiated by: AFS-200 Change:
1 PURPOSE OF THIS ADVISORY CIRCULAR (AC). This AC provides guidance for establishing an Aviation Safety Action Program (ASAP). The objective of an ASAP is to encourage employees of air carriers, repair stations, or other entities (collectively referred to as “eligible entities”) to voluntarily report safety information that may be critical to identifying potential precursors to accidents. The Federal Aviation Administration (FAA) has determined that identifying these precursors is essential to further reducing the already low accident rate. The establishment of an ASAP is available to any eligible entity that has the resources and ability to effectively implement and operate an ASAP and is contingent upon the FAA’s capacity to effectively manage such an entity’s program. Under an ASAP, safety issues are resolved through corrective action rather than through punishment or discipline. The ASAP provides for the collection, analysis, and retention of the safety data obtained through the reporting process. ASAP participants use ASAP safety data, much of which would otherwise be unobtainable, to develop corrective actions for identified safety concerns, and to educate the appropriate parties to prevent a recurrence of the same type of safety event. The contents of this document do not have the force and effect of law and are not meant to bind the public in any way. This document is intended only to provide clarity to the public regarding existing requirements under the law or agency policies.
2 AUDIENCE. This AC is directed to the persons referenced in paragraph 1.
3 WHERE YOU CAN FIND THIS AC. You can find this AC on the FAA’s website at http://www.faa.gov/regulations_policies/advisory_circulars.
4 WHAT THIS AC CANCELS. AC 120-66B, Aviation Safety Action Program (ASAP), dated November 15, 2002, is canceled.
5 DEFINITIONS. For more information on key terms and phrases related to an ASAP, see Appendix A, Definitions.
6 BACKGROUND. The primary objective of voluntary safety programs is to identify hazards and unsafe conditions in the National Airspace System (NAS) so that corrective action can be taken to eliminate or reduce the hazard or unsafe condition. Aviation safety is well served by incentives that encourage entities to establish programs to identify and correct their own instances of noncompliance while investing in the prevention of recurrences. The FAA’s policy of forgoing enforcement actions when one of these entities detects violations, discloses the violations to the FAA, and takes prompt
2 corrective action to ensure that the same or similar violations do not recur is designed to encourage compliance with FAA regulations, foster safe operating practices, and promote the development and maturation of effective Internal Evaluation Programs (IEP) and Safety Management Systems (SMS).
7 PROGRAM ENHANCEMENTS. This AC incorporates the following enhancements:
1. The event review committee (ERC) has discretion in considering the timeliness of reporting as a criterion of deciding whether or not to accept a report, allowing the ERC to make that decision based on what the ERC finds is in the best interest of safety.
2. The ERC has discretion to create its own policy and procedures manuals.
ERCs are encouraged to develop policies and procedures that are realistic for their operational environments.
3. The AC is designed to allow more flexibility to align with the SMS. It includes new guidance and a reference to a process flow for the ASAP and SMS interface.
4. All programs enter as continuing programs, and reviews are accomplished by program participants every 2 years. In addition, the Flight Standards Service (FS) conducts random sampling.
5. Guidance is introduced for eligible entities who initiate ASAPs with third-party facilitators.
6. FAA attendance at an ERC meeting is optional, depending on what types of reports are being considered by the ERC in the meeting. The decision whether to attend is at the sole discretion of the FAA signatory.
7. Quarterly reporting has been revised.
8. The FAA Reauthorization Act of 2018 (Public Law (PL) 115-254, section 320, dated October 5, 2018) establishes a presumption that an individual’s voluntary report of an operational or maintenance issue related to aviation safety under an ASAP meets the criteria for acceptance as a valid report under such program (see Appendix B, Acceptance of Voluntarily Provided Safety Information—FAA Reauthorization Act of 2018, Section 320). Upon review, the ERC may determine that such a report is ineligible for acceptance into the ASAP.
9. The AC is consistent with Executive Order (E.O.) 13892 of October 9, 2019, Promoting the Rule of Law Through Transparency and Fairness in Civil Administrative Enforcement and Adjudication (84 FR 55239, dated October 15, 2019). Under section 9 of the E.O., the FAA is required, to the extent practicable and permitted by law, to (i) encourage voluntary self-reporting of regulatory violations by regulated parties in exchange for reductions or waivers of civil penalties; (ii) to encourage voluntary information sharing by regulated parties; and (iii) to provide pre-enforcement rulings to regulated parties. The Department of Transportation (DOT) has
3 adopted implementing regulations related to the E.O. in Title 49 of the Code of Federal Regulations (49 CFR) part 5, § 5.105 entitled, “Cooperative Information Sharing.”
8 APPLICABILITY. ASAPs, for the purposes of this AC, are designed for eligible entities. The FAA approves each program on a case-by-case basis with respect to resources and program requirements. The eligible entity’s ASAP may cover employees of a contractor only if contractual arrangements between the parties specifically provide that the contractor and its employees abide by the terms of the applicable ASAP Memorandum of Understanding (MOU) and the decisions of the eligible entity’s ERC. In order for the program to cover contract employees, the applicable ASAP MOU stipulates that such contractual arrangements are in place.
9 ENFORCEMENT-RELATED INCENTIVE. In order to encourage participation in the ASAP, the FAA assures that no action will be used to address apparent violations of the regulations, unless specifically excluded, as explained in paragraph 16.
10 COMPLIANCE PROGRAM. In order to promote the highest level of safety and compliance with regulatory standards, the FAA is implementing SMS constructs based on comprehensive safety data sharing between the FAA and the aviation community. To foster this open and transparent exchange of data, the FAA believes that the current edition of FAA Order 8000.373, Federal Aviation Administration Compliance Program, supported by an established safety culture, is instrumental in ensuring both compliance with regulations and the identification of hazards and management of risk. When deviations from regulatory standards do occur, the FAA’s goal is to use the most effective means to return an individual or entity that holds an FAA certificate, approval, authorization, permit, or license to full compliance and to prevent recurrence. Effective October 1, 2015, administrative actions are not processed for accepted ASAP reports and are no longer required for Voluntary Disclosure Reporting Program (VDRP) disclosures.
11 INFORMATION SUBMISSION. An ASAP report provides a vehicle whereby employees of participating companies with an established ASAP MOU can identify and report safety issues to management and to the FAA for resolution. The ASAP is designed to encourage participation from various employee groups (e.g., pilots, mechanics, flight attendants, dispatchers, and ramp workers).
12 CONTINUING PROGRAMS. The FAA now categorizes all ASAPs as continuing programs. These programs are subject to a review by the signatories to the MOU every 2 years to ensure appropriate objectives are met. In addition, FS conducts random reviews to collect information, data, and feedback from participants that will validate whether objectives of the program are being achieved and properly documented.
Note: All current programs to transition to the new MOU template within 90 calendar-days of the effective date of this AC.
4 13 ERC. An ERC is a group comprised of a representative, and alternate, if possible, from each party to an ASAP. The ERC is comprised of a management representative from the eligible entity, a representative from the employee group or employee labor association (if applicable), and a specifically qualified FAA inspector from the appropriate Flight Standards office. (Refer to FAA Order 8900.1, Volume 11, Chapter 2, Section 1, Safety Assurance System: Aviation Safety Action Program.)
13.1 Attendance vs. Participation. FAA participation in ERCs is essential. The FAA ERC representative should be diligent with respect to his or her participation and promotion of the program. Reports associated with criminal activity, substance abuse, controlled substances, alcohol, or intentional falsification (“the Big Five”), regulatory noncompliance, reckless conduct, or a medical certification or qualification issue require FAA attendance with the ERC. However, for reports that are not associated with such conduct, FAA attendance at certain ERC meetings may not be necessary, at the direction of the FAA ERC member. Prior to the ERC meeting, the ASAP manager provides the ASAP reports that the ERC will review at that meeting so that the FAA ERC member can determine whether his or her attendance at the meeting is necessary. (See paragraph 13.3.) Additionally, for ERC meetings not attended by the FAA ERC member, the ASAP manager provides the FAA ERC member with the minutes from such meetings so that he or she can ensure appropriate safety-based responses.
13.2 ERC Responsibilities:
1. Review and analyze safety reports submitted under the ASAP.
2. Determine whether such reports meet any criteria for exclusion.
3. Identify actual or potential safety issues from the information contained in the reports.
4. Investigate reported events. The ERC may conduct interviews, when appropriate.
5. Propose solutions for safety issues identified in reports.
6. Identify and communicate effective corrective actions and recommendations.
7. Conduct an annual review of the ASAP database to determine whether corrective actions have been effective in preventing or reducing the recurrence of safety-related events. Additionally, the review should ensure that corrective actions have not been subsequently negated through implementation of other company actions (e.g., manual revisions, checklist modifications, training, etc.).
13.3 ASAP Manager Responsibilities. The eligible entity should select an ASAP manager to serve as the program administrator. When third-party facilitators are involved, they too may fill this role. In some cases (while not ideal), the ASAP manager is also the company management representative to the ERC and may perform both functions. The ASAP manager is responsible for the following:
1. Receiving, recording, tracking, analyzing, and responding to ASAP reports.
2. Maintaining the electronic ASAP database and facilitating ERC member access, as needed.
3. Preparing the ERC meeting agenda.
4. Distributing complete (with an option for name-redacted-only) reports to ERC members for review prior to meeting.
5. Coordinating and tracking ERC recommendations.
6. Tracking accomplishment of corrective action(s).
7. Annotating when reports are closed without an FAA ERC member in attendance.
8. Recording repeated instances of noncompliance with Title 14 of the Code of Federal Regulations (14 CFR) and informing ERC members if the same individual is involved in multiple violations.
9. Providing employee feedback. Any employee who submitted a report may contact the ASAP manager to inquire about the status of his or her report.
10. Keeping all documents and records regarding this program (see paragraph 22) and making them available to the parties to the MOU at their request.
11. Keeping company upper management informed regarding program results.
12. As a recommended best practice, coordinating with the ERC to develop a manual of processes and procedures for reviewing and analyzing reports. The ASAP manager and the ERC develop such a manual at their discretion.
13. In coordination with the ERC, publishing pertinent event recaps, data, and trend information derived from filed and processed reports, and ASAP analyses in accordance with the eligible entity’s defined procedures.
14 PROCESSING REPORTS.
14.1 Consensus of the ERC. The success of an ASAP is built on the ability of the ERC to achieve consensus on each event that is reported. Consensus of the ERC means the voluntary agreement of all voting representatives on the ERC.
14.1.1 Reaching a Consensus. The ERC reaches a consensus when deciding whether to accept a report into the program and when deciding on corrective action recommendations arising from the event. It does not require that all members believe that a particular decision or recommendation is the most desirable solution, but that the result falls within each member’s range of acceptable solutions for that event in the best interest of safety. In order for this concept to work effectively, the ERC representative is empowered to make decisions within the context of the ERC discussions on a given report. Management for the parties to an ASAP MOU should not preempt their respective ERC representative’s decision-making discretion for an event reported under the ASAP. If the parties to an ASAP MOU do not permit their respective ERC representative to exercise this discretion,
6 the capacity of the ERC to achieve consensus will be undermined and the program will ultimately fail.
14.1.2 Consensus Cannot Be Achieved. The FAA retains all its legal authority and responsibilities contained in Title 49 of the United States Code (49 U.S.C.) and referenced in the current edition of FAA Order 2150.3, FAA Compliance and Enforcement Program. In the event there is not a consensus of the ERC on decisions concerning a report involving an apparent violation(s), or a medical certification or qualification issue, the FAA ERC representative decides whether to accept or reject the report.
14.2 Reports Involving High-Profile Events. ERC members should communicate in a timely manner with management for the parties to an ASAP MOU (i.e., FAA, eligible entity, and labor group, if applicable) when an ASAP report involves potentially controversial issues and high-profile safety-related events. The ERC should brief management on the nature of such issues and events, the associated results of the ERC investigation, and the disposition of the report. The ERC and management protect confidential details of the report during such communications.
14.3 Use of Obtained Information. Information obtained from the ASAP permits participants to identify actual or potential risks throughout their operations. Once identified, the parties to an ASAP can implement corrective actions in order to reduce the potential for accidents, incidents, and other safety-related events. The parties should use de-identified ASAP information for mission-pertinent purposes, such as developing internal evaluation strategies, risk mitigation plans, and policy development. In order to gain the greatest possible benefit from the ASAP, it may be necessary for eligible entities to develop programs with compatible data collection, analysis, storage, and retrieval systems. ASAP participants can use the information and data that has been collected and analyzed as a measure of a safety culture.
14.3.1 Reports Involving Medical Certification and Qualification Issues. If the ERC becomes aware of an issue involving the medical qualification or medical certification of an airman, the ERC immediately advises the appropriate Regional Flight Surgeon (RFS) about the issue. The ERC works with the RFS and the eligible entity’s medical department or medical consultants to resolve any issues or concerns revealed in an ASAP report or through the processing of that report. The FAA ERC member follows the direction(s) of the RFS with respect to any medical certification or qualification issue(s) revealed in an ASAP report.
14.3.2 Violations by Eligible Entities. If appropriate, the FAA may handle apparent violations by eligible entities disclosed through a safety-related ASAP report under the VDRP.
Refer to the current editions of AC 00-58, Voluntary Disclosure Reporting Program, Order 2150.3, and Order 8900.1. A voluntary disclosure can still be accepted by the FAA, even though the FAA has already learned of the violation from the ASAP.
14.3.3 Corrective Actions Utilized Within the VDRP. The FAA may, at its sole discretion, accept the corrective action recommended by an ASAP ERC for an accepted ASAP report (even when an apparent employee qualification or competency issues is involved) as all or part of the comprehensive fix for the voluntary disclosure under the following conditions:
1. The FAA determines that the violation is due entirely to the actions of the employee(s) and not to a systemic or procedural deficiency of the company, and
2. Employees involved in events covered under this program complete the corrective action in a manner satisfactory to all members of the ERC. If corrective action is not completed, the employee’s report is excluded from the ASAP. In these cases, information about the ASAP event (in accordance with paragraph 16.3) is referred to an appropriate office within the FAA for any additional investigation and FAA action, as appropriate.
14.4 Nonreporting Employees Covered Under an ASAP MOU. If an ASAP report identifies another covered employee of the eligible entity in a possible violation, and that employee has neither signed that report nor submitted a separate report, the ERC determines on a case-by-case basis whether to offer the nonreporting employee the opportunity to submit an ASAP report. If the nonreporting employee submits a report within the acceptable timeframe established by the ERC, that report is afforded the same consideration under the ASAP as that accorded the report from the original reporting employee, provided the report meets all other ASAP acceptance criteria. However, if the nonreporting employee fails to submit a report within the timeframe allotted after notification, the possible violation by that employee is referred to the appropriate office within the FAA for additional investigation and action (as appropriate) and for referral to law enforcement authorities, if warranted.
14.5 Nonreporting Employees Not Covered Under an ASAP MOU. If an ASAP report identifies another employee of the eligible entity who is not covered under the eligible entity’s MOU, and the report indicates that employee may have been involved in a possible violation, the ERC determines on a case-by-case basis whether it would be appropriate to offer that employee the opportunity to submit an ASAP report. If the ERC determines that it is appropriate, the ERC provides that employee with information about the ASAP and invites the employee to submit an ASAP report. If the employee submits an ASAP report within a timeframe acceptable to the ERC, that report is accepted under the ASAP, provided it meets all other ASAP acceptance criteria. If the employee fails to submit a report within an acceptable timeframe established by the ERC, the FAA ERC member refers the possible violation by that employee will be referred to the appropriate office within the FAA for additional investigation and action (as appropriate) and for referral to law enforcement agencies, if warranted.
15 CORRECTIVE ACTION. Corrective actions are developed by the ERC in order to address deficiencies discovered during an ERC investigation. They may consist of training, mentoring, counseling, or other options that the ERC may determine are the best course of action to undertake to resolve the issue. The ERC develops corrective actions
8 and works with the eligible entity to implement those corrective actions in order to counter adverse risks and trends. The ERC excludes ASAP reports if the employee fails to complete corrective action for an apparent violation, or a medical certification or qualification issue, in a manner acceptable to the ERC. The FAA ERC member then refers the event to an FAA office (in accordance with paragraph 16.3) for additional investigation and/or FAA action. The ERC may recommend corrective action for any safety issue identified within an accepted report. Official training records and personnel files should not reflect corrective actions associated with the ASAP (refer to the Pilot Records Improvement Act of 1996 (PRIA) and the current edition of AC 120-68, Pilot Records Improvement Act of 1996). All corrective actions should be documented and retained in the ASAP database.
15.1 Corrective Action for Qualification Issues. The ERC addresses accepted reports involving competence or qualification of certificate, license, or permit holders with appropriate corrective action, which may include retraining or reexamination. Reluctance or failure to adopt methods to remediate noncompliance or instances of repeated noncompliance are handled by the FAA in accordance with Order 2150.3.
15.2 Corrective Action for Systemic Issues. For corrective action regarding systemic issues by an eligible entity:
1. The ASAP manager should provide such ERC recommendations to the appropriate company department head for consideration.
2. The eligible entity may implement, modify, or decline to implement the ERC’s recommendations.
3. The ASAP manager records, tracks, and follows up on the company’s response and action.
4. The ASAP manager should record all recommended actions in the ASAP database.
Note: Any recommended corrective action that is not implemented is recorded in the ASAP database along with the reason why it was not implemented.
5. The ASAP manager should bring systemic issues to the attention of company and FAA management.
16 INVESTIGATIONS AND USE OF REPORTS. Under the FAA’s governing statute, regulations, and agency policy, the FAA investigates statutory and regulatory noncompliance and takes appropriate action in response to noncompliance.
16.1 Accepted Reports. The FAA takes no action against an employee who submits a report that is accepted (and not subsequently excluded). No FAA correspondence outside the ERC is necessary. Such reports are closed with an ERC response to the submitter after the ERC determines to its satisfaction that the submitter has properly completed the corrective action (if any).
16.2 Reports Excluded Based on the Big Five. The FAA ERC representative refers events that are excluded based on the Big Five (see paragraph 13.1) to the appropriate FAA office for investigation. The FAA may use the entire content of such a report, including the content of the ERC investigation and/or interviews concerning the reported event, as evidence in any FAA investigation and FAA action. The FAA may refer reports of the Big Five to law enforcement agencies, if appropriate. The company also may use reports excluded based on the Big Five to initiate or support company discipline. Upon completion of a subsequent investigation, if the FAA determines that the event did not involve the Big Five, then it refers the report back to the ERC for a determination of acceptability under the ASAP. The ERC accepts such reports under the ASAP, provided they otherwise meet the acceptance criteria.
16.3 Reports Excluded for Reasons Other Than the Big Five. If the ERC excludes a report for reasons other than those related to the Big Five (e.g., reckless or intentional violation conduct not involving the Big Five, violations outside the scope of employment, repeated noncompliance), the FAA ERC representative communicates his or her knowledge of the event to the appropriate FAA office for possible investigation. The FAA may use its knowledge of the event referred by the FAA ERC member to prompt an independent investigation of the apparent violation(s) and to initiate an FAA action against the employee. The “knowledge of the event” under this paragraph includes the date, time, location, flight number, aircraft tail number, and related information, as well as the apparent noncompliance disclosed in the ASAP report. (Refer to Order 8900.1, Volume 14, Chapter 3, Section 12, Events Excluded from an Aviation Safety Action Program.) An “independent investigation” as referenced in this paragraph is one in which the FAA uses the knowledge of the event to conduct the investigation, but does not obtain other information concerning the apparent violation(s) from the ERC or from the ASAP report (except that the FAA may obtain information regarding corrective action on a non-sole-source report). The FAA determines the appropriate action by following the Compliance Action Decision Process (CADP). (Refer to Order 8900.1, Volume 14, Chapter 1, Section 2, Flight Standards Service Compliance Action Decision Procedure.)
16.4 Reports That are Non-Sole-Source. The FAA considers an ASAP report to be non-sole-source when the FAA has evidence that an apparent violation that is not discovered pursuant to, or otherwise predicated on, an ASAP report (e.g., whistleblower/hotline complaints, reports from air traffic control (ATC) involving airspace deviations, incident reports, and accident reports). The FAA investigates apparent violation(s) based on evidence independent of an ASAP report, regardless of whether the associated non-sole-source report was accepted or excluded (see paragraph 17.1). The FAA may use the reports as specified in paragraph 16.2 and knowledge of the event as specified in paragraph 16.3 to conduct the investigation. Any action the FAA takes is in accordance with paragraph 16.
Note: Except as otherwise provided in paragraph 16, no portion of the written ASAP report, including an ERC investigation or interview(s) concerning a reported event, is used to initiate or support company discipline or FAA enforcement action. This policy applies regardless of whether the ERC accepts or excludes the report. The company retains its authority to take disciplinary action
10 based on information of an event independently obtained by the company (i.e., information not based or otherwise predicated upon the content of an employee’s ASAP report).
17 FLIGHT STANDARDS OFFICE ERC REPRESENTATIVE. The Flight Standards office ERC representative is empowered to complete ASAP investigations and is responsible for coordinating all corrective actions in accordance with the current editions of the following FAA orders effective at the time of the event, as applicable:
• FAA Order 8020.11, Aircraft Accident and Incident Notification, Investigation, and Reporting.
• FAA Order 8900.1.
17.1 The ERC determines whether or not a reported event meets the criteria for acceptance into an ASAP in accordance with the applicable orders and through the ERC process. If an event meets the criteria and is accepted into the ASAP by the ERC, the FAA transfers all jurisdiction and responsibility for the completion of compliance and enforcement investigations related to the event to the appropriate Flight Standards ERC representative (even if an enforcement investigation has been previously opened outside of the ASAP).
The appropriate Flight Standards office completes preliminary incident or pilot deviation (PD) reports in accordance with current FAA guidance materials regarding such reports, regardless of whether the employee submitted an ASAP report that reported the event.
The FAA office having jurisdiction over the eligible entity completes preliminary incident or PD reports involving the eligible entity’s employees.
18 GUIDELINES FOR EXCLUSION OF REPORTS UNDER THE ASAP. This paragraph discusses exclusion criteria for ASAP reports.
18.1 Timeliness. Past iterations of ASAP policy emphasized strict time period requirements as a condition for acceptance of reports. While timeliness considerations are generally still a relevant factor in whether the ERC accepts a report, the responsibility of the ERC is now to review all information available and determine whether acceptance of the report is in the best interest of safety. Timeliness considerations do not apply to sole-source reports.
18.2 Reckless Conduct. Reports of an apparent violation involving reckless conduct are excluded. Reckless conduct is an act (or failure to act) demonstrating a gross disregard for, or deliberate indifference to, safety or a safety standard.
18.3 Intentional Conduct. Reports involving intentional conduct are excluded. Intentional conduct is an act (or failure to act) while knowing that such conduct is contrary to a regulation or statute, or is otherwise prohibited.
Note: There is a narrow circumstance under which the ERC considers acceptance of a report despite the intentionality of a violation. Under 14 CFR part 91, § 91.3(b), in an in-flight emergency requiring immediate action, the pilot in command (PIC) may deviate from any rule in 14 CFR part 91 to the extent required to meet that emergency. In considering accepting the report, the ERC
11 should evaluate whether such action maybe have been the safest course given the circumstances at the time of the incident. If the deviation was the result of an event outside of the control of the pilot or not otherwise evidencing a lack of due diligence (e.g., to address a flight-threatening mechanical malfunction), the ERC may determine that acceptance of the report is appropriate.
18.4 The Big Five. Reports that appear to involve possible criminal activity, substance abuse, controlled substances, alcohol, or intentional falsification are excluded. Upon completion of a subsequent investigation, if it is determined that the event did not involve any of the aforementioned activities, then the FAA office refers the report back to the ERC for a determination of acceptability under the ASAP. Such reports are accepted under the ASAP, provided they otherwise meet the acceptance criteria.
18.5 Events Occurring Outside the Scope of Employment. Reports of events that directly involve an employee but that occurred while he or she was acting outside the scope of his or her employment for the eligibility entity are excluded.
18.6 Repeated Noncompliance. The ERC may determine through consensus to exclude a report that reflects an instance of a repeated act of the same or similar noncompliance by the same individual due to a common root cause that the ERC previously accepted and addressed with corrective action under the ASAP.
19 REOPENING REPORTS BASED ON NEW EVIDENCE. The ERC may reopen a closed ASAP report and take appropriate action if the ERC (or the FAA) later discovers evidence that establishes that the violation should have been excluded from the program.
19.1 Closing a Report. The ERC should not close a report until all member investigations concerning the event are completed.
19.2 Best Practices. The ERC may make additional safety recommendations based on the new information, if appropriate. For more information, refer to Best Practices for Event Review Committees at https://www.faa.gov/about/initiatives/asap/policy/.
20 PROTECTION OF VOLUNTARILY SUBMITTED ASAP INFORMATION. Under 49 U.S.C. § 40123, Protection of Voluntarily Submitted Information, and as implemented by 14 CFR part 193 and the current edition of FAA Order 8000.82, Designation of Aviation Safety Action Program (ASAP) Information as Protected from Public Disclosure Under 14 CFR Part 193, certain voluntarily provided safety and security information may be protected from public disclosure in order to encourage persons to provide the information to the FAA.
21 EMPLOYEE FEEDBACK. The full value of an ASAP can only be known and understood if management for the parties to an ASAP MOU provides open and meaningful feedback to employees regarding the operation and results of the program, including corrective action taken in response to a report. Such feedback should be shared openly and honestly with all stakeholders (e.g., the submitter, other safety-sensitive employees), while maintaining the protection of confidentiality. Making the impact of the
12 ASAP on safety visible and sustaining this visibility over time is important for building and maintaining trust in and buy-in to the program.
22 RECORDKEEPING. The parties should maintain those records necessary for an ASAP’s administration and evaluation and as required by law. Records submitted to the FAA for review relating to an ASAP are protected to the extent allowed by law.
22.1 Database. Upon initiation of an ASAP, eligible entities should implement a comprehensive electronic database system for report submission, data acquisition, comprehensive event categorization, risk analysis, and data trending. The eligible entity is free to develop or acquire whichever system best meets its needs for program management.
22.2 Safety Data Collection, Analysis, and Retention Processes. Each ASAP maintains a comprehensive database for the electronic collection and aggregation of ASAP data.
Through the use of de-identified information from that database, the parties to the MOU review data, identify and analyze trends, and target resources in an effort to mitigate risks. The eligible entity should retain safety-related information for a sufficient period of time for the ERC to determine whether its recommended corrective actions have been effective, but not less than 2 years.
22.3 Quarterly Reports on Safety Enhancements. The fundamental purpose of an ASAP is to enhance safety. The FAA maintains an audit trail of the extent to which the program is achieving that objective. The manager of the FAA office having oversight responsibilities for the eligible entity prepares a summary report of safety enhancements achieved each quarter by each eligible entity’s ASAP(s). The office manager sends quarterly reports by electronic mail to the appropriate Flight Standards office using the report format provided. (Refer to Order 8900.1, Volume 11, Chapter 2, Section 1.) The ASAP Office receives quarterly reports electronically. Aggregate information is available on an FAA internal Tableau site (ASAP VUE), access to which is available to any FS inspector upon request to the ASAP Office. The information is protected from public release under Order 8000.82 and part 193.
22.4 Annual Review. The ERC conducts an annual review of the ASAP database with emphasis on determining whether corrective actions have been effective in preventing or reducing the recurrence of safety-related events.
23 MOU ACCEPTANCE.
23.1 Review. The eligible entity should initially develop and present the program to the appropriate Flight Standards office for review. The FAA does not accept MOUs that deviate from the provisions in this AC (see the MOU template in Appendix C, FAA ASAP Memorandum of Understanding Template).
23.2 Procedures. All ASAPs, whether new or previously established, will enter as continuing programs. Each eligible entity should access the website (https://www.faa.gov/about/initi atives/asap/) and complete the MOU template, then download a copy for signature. A copy of the signed MOU is retained by the appropriate Flight Standards office. The office