Appendix 1 (other than the individual’s safety-related report) would likely have resulted in the processing of a FAA enforcement action had the individual’s safety-related report not been accepted under ASAP. Accepted non sole-source reports for which there is not sufficient evidence will be closed with a FAA Letter of No Action.
c. Sole-Source Reports. A report is considered a sole-source report when all evidence of the event is discovered by or otherwise predicated on the report. Apparent violations disclosed in ASAP reports that are covered under the program and are sole-source reports will be addressed with an ERC response (no FAA action). It is possible to have more than one sole-source report for the same event.
d. Reports Involving Qualification Issues. ESA ASAP reports covered under the program that demonstrate a lack, or raise a question of a lack, of qualification of a certificate holder employee will be addressed with corrective action, if such action is appropriate and recommended by the ERC. If an employee fails to complete the corrective action in a manner satisfactory to all members of the ERC, then his/her report will be excluded from ASAP. In these cases, the ASAP event will be referred to an appropriate office within the FAA for any additional investigation and reexamination and/or enforcement action, as appropriate.
e. Excluded from ASAP. Reported events involving possible noncompliance with 14 CFR that are excluded from ASAP will be referred by the FAA ERC member to an appropriate office within the FAA for any additional investigation and re-examination and/or enforcement action, as appropriate.
f. Corrective Action. Employees initially covered under an ASAP will be excluded from the program and not entitled to the enforcement-related incentive if they fail to complete the recommended corrective action in a manner satisfactory to all members of the ERC. Failure of an employee to complete the ERC recommended corrective action in a manner satisfactory to all members of the ERC may result in the reopening of the case and referral of the matter for appropriate action.
g. Repeated Instances of Noncompliance with 14 CFR. Reports involving the same or similar possible noncompliance with the Regulations that were previously addressed with administrative action under ASAP will be accepted into the program, provided they otherwise satisfy the acceptance criteria in paragraph 6 above. The ERC will consider on a case-by-case basis the corrective action that is appropriate for such reports.
h. Closed Cases. A closed ASAP case including a related enforcement investigative report involving a violation addressed with the enforcement-related incentive, or for which no action has been taken, may be reopened and appropriate enforcement action taken if evidence later is discovered that establishes that the violation should have been excluded from the program.
12. EMPLOYEE FEEDBACK. The ASAP manager will publish a synopsis of the reports received from flight crewmembers in the ASAP section of the monthly publication Executive Update. The synopsis will include enough information so that the pilots can identify their reports. Employee names, however, will not be included in the synopsis. The outcome of each Page 7
Appendix 1 report will be published. Any employee who submitted a report may also contact the ASAP manager to inquire about the status of his/her report. In addition, each employee who submits a report accepted under ASAP will receive individual feedback on the final disposition of the report.
13. INFORMATION AND TRAINING. The details of the ASAP will be made available to all flight crewmembers and their supervisors by publication in the ESA Executive Operations Manual. Each ESA flight crewmember and manager will receive written guidance outlining the details of the program at least 2 weeks before the program begins. Each flight crewmember will also receive additional instruction concerning the program during the next regularly scheduled recurrent training session, and on a continuing basis in recurrent training thereafter. All new-hire flight crewmember employees will receive training on the program during initial training.
14. REVISION CONTROL. Revisions to this MOU shall be documented using standard revision control methodology.
15. RECORDKEEPING. All documents and records regarding this program will be kept by the ESA ASAP manager and made available to the other parties of this agreement at their request. All records and documents relating to this program will be appropriately kept in a manner that ensures compliance with 14 CFR and all applicable law (including the Pilot Records Improvement Act). The EPLA and the FAA will maintain whatever records they deem necessary to meet their needs.
16. SIGNATORIES. All parties to this ASAP are entering into this agreement voluntarily.
____________________________________ _________ President, Executive Pilots Labor Association Date
____________________________________ _________ Director of Flight Safety, Executive Star Airlines Date
____________________________________ _________ Manager, FAA CHDO For Executive Star Airlines Date Page 8
Appendix 2 APPENDIX 2. ASAP MOU CHECKLIST
NO. ITEM RESPONSE (Circle Yes, No, or NA)
MOU PARAGRAPH
REFERENCE 1 Does this program involve a Part 121 Air Carrier or Part 145 Major Domestic Repair Station?
Yes No NA 2 Is this ASAP:
a Specific to an employee group(s)? Yes No NA b A Demonstration program? Yes No NA c An Extension of a Demonstration program? Yes No NA d A Continuing program? Yes No NA e A renewal of a Continuing program? Yes No NA 3 Is the duration of the program limited to the period of time needed to achieve the desired goals and benefits articulated in the program?
Demonstration programs initially should have a duration of no longer than 18 months and should be reviewed prior to renewal.
Demonstration programs that undergo changes after their initial review may be extended for no longer than 12 months.
Programs that are classified as Continuing must be reviewed and renewed every 2 years.
Yes No NA 4 Have all parties to the ASAP entered into this agreement voluntarily?
Yes No NA 5 Is there a description of the objective(s) of the program which includes:
a The essential safety information that is reasonably expected to be obtained through the program?
Yes No NA b Any specific safety issues that are of a concern to any of the parties?
Yes No NA c The benefits to be gained through the use of the program?
Yes No NA 6 Is there a description of any enforcementrelated incentive that is needed to achieve the desired goal and results of the program?
Yes No NA 7 Is there a statement that all safety-related reports shall be fully evaluated and, to the extent appropriate, investigated by the ERC?
Yes No NA 8 Is there a description of the manner in which ASAP records and reports shall be kept that ensures compliance with 14 CFR, the Pilot Records Improvement Act (PRIA), and any other applicable law?
Yes No NA Page 1
Appendix 2 NO. ITEM RESPONSE (Circle Yes, No, or NA)
MOU PARAGRAPH
REFERENCE 9 Is there a description of the process for timely reporting to the ERC all events disclosed under the program?
Yes No NA 10 Is there a description of the procedures that provide for:
a The resolution of safety-related events? Yes No NA b Continuous tracking of those events? Yes No NA c The analysis of safety-related events? Yes No NA 11 Is there a statement of ASAP report acceptance and exclusion criteria?
Yes No NA 12 Is there a description of 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 or any other party individually).
Yes No NA 13 Are the point(s) of contact responsible for oversight of the program identified for each party?
Yes No NA 14 Is there a description of the process for training and distributing information about the program to certificate holder management and employees and procedures for providing feedback to individuals who make safetyrelated reports under the program?
Yes No NA 15 Is there a statement that modifications to the MOU must be accepted by all parties?
Yes No NA 16 Is there a statement that 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, e.g., when a program is terminated, all reports and investigations that were in progress will be handled under the provisions of the program until they are completed.
Yes No NA 17 Is there a statement that the program can be terminated at any time, by any party?
Yes No NA 18 Is there a statement that failure of any party to follow the terms of the agreement ordinarily will result in termination of the program?
Yes No NA 19 Is there a statement that failure of a certificate holder to follow through with corrective action acceptable to FAA, to resolve any safety deficiencies, will ordinarily result in termination of the program?
Yes No NA 20 Is there a detailed description of the following concepts and how they will be used:
Appendix 2 NO. ITEM RESPONSE (Circle Yes, No, or NA)
MOU PARAGRAPH
REFERENCE a Event Review Committee? Yes No NA b Consensus of the ERC? Yes No NA c Sole-source reporting? Yes No NA d Sufficient evidence? Yes No NA e Enforcement-related incentive? Yes No NA 21 Is there a statement that repeated instances involving the same or similar possible noncompliance with 14 CFR previously addressed with administrative action under the ASAP will be covered under the program, provided that they otherwise meet the acceptance criteria of ASAP? (The determination of appropriate corrective action for such events will be made by the ERC on a case-by-case basis.)
Yes No NA 22 Does the ASAP include an MOU procedure to identify the date, time, location or fix, altitude, flight number, and ATC frequency at the time the event occurred? (This applies to ASAP MOUs that contain provisions for ATC events.)
Yes No NA 23 Is there a statement that employees initially covered under an ASAP will be excluded from the program and not entitled to the enforcement-related incentive if they fail to complete the recommended corrective action in a manner satisfactory to all members of the ERC? (These cases may result in the reopening of the case and referral of the matter for appropriate action.)
Yes No NA 24 Is there a statement that any safety-related ASAP event that concerns an apparent violation(s) that is EXCLUDED from ASAP, will be referred by the FAA ERC representative to an appropriate office within the FAA for any additional investigation and reexamination and/or enforcement action, as appropriate?
Yes No NA 25 Is there a statement that a closed ASAP case, including a related EIR, that involves a violation addressed with administrative action or for which no action has been taken, may be reopened if evidence is later discovered that establishes the event should have been excluded from the program?
Yes No NA Page 3
Appendix 2 NO. ITEM RESPONSE (Circle Yes, No, or NA)
MOU PARAGRAPH
REFERENCE 26 Is there a statement that when the ERC becomes aware of an issue involving the medical qualification or medical certification of an airman, the ERC must immediately advise the appropriate Regional Flight Surgeon about the issue? (The ERC will work with the Regional Flight Surgeon and the certificate holder’s medical department or medical consultants to resolve any medical certification or qualification issues or concerns revealed in an ASAP report, or through the processing of that report. The FAA ERC member must follow the direction(s) of the Regional Flight Surgeon with respect to any medical certification or medical qualification issue(s) revealed in an ASAP report.)
Yes No NA 27 Is there a statement that reports that appear to involve possible criminal activity, substance abuse, controlled substances, alcohol, or intentional falsification will be referred to an appropriate FAA office for further handling.
The FAA may use such reports for any enforcement purposes and will refer such reports to law enforcement agencies, as appropriate.
Yes No NA Page 4
Index
Index
A F
acceptance, 4, 6-8, 10, 11, 12, 14-17 FAA Order 2150.3A, 2, 6, 10, 13, 16, 2, 5, 6 Administrative Action, 2, 4, 6, 8, 9, 10, 11, 15, 16, 6, 7, 3 failure to complete, 9 air carrier, 1, 2, 4, 13, 1, 1 falsification, 3, 4, 8, 9, 10, 16, 2, 6, 4 Alaska Airlines, 2 feedback, 15, 4, 7, 8, 2 alcohol, 4, 8, 9, 10, 16, 2, 6, 4 Flight Standards District Office, 2, 13 Altitude Awareness Program, 2 amendment, 17 G American Airlines, 2 analysis, 1, 3, 14, 16, 1, 4, 2, 5 APPLICABILITY, 4, 1 guidelines, 2, 7, 8
B H
background, 2 Handbook Bulletin, 16 benefits, 5, 7, 14, 1, 1 I C information, 1-8, 13, 14, 17, 18, 1-5, 8, 1, 2 certificate holder, 1-10, 13, 15-17, 4, 6, 7, 2, 4 intentional disregard for safety, 7, 9, 12, 13, 6 Certificate Holding District Office, 2, 12, 4 checklist, MOU, 16, 1 M consensus, 3, 4, 6, 9, 11, 12, 15, 5, 6, 7, 3 Continuing Programs, 5, 16 controlled substances, 4, 8, 9, 10, 16, 2, 6, 4 Manager, 14, 16, 17, 2-8 coordination, 17, 4 medical qualification/certification, 6-9, 13, 16, 5, 6, 4 corrective action, 1, 3, 4, 6, 8-13, 15, 16, 1, 2, 4-7, 2, 3 MOU, 2, 3, 5-10, 12-18, 1-5, 8, 1-3 criminal activity, 4, 8, 9, 10, 16, 2, 6, 4
N D
no action, 10, 12, 16, 7, 8, 3 demonstration programs, 5, 14, 17, 1 development, 4, 5 duration, 5, 14, 2, 1 O E objective, ASAP, 1, 14, 17, 1
employee group, 1, 4, 5, 13, 18, 1, 1 P enforcement, 1-4, 7-10, 13-16, 1-8, 1, 3, 4 enforcement policy, 9 person, 2, 3, 5, 6, 7, 4 ERC representative, 6, 9, 16, 5, 3 purpose, 1-4, 6, 10, 13, 16, 1, 6, 4 Event Review Committee, 3, 6, 15, 4, 3 Q evidence, 4, 10, 11, 12, 15, 16, 6, 7, 3, 4 evidence, new, 10 evidence, sufficient, 4, 10, 11, 15, 6, 7, 3 qualification, 6, 7, 9, 10, 13, 16, 5-7, 4 examples, 11, 12
Index R
Regional Flight Surgeon, 7, 16, 6, 4 renewal, 5, 14, 16, 17, 1 reopening closed cases, 9, 10, 13, 16, 7, 3 repair station, 1, 3, 4, 11, 13, 18, 1 repeated violations, 8 reporting ASAP events, 1, 2, 4, 11, 12, 14, 1, 4, 7 reporting, timely, 14, 2 reports, 1, 3, 4, 5, 6, 7, 8, 9, 10, 12, 14, 15, 16, 18, 1, 2, 3, 4, 5, 6, 7, 8, 1, 2, 4 resources, 5, 16 review, 3, 4, 5, 7, 10, 13, 16, 17, 2, 3, 4, 1 reviews, frequency of, 5, 13, 14, 4, 5, 2
S
safety-related report, 3, 4, 10, 11, 12, 14, 5, 7, 1, 2 safety-related event, 1, 14, 2, 4, 2 sample, 13, 1 sole-source report, 4, 9, 10, 11, 12, 15, 1, 7, 3 substance abuse, 4, 7, 8, 10, 16, 2, 6, 4
T
termination, 13, 14, 15, 2, 5, 2, 3 tracking, 14, 4, 2 training, 12, 14, 6, 8, 2
V
Voluntary Disclosure, 2, 4, 10, 2