AC 120-66B - AVIATION SAFETY ACTION PROGRAMS (ASAP)

AC 120-66B &#= 8211;

AVIATION SAFETY ACTION PROGRAMS (ASAP)

1. PURPOSE. This Advisory Circular (AC) provides guidance for establishing an air transportation Aviation Safety Action Program (ASAP). The objective of the = ASAP is to encourage air carrier and repair station employees to voluntarily rep= ort safety information that may be critical to identifying potential precursors= to accidents. these precursors is essential to further reducing the already low accident rate. 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 that is obtained. AS= AP safety data, much of which would otherwise be unobtainable, is used to deve= lop corrective actions for identified safety concerns, and to educate the appropriate parties to prevent a reoccurrence of the same type of safety ev= ent. An ASAP is based on a safety partnership that will include the ECAA and the certificate holder, and may include a third party, such as the employee's l= abor organization. To encourage an employee to voluntarily report safety issues, enforcement-related incentives have been designed into the program.

(a) Information obtained from these programs will permit ASAP 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 reoccurrence of accidents, incidents, and other safety-related events. In order to gain the greatest possible positive benefit from ASAP, it may be necessary for certificate holders to develop programs with compatible data collection, analysis, stor= age, and retrieval systems. The information and data, which are collected and an= alyzed, can be used as a measure of aviation system safety.

(b) An ASAP provides a vehicle whereby employees of participating air carriers and repair station certificate holders can ident= ify and report safety issues to management and to the ECAA for resolution, with= out fear that the ECAA will use reports accepted under the program to take legal enforcement action against them, or that companies will use such informatio= n to take disciplinary action. These programs are designed to encourage participation from various employee groups, such as flight crewmembers, mechanics, Cabin crew, and dispatchers.

(c) The elements of ASAP are set forth in a Memorandum of Understanding (MOU) between the ECAA, certificate holder management, and an appropriate third party, such as an employee's labor organization or their representatives.

5. APPLICABILITY. ASAPs are intended for air carriers that operate under Part = 121. They are also intended for repair stations certificated under Part 145. ASA= Ps are entered into voluntarily by the ECAA, a certificate holder, and if appropriate, other parties.<= /p>

6. DEVELOPM= ENT. Certificate holders may develop programs and submit them to the ECAA for re= view and acceptance in accordance with the guidance provided. Ordinarily, progra= ms are developed for specific employee groups, such as flight crewmembers, Cab= in crew, mechanics, or dispatchers. The ECAA will determine whether a program = is accepted. The ECAA may suggest but may not require that a certificate holder develop an ASAP to resolve an identified safety problem.

(a)= Development Considerations. The development and implementation of an ASAP is a multifac= eted task:

(1) The certificate holder, employee group, and the ECAA must first d= evelop a relationship that will promote the ASAP concept. The reluctance of one or more parties to commit to the program is detrimental to the process.=

(2) The process for report review must be outlined in detail.<= span lang=3DAR-SA dir=3DRTL>

(3) Safety data collection, analysis, and retention processes must be developed and agreed upon.

(4) Event investigation tasks must be assigned.

(5) Prior to the implementation of the ASAP, a comprehensive company employee and management education program must be undertaken.

(6) The ASAP process may require cultural change for all parties invo= lved.

(7) Continuity of personnel during the early stages of program implementation will promote the desired partnership relationship between program members.

(b) Demonstration Programs. Certificate holders initially must develop a separate demonstration program for each employee group sough= t to be covered by an ASAP. The objective of a demonstration program is to measu= re its effectiveness and ensure that it meets the safety objectives of the specific ASAP.

(8) The initial demonstration program, which shall be limited to the = period of time needed to achieve the desired goals and benefits articulated in the program, should have a duration of no longer than 18 months.

(9) At the conclusion of the initial demonstration program, all parti= es will review the program. Demonstration programs that require modification m= ay be extended for an additional time, not to exceed 12 months, to effectively measure any change(s) made to the original program to address a deficiency identified by any of the parties. =

(c) Continuing Programs. After a demonstration program is reviewed and determined to be successful by the parties to the agreement, it may be accepted as a continuing program, subject to review and renewal ever= y 2 years by the ECAA.

(d)Withdrawal. Regardl= ess of the duration of a program, any party to the ASAP may withdraw from the prog= ram at any time.

7. RESOURCE= S. An ASAP can result in a significant commitment of both human and fiscal resources by the parties to the program. During the development of a progra= m, it is important that each party be willing to commit the necessary personne= l, time, and monetary resources to support the program.

8. PROCESSI= NG OF REPORTS.

(a) &= nbsp; Event Review Committee (ERC) Proces= s. The determination of whether reports qualify for inclusion in the ASAP will be = made by a consensus of the ERC.

(1) The ERC is composed of one designated representative and an alter= nate each from the ECAA, the certificate holder, and any third party, e.g., the employee's union or representative organization.

(2) The ERC will:

1.&n= bsp; •review and analyze reports submitted under the ASAP

2.&n= bsp; •determine whether such reports qualify for inclusion

3.&n= bsp; •identify actual or potential problems from the information contained in the reports,= and

4.&n= bsp; •propose solutions for those problems=

(3) For official meeting purposes, a quorum exists when all designate= d ERC representatives, or their alternates, are present. Some reported events may involve matters that are complex or sensitive, or that require the expertis= e of other ECAA. The ERC representatives are encouraged to consult with such per= sons as needed during the ASAP process.=

(b) &= nbsp; Consensus of the ERC. The success o= f 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 representatives of the ERC.<= /span>

(1) The ERC must reach a consensus when deciding whether a report is accepted into the program and when deciding on corrective action recommendations arising from the event, including any ECAA action. It does = not require that all members believe that a particular decision or recommendati= on is the most desirable solution, but that the result falls within each membe= r'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 must be empowered to make decisions within the context of the ERC discussions on a given report. Senior management and supervisors should not preempt their respective ERC representative's decision-making discretion for an event reported under ASAP. =

(2) Recognizing that the ECAA holds statutory authority to enforce the necessary rules and regulations, it is understood that the ECAA retains all legal rights and responsibilities. In the event there is not a consensus of= the ERC on decisions concerning a report involving an apparent violation(s), a qualification issue, or medical certification or qualification issue, the E= CAA ERC representative will decide how the report should be handled. The ECAA w= ill not use the content of an ASAP report in any subsequent enforcement action = except as described in paragraph 11c(2).<= /o:p>

9. GUIDELIN= ES FOR ACCEPTANCE OF REPORTS UNDER ASAP.

(c) &= nbsp; General. Participation in ASAP is l= imited to certificate holder employees and to events occurring while acting in that capacity. Each employee participating in ASAP must individually submit a re= port in order to receive the enforcement-related incentives and benefits of the = ASAP policy. However, in cases where an event may be reported by more than one person, each individual who seeks coverage under ASAP may either sign the s= ame report or submit separate signed reports.=

(d) &= nbsp; Criteria for Acceptance. The follow= ing criteria must be met in order for a report involving a possible violation t= o be covered under ASAP:

(1) &= nbsp; The employee must submit a report i= n a timely manner. In order to be considered timely, a report must be submitted= in accordance with either of the following two criteria:

(i)within 24 hours of = the end of the duty day in which the event occurred. If this criterion has been met= , a report would not be rejected for timeliness, even if the ECAA was already a= ware of the possible noncompliance with the regulations, and may have brought it= to the attention of the employee;

(ii)Within 24 hours of= having become aware of possible noncompliance: If a report is submitted later than= 24 hours time period after the occurrence of an event the ERC will review all available information to determine whether the employee knew or should have known about the possible noncompliance with within that time period. If the employee did not know or could not have known about the apparent noncomplia= nce with, within that time period, then the report would be included in ASAP, provided the report is submitted within 24 hours of having become aware of possible noncompliance with, and provided all other ASAP acceptance criteria have been met. If the employee knew or should have known about the apparent noncompliance with, then the report will not be included in ASAP.

(2) The alleged regulatory violation must be inadvertent, and must not appear to involve an intentional disregard for safety.

(3) The reported event must not appear to involve criminal activity, substance abuse, controlled substances, alcohol, or intentional falsificati= on.

(4) Sole-source reports that meet all of the above acceptance criteria except timely submission will be accepted under ASAP.

(e) &= nbsp; Repeated Violations. Reports involv= ing the same or similar possible noncompliance with that were previously addres= sed with administrative action under ASAP will be accepted into the program, provided they otherwise satisfy the acceptance criteria under paragraphs 9a= and 9b above. The ERC will consider on a case-by-case basis the corrective acti= on that is appropriate for such reports.

(f) &= nbsp; Non-Reporting Employees Covered Und= er an ASAP. If an ASAP report identifies another covered employee of the certific= ate holder in a possible violation, and that employee has neither signed that report nor submitted a separate report, the ERC will determine on a case-by-case basis whether that employee knew or reasonably should have kno= wn about the possible violation. If the ERC determines that the employee did n= ot know or could not have known about the apparent violation(s), and the origi= nal report otherwise qualifies for inclusion under ASAP, the ERC will offer the non-reporting employee the opportunity to submit an ASAP report. If the non-reporting employee submits a report within 24 hours of notification from the ERC, that report will be afforded the same consideration under ASAP as = that accorded the report from the original reporting employee, provided all other ASAP acceptance criteria are met. However, if the non-reporting employee fa= ils to submit a report within 24 hours of notification, the possible violation = by that employee will be referred to an appropriate office within the ECAA for additional investigation and reexamination and/or enforcement action, as appropriate, and for referral to law enforcement authorities, if warranted.=

(g) &= nbsp; Non-Reporting Employees Not Covered= Under the MOU. If an ASAP report identifies another employee of the certificate holder who is not covered under the MOU, and the report indicates that empl= oyee may have been involved in a possible violation, the ERC will determine on a case-by-case basis whether it would be appropriate to offer that employee t= he opportunity to submit an ASAP report. If the ERC determines that it is appropriate, the ERC will provide that employee with information about ASAP= and invite the employee to submit an ASAP report. If the employee submits an AS= AP report within 24 hours of notification, that report will be covered under A= SAP, provided all other ASAP acceptance criteria are met. If the employee fails = to submit an ASAP report within 24 hours of notification, the possible violati= on by that employee will be referred to an appropriate office within the ECAA = for additional investigation and reexamination and/or enforcement action, as appropriate, and for referral to law enforcement agencies, if warranted.

10. GUIDELI= NES FOR EXCLUDING REPORTS FROM ASAP.

(a)Exclusion. The foll= owing types of reports are excluded under an ASAP:

(1) Reports involving an apparent violation that is not inadvertent o= r that appears to involve an intentional disregard for safety.

(2) Reports that appear to involve possible criminal activity, substa= nce abuse, controlled substances, alcohol, or intentional falsification.=

(3) Untimely reports excluded under paragraph 9b(1) or reports where a consensus on acceptance under paragraph 9 is not reached by the ERC.=

(4) Reports of events that occurred when NOT acting as an employee of= the certificate holder.

(b)Failure to Complete Corrective Action. Reports initially included in an ASAP will be excluded f= rom the program if the employee fails to complete the recommended corrective ac= tion in a manner satisfactory to all members of the ERC. In those cases, failure= of any individual to complete corrective action for an apparent violation, a qualification issue, or medical certification or qualification issue in a manner acceptable to all members of the ERC, may result in the reopening of= the case and referral of the matter for appropriate action.

11. ENFORCE= MENT POLICY.

(a)ECAA Investigation = of Events Involving Possible Noncompliance with 14 CFR. By public law and ECAA orders, the ECAA is responsible for the proper investigation and dispositio= n of all suspected cases of noncompliance with 14 CFR. The ECAA establishes investigative and enforcement jurisdiction and responsibility regarding eve= nts reported to the ASAP ERC.

(1) The ECAA CHDO ERC representative is empowered to complete ASAP investigations and is responsible for coordinating all corrective and administrative actions in accordance with the current versions of the follo= wing ECAA orders, as applicable:<= /span>

(i)Order 2150.3, Compl= iance and Enforcement Program;

(ii)Order 8020.11, Air= craft Accident and Incident Notification, (iii)Investigation, and Reporting;

(iv)Order 8400.10, Air Transportation Operations Inspector's Handbook; and/or

(v)Order 8300.10, Airworthiness Inspector's Handbook.=

(2) The determination of whether or not a reported event meets the cr= iteria for inclusion into ASAP will be made in accordance with the applicable orde= rs and through the ERC process. If an event meets the criteria for participati= on and is accepted into ASAP by the ERC, the ECAA shall transfer all jurisdict= ion and responsibility for compliance and enforcement investigations related to= the event to the CHDO, even if an enforcement investigation has been previously opened outside of ASAP.

(b) Reports Covered Under ASAP.

(3) Those non-sole-source reports included in ASAP with sufficient ev= idence (see paragraph 4q for the definition of sufficient evidence) to support a violation of 14 CFR will be closed with administrative action. Those non-sole-source reports without sufficient evidence to support a violation = of 14 CFR will be closed with a ECAA Letter of No Action.

(4) Those sole-source reports that are included in ASAP will be close= d with no action.

(5) Those reports included in ASAP that demonstrate a lack of qualifi= cation or raise a question of a lack of qualification will be addressed with appropriate corrective action recommended by the ERC.

(c)Reports Excluded Fr= om ASAP.

(6) Reported events that are excluded from ASAP will be referred to t= he ECAA for possible enforcement action and/or re-examination under 49 U.S.C., Subt= itle VII, and as prescribed in ECAA Order 2150.3A.

(7) Reports of events that appear to involve possible criminal activi= ty, substance abuse, controlled substances, alcohol, or intentional falsificati= on will be referred to an appropriate ECAA office for further handling. The EC= AA may use such reports for any enforcement purposes, and will refer such repo= rts to law enforcement agencies, if appropriate. If upon completion of subseque= nt investigation it is determined that the event did not involve any of the aforementioned activities, then the report will be referred back to the ERC= for a determination of acceptability under ASAP. Such reports will be accepted under ASAP provided they otherwise meet the acceptance criteria contained in paragraph 9 of this advisory circular.<= o:p>

(8) Neither the written ASAP report nor the content of the written AS= AP report will be used to initiate or support company discipline or as evidence for any purpose in a ECAA enforcement action except as provided for in 11c(= 2). The ECAA may conduct an independent investigation of an event disclosed in a report.

12. REOPENI= NG REPORTS BASED ON NEW EVIDENCE. All safety-related reports should be fully evaluated and, to the extent appropriate, investigated by the ECAA. A closed ASAP case, including any related enforcement investigative report (EIR), involving a violation addressed with administrative action or for which no action has been taken, may be reopened and appropriate enforcement action t= aken if evidence later is discovered that establishes that the violation should = have been excluded from the program.

13. VIOLATI= ONS OF CERTIFICATE HOLDERS. Apparent violations of certificate holders disclosed through a safety-related report under an ASAP may be handled under the Voluntary Disclosure Policy, provided the certificate holder voluntarily reports the apparent violations to the ECAA and the other elements of that policy are met. (See the current version of AC 00-58 and ECAA Order 2150.3A, Appendix 1: Compliance/Enforcement Bulletins, Bulletin No. 90-6.)

14. EXAMPLE= S. The following are examples of the disposition of events involving possible noncompliance with 14 CFR reported under ASAP:=

a. Accepted Reports.

(1) Non-Sole-Source Report with Sufficient Evidence (Pilot). A pilot reports an altitude deviation where the aircraft was assigned by air traffic control (ATC) to climb to an altitude of 10,000 feet MSL, but actually leve= ls off at 11,000 feet MSL. The report is submitted within 24 hours of the end = of the flight sequence for the day in accordance with the airline's ASAP MOU. Following review of the report, the ECAA ERC member determines that ATC has filed a pilot deviation report for this event, and obtains a copy of the ATC tapes, radar data, and a statement from the air traffic controller concerni= ng this event. A review by the ERC determines that the pilot deviation was inadvertent. The ERC further determines through consensus that since this e= vent was disclosed in a non-sole-source report for which there was sufficient evidence (i.e., evidence gathered by an investigation not caused by, or oth= erwise predicated on, the filing of the safety-related report), the event should be closed with administrative action. The ERC determines that the appropriate administrative action is a ECAA Letter of Correction. Following verificatio= n by the ERC that the employee has satisfactorily completed the recommended corrective action to the satisfaction of all members of the ERC, the ERC cl= oses the report.

(2) Non-Sole-Source Report with Sufficient Evidence (Mechanic). A rep= air station discovered that the check sheet for a required inspection item (RII) accomplished seven days prior had not been signed. The company immediately informed the responsible mechanic that the required signature on the check sheet was missing. The mechanic filed an ASAP report within 24 hours of hav= ing been informed by the company of the omission. The ERC determined that the mechanic did not know or could not have known about the possible noncomplia= nce with 14 CFR within 24 hours of its occurrence. An investigation by the ERC determined that the inspection was in fact properly accomplished by the reporting employee, although the check sheet had not been signed. The ERC determined through consensus that the omission by the mechanic was inadvert= ent, and that the report met all ASAP acceptance criteria. As there was evidence= of the event other than that of the employee's ASAP report available to the ER= C, and that evidence was gathered by an investigation not caused by, or otherw= ise predicated on, the filing of the safety-related report, the ERC determined = that the report should be considered nonsole- source. The ERC further determined that the appropriate disposition of this report was administrative action in the form of an ECAA Warning Notice.

(3) Sole-Source Report (Mechanic). An airline mechanic reported that = he had inadvertently employed an improper lubricant on a rudder component during a heavy maintenance check. The report was submitted three days following the event. An investigation by the ERC determined that in fact the wrong lubric= ant had been used, but that the only evidence of the event is obtained from the investigation that was predicated upon the employee's report. Upon intervie= wing the mechanic, the ERC determined that the employee only became aware of the possible mistake while working on a similar aircraft three days after the event, and that he had submitted the report in a timely manner thereafter. While working on the subsequent aircraft he learned that the maintenance ma= nual had been updated to remove a previously authorized substitute lubricant, and that he had used that lubricant because he was not employing the most recen= tly updated revision of the manual at the time of the event. The ERC determined through consensus that the mistake was in fact inadvertent, that the employ= ee submitted the report within 24 hours of having become aware of the event, a= nd that the event should be accepted under ASAP as a sole-source report. The E= RC recommended that changes be made to the maintenance department's procedures= for timely distribution of the most recent manual revisions, in order to preclu= de repetition of this event by others, and the report was closed with no action other than an ERC response to the reporting employee. The ERC followed-up w= ith the maintenance department to verify that the recommended procedural change= for timely distribution of documentation revisions had been accomplished.

(4) Untimely Sole-Source Report (Pilot). A pilot reported an altitude deviation where the aircraft was assigned by ATC to climb to an altitude of 10,000 feet MSL, but actually leveled off at 11,000 feet MSL. The report was not submitted within the timeframe following the event that was specified in the MOU. The ERC investigation of this event revealed that the deviation was due to an incorrect entry into the FMS that was not noticed by either flight crewmember. The ERC also determined that the only evidence of the deviation= was the pilot's safety-related report filed under the ASAP. The ERC therefore concluded that the report should be considered sole-source. Although the re= port was not submitted on a timely basis, the ERC determined that it otherwise m= et ASAP acceptance criteria. Since the pilot's safety-related report was determined to be sole-source, it was accepted under ASAP, and the ERC closed the event with no action, other than a recommendation that the pilot comple= te training on compliance with altitude clearances. The ERC monitored the completion by the pilot of the recommended corrective action. The ERC also solicited and received a sole-source report from the co-pilot concerning th= is event. That pilot's report was closed in the same fashion, including correc= tive action.

(b) Exc= luded Events. Examples of events involving possible noncompliance with 14 CFR that would be excluded from the ASAP:

(5) Intentional Disregard for Safety (Pilot). An aircraft being ferri= ed in winter from a maintenance repair facility to another station for a revenue flight experienced a compressor stall in one of its engines shortly after lift-off, followed by a compressor stall in a second engine. The flightcrew declared an emergency and returned without further mishap to the departure airport. Post flight examination of the aircraft revealed that ice was still attached to the upper wing surface near the wing root area. The captain and= the first officer filed individual ASAP reports on this event. An investigation= by the ERC determined that the flightcrew had been dispatched from operations = via a company vehicle to the maintenance hanger at the departure airport, and h= ad been dropped off at the forward aircraft door, from which position they cou= ld observe most, but not all, of the aircraft. The captain instructed the first officer to conduct the exterior pre-flight inspection, and proceeded to the cockpit to prepare the aircraft for departure. Thereafter the first officer entered the cockpit and reported that the exterior of the aircraft was ready for flight. The ERC investigation determined that the first officer had not performed a complete walk-around inspection of the aircraft, including inspection of the top surface of the wing. The ERC concluded that this beha= vior constituted intentional disregard for safety on the part of the first offic= er, and the event as disclosed in the first officer's report was excluded from ASAP. The ERC determined that the Captain did not violate the regulations.<= /span>

(6) Intentional Disregard for Safety (Mechanic). An ECAA inspection determined that an unauthorized lubricant was employed on an engine valve installation for an aircraft currently undergoing maintenance. The local FS= DO immediately opened an EIR concerning the observed noncompliance with 14 CFR. Shortly thereafter, a newly hired maintenance technician submitted an ASAP report stating that he or she had used a lubricant other than what was authorized in the maintenance manual for the engine valve installation, bec= ause no authorized substitute lubricants were available in the maintenance facil= ity at the time he or she was performing the work. As an ASAP report had been submitted, the EIR was transferred from the local FSDO to the certificate holding district office at its request. An ERC investigation revealed that = the technician knowingly used a substitute non-approved lubricant at the direct= ion of his/her immediate supervisor in order not to delay completion of the job order. The ERC determined the action by the technician in using an unauthor= ized lubricant constituted intentional disregard for safety, in spite of his/her having been directed to do so by his/her supervisor, and the report was excluded from the program. The event was then referred back to the FSDO hav= ing jurisdiction for further investigation, including possible enforcement acti= on and/or reexamination against the technician and his/her supervisor under 49 U.S.C., Subtitle VII, and as prescribed in ECAA Order 2150.3A.

15. CORRECT= IVE ACTION. The ERC will work with a certificate holder to develop acceptable corrective action that should be taken based on information obtained under = an ASAP. The corrective action must be completed in a manner satisfactory to a= ll members of the ERC. Failure of a certificate holder to follow through with corrective action acceptable to all members of the ERC to resolve any safety deficiencies will ordinarily result in termination of the program. In addit= ion, failure of any individual to complete corrective action for an apparent violation, a qualification issue, or medical certification or qualification issue in a manner acceptable to all members of the ERC, may result in the reopening of the case and referral of the matter for appropriate action.

16. MEMORAN= DUM OF UNDERSTANDING. The provisions of an ASAP that is acceptable to the ECAA should be set forth in an MOU signed by each party. A program will be implemented in accordance with the provisions of its MOU. A sample MOU whic= h is available as an automated template (accessible on the Flight Standards Serv= ice (AFS) ASAP webpage at http://www.ECAA.gov/avr/afs) is provided in appendix = 1. Each MOU will be based on the parties' different needs and purposes for an ASAP.

(a) &= nbsp; MOU Elements. The MOU should set fo= rth the elements of the ASAP, including at least the following which must be consistent with the guidance of this AC:

(1) The identification of what type of operator the program applies t= o: Part 121 Air Carrier or a Major Domestic Repair Station.

(2) The identification of the type of program and the employee group(= s) to which it pertains. The types of programs are:

(a) = Demonstration Program;

(b) Renewal of Demonstration Program;

(d) Renewal of a Continuing Program.

(3) The duration of the program should be limited to the period of ti= me 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 renewed for no longer tha= n 12 months. Programs that are classified as "Continuing" must be revi= ewed and renewed every 2 years.

(4) A statement that all parties to the ASAP have entered into this agreement voluntarily.

(5) A description of the objective(s), including the essential safety information that is reasonably expected to be obtained through the program,= any specific safety issues that are of a concern to any of the parties, and the benefits to be gained through the use of the program.

(6) A description of any enforcement-related incentive that is needed= to achieve the desired goal and results of the program.

(7) A statement that all safety-related reports shall be fully evalua= ted and, to the extent appropriate, investigated by the ERC.

(8) A description of the manner in which ASAP records and reports sha= ll be kept. All records and documents relating to an ASAP must be appropriately k= ept in a manner that ensures compliance with 14 CFR and all applicable law, including the Pilot Records Improvement Act.

(9) A description of the process for timely reporting to the ECAA all events disclosed under the program.

(10) = A description of the procedures for= the resolution of those events that are safety-related, and procedures for continuous tracking and analysis of safety-related events.

(11) = A statement of the ASAP report acce= ptance and exclusion criteria.

(12) = A description of the frequency of periodic reviews by the parties to determine whether the program is achievi= ng the desired results. These reviews are in addition to any other review conducted by the ECAA or any other party individually.

(13) = A statement that the ERC shall be comprised of one representative from each party to the MOU, and a descripti= on of the duties of the ASAP manager. The ASAP manager may either be the same individual assigned as the company management representative to the ERC, or= it may be another individual assigned by the company who will not serve as a voting member of the ERC.

(14) = A description of the process for tr= aining and distributing information about the program to certificate holder employ= ees and management, as well as procedures for providing feedback to individuals= who make safety-related reports under the program.

(15) = A statement that modifications of t= he MOU must be accepted by all parties.

(16) = 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.

(17) = A statement that the program can be terminated at any time, by any party.

(18) = A statement that failure of any par= ty to follow the terms of the agreement ordinarily will result in termination of = the program.

(19) = A statement that failure of a certi= ficate holder to follow through with corrective action acceptable to the ECAA to resolve any safety deficiencies ordinarily will result in termination of the program.

(20) = A detailed description of the follo= wing concepts and how they will be used:

(i)Event Review Commit= tee;

(ii)Consensus of the E= RC;

(iii)Sole-source repor= ting;

(iv)Sufficient evidenc= e; and

(v)Enforcement-related incentive.

(21) = A statement that repeated instances involving the same or similar possible noncompliance with 14 CFR that were previously addressed with administrative action under the ASAP will be acce= pted into the program, provided that they otherwise meet the acceptance criteria= of ASAP. The ERC will consider on a case-by-case basis the corrective action t= hat is appropriate for such reports.

(22) = ASAPs that may include ATC events s= hould include procedures in the MOU to identify the date, time, location or fix, altitude, flight number, and ATC frequency at the time the event occurred.<= /span>

(23) = 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.

(24) = A statement that any safety-related= ASAP event that concerns an apparent violation(s) that is EXCLUDED from ASAP, wi= ll be referred by the ECAA ERC representative to an appropriate office within = the ECAA for any additional investigation and reexamination and/or enforcement actio= n, as appropriate.

(25) = 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 reopene= d if evidence is later discovered that establishes that the event should have be= en excluded from the program.

(26) = A statement that when the ERC becom= es aware of an issue involving the medical qualification or medical certificat= ion of an airman, the ERC must immediately advise the appropriate Regional Flig= ht Surgeon about the issue. The ERC will work with the Regional Flight Surgeon= and the certificate holder's medical department or medical consultants to resol= ve any medical certification or medical qualification issues or concerns revea= led in an ASAP report, or through the processing of that report. The ECAA ERC member must follow the direction(s) of the Regional Flight Surgeon with res= pect to any medical certification or qualification issue(s) revealed in an ASAP report.

(27) = A statement that reports that appea= r to involve possible criminal activity, substance abuse, controlled substances, alcohol, or intentional falsification will be referred to an appropriate EC= AA office for further handling. The ECAA may use such reports for any enforcem= ent purposes and will refer such reports to law enforcement agencies, as appropriate.

(28) = A statement that the ASAP manager w= ill maintain an electronic data base that tracks each event through and includi= ng closure of that event by the ERC and enables trend analysis.

(b) &= nbsp; Signatories. The MOU must be signed= by an authorized representative of each party.

17. ACCEPTA= NCE/RENEWAL PROCEDURES.

(a) &= nbsp; Review. The certificate holder shou= ld initially develop and present the program to the CHDO for review. If the proposed MOU does not employ the automated template from the Flight Standar= ds Service (AFS) ASAP webpage (accessible at http://www.ECAA.gov/avr/afs), a completed ASAP checklist (found in Appendix 2 to this AC and on the webpage) should accompany the proposed MOU for review. The CHDO and the certificate holder will jointly review the MOU to ensure that it satisfies the guidance= in AC 120-66, as amended, ECAA Order 2150.3A, and the ECAA Handbook Bulletins = for Air Transportation and Airworthiness, entitled Establishment of Aviation Sa= fety Action Programs (ASAP), as applicable. Prior to acceptance, the program sho= uld be reviewed to ensure that ECAA resources are available to administer the program effectively. Program proposals that require excessive agency resour= ces should be modified or not accepted.

(b) &= nbsp; Procedures. When the CHDO is satisf= ied that the program is acceptable under the guidance of ASAP, the CHDO manager forwards an electronic copy of the proposed MOU as well as the CHDO's recommendation for acceptance to the respective Flight Standards Division regional office and to the headquarters ASAP program office (Voluntary Safe= ty Programs Branch, AFS-230). If the proposed MOU does not employ the automated template from the AFS ASAP webpage, the completed ASAP checklist (found in Appendix = 2 to this AC and on the webpage) should accompany the proposed MOU for processin= g. All programs, except for renewals of Continuing programs, shall receive authorization for final acceptance from the Director, Flight Standards Serv= ice, AFS-1. AFS-1 will indicate acceptance authorization for the MOU by ECAA memorandum to the CHDO manager through the regional division manager. The program office will be responsible for preparing the memorandum for AFS-1's signature and shall submit it with the ASAP package to AFS-1. Following rec= eipt of acceptance authorization from AFS-1, the CHDO manager shall sign the MOU= on behalf of the ECAA. The certificate holder should allow a minimum of 60 days for the ECAA acceptance process to be completed once its ASAP program is received at ECAA headquarters for review.

(c) &= nbsp; NOTE: ASAP Demonstration programs, renewal of a Demonstration program, and the initial acceptance of a Continu= ing program are processed in the same manner as described in paragraphs 17a and= b.

(d) &= nbsp; Renewal of a Continuing Program. The renewal of a Continuing program is accomplished every 2 years after a revie= w by the parties to the MOU to ensure the particular ASAP program is meeting its objectives. The renewal may be accomplished at the local CHDO level by the = CHDO manager signing the MOU on behalf of the ECAA. The CHDO manager shall notify the ASAP program office (AFS-230) in writing, 60 days in advance of renewin= g a Continuing ASAP program.

(e) &= nbsp; MOU Amendments. Any amendments to a= n MOU that has already been accepted must be coordinated with the ECAA headquarte= rs ASAP program office (AFS-230) prior to CHDO manager signature, unless those amendments employ the exact language contained in the MOU template on the A= FS ASAP webpage. Amendments which employ such pre-approved language may be accepted by the CHDO manager without further coordination, as long as an information copy is provided to the ASAP program office.

(f) &= nbsp; Revision Control. It is recommended= that the certificate holder employ standard revision control methodology with respect to amendments to the MOU. The original and subsequent revisions the= reto should include:

(1) For each revision to an original MOU:

(i)A change control pa= ge, identifying the revision number;

(ii)A brief synopsis o= f each change to the original document; and

(iii)Which pages are to removed and replaced.

(2) A list of effective pages.

(3) A table of contents.

(4) On each page of the MOU, a calendar date for when that page was prepared or revised.<= /p>

(5) For all revisions to an original MOU, a revision number on each p= age which is revised.

(6) Sequential page numbers on all pages of the MOU (except the cover= page, if applicable, which shall be understood to constitute page "i").=

18. RECORDKEEPING. The parties should maintain those records necessary for a program's administration and evaluation. Records submitted to the ECAA for review relating to an ASAP are protected to the extent allowed by law under applicable exemptions of the Freedom of Information Act. All records and documents relating to an ASAP must be appropriately kept in a manner that ensures compliance with 14 CFR and all applicable law, including the Pilot Records Improvement Act.

19. ASAP AVIATION RULEMAKING COMMITTEE. The Administrator has determined that a government/industry forum is needed to provide the ECAA with advice on ECAA ASAP policy and to prepare recommendations on whether rulemaking applicable= to ASAP would or would not be appropriate. Accordingly, an ASAP Aviation Rulemaking Committee (ARC) was established by ECAA Order 1110.129, Aviation Safety Action Program Aviation Rulemaking Committee, issued June 20, 2001, = to serve as a forum for interaction among the ECAA, industry employee groups, airlines, and repair stations regarding ASAP goals, issues, and concerns. T= he ECAA order states that the Associate Administrator for Regulation and Certificat= ion shall have the sole discretion to appoint members of the committee, and sha= ll receive all committee recommendations and reports. The ARC shall present whatever input, guidance, and recommendations that the members of the commi= ttee consider relevant to the disposition of ASAP issues, and ultimately to the achievement of the program's safety goals.

/s/

James J. Ballough

Director, Flight Standards Service

APPENDIX 1. SAMPLE MEMORANDUM OF UNDERSTANDING

This is a sample of an Aviation Safety Action Program (ASAP) memorandum of understand= ing (MOU) for a flight crewmember employee group at an air carrier operating un= der Title 14 of the Code of Federal Regulations (14 CFR) Part 121. The sample is identical to the automated template available on the Flight Standards Servi= ce (AFS) ASAP webpage located at http://www.ECAA.gov/avr/afs. In order to be accepted by the Federal Aviation Administration (ECAA), the MOU should addr= ess the elements of an ASAP that are set forth in ECAA guidance material on whi= ch this sample is based.

EXECUTIVE STAR AIRLINES

AVIATION SAFETY ACTION PROGRAM (ASAP) FOR PILOTS

MEMORANDUM OF UNDERSTANDING<= /span>

1. GENERAL. Executive Star Airlines (ESA) is a Title 14 of= the Code of Federal Regulations (14 CFR), air carrier operating under Part 121 engaged in scheduled passenger service within the U.S., Europe, Asia, and S= outh America. ESA operates 300 aircraft, and employs approximately 5000 pilots. = The pilots are represented by the Executive Pilots Labor Association (EPLA).

2. PURPOSE.= The Federal Aviation Administration (ECAA), ESA, and EPLA are committed to impr= oving flight safety. Each party has determined that safety would be enhanced if t= here were a systematic approach for pilots to promptly identify and correct potential safety hazards. The primary purpose of the ESA Aviation Safety Ac= tion Program (ASAP) is to identify safety events, and to implement corrective measures that reduce the opportunity for safety to be compromised. In order= to facilitate flight safety analysis and corrective action, ESA and EPLA join = the ECAA in voluntarily implementing this ASAP for pilots, which is intended to impr= ove flight safety through pilot self-reporting, cooperative follow-up, and appropriate corrective action. This Memorandum of Understanding (MOU) descr= ibes the provisions of the program.

3. BENEFITS. The program will foster a voluntary, cooperative, no punitive environment f= or the open reporting of safety of flight concerns. Through such reporting, all parties will have access to valuable safety information that may not otherw= ise be obtainable. This information will be analyzed in order to develop correc= tive action to help solve safety issues and possibly eliminate deviations from 14 CFR. For a report accepted under this ASAP MOU, the ECAA will use lesser enforcement action or no enforcement action, depending on whether it is a sole-source report, to address an event involving possible noncompliance wi= th 14 CFR. This policy is referred to in this MOU as an "enforcement-rela= ted incentive."

4. APPLICABILITY. The ESA ASAP applies to all pilot employees of ESA and only = to events that occur while acting in that capacity. Reports of events involving apparent noncompliance with 14 CFR that is not inadvertent or that appears = to involve an intentional disregard for safety, criminal activity, substance abuse, controlled substances, alcohol, or intentional falsification are excluded from the program.

(a) Events involving possible noncompliance with 14 CFR by ESA that are discovered under this program may= be handled under the Voluntary Disclosure Policy, provided that ESA voluntaril= y reports the possible noncompliance to the ECAA and that the other elements of that policy are met. (See the current version of AC 00-58, Voluntary Disclosure Reporting Program, ECAA Order 2150.3A, Compliance and Enforcement Program, = and Compliance/Enforcement Bulletin No. 90-6.)

(b) Any modifications of this MOU m= ust be accepted by all parties to the agreement.=

5. PROGRAM DURATION. This is a Demonstration Program the duration of which shall be 18 months from the date this MOU is signed by the ECAA (following signature by= the other parties). If the program is determined to be successful after a comprehensive review and evaluation, the parties intend for it to be a Continuing Program. This ASAP may be terminated at any time for any reason = by ESA, the ECAA, or any other party to the MOU. The termination or modificati= on 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 progr= am is terminated, all reports and investigations that were in progress will be handled under the provisions of the program until they are completed. Failu= re of any party to follow the terms of the program ordinarily will result in termination of the program. Failure of ESA to follow through with corrective action acceptable to the ECAA to resolve any safety deficiencies ordinarily will result in termination of the program.

6. REPORTING PROCEDURES. When a flight crewmember observes a safety problem or experienc= es a safety-related event, he or she should note the problem or event and descri= be it in enough detail so that it can be evaluated by a third party.

(a) ASAP Report Form. = At an appropriate time during the workday (e.g. after the trip sequence has ended= for the day), the employee should complete ESA ASAP Form (ESA Form ASAP-1234) f= or each safety problem or event and submit it by company mail to the Director = of Flight Safety, ATTN: ASAP Manager. If the safety event involves a deviation from an ATC clearance, the pilot should note the date, time, place, altitud= e, flight number, and ATC frequency, along with enough other information to fu= lly describe the event and any perceived safety problem.

(b) Time Limit. Report= s that the ERC determines to be sole-source will be accepted under the ASAP, regardless of the timeframe within which they are submitted, provided that = they otherwise meet the acceptance criteria of paragraphs 11a(2) and (3) of this MOU. Reports which the ERC determines to be non-sole-source must meet the s= ame acceptance criteria, and must also be filed within one of the following two possible timeframes:

(1) Within 24 hours after th= e end of the flight sequence for the day of occurrence, absent extraordinary circumstances. For example, if the event occurred at 1400 hours on Monday a= nd a pilot completes the flight sequence for that day at 1900 hours, the report should be filed no later than 1900 hours on the following day (Tuesday). In order for all employees to be covered under the ASAP for any apparent noncompliance with 14 CFR resulting from an event, they must all sign the s= ame report or submit separate signed reports for the same event. If the company mail system is not available to the flight crewmember at the time he or she needs to file a report, the employee may contact the ASAP manager's office = and file a report via fax or telephone within 24 hours after the end of the fli= ght sequence for the day of occurrence, absent extraordinary circumstances. Rep= orts filed telephonically within the prescribed time limit must be followed by a formal report submission within three calendar days thereafter.

(2) Within 24 hours of having become aware of possible noncompliance with 14 CFR provided the following criteria are met: If a report is submitted later than the time period after= the occurrence of an event stated in paragraph 6b(1) above, the ERC will review= all available information to determine whether the flight crewmember knew or sh= ould have known about the possible noncompliance with 14 CFR within that time period. If the ERC determines that employee did not know or could not have known about the possible noncompliance with 14 CFR until informed of it, th= en the report would be included in ASAP, provided the report is submitted with= in 24 hours of having become aware of possible noncompliance with 14 CFR, and provided that the report otherwise meets the acceptance criteria of this MO= U. If the employee knew or should have known about the possible noncompliance = with 14 CFR, then the report will not be included in ASAP.

(c) Non-reporting employees covered= under this ASAP MOU. If an ASAP report identifies another covered employee in an event involving possible noncompliance with 14 CFR and that employee has neither signed that report nor submitted a separate report, the ERC will determine on a case-by-case basis whether that employee knew or reasonably should have known about the possible noncompliance with 14 CFR. If the ERC determines that the employee did not know or could not have known about the apparent possible noncompliance with 14 CFR, and the original report otherw= ise qualifies for inclusion under ASAP, the ERC will offer the non-reporting employee the opportunity to submit his/her own ASAP report. If the non-reporting employee submits his/her own report within 24 hours of notification from the ERC, that report will be afforded the same considerat= ion under ASAP as that accorded the report from the original reporting employee, provided all other ASAP acceptance criteria are met. However, if the no reporting employee fails to submit his/her own report within 24 hours of notification from the ERC, the possible noncompliance with 14 CFR by that employee will be referred to an appropriate office within the ECAA for additional investigation and reexamination and/or enforcement action, as appropriate, and for referral to law enforcement authorities, if warranted.=

(d) Non-reporting employees not cov= ered under this ASAP MOU. If an ASAP report identifies another ESA employee who = is not covered under this MOU, and the report indicates that employee may have been involved in possible noncompliance with 14 CFR, the ERC will determine= 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 will provide that employee with information about ASAP= and invite the employee to submit an ASAP report. If the employee submits an AS= AP report within 24 hours of notification from the ERC, that report will be covered under ASAP, provided all other ASAP acceptance criteria are met. If= the employee fails to submit an ASAP report within 24 hours of notification from the ERC, the possible noncompliance with 14 CFR by that employee will be referred to an appropriate office within the ECAA for additional investigat= ion and reexamination and/or enforcement action, as appropriate, and for referr= al to law enforcement agencies, if warranted.

7. POINTS OF CONTACT. The ERC will be comprised of one representative from ESA managemen= t; one representative from the EPLA; and one ECAA inspector assigned as the AS= AP representative from the Certificate Holding District Office (CHDO) for ESA;= or their designated alternates in their absence. In addition, the ESA Safety Department will designate one person who will serve as the ASAP manager. The ASAP manager will be responsible for program administration, and will not s= erve as a voting member of the ERC.

8. ASAP MANAGER. When the ASAP manager receives the report, he or she will record t= he date and time of any event described in the report and the date and time the report was submitted through the company mail system. The ASAP manager will enter the report, along with all supporting data, on the agenda for the next ERC meeting. The ERC will determine whether a report is submitted in a time= ly manner or whether extraordinary circumstances precluded timely submission. = To confirm that a report has been received, the ASAP manager will send a writt= en receipt through the company mail system to each employee who submits a repo= rt. The receipt will confirm whether or not the report was determined to be tim= ely. The ASAP manager will serve as the focal point for information about, and inquiries concerning the status of, ASAP reports, and for the coordination = and tracking of ERC recommendations.

9. EVENT RE= VIEW COMMITTEE (ERC). The ERC will review and analyze reports submitted by the pilots under the program, identify actual or potential safety problems from= the information contained in the reports, and propose solutions for those probl= ems. The ERC will provide feedback to the individual who submitted the report.

(a) The ASAP manager will maintain a database that continually tracks each event and the analysis of those event= s. The ERC will conduct a 12-month 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 of a similar nature. That review will include recommendations for corrective action for recurring eve= nts indicative of adverse safety trends.

(b) This review is in = addition to any other reviews conducted by the ECAA. The ERC will also be responsible for preparing a final report on the demonstration program at its conclusion= . If an application for a continuing program is anticipated, the ERC will prepare and submit a report with the certificate holder's application to the ECAA 60 days in advance of the termination date of the demonstration program.

10. ERC PROCESS.

(a) The ERC will meet = as necessary to review and analyze reports that will be listed on an agenda submitted by the ASAP manager. The ERC will determine the time and place of= the meeting. The ERC will meet at least twice a month and the frequency of meet= ings will be determined by the number of reports that have accumulated or the ne= ed to acquire time critical information.

(b) The ERC will make = its decisions involving ASAP issues based on consensus. Under the ESA ASAP, consensus of the ERC means the voluntary agreement of all representatives of the ERC. It does not require that all members believe that a particular decision or recommendation is the most desirable solution, but that the res= ult 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, each ERC representative shall be empowered to make decisions within the context = of the ERC discussions on a given report. The ERC representatives will strive = to reach consensus on whether a reported event is covered under the program, h= ow that event should be addressed, and the corrective action or any enforcement act= ion that should be taken as a result of the report. For example, the ERC should strive to reach a consensus on the recommended corrective action to address= a safety problem such as an operating deficiency or airworthiness discrepancy reported under ASAP. The corrective action process would include working the safety issue(s) with the appropriate departments at the airline and the ECAA that have the expertise and responsibility for the safety area of concern. Recognizing that the ECAA holds statutory authority to enforce the necessary rules and regulations, it is understood that the ECAA retains all legal rig= hts and responsibilities contained in Title 49, United States Code, and ECAA Or= der 2150.3A. In the event there is not a consensus of the ERC on decisions concerning a report involving an apparent violation(s), a qualification iss= ue, or medical certification or medical qualification issue, the ECAA ERC representative will decide how the report should be handled. The ECAA will = not use the content of the ASAP report in any subsequent enforcement action, ex= cept as described in paragraph 11a(3) of this MOU.<= o:p>

(c) It is anticipated = that three types of reports will be submitted to the ERC: safety-related reports that appear to involve a possible noncompliance with 14 CFR; reports that a= re of a general safety concern, but do not appear to involve possible noncompliance with 14 CFR; and any other reports, e.g., involving catering = and passenger ticketing issues. All safety-related reports shall be fully evalu= ated and, to the extent appropriate, investigated.<= o:p>

(d) The ERC will forwa= rd non-safety reports to the appropriate ESA department head for his/her information and, if possible, internal (ESA) resolution. For reports relate= d to flight safety, including reports involving possible noncompliance with 14 C= FR, the ERC will analyze the report, conduct interviews of reporting crewmember= s, and gather additional information concerning the matter described in the report, as necessary.

(e) The ERC should als= o make recommendations to ESA for corrective action for systemic issues. For examp= le, such corrective action might include changes to ESA flight operations procedures, aircraft maintenance procedures, or modifications to the traini= ng curriculum for crewmembers. Any recommended changes that affect ESA will be forwarded through the ASAP manager to the appropriate department head for consideration and comment, and, if appropriate, implementation. The ECAA wi= ll work with ESA to develop appropriate corrective action for systemic issues.= The ASAP manager will track the implementation of the recommended corrective ac= tion and report on associated progress as part of the regular ERC meetings. Any recommended corrective action that is not implemented should be recorded al= ong with the reason it was not implemented.

(f) When the ERC becom= es aware of an issue involving the medical qualification or medical certification of= an airman, the ERC must immediately advise the appropriate Regional Flight Sur= geon about the issue. The ERC will work with the Regional Flight Surgeon and the certificate holder's medical department or medical consultants to resolve a= ny medical certification or medical qualification issues or concerns revealed = in an ASAP report, or through the processing of that report. The ECAA ERC memb= er 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.

(g) Any corrective act= ion recommended by the ERC for a report accepted under ASAP must be completed to the satisfaction of all members of the ERC, or the ASAP report will be excl= uded from the program, and the event will be referred to the ECAA for further ac= tion, as appropriate. h. Use of the ESA ASAP Report: Neither the written report n= or the content of the written ASAP report will be used to initiate or support = any company disciplinary action, or as evidence for any purpose in an ECAA enforcement action, except as provided in paragraph 11a(3) of this MOU. The= ECAA may conduct an independent investigation of an event disclosed in a report.=

11. ECAA ENFORCEMENT.

(a) Criteria for Acceptance. The following criteria must be met in order for a report to be covered under ASAP:

(1) The employee must submit= the report in accordance with the time limits specified under paragraph 6 of th= is MOU;

(2) Any possible noncomplian= ce with 14 CFR disclosed in the report must be inadvertent and must not appear= to involve an intentional disregard for safety; and,

(3) The reported event must = not appear to involve criminal activity, substance abuse, controlled substances, alcohol, or intentional falsification. Reports involving those events will = be referred to an appropriate ECAA office for further handling. The ECAA many = use the content of such reports for any enforcement purposes and will refer such reports to law enforcement agencies, if appropriate. If upon completion of subsequent investigation it is determined that the event did not involve an= y of the aforementioned activities, then the report will be referred back to the= ERC for a determination of acceptability under ASAP. Such referred back reports will be accepted under ASAP provided they otherwise meet the acceptance cri= teria contained herein.

(b) Administrative Action. Notwithstanding the criteria in paragraph 205 of ECAA Order 2150.3A, possib= le noncompliance with 14 CFR disclosed in a non-sole-source ASAP report that is covered under the program and supported by sufficient evidence will be addressed with administrative action (i.e., a ECAA Warning Notice or ECAA Letter of Correction, as appropriate). Sufficient evidence means evidence gathered by an investigation not caused by, or otherwise predicated on, the individual's safety-related report. There must be sufficient evidence to pr= ove the violation, other than the individual's safety-related report. In order = to be considered sufficient evidence under ASAP, the ERC must determine through consensus that the evidence (other than the individual's safety-related rep= ort) would likely have resulted in the processing of a ECAA enforcement action h= ad the individual's safety-related report not been accepted under ASAP. Accept= ed non sole-source reports for which there is not sufficient evidence will be closed with a ECAA Letter of No Action.

(c) Sole-Source Report= s. 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 ECAA 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 su= ch 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 t= he ERC, then his/her report will be excluded from ASAP. In these cases, the AS= AP event will be referred to an appropriate office within the ECAA 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 exclu= ded from ASAP will be referred by the ECAA ERC member to an appropriate office within the ECAA 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 acti= on in a manner satisfactory to all members of the ERC may result in the reopen= ing 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 appropr= iate for such reports.

(h) Closed Cases. A cl= osed 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 t= aken 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 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 dispositi= on of the report.

13. INFORMA= TION 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 writ= ten guidance outlining the details of the program at least 2 weeks before the program begins. Each flight crewmember will also receive additional instruc= tion concerning the program during the next regularly scheduled recurrent traini= ng session, and on a continuing basis in recurrent training thereafter. All ne= w-hire flight crewmember employees will receive training on the program during ini= tial 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 relat= ing to this program will be appropriately kept in a manner that ensures complia= nce with 14 CFR and all applicable law (including the Pilot Records Improvement Act). The EPLA and the ECAA will maintain whatever records they deem necess= ary to meet their needs.

16. SIGNATORIES. All parties to this ASAP are entering into this agreement voluntarily.

____________________________________ = _= ________

President, Executive Pilots Labor Association &nb= sp; Date

____________________________________ = _= ________

Director of Flight Safety, Executive Star Airlines = ; Date

____________________________________ = _= ________

Manager, EC= AA CHDO For Executive Star Airlines = ; Date

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? &= nbsp; Yes No NA &= nbsp;

2 Is this ASAP: = ; &n= bsp;

a &n= bsp; Specific to an employee group(s)? &= nbsp; Yes No NA &= nbsp;

b &n= bsp; A Demonstration program? &nb= sp; Yes No NA &= nbsp;

c &n= bsp; An Extension of a Demonstration program? = Yes No NA &= nbsp;

d &n= bsp; A Continuing program? Yes No NA &= nbsp;

e &n= bsp; A renewal of a Continuing program? = ; Yes No NA &= nbsp;

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 fo= r no longer than 12 months. Programs that are classified as Continuing must be reviewed and renewed every 2 years. &n= bsp; Yes No NA &= nbsp;

4 Have all parties to the ASAP entered into= this agreement voluntarily? Y= es No NA &= nbsp;

5 Is there a description of the objective(s= ) of the program which includes: &nbs= p; &= nbsp; &nbs= p;

a &n= bsp; The essential safety information that is reasonably expected to be obtained thr= ough the program? &= nbsp; Yes No NA &= nbsp; &nbs= p;

b &n= bsp; Any specific safety issues that are of a concern to any of the parties? Yes No NA &= nbsp;

c &n= bsp; The benefits to be gained through the use of the program? Yes No NA &= nbsp;

6 Is there a descri= ption of any enforcement related incentive that is needed to achieve the desired goal and results of the program? &nbs= p; Yes No NA &= nbsp;

7 Is there a statement that all safety-rela= ted reports shall be fully evaluated and, to the extent appropriate, investigat= ed by the ERC? Yes No NA &= nbsp;

8 Is there a description of the manner in w= hich ASAP records and reports shall be kept that ensures compliance with 14 CFR,= the Pilot Records Improvement Act (PRIA), and any other applicable law? &= nbsp; Yes No NA &= nbsp;

9 Is there a description of the process for timely reporting to the ERC all events disclosed under the program? Yes No NA &= nbsp; &nbs= p;

10 = Is there a description of the procedures that provide for: = &nb= sp;

a &n= bsp; The resolution of safety-related events? Yes No NA &= nbsp;

b &n= bsp; Continuous tracking of those events? = Yes No NA &= nbsp;

c &n= bsp; The analysis of safety-related events? &nb= sp; Yes No NA &= nbsp;

11 Is there a statement of ASAP report acceptance and exclusion criteria? Yes = No NA &= nbsp;

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 revi= ews are in addition to any other review conducted by the ECAA or any other party individually). Yes No NA &= nbsp;

13 Are the point(s) of contact responsible for oversight of the program identified= for each party? = Yes No NA &= nbsp;

14 Is there a description of the process for training and distributing information about the program to certificate holder management and employees and proced= ures for providing feedback to individuals who make safety related reports under= the program? = ; Yes No NA &= nbsp;

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 &= nbsp; NA &= nbsp;

17 Is there a statement that the program can be terminated at any time, by any pa= rty? &= nbsp; 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 &= nbsp;

19 Is there a statement that failure of a certificate holder to follow through wi= th corrective action acceptable to ECAA, to resolve any safety deficiencies, w= ill ordinarily result in termination of the program? Yes No NA &= nbsp;

20 Is there a detailed description of the following concepts and how they will be used: &n= bsp; = ; &n= bsp;

a &n= bsp; Event Review Committee? &n= bsp; Yes No NA &= nbsp;

b &n= bsp; Consensus of the ERC? &n= bsp; Yes No NA &= nbsp;

c &n= bsp; Sole-source reporting? Yes No NA &= nbsp;

d &n= bsp; Sufficient evidence? Yes No NA &= nbsp;

e &n= bsp; Enforcement-related incentive? Yes No NA &= nbsp;

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 &= nbsp;

22 Does the ASAP include an MOU procedure to identify the date, time, location or f= ix, 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 &= nbsp;

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 incen= tive 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 &= nbsp;

24 Is there a statement that any safety-related ASAP event that concerns an appar= ent violation(s) that is EXCLUDED from ASAP, will be referred by the ECAA ERC representative to an appropriate office within the ECAA for any additional investigation and reexamination and/or enforcement action, as appropriate?<= span style=3D'mso-tab-count:1'> Yes No NA &= nbsp;

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? &= nbsp; Yes No NA &= nbsp;

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 repor= t, or through the processing of that report. The ECAA ERC member must follow t= he direction(s) of the Regional Flight Surgeon with respect to any medical certification or medical qualification issue(s) revealed in an ASAP report.= ) &= nbsp; Yes No NA &= nbsp;

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 ECAA office for further handling. The ECAA may use such reports for any enforcement purposes and wi= ll refer such reports to law enforcement agencies, as appropriate. Yes = No NA &= nbsp;