Soaring and the Aviation Safety Reporting System

It all started with such good intentions. It was that perfect sunny summer afternoon, and after a few weeks of not soaring, all you wanted to do was chase a few thermals, even if it meant confronting a cloud base. After all, what could go wrong? It seemed all so natural, that today’s column of hot air would easily and promptly propel your eagle craft to where “lark nor eagle flew”. Before you realized it, the altimeter had wound itself well past the initial ceiling you had mentally calculated in your preflight planning, and now you found yourself squarely inside Class B airspace – OUCH!

What to do if you inadvertently fly into Class B airspace? Consider the NASA ASRS.

As you looked for an exit strategy, the corner of your eye caught an airliner executing a turn away from you at a steep angle of bank and at a co-altitude. Now, the knot in your stomach tightened….you knew what was coming and you knew what had happened. It was only a matter of time before you found yourself sitting “at the wrong end of the long green table, without a glass of water”.

While this short introductory paragraph is certainly fiction, it could have well happened to anyone of us. From a glider perspective, the two main reasons/causes (based on research found within the ASRS database) are:  1) Encroachment into controlled airspace and 2) Near mid-air collision.

So now that it has happened, what can our intrepid aviator do to protect himself?

How many of us have heard or are familiar with the NASA ASRS (Aviation Safety Reporting System). What is it that this unique approach to safety can do for us in a situation such as this?

The NASA ASRS system was created about 34 years ago, with the main purpose of identifying hazards to the overall approach to safety. In doing so, there had to be some caveats which insured its success. Perhaps the greatest one being that whatever information was disseminated through this process could not (BY LAW) be used in any type of enforcement against the reporting source (pilot in our case). Furthermore, and in the interest of safety, all identifying information would be removed efore being passed on to any agency that searched for cogent details of the event.

In the history of the ASRS reporting system (literally hundredths of thousands of reports), there has not been a single breach of that confidentiality. Below you will find information which will answer most questions you might have regarding the ASARS database and its use for us at aviators (powered or otherwise).

http://asrs.arc.nasa.gov
Here are some of the more important aspects of the program.

“Accordingly, although a finding of violation may be made, neither a civil penalty nor certificate suspension will be imposed if: 

Caveats:

• The violation was inadvertent and not deliberate.

• The violation did not involve a criminal offense, accident, or action under 49 U.S.C. § 44709, which discloses a lack of qualification or competency, which is wholly excluded from this policy.
• The person has not been found in any prior FAA enforcement action to have committed a violation of 49 U.S.C. subtitle VII, or any regulation promulgated there for a period of 5 years prior to the date of occurrence; and
• The person proves that, within 10 days after the violation, or date when the person became aware or should have been aware of the violation, he or she completed and delivered or mailed a written report of the incident or occurrence to NASA.

BOTTOM LINE:  Unless you were really being a “knucklehead” you will be protected. This “free get out of jail card” is only good once every five years. You have 10 days from the date of the actual incident to file this report.

CLEARLY UNDERSTAND: If a violation is found against you, the violation will stay as a permanent part of your airman certificated record; however, you will not have to surrender your certificate and you will not have to pay any monetary fines, if so warranted.

 Prohibition Against the Use of Reports for Enforcement Purposes

• Background. Designed and operated by NASA, the NASA ASRS security system ensures the confidentiality and anonymity of the reporter, and other parties as appropriate, involved in a reported occurrence or incident. The FAA will not seek, and NASA will not release or make available to the FAA, any report filed with NASA under the ASRS or any other information that might reveal the identity of any party involved in an occurrence or incident reported under the ASRS. There has been no breach of confidentiality in more than 34 years of the ASRS under NASA management.
• Regulatory Restrictions. Title 14 of the Code of Federal Regulations (14 CFR) part 91, § 91.25 prohibits the use of any reports submitted to NASA under the ASRS (or information derived therefrom) in any disciplinary action, except information concerning criminal offenses or accidents that are covered under paragraphs 7a(1) and 7a(2).
• Non-ASRS Report. When violation of the 14 CFR comes to the attention of the FAA from a source other than a report filed with NASA under the ASRS, the Administrator of the FAA will take appropriate action.

BOTTOM LINE: The information you provide will be de-identified 100% (by NASA ASRS). Having said that, if the FAA finds out about the incident from another source (i.e. ATC) then you will have a letter of inquiry (LOI) sent to you from your local FAA office to which you will have to respond.

 Reporting Procedures

Forms in the NASA ARC 277 series have been prepared specifically for intended users (including ARC 277A for air traffic use, 277B for general use including pilots, 277C for flight attendants and 277D for maintenance personnel) and are preaddressed and postage free, or are available online for access and filing electronically. Additionally, organizations may elect to securely transfer copies of reports from their internal reporting system to NASA ASRS directly. Forms with a narrative report should be completed and mailed to ASRS at NASA, Aviation Safety Reporting System, P.O. Box 189, Moffett Field, CA 94035-0189, or filed electronically with ASRS through the NASA ASRS Web site at http://asrs.arc.nasa.gov.

BOTTOM LINE: The easiest way to this is online and also remember you have a maximum of 10 days from the date of incident to accomplish this.

CLEARLY UNDERSTAND:  This form can be submitted AS MANY times as you need to. In other words, if you think you “Gooned Up”, you send one in to for “CYA” purposes. “No harm-no foul” applies. The once in five years is for action taking against you by the FAA.  So when in doubt- FILE!!!

 Processing of Reports

• Processing Procedures. NASA procedures for processing Aviation Safety Reports initially screen the reports for:
  • Information concerning criminal offenses, which will be referred promptly to the Department of Justice and the FAA.
  • Information concerning accidents, which will be referred promptly to the NTSB and the FAA; and

NOTE: Reports discussing criminal activities or accidents are not de-identified prior to their referral to the agencies outlined above.

• • Time-critical information that, after de-identification, will be promptly referred to the FAA and other interested parties.
• Reporter Identification (ID) Strip. Each Aviation Safety Report, in paper or electronic format, contains an ID strip that contains the information that identifies the person submitting the report. NASA will time stamp and return the ID strip to the reporter as a receipt by NASA. This will provide the reporter with proof that he or she filed a report on a specific incident or occurrence. The ID strip section of the ASRS report form provides NASA program personnel with the means to contact the reporter if there is a need for additional information to understand more completely the report’s content. Except in the case of reports describing accidents or criminal activities, NASA does not create or retain a copy of an ASRS form’s ID strip for ASRS files. Prompt return of ID strips is a primary element of the ASRS program’s report de-identification process and ensures the reporter’s anonymity.

De-Identification

All information that might assist in or establish the ID of persons filing ASRS reports and parties named in those reports will be deleted, except for reports covered under paragraphs 7a(1) and 7a(2). This de-identification will be accomplished within a timely manner after NASA’s receipt of the reports.

Enforcement Policy

• Administrator’s Responsibilities. The Administrator of the FAA will perform his or her responsibility under Title 49 of the United States Code (49 U.S.C.) subtitle VII and enforce the statute and the 14 CFR in a manner that will reduce or eliminate the possibility of, or recurrence of, aircraft accidents. The FAA enforcement procedures are set forth in 14 CFR part 13 and FAA enforcement handbooks.
• Enforcement Action. When determining the type and extent of the enforcement action to take in a particular case, the FAA will consider the following factors:
  • Nature of the violation
  • Whether the violation was inadvertent or deliberate.
  • The certificate holder’s level of experience and responsibility.
  • Attitude of the violator.
  • The hazard to safety of others which should have been foreseen.
  • Action taken by employer or other government authority.
  • Length of time which has elapsed since violation.
  • The certificate holder’s use of the certificate.
  • The need for special deterrent action in a particular regulatory area or segment of the aviation community; and
  • Presence of any factors involving national interest, such as the use of aircraft for criminal purposes.

BOTTOM LINE: This ONLY works for a suspected FAR/FAA violation. If you are involved in an actual aircraft accident, DO NOT USE THIS FORM. Read below and the best of luck to you.

REPORTING AN AIRCRAFT ACCIDENT OR INCIDENT:

Federal regulations require operators to notify the NTSB immediately of aviation accidents and certain incidents. An accident is defined as an occurrence associated with the operation of an aircraft that takes place between the time any person boards the aircraft with the intention of flight and all such persons have disembarked, and in which any person suffers death or serious injury, or in which the aircraft receives substantial damage. An incident is an occurrence other than an accident that affects or could affect the safety of operations. (See 49 CFR 830.)

An aircraft accident should be reported to the nearest NTSB field office.

To report an accident in any transportation mode, contact the NTSB’s 24-hour Response Operations Center at 844-373-9922.

A phone call is sufficient initially, but a written follow-up will be required. Should you be directed to complete Form 6120.1 – “Pilot/Operator Aircraft Accident/Incident Report”, please do as follows:

Fill in Form 6120.1: Pilot/Operator Aircraft Accident/Incident Report

• Obtain the form from the requesting NTSB office ordownload a form-fillable PDF version.
• The form-fillable version can be edited and saved repeatedly, or simply printed and filled out manually using the free Adobe Acrobat Reader (or equivalent software).
• Sign the form and submit by FAX or mail.
• To submit by mail, print your choice of regional Business Reply Mail (BRM) cover page from the list below.

Should you have a question regarding which form you must use, please contact NTSB Headquarters or the NTSB regional office nearest to you.

SUMMARY:  To fellow SSF members and soaring enthusiasts this is a great program. It has proved a total success for many years. It does work, and it works every time. Prior to retiring as the five-year director of the human factors program at a major airline and multi-year check airman (instructor), I saw these utilized first-hand many times. This program has not only fostered and enhanced safety, but it has also kept many pilots flying–that otherwise would have been grounded for extended periods of time and/or faced significant monetary fines.  I have personally used this more than I wish to admit and I encourage every one of you to do so as well.  Fly safe and soar high.

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Mario Jimenez

Mario Jimenez grew up in Latin America and graduated from the University of Texas, El Paso. He served in the United States Marine Corps as a Naval Aviator flying the A6 Intruder, T2 Buckeye and A4 Skyhawk.

Following his military career, he joined FedEx and flew the B-727, McDC-10 and McDMD-11 ultimately serving as a captain and check airman. At FedEx, he also served as a CRM/human factors manager and member of the pilot selection team.

He's been married to Barbara Bluth for nearly 50 years and the couple is very proud of their 3 children and 11 grandchildren.The family has resided in Utah since 1998.

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