[Federal Register: October 12, 2006 (Volume 71, Number 197)]
[Notices]
[Page 60226-60228]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr12oc06-112]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
Runway Incursion Information Evaluation Program
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of program continuation.
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SUMMARY: This document announces the continuation for a 24-month period
and expansion of the Runway Incursion Information Evaluation Program
(RIIEP). The purpose of the RIIEP is to gather critical safety data not
otherwise available concerning the root causes of surface incidents,
including runway incursions. The primary means of gathering the data is
through in-depth interviews of pilots and maintenance technicians
involved in these incidents. This document affirms the FAA's policy
concerning enforcement-related incentives for pilots and maintenance
technicians to encourage them to participate in the program. It also
reiterates the FAA's policy concerning the use for enforcement purposes
of information provided by pilots and maintenance technicians under the
program.
DATES: The program is in effect from July 21, 2006, through July 20,
2008.
FOR FURTHER INFORMATION CONTACT: Chris Monteleon, Representative of the
Associate Administrator for Aviation Safety (AVS) and the Director,
Flight Standards Service (AFS) to the FAA Office of Runway Safety,
Federal Aviation Administration, 470 L'Enfant Plaza, Suite 7100,
Washington, DC 20024; Telephone (202) 385-4719; e-mail
Chris.Monteleon@faa.gov.
SUPPLEMENTARY INFORMATION:
Background
One of the FAA's top safety priorities is to prevent runway
incursions.\1\ To help achieve this goal, the FAA has implemented
system-safety initiatives to reduce runway incursions by gathering and
evaluating data concerning root causes of runway incursions and through
enhanced education and training of pilots and maintenance
technicians.\2\
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\1\ Runway incursion is currently defined in the United States
as ``any occurrence in the airport runway environment involving an
aircraft, vehicle, person, or object on the ground that creates a
collision hazard or results in a loss of required separation with an
aircraft taking off, intending to take off, landing or intending to
land.'' Runway incursions are identified and tracked at towered
airports (airports with an operating FAA or contract tower).
\2\ Surface incident (for the purpose of the RIIEP) is defined
as an incident where an aircraft operated by a pilot or maintenance
technician taxiing enters a runway safety area without a clearance
but another aircraft was not present.
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The Flight Standards Service (AFS) ordinarily becomes aware of
reported surface incidents, including runway incursions, through
notification by the Air Traffic Organization (ATO). However, the FAA
often has insufficient data to fully analyze the risk factors and root
causes leading to an incident. Accordingly, in March 2000, the FAA
implemented the Runway Incursion Information Evaluation Program (RIIEP)
for a period of one year, which was renewed in July 2004, through July
2006. Through the RIIEP, the FAA sought data concerning runway
incursions by interviewing pilots involved in such events. Under the
RIIEP, pilots involved in runway incursions who cooperated with FAA
Aviation Safety Inspectors (ASI) by providing information concerning
the incident were generally not subject to legal enforcement. We
expected the pilot to share valuable safety information that would help
us identify the cause of the runway incursion. We wanted this
information to aid in determining root causes of runway incursions and
to develop effective mitigation action.
The program, since its inception, has been successful in gathering
root-cause data leading to the development of risk-reduction
strategies. The FAA has learned, however, that the program needs
enhancements to assure the RIIEP will reach its voluntary safety-
program potential.
Therefore, ninety days before the end of the current period, the
FAA evaluated the RIIEP. In particular, the FAA identified a need for
improved methods of gathering and analyzing data collected under the
RIIEP, and for implementing improved risk-reduction strategies. The FAA
considered factors, including the following, in determining whether the
RIIEP should continue to build on its success, as well as provide
enhanced, critical system-safety, risk-reduction measures in the
future: The FAA and the NTSB consider the risk of runway incursion, in
commercial aviation and general aviation, and at towered and non-
towered airports, an ever-present, high-visibility risk.
The current implementation of ISO 9001 throughout AVS
would provide controls for successful RIIEP processes.
The future value to runway safety found in the current
effort of voluntary, aviation safety information database-sharing
through the collaboration of FAA, industry, and academia: An important
example is a current aviation rulemaking committee review of the
possible benefit of integrating certain program aspects of the RIIEP
Database Management and Reporting System (DMRS) with the Distributed
National Aviation Safety Action Program (ASAP) Archives (DNAA), perhaps
together with the Distributed National Flight Operations Quality
Assurance (FOQA) Archives (DNFA) and the Aviation Safety Reporting
System (ASFS) databases.
The continued interface with the Surveillance and
Evaluation Program (SEP) and the Air Transportation Oversight System
(ATOS) risk identification and mitigation processes.
The opportunity for RIIEP to develop into the
international leader for runway-incursion risk reduction.
The program-management continuity necessary to increase
the current volume and quality of reported data.
The value of providing the opportunity to increase the
size of the RIIEP database and enhance the methodology of its database
analysis.
The development and implementation of more effective means
of reaching operators, agencies, and training centers, and their
pilots, maintenance technicians, instructors, and designees.
[[Page 60227]]
The widespread publication of a brief, periodic ``tip'' to
further RIIEP knowledge and maintain program awareness within AFS and
its customers.
With these enhancements, the FAA believes RIIEP will
become the leader in analyzing the root causes of surface incidents,
including runway incursions. Further, we believe these enhancements
will improve methods of providing critical data that would be used as
the basis for the FAA to recommend and implement world-standard risk
mitigation.
Accordingly, we have further modified the RIIEP and shall continue
the program for 24 months. In addition, 120 days before the end of the
current period, the Associate Administrator for Aviation Safety (AVS)
and the Air Traffic Organization (ATO) shall provide the Administrator
a report summarizing root causes identified, resulting plans in
progress, and programs and technologies implemented. Ninety days before
the end of this period, the FAA will evaluate the RIIEP and whether we
should continue the program or let it expire.
Continued Runway Incursion Information and Evaluation Program
Under the continued RIIEP, pilots and maintenance technicians
taxing aircraft involved in an alleged runway incursion may expect to
be contacted by an ASI shortly after the incident. The ASI will inform
the pilot or maintenance technician that participation in the RIIEP
interview process is voluntary. The ASI may conduct the interview in
person, electronically, or by telephone. AFS has developed standardized
RIIEP methodology in the form of questionnaires, one for pilots and one
for maintenance technicians, from which the ASI will obtain important,
sometimes critical, safety data. To obtain complete recordable data
concerning a runway incursion for analysis and to implement preventive
measures, the ASI also will encourage pilots and maintenance
technicians to provide additional comments. The ASI will record those
comments in the RIIEP questionnaire ``comments section.'' These
comments should capture perception, as well as fact, concerning the
event and may range from general to specific.
Note that RIIEP guidance for Flight Standards' Regions, Divisions,
and Field Offices is Joint Flight Standards Information Bulletin, FSAW
04-09, FSAT 04-03, and FSGA 04-01, Implementation of the Renewed Runway
Incursion Information Evaluation Program (RIIEP), which is located at
http://www.faa.gov/library/manuals/examiners_inspectors/8300/fsaw/media/FSAW0409_fsat0403.doc
.
RIIEP Enforcement Policy
A pilot deviation (PD) is a type of surface incident, including
runway incursion, which involves possible regulatory violation by a
pilot. A vehicle or pedestrian deviation (V/PD) is a type of surface
incident, including runway incursion, involving a vehicle or pedestrian
that involves possible regulatory violation by the same. (RIIEP
analysis considers relevant incidents involving aircraft operated by
maintenance technicians to be vehicle deviations.)
When ATO provides report of either a preliminary PD, or preliminary
V/PD, AFS may open an enforcement investigation.
If the investigation reveals a violation of FAA regulation, the
pilot or maintenance technician is further subject to legal enforcement
action (certificate action or civil penalty). However, as an incentive
to encourage participation in the RIIEP, for certificated airmen who
cooperate and provide detailed information regarding that deviation,
the FAA intends to continue foregoing legal enforcement action and,
instead, offer administrative action \3\ or counseling \4\, which
involve no finding of violation, provided:
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\3\ An administrative action is either a warning or letter of
correction, which is generally issued when remedial training is
taken.
\4\ Counseling is an action carried out under the guidance of
the FAA's Aviation Safety Program, which is a program designed to
promote safety and technical proficiency by providing guidance and
support for the aviation community through education and cooperative
efforts.
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1. The nature of the apparent violation does not indicate that a
certificate holder lacks qualification to hold a certificate;
2. The apparent violation was inadvertent, i.e., not the result of
purposeful misconduct;
3. The apparent violation was not a substantial disregard for
safety or security;
4. The apparent violator has a constructive attitude toward
complying with the regulations; and
5. The apparent violation does not indicate a trend of
noncompliance.
In certain cases, the FAA may determine an airman should complete
corrective action, such as remedial training, to help prevent further
runway incursion or surface incident. Such corrective action is
voluntary; however, refusal by the pilot or maintenance technician to
undertake the same could result in legal enforcement action being
taken.
If an apparent violation resulting from the surface incident,
including runway incursion, or the circumstances surrounding the same,
demonstrate or raise a question of lack of qualification of an airman,
the FAA will proceed with appropriate action. Such action may include
reexamination, certificate suspension pending successful reexamination,
or certificate revocation.
Foreign airmen may not participate in the RIIEP.
Runway Safety Education Demonstrating a Constructive Attitude
In determining whether an apparent violator has a constructive
attitude regarding compliance with the regulations, the FAA will
consider documentation showing the completion of an FAA- or industry-
sponsored safety seminar on the subject(s) causal to the alleged
violation.
Through the collaboration of FAA and industry, pilot and
maintenance technician runway-safety education programs are available
at http://www.aopa.org/asf/runway_safety; www.alpa.org/runwaysafety; and http://www.faa.gov/runwaysafety. We will consider successful
ssful
completion and documentation of these runway-safety education programs
favorably in determining the course of action we will take when a pilot
or maintenance technician is involved in a surface incident, including
a runway incursion. The Runway Safety Education program also qualifies
for credit under the Pilot Proficiency Awards (WINGS) Program or the
Aviation Maintenance Technician Awards (AMT) Program.
FAA Use of Information Provided by Pilots or Maintenance Technicians
Under the RIIEP
The FAA recognizes pilots and maintenance technicians may have
concern that the information they provide under this program would be
used by the FAA for legal enforcement action. The FAA, however, does
not expect to use information provided by pilots or maintenance
technicians during interviews conducted by ASIs under the RIIEP in FAA
legal enforcement action. The record since the inception of the RIIEP
displays excellent collaboration in this regard.
RIIEP Coordination With a FAA Aviation Safety Action Program (ASAP)
Notwithstanding published FAA RIIEP policy to the contrary, reports
of surface incidents, including runway incursions, accepted under an
ASAP will be conducted in accordance with
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Advisory Circular (AC) 120-66B, Aviation Safety Action Programs (ASAP),
as amended, and a memorandum of understanding between the FAA, the
certificate holder and, where applicable, pilot or maintenance-
technician groups. As with ASAP, the objective of the RIIEP is to
encourage the voluntary reporting of safety information not otherwise
available that could be critical in identifying casual factors leading
to accidents, incidents--particularly runway incursions, and
violations.
We encourage certificate holders and representatives of pilot and
maintenance-technician groups having ASAP programs to incorporate RIIEP
as a voluntary part of their ASAP process by providing RIIEP awareness
information to their pilot and maintenance-technician groups.
We strongly encourage ASAP programs, and their event review
committee (ERC) members to provide the RIIEP Questionnaire to pilot or
maintenance technician who submits an ASAP report involving a runway
incursion or surface incident, and to request voluntary completion of
the questionnaire by that employee.
Note that RIIEP Questionnaires are located in FSAW 04-09 et al.
(see above), Appendices 8 and 9.
In the case of a sole source report, the employee should be
instructed not to enter the name identification information requested
in Section 1 of the questionnaire. With the ERC's concurrence, that ASI
should provide the completed questionnaire to the appropriate FSDO or
CMO, which would process the safety data in accordance with Joint FSIB
FSAW 04-09, et al. For runway incursions or safety events accepted
under an accepted ASAP MOU, the guidance in FAA Order 8400.10, Volume
1, Chapter 5, Section 1, paragraph 293E concerning enforcement
investigation coordination of alleged violations applies.
RIIEP Continuation
This continuations of the RIIEP will be in effect for 24 months
beginning the effective date listed above.
Issued in Washington, DC on August 2, 2006.
Marion C. Blakey,
Administrator.
[FR Doc. 06-8619 Filed 10-11-06; 8:45 am]
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