2/10/16

 

8900.1 CHG 445

VOLUME 15  FAA Safety TEAM POLICIES AND PROCEDURES

Indicates new/changed information.

Chapter 3  DATA COLLECTION, ANALYsis AND REPORTING

Section 2  Data Collecting

15-3-2-1    GENERAL. The Federal Aviation Administration (FAA) Safety Team (FAASTeam) Program Managers (FPM) and/or the Regional FAASTeam Point of Contact (RFPOC) collect data from the National Transportation Safety Board (NTSB) database and a variety of Federal Aviation Administration (FAA) databases to include data collected during active investigations conducted by the Flight Standards District Office (FSDO). This data is used to develop reports that prioritize hazards, unsafe conditions and risks within each FSDO district.

A.    Purpose. This section describes the procedures for FPMs to collect data to identify trends and common factors associated with aviation incident and accidents occurring within an FSDO district where training, outreach and education can be used as mitigation strategies.

B.    Scope. This section applies to RFPOCs and FPMs. Data collected may be used as the basis for FAASTeam program activities and events. The information collected during active accident and incident investigations must be protected and treated as required in FAA Order 8020.11, Aircraft Accident and Incident Notification, Investigation, and Reporting, and any privacy policy as applicable. The data on FAA Form 8020-23, Accident/Incident Report, is not to be used or presented as the probable cause of an accident or incident. Only the NTSB determines probable cause. Further, information obtained from other FAA databases must be protected to preclude the release of privacy information or identification of specific individual entities involved.

15-3-2-3    TASK PREREQUISITES AND SIGNIFICANT INTERFACES.

NOTE:  This task requires knowledge of FAA accident investigation procedures and system safety principles, qualification as an aviation safety inspector (ASI), and appointment as an FPM. If participating onsite with other ASIs during accident/incident investigations, FPMs should be current in Bloodborne Pathogen training.

A.    Program Tracking and Reporting Subsystem (PTRS) Activity Code.

1)    Operations: 1901.
2)    Maintenance: 3901.
3)    Avionics: 5901.

B.    Significant Interfaces. This task requires coordination with the following organizations or individuals:

    FAA Aviation Data System Branch (AFS-620);

    FAA Investigator-in-Charge (IIC);

    National FAASTeam Branch (AFS-850);

    FPMs;

    Flight Standards Field Office (FSFO) Management Team;

    NTSB; and

    RFPOC.

C.    Automation Tools:

    Accident/Incident Data System (AIDS);

    National FAASTeam SharePoint Site and Associated Tools;

    NTSB Aviation Accident Database;

    Safety Performance Analysis System (SPAS);

    Air Traffic Quality Assurance (ATQA);

    Service Difficulty Reports (SDR);

    National Aeronautics and Space Administration (NASA)—Aviation Safety Reporting System (ASRS);

    Emergency Operations Network (EON);

    Near Midair Collisions Subsystem (NMACS); and

    National PTRS (NPTRS).

D.    References.

1)    Regulatory Guidance [Reserved].
2)    Procedural Guidance (current editions):

    FAA Order 1380.51, Program Tracking and Reporting Subsystem.

    PTRS Procedures Manual (PPM).

    FAA Order 8020.11, Aircraft Accident and Incident Notification, Investigation, and Reporting.

    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).

3)    Additional Guidance (current editions):

    Advisory Circular (AC) 20-109, Service Difficulty Program (General Aviation).

    SDRs.

E.    Forms:

    FAA Form 8000-36, Program Tracking and Reporting System Data Sheet.

    FAA Form 8020-9, Aircraft Accident/Incident Preliminary Notice.

    FAA Form 8020-15, Investigation of Near Midair Collision Report.

    FAA Form 8020-18, Pilot Deviation Report.

    FAA Form 8020-23, Accident/Incident Report.

F.    Job Aids:

    National FAASTeam Performance Plan (NPP).

    National FAASTeam Work Instructions, as applicable.

15-3-2-5    BACKGROUND. The three phases of accident/incident data collecting are as follows:

A.    First Phase. The first phase starts with the FAA Form 8020-9 Aircraft Accident/Incident Preliminary Notice. During the accident initial phase, the FPM establishes communication with the IIC and begins to collect accident information.

B.    Second Phase. The second phase begins with the FAA Form 8020-23. During the accident post-field phase, the FPM reviews Form 8020-23 for completeness and accuracy. The review of Form 8020-23 is specifically focused on the “Factors” section of the form. The information entered in this section is of primary concern for determining what category the accident falls into and the mitigation strategy available to address the contributing factors for the accident. Information that appears to be incorrect and/or omission of information noted by the FPM should be discussed with the IIC.

C.    Third Phase. In the third phase, the FPM reviews the NTSB determination of cause (this could take up to one year) and the accident factors identified in the FAA Form 8020-23 to verify accuracy of FAA data.

15-3-2-7    DATA COLLECTION PROCESS FLOW.

Figure 15-3-2A.  Data Collection Process Flowchart

Figure 15-3-2A. Data Collection Process Flowchart

15-3-2-9    PROCEDURES.

A.    Open PTRS Record (see flowchart process step 15-3-2-9A).

B.    Establish Office Procedure for Accident/Incident Data Exchange (see flowchart process step 15-3-2-9B). The FPM meets with his or her FSDO manager to develop a procedure for timely notification of every accident, incident, and occurrence (e.g., pilot deviations (PD), maintenance failure to follow procedures, etc.) that occurs within the FSDO district. This may also be accomplished via email or text message by the Regional Operations Center (ROC) or by establishing a customer account on the Emergency Operations Network (EON) or the Daily Report Application (DRA). Upon notification, the FPM will identify and begin coordination with the IIC.

C.    Coordinate Internally with FAA IIC (see flowchart process step 15-3-2-9C). Contact the IIC as soon as possible upon becoming aware of an accident, incident, or occurrence in the FSDO district. Offer assistance or support to collect investigation data.

D.    Collect Live Data (see flowchart process step 15-3-2-9D). This is data that is collected during an active/live investigation.

1)    Obtain information from IIC during the active investigation process.
2)    Provide feedback to the IIC regarding data quality obtained during data collection phase. The FPM will, at a minimum, obtain the name of the pilot or mechanic involved and conduct a search on www.FAASafety.gov to ascertain any applicable safety program participation related to block 29 of the accident report. Information obtained from the search will be routed to the IIC for entry into the accident report.
3)    The FPM should obtain FSDO management approval if travel is considered necessary for the purpose of live data collection and/or photography but only in a supportive role to the IIC. The FPM may not be assigned as the IIC.
4)    When approved by FSDO management, the FPM may support the IIC by observing analytical teardowns, interviews, testing, etc. This could include collection of physical evidence (e.g., logbooks, written statements, aircraft parts, fuel samples, etc.); however, the information must be given to the IIC for processing.

E.    Collect Historical Data (see flowchart process step 15-3-2-9E). FPMs use any or all of the following databases to research, review and analyze accident/incident, PD, NMAC data, recurring deviations from regulatory and nonregulatory standards, etc. FPMs may find it necessary to perform hands-on exercises in those databases not previously used. Utilize the help menus or job aids on the site if they are available.

1)    Accident/Incident Data System (AIDS). This is the official repository for FAA Form 8020-23 data.
a)    Access AIDS from SPAS.
b)    Use the help guidance options on the AIDS main query page.
c)    Use any of the available search queries to identify and analyze past accidents and incidents that have occurred in your FSDO district.
2)    Air Traffic Quality Assurance (ATQA). This is a Web-based application tool with the ability to enter, modify, and retrieve accident and incident reports and reports involving operational errors/deviations, near midair collisions (NMAC), PDs, vehicle/pedestrian deviations, and flight assists via electronic submission. This site is on the Intranet at https://atqa.faa.gov.
a)    You must obtain a user ID and password to access the site.
b)    Go to atqa.faa.gov, click on “Request An Account” and follow instructions.
3)    Emergency Operations Network (EON). The EON is a highly secure Web-based information sharing tool. Among many of its applications, it provides access to the Daily Report Application (DRA). The DRA can be used to identify aviation events that have recently occurred on a daily basis. Contact the Aviation Safety (AVS) National IT Service Desk at 1-877-287-6731 to find out point of contact (POC) information to gain access to the EON.
4)    NASA—Aviation Safety Reporting System (ASRS). The ASRS database collects voluntarily submitted aviation safety incident/situation reports from pilots, controllers, and others. It includes the narratives submitted by reporters that provide an exceptionally rich source of information for human factors research. The database also contains coded information from the original report, which is used for data retrieval and statistical analysis. Access the public site at http://asrs.arc.nasa.gov.
5)    National Transportation Safety Board (NTSB). The NTSB issues an accident report following the investigation. They determine the probable cause of accidents and issue safety recommendations aimed at preventing future accidents. Aviation accident reports are available online and the report list is sortable by the event date, report date, city, and state. Access the Web site at http://www.ntsb.gov.
6)    FAA Aviation Safety Information Analysis and Sharing (ASIAS) System. ASIAS enables users to perform integrated queries across multiple databases, search an extensive warehouse of safety data, and display pertinent elements in an array of useful formats. Access the Web site at http://www.asias.faa.gov.
7)    Enforcement Information Query and Browse Tool (EISQB). This database can provide important details regarding enforcement actions whether or not associated with accident/incidents. Depending on the frequency and severity, the FPM may determine if mitigation strategies are warranted to prevent future occurrences. Access the Web site from SPAS and use the query tool to collect desired data.
8)    NPTRS. This database can be used to identify trends in deviations from regulatory and nonregulatory standards. See information in Volume 14, Chapter 1, Section 2, for information on Compliance Action PTRS entries.

F.    Close PTRS Record (see flowchart process step 15-3-2-9F).

15-3-2-11    TASK OUTCOMES. The completion of this task results in the acquisition of current and historical unsafe conditions, hazards, and/or unacceptable risk trends that can be used to develop mitigation strategies and to develop an FSDO Aviation Activity Report.

15-3-2-13    FUTURE ACTIVITIES. [Reserved]

15-3-2-15 through 15-3-2-25 RESERVED.