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Frequently Asked Questions

How can I avoid the FAA imposing a sanction on me?

Avoiding FAA Sanctions Through the Aviation Safety Reporting System

The primary mission of the FAA is to promote aviation safety. To further this mission, the FAA instituted a voluntary program on April 30, 1975, designed to encourage the identification and reporting of deficiencies and discrepancies in the system. The FAA Aviation Safety Reporting System utilizes NASA as a third party to receive and process Aviation Safety Reports from participants in the system. The details of the program can be found in Advisory Circular AC 00-46E.

Who can obtain immunity from FAA sanctions for self-reporting violations?

Participants in the Aviation Safety Reporting System

This cooperative safety reporting program invites pilots, controllers, flight attendants, maintenance personnel, dispatchers, and other users of the National Airspace System, or any other person, to report to NASA actual or potential discrepancies and deficiencies involving the safety of aviation operations.

The operations covered by the program include departure, en route, approach, and landing operations and procedures; ATC procedures and equipment; crew and ATC communications; aircraft cabin operations; aircraft movement on the airport; near midair collisions; aircraft maintenance and recordkeeping; and airport conditions or services.

NASA will not release or make available to the FAA, any report filed with NASA under the Aviation Safety Reporting System or any other information that might reveal the identity of any party involved in an occurrence or incident reported under the program. In fact, section 91.25 of the FARs prohibits reports filed with NASA from being used by the FAA for enforcement purposes.

The FAA considers the filing of a report with NASA concerning an incident or occurrence involving a violation of the FARs to be indicative of a constructive attitude and thus will tend to prevent future violations. Accordingly, although a finding of violation may be made, neither a civil penalty nor certificate suspension will be imposed if:

  1. The violation was inadvertent and not deliberate;
  2. The violation did not involve a criminal offense, accident, or action that demonstrated a lack of qualification or competency;
  3. The person has not been found in any prior FAA enforcement action to have committed a violation of for a period of 5 years prior to the date of occurrence; and
  4. 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.

Filling Out a NASA Form:

The forms have several sections with generic questions regarding the reporting party’s experience as well as the conditions and factors that contributed to the occurrence. However, there are two sections in the forms that are critical to receiving immunity under the program. Those are the first section which contains the ID strip and the last section entitled “DESCRIBE EVENT/SITUATION,” which calls for a narrative of the occurrence.

Filling Out the ID Strip:

Each Aviation Safety Report, in paper or electronic format, contains an ID strip at the top of the form that contains the information that identifies the person submitting the report.

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.

NASA will time stamp and return the ID strip to the reporter as a receipt by NASA. Prompt return of ID strips is a primary element of the ASRS program’s report de-identification process and ensures the reporter’s anonymity. Return of the ID strip will provide the reporter with proof that he or she filed a report on a specific incident or occurrence. In the event the FAA initiates an enforcement action, the ID strip must be disclosed by the airman during the proceedings to take advantage of the immunity under the program. For that reason, the “Type of Event/Situation” block must be sufficiently descriptive to identify the event at issue, but must not contain an admission implicating that one or more of the four requirements below are not met. If the information contained in this block indicates that the requirements below are not met, the form will not qualify for the benefits of the program.

Remember, statements in this block must not implicate any of the following:

  1. The violation was inadvertent and not deliberate;
  2. The violation did not involve a criminal offense, accident, or action that demonstrated a lack of qualification or competency;
  3. The person has not been found in any prior FAA enforcement action to have committed a violation of for a period of 5 years prior to the date of occurrence; and
  4. 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.

You may want to consult with an aviation attorney when filing out a NASA form to ensure that your form does not contain any information that could be used against you in an enforcement action and that the requirements of the program have otherwise been met.

Filling Out the Narrative Section:

The section at the end of the form entitled “Describe Event/Situation” requests a narrative statement of how the event occurred. This section is helpful to NASA in determining actual or potential discrepancies and deficiencies involving the safety of aviation operations. As with the information contained in the ID Strip, if the information contained in this block indicates that the requirements below are not met, the form will not qualify for the benefits of the program.

Remember, statements in this block must not implicate any of the following:

  1. The violation was inadvertent and not deliberate;
  2. The violation did not involve a criminal offense, accident, or action that demonstrated a lack of qualification or competency;
  3. The person has not been found in any prior FAA enforcement action to have committed a violation of for a period of 5 years prior to the date of occurrence; and
  4. 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.

You may want to consult with an aviation attorney when filing out a NASA form to ensure that your form does not contain any information that could be used against you in an enforcement action and that the requirements of the program have otherwise been met.

Submitting a NASA Form:

If you intend to mail your form to NASA, make a copy for your records before mailing. Send the report via certified mail return receipt requested.

You also have the option of filling out and submitting a NASA form online by utilizing the link below. Again, print a copy of your form before you submit it. Also, print a copy of the submission conformation for your records.

asrs.arc.nasa.gov/report/electronic.html

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