[Federal Register Volume 69, Number 138 (Tuesday, July 20, 2004)]
[Notices]
[Pages 43483-43484]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-16518]


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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 renewal.

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SUMMARY: This document announces the renewal and expansion for a 24-
month period of the Runway Incursion Information Evaluation Program 
(RIIEP) for the purpose of gathering further information about the 
causal factors of runway incursions and surface incidents through in-
depth interviews of pilots or maintenance technicians involved in such 
events. This document expands the collection of information under the 
RIIEP to include surface incidents as defined in this document. 
Additionally, this document states the FAA's policy concerning 
enforcement-related incentives for pilots and maintenance technicians 
to encourage them to participate in the program, and 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 August 19, 2004 through July 20, 
2006.

FOR FURTHER INFORMATION CONTACT: Will Swank, AVR/AFS Representative, 
Office of Runway Safety and Operational Services, Federal Aviation 
Administration, 490 L'Enfant Plaza, Suite 7225, Washington, DC 20024; 
Telephone (202) 385-4776; E-mail [email protected].

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 
several initiatives to reduce runway incursions through enhanced 
education and training of pilots and maintenance technicians, and by 
gathering and evaluating data on the causes of runway incursions and 
surface incidents.\2\
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    \1\ Runway Incursion is defined 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 (those 
airports with an operating FAA or contract tower).
    \2\ Surface incidents, for the purpose of the RIIEP, are defined 
as only those incidents 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 ordinarily is immediately aware of all 
reported surface incidents because it is notified by the Air Traffic 
Organization. However, often the FAA knows little about why the 
reported incident happened or the factors and events that led to it. 
Accordingly, in March 2000, the FAA implemented the Runway Incursion 
Information and Evaluation Program (RIIEP) for a period of 1 year. 
Through the RIIEP the FAA sought information about runway incursions by 
interviewing pilots involved in such events. Under the original RIIEP, 
pilots involved in runway incursions who cooperated with FAA inspectors 
by providing information about the incident were generally not 
subjected to punitive legal enforcement action for an apparent 
violation involving the incursion. We expected the pilot to share 
valuable safety information that would help us identify the cause of 
the runway incursion in which the pilot was involved. We wanted this 
information to determine root causes of runway incursions and to 
develop effective corrective actions to help reduce or eliminate this 
problem.
    Over the course of a year, the RIIEP produced new information about 
some causes of runway incursions. The program showed promise as a 
useful tool for gathering information to develop strategies to prevent 
runway incursions. The FAA learned, however, that we needed to change 
certain processes to make the RIIEP a more effective program. In 
particular, we needed a more extensive interview questionnaire to give 
us detailed information that could help us determine the root causes of 
runway incursions more directly. In addition, we needed an improved 
method for processing information collected under the RIIEP. With these 
changes, the FAA believes the RIIEP could be a much more effective 
program for analyzing the causes of runway incursions and surface 
incidents, particularly the human factors aspects of those causes. 
Accordingly, we have modified the RIIEP and decided to renew the 
program for 24 months. Ninety days before the end of this period, the 
FAA will evaluate the RIIEP to determine whether the program is 
providing valuable safety information and whether we should continue 
the program or let it expire.

Renewed Runway Incursion Information and Evaluation Program

    Under the renewed RIIEP, any pilot or maintenance technician 
taxiing an aircraft involved in an apparent runway incursion or surface 
incident may expect to be contacted by an FAA inspector within a few 
days after the incident. The inspector will inform the pilot or 
maintenance technician that participation in the RIIEP interview 
process is voluntary. The inspector may conduct the interview in person 
or by telephone.
    The Flight Standards Service has developed standardized RIIEP 
interview questionnaires, one for pilots and one

[[Page 43484]]

for maintenance technicians, from which the inspector will ask the 
pilot or maintenance technician questions. To get complete information 
about the runway incursion or surface incident for analysis and to 
implement future preventive measures, the inspector will also encourage 
pilots and maintenance technicians to provide additional comments to 
the inspector. The inspector will record any comments in the RIIEP 
questionnaire ``comments section.'' These comments may be on anything 
about the event and may range from general to specific.

RIIEP Enforcement Policy

    The FAA opens an enforcement investigation when it receives a 
report of a pilot deviation or a vehicle or pedestrian deviation, which 
are categories of runway incursion or surface incidents that involve 
possible regulatory violations by a pilot or maintenance technician. If 
the investigation reveals a violation of the FAA's regulations, the 
pilot or maintenance technician is subject to a legal enforcement 
action (certificate action or civil penalty). However, as an incentive 
to encourage participation in the RIIEP, for airmen who cooperate and 
provide detailed information regarding the deviation, the FAA plans to 
forgo punitive legal enforcement actions (certificate suspension for a 
fixed period or civil penalty), and instead use 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 notice 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, that is, it was not the 
result of purposeful conduct;
    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 to help prevent another runway incursion or surface 
incident, such as remedial training. Such corrective action is 
voluntary; however, refusal by the pilot or maintenance technician to 
undertake it could result in punitive legal enforcement action being 
taken for the apparent violation.
    If an apparent violation resulting from the runway incursion or 
surface incident, or the circumstances surrounding the runway incursion 
or surface incident, demonstrate or raise a question of lack of 
qualification of an airman, the FAA will proceed with appropriate 
action. This 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 toward complying with the regulations, FAA may consider 
documentation showing the completion of an FAA-sponsored, industry-
conducted safety seminar on the subject implicated in the apparent 
violation.
    The FAA is sponsoring an industry-conducted Pilot and Mechanic 
Runway Safety Education program available on the Internet at http://www.aopa.org/asf/runway_Safety/. We will consider successful 
completion and documentation of this Runway Safety education program 
favorably in determining the course of action we will take when a pilot 
or maintenance technician is involved in a runway incursion or surface 
incident. The Runway Safety Education program will also qualify for 
credit under the Pilot Proficiency Awards (WINGS) Program or the 
Aviation Maintenance Technician Awards (AMT) Program.

Using Information Provided By Pilots or Maintenance Technicians Under 
the RIIEP

    The FAA recognizes pilots and maintenance technicians will have 
concerns that the information they provide under this program will be 
used by the FAA to take legal enforcement actions against them. The 
FAA, however, does not expect to use information provided by pilots or 
maintenance technicians during interviews conducted by FAA inspectors 
under the RIIEP in any FAA punitive legal enforcement action.

RIIEP Application Under an Approved Aviation Safety Action Programs 
(ASAP)

    Reports of runway incursion and surface incident events that are 
accepted under an approved ASAP will be handled in accordance with 
Advisory Circular (AC) 120-66, Aviation Safety Action Programs (ASAP), 
as amended, and the Memorandum of Understanding between the FAA and the 
certificate holder. As with ASAP, the objective of the RIIEP is to 
encourage the voluntary reporting of safety information that may be 
critical to identifying potential precursors to accidents. 
Incorporation of the RIIEP under an approved ASAP is therefore strongly 
encouraged, to include:
    1. Certificate holder's participation in the RIIEP;
    2. Use of the RIIEP questionnaire during the ASAP report 
investigation; and
    3. Compliance with FAA Order 8400.10, Volume 1, Chapter 5, Section 
1, paragraph 293E concerning enforcement investigation coordination of 
possible violations reported under an approved ASAP.

RIIEP Renewal

    This renewal of the RIIEP will be in effect for 24 months beginning 
the effective date listed above.

    Issued in Washington, DC, on July 13, 2004.
Marion C. Blakey,
Administrator.
[FR Doc. 04-16518 Filed 7-16-04; 11:22 am]
BILLING CODE 4910-13-P