[Federal Register Volume 71, Number 197 (Thursday, October 12, 2006)]
[Notices]
[Pages 60226-60228]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 06-8619]


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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 
[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 
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 
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]
BILLING CODE 4910-13-M