20120430_ASAP_Training_Instructor Prep_for_Module_F by rEsZzJ8

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									                                          Federal Aviation
                                          Administration

      Aviation Safety
      Action Programs
      Training Module F:
      Participating in the
      ERC Meeting




       Preparation Information for
Module F: Participating in the ERC Meeting

       Version Date: 30 April 2012

                             SUBSECTIONS
                             •   Course Administration
                             •   Material Preparation
                             •   Teaching Aids
                             •   Lesson Plan/Crosswalk
                             •   Classroom Preparation
                             •   Key Terms
                             •   Instructor Guide:
                                 Organization/Formatting
                             •   Icons for Special Instructions



                                                                  1
    Preparation Information: Purpose and Overview

    This Preparation Information document outlines all of the information an Instructor needs
    to know prior to administering the ASAP training course for "Module F: Participating in the
    ERC Meeting." It also outlines all of the tasks an Instructor needs to complete either prior
    to or during the training administration. As the Instructor of this course, you should print
    this document and have it available during the administration of the training course (an
    electronic version of this Preparation Information document can be found in the following
    file: "2012_0430_ASAP Training Preparation Information for Module F.ppt").


    An overview and description of the content presented in this Preparation Information
    document are below (with page numbers denoting where additional information is
    provided in this document).


    • Instructions regarding the purpose and printing of the accompanying Instructor Guide
      for the training course for "Module F: Participating in the ERC Meeting" (p.3)

    • Information about prerequisites for students’ participation in the training course (p. 4)

    • Instructions for administering the training course using the Instructor Guide (p. 5)

    • A description of the materials to be prepared to effectively administer the training
      course, including the Instructor Guide, the accompanying Training Slides, and the
      Student ERC Training Binder (p. 6)

    • A list of the teaching aids to (a) have available during administration of the training
      course and (b) to be included in the Student ERC Training Binder (p. 7-8)

    • The lesson plans for the training course, including a crosswalk between the ASAP
      Course Design Guide and the objectives, topics, and activities covered in the training
      course (p. 9-13)

    • A description of the manner in which the classroom used to administer the training
      course should be prepared to maximize student learning (p. 14-15)

    • A list of key terms used throughout the training course materials, including the
      Instructor Guide and the Training Slides (p. 16-20)

    • A description of the organization and formatting used in the Instructor Guide (p. 21)

    • A list of the icons used in the Instructor Guide to indicate special instructions (p. 22)

Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   2
    Instructor Guide: Purpose and Printing

    Purpose
    The purpose of the "Module F: Participating in the ERC Meeting" training course is to
    provide students with the knowledge and skills required to effectively participate in the
    ERC meeting. The Instructor Guide contains detailed information about the lectures to be
    given and activities to be completed as part of the Module F training course. As the
    Instructor of this course, you should become quite familiar with the lectures and activities
    contained in the Instructor Guide to ensure successful delivery of the training course.

    Printing
    As the Instructor of this course, you should print and use the Instructor Guide in hard
    copy to administer the training course to students. An electronic version can be found in
    the following file: "2012_0430_ASAP Training_Instructor Guide for Module F.ppt."

    You should also note the following information about the Instructor Guide:

    • The Instructor Guide was developed using Microsoft Office's PowerPoint ® (2007) and
      has been saved as a "PowerPoint 97-2003 Presentation" version. Formatting within
      the Instructor Guide may be altered when other versions of the software are used, in
      which case, an Instructor may use a PDF version instead

    • The Instructor Guide is intended to be printed as a double-sided document so that the
      training slide and the corresponding training content for the Instructor appear on
      opposing pages (i.e., training slide appears on the back side of the preceding page and
      the training content for the Instructor appears on the front side of the next page)

    • The contents of the Instructor Guide do not specify or endorse any particular tools or
      data management systems currently available to the industry through the FAA (e.g.,
      WBAT) or other suppliers

    Although you are strongly encouraged to print these training materials, there are many
    resources that are referenced via hyperlinks to allow easy access to the resources during
    training, as needed. As such, it may be helpful to have an electronic version of the
    Instructor Guide available during administration. To activate the hyperlinks, you may do
    either of the following:

    • Right click on the hyperlink and select "Open Hyperlink"

    • Place the PowerPoint into "Slide Show Mode," hover over the hyperlink, and click


Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   3
    Student Participation Prerequisites

    To the extent possible, the training course for "Module F: Participating in the ERC
    Meeting" should be administered to intact ERCs and their alternates. Also, it is important
    to note that an individual student’s participation in the Module F training course is
    contingent upon that student’s completion of the training course for "Module A: Building
    ASAP Foundations" because Module A provides important foundational material that is
    not covered in Module F. As the instructor, you should:

    • Verify that each invited student has completed the Module A training before they are
      scheduled to participate in the Module F training

    • Inform each invited student that they may find it helpful to review the Module A
      materials before attending the Module F training

    Note: Module F assumes that students are current or future ASAP Managers or ERC
    members of an ASAP that is currently established (e.g., the MOU has been signed, the
    ERC is established, reports are being submitted to the ASAP, the ERC is reviewing and
    determining the final disposition of the reports).




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   4
    Administration Instructions

    As the Instructor of the training course for "Module F: Participating in the ERC Meeting,"
    you will lead the administration of the course via classroom training (i.e., training
    conducted in one location with a specified group of individuals). Please use the Instructor
    Guide to provide lectures on the topics and administer the activities outlined for each
    objective.

    During administration of the course, you should project the high-level training slides that
    accompany the Instructor Guide (an electronic version of the Training Slides to be
    projected can be found in 2012_0430_ASAP Training_Instructor Slides for Module F.ppt).
    Note that there is one Instructor Guide page for every training slide to be projected.

    Regarding the administration of activities, the training course requires the Instructor to
    facilitate several activities designed to give students the opportunity to practice the skill
    taught during a particular objective. It is important that you, as the Instructor, review each
    activity before administering the training course. For many of the activities, you will be
    instructed to ask volunteers to read a safety-related report and to demonstrate a particular
    skill using the content of that report. In many cases, you will want to tailor the activity
    based upon the employee group(s) represented by the students participating in the
    training (e.g., dispatch, flight attendant, maintenance, pilot). To facilitate this process, for
    each activity, sample ASAP reports related to each employee group type have been
    included in the Appendix of the Instructor Guide. For each activity, you should identify the
    applicable sample ASAP reports prior to administering the course, and direct students to
    the selected reports in their ERC Training Binder at the appropriate time during the
    administration of each activity in the training course.




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012     5
    Material Preparation

    Below, information is provided about preparing the training materials. The Instructor
    should prepare the training materials prior to the classroom training session to ensure
    organized and effective instruction. Preparing the training materials well in advance of the
    classroom instruction will ensure they are ready. The training materials will support the
    students' learning during classroom instruction, and will serve as reference materials for
    the students upon their return to their ASAP duties. To ensure that these goals are met,
    as the Instructor, you must complete the following tasks prior to the training session.

    •In-classroom Instructor materials should be prepared in advance and organized so that
    you can access them quickly. They include:
        – A printed copy of this Preparation Information document
        – A printed copy and electronic version of the Module F Instructor Guide, which can
           be found in "2012_0430_ASAP Training_Instructor Guide for Module F.ppt"
        – An electronic version of the Training Slides to be projected during the training
           course, which can be found in "2012_0430_ASAP Training_Instructor Slides for
           Module F.ppt"
        – Applicable ASAP guidance materials and supporting resources (see pages 7-8)

    •A Student ERC Training Binder should be assembled for each student attending the
    course. Materials included should supplement the classroom instruction and serve as
    take-home reference materials. The following hard copy materials are recommended for
    inclusion in each Student ERC Training Binder:
        – Student copies of the Training Slide (see file name listed above)
            • To create student copies of the Training Slides, click "Print" and under "Print
                what" select "Notes Pages"
                 – The "Notes Pages" option will print:
                     » One slide on each page
                     » References to FAA guidance and other supporting materials cited
                     » Blank lines to facilitate note-taking
                 – Print at least one copy of the Training Slides for each student attending;
                    consider printing a few extra copies in case students are added to the
                    course at the last minute
        – Student copies of the Sample ASAP Reports for the activities (see the Appendix of
           the Instructor Guide)
        – Student copies of applicable ASAP guidance materials and supporting resources
           (see pages 7-8)
        – Student copies of the Key Terminology (see pages 16-20)
        – Extra blank pages for students to use as needed


Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   6
    Teaching Aids

    As the Instructor, you should have the following ASAP guidance materials and supporting
    resources available in electronic and hard copy to use as teaching aids during your
    administration of the training. These materials should also be included in the Student
    ERC Training Binder, as indicated on the previous page.

    • FAA Advisory Circular 120–66B (15 November 2002)
      – http://rgl.faa.gov/Regulatory_and_Guidance_Library/rgAdvisoryCircular.nsf/0/61C3
         19D7A04907A886256C7900648358?OpenDocument

    • FAA ASAP Report Process Chart (30 June 2010)
      – http://www.faa.gov/about/initiatives/asap/policy/media/asap_policy_flow_ac_120-
         66b.jpg

    • Best Practices for Event Review Committees (American Institutes for Research (AIR),
      Dec 2009)
      – http://www.faa.gov/about/initiatives/asap/reports_presentations/media/Best_Practic
         es_for_ERCs.pdf

    • FAA Order 8900.1 Flight Standards Information Management Systems (FSIMS),
      Volume 11, Chapter 2, Section 1, ASAP (06 June 2011, accessed on 09 February
      2012)
       – http://fsims.faa.gov/PICResults.aspx?mode=EBookContents
          • NOTE: FAA Order 8900.1 is a document published by the Flight Standards
             Information Management System (FSIMS) in electronic form only; no printed
             copies are distributed. Any printed copy or PDF version created by individuals
             will bear a disclaimer in the footer indicating that the FAA cannot guarantee the
             printed document’s currency or validity because the Flight Standards policy
             divisions can change its content on a daily basis.

    • FAA Order 8900.1 Flight Standards Information Management Systems (FSIMS),
      Volume 14, Chapter 1, Section 8, Enforcement Decision Process (14 January 2010,
      accessed on 09 March 2012)
       – http://fsims.faa.gov/PICResults.aspx?mode=EBookContents
          • NOTE: FAA Order 8900.1 is a document published by the Flight Standards
             Information Management System (FSIMS) in electronic form only; no printed
             copies are distributed. Any printed copy or PDF version created by individuals
             will bear a disclaimer in the footer indicating that the FAA cannot guarantee the
             printed document’s currency or validity because the Flight Standards policy
             divisions can change its content on a daily basis.

Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   7
    Teaching Aids (Cont’d)

    • 14 CFR Part 193 (25 June 2001)
       – http://ecfr.gpoaccess.gov/cgi/t/text/text-
          idx?c=ecfr&sid=f8d1826f72cbb0f0abbbee76edc854d9&rgn=div5&view=text&node=
          14:3.0.1.5.37&idno=14

    • FAA Order 8000.82 (14 April 2003)
      – http://www.faa.gov/documentLibrary/media/Order/8000.81.pdf

    Note that the version of each piece of guidance and supporting resources listed above
    was current at the time of this training course’s development. All paragraph numbers
    cited throughout the training materials align with these versions. It is your responsibility,
    as the Instructor, to be aware of whether new versions of these resources are available.

    Recall that to activate the hyperlinks listed above, either right click on the hyperlink and
    select "Open Hyperlink," or place the PowerPoint presentation into "Slide Show Mode,"
    hover over the hyperlink, and click.




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   8
    Lesson Plan

    Information is provided below regarding the lesson plans, which lay out the content of the
    course as specified in the ASAP Course Design Guide. Note that, in order to make the
    organization of the training material more easily interpretable for the students who may
    not be familiar with Instructional Systems Design (ISD) terminology, ISD jargon has been
    replaced with more general terminology. Specifically,

    • Terminal Proficiency Objectives (TPOs) are referred to as objectives, as they are the
      high-level objectives that represent the intended job performance outcomes for a
      student at the end of the training course

    • Enabling Objectives (EOs) are referred to as either lesson topics or activities, as they
      represent the lower-level objectives that will facilitate the achievement of the TPO

    The following pages contain a lesson plan crosswalk between the TPOs and EOs found in
    the ASAP Course Design Guide and the objectives, topics, and activities in "Module F:
    Participating in the ERC Meeting". The majority of the information contained in this
    training module is based on the TPOs and EOs listed in Module F in the ASAP Course
    Design Guide; however, in a few instances, information from earlier Modules (i.e.,
    "Module A: Building ASAP Foundations" and "Module C: Collecting ASAP Reports") was
    incorporated into the Module F training to provide important context for the students. The
    inclusion of this earlier information was necessary due to the difference in mode of
    delivery between Modules A and F (i.e., self-directed, computer-based vs. classroom),
    and the fact that Modules B through E had not been developed at the time Module F was
    developed.

    The crosswalk is necessary because the order of the material contained in this training
    module deviates slightly from the order presented in the Course Design Guide, and
    because of the additional TPOs and EOs from other ASAP Course Design Guide modules
    that were incorporated into the Module F materials. The lesson plan crosswalk begins on
    the next page.




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   9
    Lesson Plan Crosswalk

        ASAP Training Course Instructor Guide                   ASAP Course Design Guide
       Module F: Participating in the ERC Meeting         Module F: Participating in the ERC Meeting

      Objective 1: Describe the ERC and the              A-TPO4: Procure the best qualified individuals
      purpose and processes of the ERC meeting           to serve as ASAP staff

                                                         F-TPO2: Ensure consistency in the ASAP
                                                         report review process
      T1-1: Purpose, roles, and responsibilities of the A-EO22: Describe the purpose of the ERC and
      ERC                                               the parties represented
      T1-2: Overview and purpose of the ERC              A-EO22: Describe the purpose of the ERC and
      meeting                                            the parties represented

      T1-3: Consistency in the ASAP report review        F-EO5: Describe strategies for ensuring
      process                                            consistency in the ASAP report review process

                                                         F-EO7: Describe potential challenges for
                                                         ASAP report collection
      A1-4: Practice applying a consistent strategy      F-EO6: Demonstrate skill in applying a
      for reviewing ASAP reports                         consistent strategy for reviewing ASAP reports
      Objective 2: Apply teamwork strategies to the      F-TPO1: Apply ASAP teamwork strategies to
      ASAP report review process                         the ASAP report review process
      T2-1: Team-building strategies                     F-EO1: Describe strategies for working
                                                         together as a team
      A2-2: Practice team-building behaviors             F-EO2: Demonstrate skill in engaging in team-
                                                         building behaviors
      T2-3 Consensus-building strategies                 F-EO1: Describe strategies for working
                                                         together as a team
      A2-4: Practice consensus-building behaviors        F-EO3: Demonstrate skill at engaging in
                                                         effective consensus-building among ERC
                                                         members
      T2-5: Conflict management strategies               F-EO1: Describe strategies for working
                                                         together as a team
      A2-6: Practice conflict management behaviors       F-EO4: Demonstrate skill at engaging in
                                                         conflict management behaviors




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012        10
    Lesson Plan Crosswalk (Cont’d)

        ASAP Training Course Instructor Guide                   ASAP Course Design Guide
       Module F: Participating in the ERC Meeting         Module F: Participating in the ERC Meeting

      Objective 3: Conduct a thorough ASAP report        F-TPO3: Conduct ASAP report processing
      investigation                                      investigation
      T3-1: Initial review of the ASAP report            C-EO5: Describe the process for evaluating
                                                         the impact of ASAP reports upon receipt
      T3-2: Event type and causal contributor            F-EO19: Describe the process for assigning,
      taxonomies                                         evaluating, or reclassifying ASAP report event
                                                         type, as appropriate

                                                         F-EO21: Describe the process for assigning,
                                                         evaluating, or reclassifying causal
                                                         contributor(s), as appropriate
      A3-3: Practice applying an event type              F-EO20: Demonstrate skill in applying an event
      taxonomy to an ASAP report                         type taxonomy to an ASAP report
      A3-4: Practice applying a causal contributor       F-EO22: Demonstrate skill in applying a causal
      taxonomy to an ASAP report                         contributor taxonomy to an ASAP report
      T3-5: Methods for collecting and evaluating        F-EO8: Describe effective strategies for
      information beyond that included in the ASAP       gathering additional information about ASAP
      report                                             reports
      A3-6: Practice conducting investigative tasks      F-EO9: Demonstrate skill in conducting
      during an ERC meeting                              investigative tasks during an ERC meeting

                                                         F-EO10: Demonstrate skill in assessing
                                                         whether sufficient information has been
                                                         gathered about an ASAP-reported event
      Objective 4: Determine ASAP report                 F-TPO4: Determine ASAP report acceptance
      acceptance
      T4-1: ASAP report acceptance criteria              F-EO11: Describe the criteria for the
                                                         acceptance of reports into ASAP
      T4-2: ASAP report exclusion criteria               F-EO11: Describe the criteria for the
                                                         acceptance of reports into ASAP
      A4-3: Practice applying acceptance and             F-EO12: Demonstrate skill in applying
      exclusion criteria to an ASAP report               acceptance and exclusion criteria to an ASAP
                                                         report




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012        11
    Lesson Plan Crosswalk (Cont’d)

        ASAP Training Course Instructor Guide                   ASAP Course Design Guide
       Module F: Participating in the ERC Meeting         Module F: Participating in the ERC Meeting

      Objective 5: Reach consensus on the key            F-TPO5: Determine the disposition of an
      decisions regarding an accepted ASAP report        accepted ASAP report
      to determine its disposition
      T5-1: Lack of qualification                        F-EO15: Describe the process for handling
                                                         ASAP reports involving a lack of qualification
      T5-2: Corrective action(s) and/or                  F-EO25: List potential corrective actions for the
      recommendation(s)                                  report submitter, certificate holder, and other
                                                         relevant parties
      T5-3: Apparent violations of 14 CFR                F-EO16: Describe the process for handling
                                                         ASAP reports that involve a violation of the
                                                         certificate holder
      T5-4: sole-source and non-sole-source ASAP         F-EO13: Describe the process for handling
      reports                                            sole-source and non-sole-source ASAP reports
      A5-5: Practice determining whether an ASAP         F-EO14: Demonstrate skill in determining
      report is sole-source or non-sole-source           whether an ASAP report is sole-source or non-
                                                         sole-source
      T5-6: Sufficient evidence of an apparent           F-EO16: Describe the process for handling
      violation of 14 CFR                                ASAP reports that involve a violation of the
                                                         certificate holder
      A5-7: Practice determining whether sufficient      F-EO17: Demonstrate skill in determining
      evidence of a violation exists for an ASAP-        whether sufficient evidence of a violation exists
      reported event                                     for an ASAP-reported event
      Objective 6: Determine and communicate the         F-TPO7: Determine the appropriate action(s)
      appropriate action(s) and/or                       or recommendation(s)
      recommendation(s)
      T6-1: Strategies for determining corrective        F-EO25: List potential corrective actions for the
      action(s) and/or recommendation(s)                 report submitter, certificate holder, and other
                                                         relevant parties
      T6-2: Strategies for communicating corrective      F-EO28: Describe considerations for effectively
      action(s) and/or recommendation(s)                 communicating corrective actions
      A6-3: Practice determining the appropriate         F-EO27: Demonstrate skill in identifying the
      corrective action(s) and/or recommendation(s)      appropriate corrective action(s) on the basis of
                                                         an ASAP report and other supporting
                                                         documentation




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012           12
    Lesson Plan Crosswalk (Cont’d)

        ASAP Training Course Instructor Guide                   ASAP Course Design Guide
       Module F: Participating in the ERC Meeting         Module F: Participating in the ERC Meeting

      Objective 7: Determine the disposition of an       F-TPO6: Determine risk level associated with
      accepted non-sole-source ASAP report with          the reported event
      sufficient evidence of an apparent violation
      T7-1: Determination of risk level using a risk     F-EO23: Describe the process for determining
      matrix                                             risk level using a risk matrix
      T7-2: Determination of appropriate                 F-EO26: Describe FAA enforcement actions
      Administrative or Informal Action                  and when they are applied

                                                         F-EO18: Describe procedures for conducting
                                                         an enforcement investigation in accordance
                                                         with FAA guidance
      Not included                                       F-EO24: Demonstrate skill in using a risk
                                                         matrix to quantify the level of risk associated
                                                         with an ASAP-reported event




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012         13
    Classroom Preparation

    Below, information is provided about the facilities to be used for the classroom
    instruction.

    Generally, the training environment should provide students with ample and equal
    opportunity to learn (e.g., students should not be distracted by the surrounding
    environment). To achieve these goals, as the Instructor, you must ensure the following
    prior to the training session:

    • The training must be administered in an indoor facility using a room with doors that can
      be closed to foot traffic

    • The training room must be accessible to all students, including those with disabilities or
      other special needs

    • The training room must be reasonably quiet; ensure that noisy activity is not scheduled
      to be conducted close to the training facility/room during the training administration

    • The training room must have the hardware and software necessary to project electronic
      Training Slides in Microsoft Office's PowerPoint ® format or documents in Adobe®
      portable document format (PDF)

    • The training room must be equipped with internet access to allow the Instructor access
      to ASAP guidance and supporting resources located on the FAA’s website

    • The training room should be arranged so that all students can see and hear the
      instructor and any presentation materials (e.g., projected slides, demonstrations)
       – For example, round tables should not be used for training as some students
           necessarily are facing away from the instructor

    • A writing surface must be provided for every student that is of appropriate size and
      height

    • Lighting must be adequate and fully functional (e.g., no flickering fluorescent lights)

    • Ventilation, temperature, and humidity are sometimes difficult to control, but all
      practical steps should be taken to provide for student comfort



Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   14
    Classroom Preparation (Cont’d)

    • A chair with a back must be provided for every student that is of appropriate size and
      height for the desk top; benches, stools, or other seats without backs are not permitted

    • Serviceable restrooms must be located nearby; the instructor should be able to provide
      accurate and specific directions to the restrooms nearest to the training room

    • You should know and inform students of the procedures for emergency exit from the
      classroom and the building

    • Be aware of the location of emergency equipment such as fire alarm, fire extinguisher,
      and automated external defibrillator

    Plan to arrive at least 45 minutes before the training session begins to allow sufficient time
    to resolve any last minute problems that might occur unexpectedly.




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   15
    Key Terms

    Terms used within the "Module F: Participating in the ERC Meeting" training course
    materials (e.g., Instructor Guide, Training Slides) are explained below.

    • 2150.3B: A short-hand notation referring to FAA Order 2150.3B Change 1,
      Compliance and Enforcement Program, which contains the FAA's philosophy for using
      various remedies, including education, corrective action, informal action, administrative
      action to address noncompliance with 14 Code of Federal Regulations (14 CFR).

    • 8900.1–ASAP: A short-hand notation referring to FAA Order 8900.1, Volume 11,
      Chapter 2, Section 1, which provides guidance specific to the Aviation Safety Action
      Program (ASAP).

    • 8900.1–EDP: A short-hand notation referring to FAA Order 8900.1, Volume 14,
      Chapter 1, Section 8, which conforms to Appendix F of FAA Order 2150.3B and
      describes the Enforcement Decision Process (EDP) to be used by FAA enforcement
      personnel within the Flight Standards Service (AFS) program office.

    • AC–120–66B: A short-hand notation referring to FAA Advisory Circular 120-66B,
      which provides guidance regarding the FAA Aviation Safety Action Program (ASAP) to
      certificate holders and relevant stakeholders.

    • ASAP Manager: The person who coordinates ASAP activities; collects, distributes,
      and investigates reports; facilitates ERC meetings; and is the primary liaison between
      the ERC and other ASAP stakeholders. The ASAP manager may either be the same
      individual assigned as the certificate holder's representative to the ERC, or another
      individual assigned by the certificate holder who will not serve as a voting member of
      the ERC. Some ASAPs may have an ASAP office in which these responsibilities are
      performed by multiple staff.

    • ASAP Report Process Chart: An FAA-developed graphical depiction of the steps for
      reviewing and analyzing an ASAP report.

    • ASAP Reports: Employee-submitted incident reports of safety-related events and/or
      accidents submitted through the certificate holder's ASAP submission tool.




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   16
    Key Terms (Cont’d)

    • Aviation Safety Information Analysis and Sharing (ASIAS): An FAA-sponsored
      system that promotes the open exchange of safety information across organizations in
      order to improve aviation safety. ASIAS allows for the integration, analysis, and
      sharing of aviation safety data by enabling users to perform queries across multiple
      databases containing safety data. Certificate holders can choose to participate in
      ASIAS by submitting de-identified ASAP report data.

    • Aviation Safety Reporting System (ASRS): A program sponsored jointly by the FAA
      and NASA that collects, analyzes, and responds to voluntarily submitted aviation safety
      reports in order to enhance aviation safety. The program identifies safety issues and
      deficiencies and provides alerts to individuals in a position to correct them. It also
      educates stakeholders through its newsletter CALLBACK, journal ASRS Directline, and
      research studies. Certificate holders and/or individuals can choose to participate in
      ASRS by submitting ASAP report data.

    • Best Practices for ERCs: A short-hand notation referring to an FAA-sponsored
      research report titled, Best Practices for Event Review Committees, which provides 36
      best practices for ERCs and strategies for achieving them.

    • Big 5: A short-hand notation referring to the five violations that automatically exclude a
      submitted ASAP report from acceptance into the program. These violations are
      criminal activity, substance abuse, controlled substances, alcohol, and intentional
      falsification.

    • Certificate Holder: Refers to a person authorized to operate under 14 CFR Part 121,
      or who holds a certificate issued under 14 CFR Part 91, 91k, 135, 141, or 145. In the
      case of ASAP, the term refers to the entity (e.g., air carrier, repair station) who initiates
      the Memorandum of Understanding (MOU) and establishes participation in an ASAP.

    • Certificate Holding District Office (CHDO): The FAA’s Flight Standards District
      Office (FSDO) – or alternately the Certificate Management Office (CMO) – that has
      overall responsibility for oversight of a certificate holder. This office is influential in the
      start-up of an ASAP. For example, it is responsible for conducting a review of the
      certificate holder’s required resources, including the availability of personnel to serve
      on the ERC and provide internal ASAP training, among other things.

    • Consensus: Under ASAP, consensus does not mean all members of the ERC believe
      a particular decision or recommendation is the most desirable, but that the result falls
      within each member’s range of acceptable solutions for that event and is in the best
      interest of safety.

Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012      17
    Key Terms (Cont’d)

    • Continuing Program: After a Demonstration program is reviewed and deemed
      successful by all parties to the Memorandum of Understanding (MOU), the FAA may
      accept the ASAP as a Continuing program.

    • Corrective Action(s) and/or Recommendation(s): Refer to safety-related action(s)
      determined necessary by the ERC, based upon review and analysis of an ASAP-
      submitted report, to minimize or eliminate recurrence of the same type of safety event.
      Corrective action is a binding action directed at an individual that must be completed to
      the satisfaction of the ERC; otherwise the report is excluded from ASAP and
      appropriately referred for further investigation. A recommendation is an action directed
      at the certificate holder or another entity (e.g., flight operations, engineering and
      maintenance, a manufacturer, the FAA, a specific airport) that is encouraged and
      tracked for completion, but cannot be required by the ERC. Failure of any individual,
      certificate holder, or entity to satisfactorily complete a corrective action and/or
      recommendation may result in termination of the program.

    • Demonstration Program: An ASAP is deemed a Demonstration program from
      inception through 18 months during which the effectiveness of the program is
      measured and safety objectives are evaluated to ensure that they are being met.

    • Disposition of an ASAP report: The final outcome of an ASAP report. Several final
      outcomes are possible: (1) an ERC response, which may include corrective action(s)
      for the report submitter or recommendation(s) for other entities, (2) an FAA Letter of No
      Action and an appropriate ERC response to the report submitter or, (3) an ERC-
      determined Informal or Administrative Action (and recommendation(s) for other entities,
      if appropriate).

    • Enforcement-Related Incentives: Refers to an assurance that lesser enforcement
      action will be used to address certain alleged violations of the regulations to encourage
      participation by the employees of a certificate holder.

    • Event Review Committee (ERC): A committee typically consisting of two or three
      members representing the certificate holder, the FAA, and the employee group if
      applicable. ERC members work together to reach consensus on decisions related to
      the final disposition (i.e., final outcome) of ASAP reports, including report acceptance
      into ASAP and corrective action(s) and/or recommendation(s). Event Review Team
      (ERT) is another common term for this committee.

    • InfoShare Meetings: FAA-sponsored meetings held to provide a forum for ASAPs to
      share safety-related information of mutual interest to the ASAP community.

Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   18
    Key Terms (Cont’d)

    • Memorandum of Understanding (MOU): A written agreement between
      representatives from the certificate holder, the FAA, and the employee group if
      applicable. It must meet criteria established in the current version of AC–120–66. The
      MOU is a foundational program document—it serves as primary guidance for the ERC.

    • Non-Sole-Source to the Certificate Holder: Evidence of the safety-related event
      known to the Certificate Holder is not a result of or discovered because of information
      contained in the ASAP report.

    • Non-Sole-Source to the FAA: Evidence of the safety-related event known to the
      FAA is not a result of or discovered because of information contained in the ASAP
      report.

    • Office of the Chief Counsel, Enforcement Division: The FAA office responsible for
      conducting the legal review of an ASAP's Memorandum of Understanding (MOU) if the
      MOU is not template compliant.

    • Party/Parties: The certificate holder, the FAA, and, if applicable, any other person or
      entity (e.g., employee group representative) that is signatory to the Memorandum of
      Understanding (MOU).

    • Risk Matrix: A risk management tool used to quantify the level of risk associated with
      a safety-related event. Risk assessment typically involves summarizing information
      regarding the severity of the event and the probability of recurrence into a single
      number or score.

    • Root Cause Analysis: A structured investigation that aims to identify the true
      cause(s) of a threat to safety and the action(s) necessary to eliminate it.

    • Safety Culture: An environment that promotes similar attitudes (what people think and
      feel), behaviors (how people and groups act), and organizational elements (programs,
      procedures, and systems) related to safety.

    • Safety Management System (SMS): A systematic approach for achieving acceptable
      levels of safety risk. It is a structured process that obligates organizations to manage
      safety with the same level of priority that core business processes are managed. SMS
      acknowledges and supports the importance of voluntary employee reporting by making
      it a requirement; however, no particular program is specified. A framework for SMS
      development by aviation service providers is described in FAA Advisory Circular 120-
      92A.
Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   19
    Key Terms (Cont’d)

    • Sole-Source to the Certificate Holder: All evidence of the safety-related event
      known by the certificate holder is contained in or discovered because of the ASAP
      report.

    • Sole-Source to the FAA: All evidence of the safety-related event known by the FAA
      is contained in or discovered because of the ASAP report.

    • Stakeholders: Refers to the individuals, groups, and organizations that stand to
      benefit directly from an ASAP, including:
       – ASAP Manager
       – ERC members and their respective organizations (certificate holder, FAA, and, if
         applicable, the third party signatory, which is typically an employee group
         representative)
       – Employees of the certificate holder (i.e., ASAP report submitters)
       – Supervisors, managers, and safety officials of the certificate holder and FAA
       – Organizational entities that receive ERC recommendations
       – Other certificate holders
       – Flying public

    • Sufficient Evidence: Refers to evidence gathered by an investigation not caused by,
      or otherwise discovered because of, the individual’s safety-related report. In order to
      be considered sufficient evidence under ASAP, the ERC must determine through
      consensus that the evidence (other than the individual’s safety-related report) would
      likely have resulted in the processing of an FAA enforcement action had the individual’s
      safety-related report not been accepted under ASAP.

    • Taxonomy: A classification system that can be used to group similar ASAP events by
      event type (e.g., altitude deviation; missing MEL) and causal contributor (e.g., poor
      equipment design; unclear policy).

    • Threat and Error Management (TEM) Model: Refers to a conceptual framework that
      focuses simultaneously on the operating environment and the humans working in that
      environment to understand performance effectiveness within the environment for event
      analysis, training, and safety management purposes.




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   20
    Instructor Guide: Organization and
                                                                                          Module F
    Formatting

    The Instructor Guide for "Module F: Participating in the ERC                    Objective X:
    Meeting" contains the script for administering the training course.             Objective number
    As a reminder, an electronic version of the Instructor Guide can                and name
    be found in "2012_0430_ASAP Training_Instructor Guide for
    Module F.ppt." It is organized by training objectives and its layout
    consists of the following:                                                      TX-# or AX-#:
                                                                                    Specific topic (T)
                                                                                    or activity (A) that
    • An "Outline for Objective X" page serves as a divider for each                help explain and
      objective and provides the following information:                             teach objective X
        – An outline of the topics and activities to be covered in the
          objective
                                                                                          TIME:
        – An introduction to the purpose of the objective
        – An estimate of the time it will take to complete the objective              X hours X minutes
        – A list of any materials required to complete the objective

                                                                                          MATERIALS:
    • A gray column is included on the right side of each odd page in
      the Instructor Guide, which contains key information about the                 • Xxxxx
      page's content. An example of this gray column can be found                    • Xxxxx
      on the right side of this page. It includes the following:
        – Objective ID number and its description (i.e., TPO)                        • Xxxxx

        – Topic/activity ID number and its description (i.e., EO)
        – Time, which is the estimated time for completion of the
          objective (only found on the "About Objective X" page)
        – Materials needed to administer the objective


    • A copy of each Training Slide to which each Instructor Guide
      page corresponds is included on each even page


    • Paragraph references to ASAP guidance materials and
      supporting resources can be found in orange, italicized text
        – References that apply to the content of the entire page are
          listed at the top of the page
        – References that apply to specific lines of text on a given
          page are cited at the end of the sentence


    • Bold text is used for emphasis (e.g., to emphasize the word
      "not")

Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012         21
    Instructor Guide: Icons to Denote Special Instructions

    Icons are included throughout the Instructor Guide —found in bold, blue, and all CAPITAL
    LETTERS—to indicate special instructions to help you administer the training. The table
    below displays the icons used in the Instructor Guide and provides an explanation of the
    intended instruction to be prompted by each.


                       Icon                                       Instruction


           SAY                             Read script aloud (i.e., lecture)



           DO                              Demonstrate a particular action (not to be read
                                            aloud)


           INSTRUCTOR NOTE                 A specific instruction about administering the
                                            course (not to be read aloud)


           DISCUSSION                      Begin an interactive discussion with students



           PLAY VIDEO                      Play a video


          SHARE PERSONAL                   Provide an example of a relevant personal
                                            experience
          EXPERIENCE


          KEY POINT                        Emphasize a particular point




Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012   22

								
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