[Federal Register Volume 80, Number 64 (Friday, April 3, 2015)]
[Proposed Rules]
[Pages 18168-18171]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2015-07743]
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DEPARTMENT OF TRANSPORTATION
Federal Aviation Administration
14 CFR Part 193
[Docket No.: FAA-2014-0142]
RIN 2120-AA66
Federal Contract Tower Safety Action Program (SAFER-FCT and Air
Traffic Safety Action Program for Engineers & Architects, Staff Support
Specialists, Aviation Technical System Specialists (Series 2186) and
Flight Procedures Team (ATSAP-X)
AGENCY: Federal Aviation Administration (FAA), DOT.
ACTION: Notice of Proposed Order Designating Safety Information as
Protected from Disclosure
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SUMMARY: The FAA is proposing that safety information provided to it by
Federal Contract Tower employees (hereinafter ``Vendor'') under the
SAFER-FCT Program or by Air Traffic Organization Engineers &
Architects, Staff Support Specialists, Aviation Technical System
Specialists (Series 2186) and Flight Procedures Team (hereinafter
``Region X'') under the ATSAP-X program be designated by an FAA Order
as protected from public disclosure in accordance with the provisions
of 14 CFR part 193. The designation is intended to encourage persons to
voluntarily provide information to the FAA under the SAFER-FCT or the
ATSAP-X safety reporting programs, so the FAA can learn about and
address aviation safety hazards of which it was unaware or more fully
understand and implement corrective measures for events known by it
through other means. Under 49 U.S.C. 40123, the FAA is required to
protect information from disclosure to the public, including disclosure
under the Freedom of Information Act (5 U.S.C. 552) or other laws,
following the issuance of such Order.
DATES: Comments must be received on or before May 4, 2015.
ADDRESSES: You may send comments identified by docket number FAA-2014-
0142 using any of the following methods: via mail to U.S. Department of
Transportation, Docket Operations, M-30, 1200 New Jersey Avenue SE.,
West Building Ground Floor, Room W12-140, Washington DC 20590-0339;
telephone (202) 366-9826. You must identify the FAA Docket No. FAA-
2014-0142 at the beginning of your comments. You may also submit
comments through the Internet at http://www.regulations.gov.
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FOR FURTHER INFORMATION CONTACT: Coleen Hawrysko--Group Manager, ATO
Safety Programs, Federal Aviation Administration, 490 L'Enfant Plaza,
Suite 7200, Washington, DC 20024 or via email at
[email protected] or phone at 202-267-8807.
SUPPLEMENTARY INFORMATION:
Comments Invited
Interested parties are invited to participate in this proposed
designation by submitting such written data, views, or arguments, as
they may desire. Comments that provide the factual basis supporting the
views and suggestions presented are particularly helpful in developing
reasoned regulatory decisions on the proposal. Comments are
specifically invited on the overall regulatory, aeronautical, economic,
environmental, and energy-related aspects of the proposal.
Communications should clearly identify docket number FAA-2014-0142
and be submitted in triplicate to the Docket Management System (see
ADDRESSES section for address and phone number). Commenters wishing the
FAA to acknowledge receipt of their comments on this action must submit
with those comments a self-addressed stamped postcard on which the
following statement is made: ``Comments to FAA-2014-0142. The postcard
will be date/time stamped and returned to the commenter.
All communications received on or before the closing date for
comments will be considered before taking action on the proposed rule.
The proposal contained in this action may be changed in light of
comments received. All comments submitted will be available for
examination in the public docket both before and after the closing date
for comments. A report summarizing each substantive public contact with
FAA personnel concerned with this proposed designation will be filed in
the docket.
Availability of This Proposed Designation
An electronic copy of this document may be downloaded through the
Internet at http://www.regulations.gov. Recently published rulemaking
documents can also be accessed through the FAA's Web page at http://www.gov/airports_airtraffic/air_traffic/publications.
You may review the public docket containing the proposal, any
comments received, and any final disposition in person in the Dockets
Office (see the ADDRESSES section for the address and phone number)
between 9:00 a.m. and 5:00 p.m., Monday through Friday, except federal
holidays. An informal docket may also be examined during normal
business hours at the Northwest Mountain Regional Office of the Federal
Aviation Administration, Air Traffic Organization, Western Service
Center, Operations Support Group, 1601 Lind Avenue SW., Renton, WA
98057.
You can get an electronic copy using the Internet by:
1. Searching the Department of Transportation's electronic Docket
Management System (DMS) Web page); http://www.regulations.gov;
2. Visiting the FAA's Regulations and Polices Web page at http://www.faa.gov/regulations_policies; or
3. Accessing the Government Publishing Office's Web page at http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=FR.
Privacy Act: Using the search function of our docket Web site,
anyone can find and read the comments received into any of our dockets,
including the name of the individual sending the comment (or signing
the comment on behalf of an association, business, labor union, etc.).
You may review DOT's complete Privacy Act Statement in the Federal
Register published on April 11, 2000 (65 FR 19477) or you may visit
http://www.regulations.gov.
Background
Under Title 49 of the United States Code (49 U.S.C.), section
40123, certain voluntarily provided safety and security information is
protected from disclosure in order to encourage persons to provide the
information. The FAA must first issue an Order that specifies why the
agency finds that the information should be protected in accordance
with 49 U.S.C., section 40123. The FAA's rules for implementing that
section are in 14 CFR part 193. If the Administrator issues an Order
designating information as protected under 49 U.S.C., section 40123,
that information will not be disclosed under the Freedom of Information
Act (Title 5 of the United States Code (5 U.S.C.), section 552) or
other laws, except as provided in 49 U.S.C. 40123, 14 CFR part 193, and
the Order designating the information as protected. This Order is
issued under part 193, section 193.11, which sets out the notice
procedure for designating information as protected.
2. Applicability
This proposed designation is applicable to any FAA office that
receives information covered under this designation from the SAFER-FCT
Program or the ATSAP-X Program, both of which will be incorporated in
FAA Order 7200.20, Voluntary Safety Reporting Programs. The proposed
designation would also apply to any other government agency that
receives such information from the FAA. For any other government agency
to receive SAFER-FCT or ATSAP-X information covered under the proposed
designation from the FAA, each such agency must first stipulate, in
writing, that it will abide by the provisions of part 193 and the Order
designating the SAFER-FCT and ATSAP-X information as protected from
public disclosure under 14 CFR part 193.
3. Summary
a. Qualified Participants. Region X employees who are covered under
the Consolidated Collective Bargaining agreement (CBA) between NATCA
and the FAA effective May 22, 2013, or its successor, and other
employees identified in FAA Order 7200.22 which will be incorporated in
FAA Order 7200.20, are eligible to complete a ATSAP-X report for events
that occur while acting in that capacity. Vendor employees Union or
Non-Union who are covered under the FAA and the Federal Contract Tower
September 2011 contract, or its successor, and other employees
identified in FAA Order 7200.20 are eligible to complete a SAFER-FCT
report for events that occur while acting in that capacity.
b. Voluntarily-Provided Information Protected From Disclosure Under the
Proposed Designation
Except for SAFER-FCT or ATSAP-X reports that involve possible
criminal conduct, substance abuse, controlled substances, alcohol, or
intentional falsification, the following information would be protected
from disclosure:
(1) the content of any report concerning an aviation safety or
security matter that is submitted by a qualified participant under the
SAFER-FCT or ATSAP-X that is accepted into either program, including
the SAFER-FCT or ATSAP-X report, and the name of the submitter of the
report. Notwithstanding the foregoing, mandatory information about
occurrences that are required to be reported under FAA Orders or ATO
guidance is not protected under this designation, unless the same
information has also been submitted or reported under other procedures
prescribed by the Agency. The exclusion is necessary to assure that the
information protected under this designation has been voluntarily
submitted. It also permits changes to ATO Orders and guidance without
requiring a change to this designation.
(2) Any evidence gathered by the Event Review Committee during its
investigation of a safety- or security-
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related event reported under SAFER-FCT or ATSAP-X, including the SAFER-
FCT or ATSAP-X investigative file.
Note: The type of information or circumstances under which the
information listed above would not be protected from disclosure is
discussed in paragraph 3.b of this Order.
c. Ways to Participate. FAA employees who are qualified
participants register for, and submit a report into, the system.
d. Duration of This Information-Sharing Program. This program
continues as long as it is provided for by Order or a collective
bargaining agreement.
4. Findings
The FAA designates information received from a SAFER-FCT or ATSAP-X
submission as protected under 49 U.S.C. 40123 and 14 CFR 193.7, based
on the following findings:
a. Summary of why the FAA finds that the information will be
provided voluntarily. The FAA finds that the information will be
provided voluntarily. This finding is supported by the significant
increase in reports of safety-related matters since the implementation
of voluntary safety reporting programs. No FAA or Vendor employee is
required to participate in the SAFER-FCT or ATSAP-X.
b. Description of the type of information that may be voluntarily
provided under the program and a summary of why the FAA finds that the
information is safety- related.
(1) The following types of reports are ordinarily submitted under
the SAFER-FCT or ATSAP-X:
i. Noncompliance reports. Noncompliance reports identify specific
instances of a failure to follow FAA directives.
ii. Aviation safety concern reports. Aviation safety concerns that
do not involve specific noncompliance with FAA directives. These may
include, but are not limited to potential safety events or perceived
problems with policies, procedures, and equipment.
(2) Region X employees support the design, delivery and efficiency
of flight services throughout the National Airspace System (NAS)
facilities, systems and equipment. Reports submitted by these employees
under ATSAP-X ordinarily involve matters or observations occurring
during the performance of their job responsibilities, and therefore the
information submitted is inherently safety related. Vendor employees
provide and support the provision of air traffic services at Federal
Contract Tower facilities throughout the NAS. Reports submitted by
these employees under SAFER-FCT ordinarily involve occurrences or
problems identified or experienced during the performance of their job
responsibilities which directly affect safety.
c. Summary of why the FAA finds that the disclosure of the
information would inhibit persons from voluntarily providing that type
of information.
The FAA finds that disclosure of the information would inhibit the
voluntary provision of that type of information. Employees are
unwilling to voluntarily provide detailed information about safety
events and concerns, including those that might involve their own
failures to follow Agency directives and policies, if such information
could be released publicly. If information is publicly disclosed, there
is a strong likelihood that the information could be misused for
purposes other than to address and resolve the reported safety concern.
Unless the FAA can provide assurance that safety-related reports will
be withheld from public disclosure, employees will not participate in
the programs.
d. Summary of why the receipt of that type of information aids in
fulfilling the FAA's safety responsibilities.
The FAA finds that receipt of information in SAFER-FCT or ATSAP-X
reports aids in fulfilling the FAA's safety responsibilities. Because
of its capacity to provide early identification of needed safety
improvements, this information offers significant potential for
addressing hazards that could lead to incidents or accidents. In
particular, one of the benefits of both the SAFER-FCT and ATSAP-X is
that they encourage the submission of narrative descriptions of
occurrences that provide more detailed information than is otherwise
available. The SAFER-FCT and ATSAP-X have produced safety-related data
that is not available from any other source. Receipt of this previously
unavailable information has provided the FAA with an improved basis for
modifying procedures, policies, and regulations to improve safety and
efficiency.
e. Consistencies and inconsistencies with FAA safety
responsibilities.
The FAA finds that withholding SAFER-FCT and ATSAP-X information
from public release is consistent with the FAA's safety
responsibilities, because it encourages individuals to provide
important safety information that it otherwise might not receive.
(1) Withholding SAFER-FCT and ATSAP-X information from disclosure,
as described in this designation, is consistent with the FAA's safety
responsibilities. Without the Agency's ability to assure that the
detailed information reported under these programs, which often
explains why the event occurred or describes underlying problems, will
not be disclosed, the information will not be provided to the FAA.
Employees are concerned that public release of the information could
result in potential misuses of the information that could affect them
negatively. If the FAA does not receive the information, the FAA and
the public will be deprived of the opportunity to make the safety
improvements that receipt of the information otherwise enables.
Corrective action under SAFER-FCT and ATSAP-X can be accomplished
without disclosure of protected information. For example, for
acceptance under both programs, the reporting employee must comply with
Event Review Committee recommendations for corrective action, such as
additional training for an employee. If the employee fails to complete
corrective action in a manner satisfactory to all members of the Event
Review Committee, the event may be referred to an appropriate office
within the FAA for any additional investigation, reexamination, and/or
action, as appropriate.
(2) The FAA may release SAFER-FCT or ATSAP-X information submitted
to the agency, as specified in Part 193 and this Order. For example, to
explain the need for changes in FAA policies, procedures, and
regulations, the FAA may disclose de-identified, summarized information
that has been derived from SAFER-FCT or ATSAP-X reports or extracted
from the protected information listed under paragraph 5b. The FAA may
disclose de-identified, summarized SAFER-FCT or ATSAP-X information
that identifies a systemic problem in the NAS, when a party needs to be
advised of the problem in order to take corrective action. Under the
current version of FAA Order N JO 7200.20, reported events and possible
violations may be subject to investigation, reexamination, and/or
action. Although the report itself and the content of the report are
not used as evidence, the FAA may use the knowledge of the event or
possible violation to generate an investigation, and, in that regard,
the information is not protected from disclosure. To withhold
information from such limited release would be inconsistent with the
FAA's safety responsibilities. In addition, reports that appear to
involve possible criminal activity, substance abuse, controlled
substances, alcohol, or
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intentional falsification will be referred to an appropriate FAA office
for further handling. The FAA may use such reports for enforcement
purposes, and will refer such reports to law enforcement agencies, if
appropriate. To withhold information in these circumstances would be
inconsistent with the agency's safety responsibilities because it could
prevent, or at least diminish the FAA's ability to effectively address
egregious misconduct.
f. Summary of how the FAA will distinguish information protected
under part 193 from information the FAA receives from other sources.
All employee SAFER-FCT and ATSAP-X reports are clearly labeled as
such. Each employee must submit their own report.
5. Designation
The FAA designates the information described in paragraph 5b to be
protected from disclosure in accordance with 49 U.S.C., section 40123
and 14 CFR part 193.
Issued in Washington, DC on March 27, 2015.
Michael P. Huerta,
Administrator, Federal Aviation Administration.
[FR Doc. 2015-07743 Filed 4-2-15; 8:45 am]
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