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SUBSECTIONS Course Administration Material Preparation Teaching Aids Lesson Plan/Crosswalk Classroom Preparation Key Terms Instructor Guide: Organization/Formatting.

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Presentation on theme: "SUBSECTIONS Course Administration Material Preparation Teaching Aids Lesson Plan/Crosswalk Classroom Preparation Key Terms Instructor Guide: Organization/Formatting."— Presentation transcript:

1 SUBSECTIONS Course Administration Material Preparation Teaching Aids Lesson Plan/Crosswalk Classroom Preparation Key Terms Instructor Guide: Organization/Formatting Icons for Special Instructions Preparation Information for Module F: Participating in the ERC Meeting Version Date: 30 April

2 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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 ) A list of key terms used throughout the training course materials, including the Instructor Guide and the Training Slides (p ) 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) 2

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

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

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

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

7 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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 19D7A04907A886256C ?OpenDocumenthttp://rgl.faa.gov/Regulatory_and_Guidance_Library/rgAdvisoryCircular.nsf/0/61C3 19D7A04907A886256C ?OpenDocument FAA ASAP Report Process Chart (30 June 2010) –http://www.faa.gov/about/initiatives/asap/policy/media/asap_policy_flow_ac_ b.jpghttp://www.faa.gov/about/initiatives/asap/policy/media/asap_policy_flow_ac_ b.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.pdfhttp://www.faa.gov/about/initiatives/asap/reports_presentations/media/Best_Practic es_for_ERCs.pdf FAA Order 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=EBookContentshttp://fsims.faa.gov/PICResults.aspx?mode=EBookContents NOTE: FAA Order 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 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=EBookContentshttp://fsims.faa.gov/PICResults.aspx?mode=EBookContents NOTE: FAA Order 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. 7

8 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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: &idno=14http://ecfr.gpoaccess.gov/cgi/t/text/text- idx?c=ecfr&sid=f8d1826f72cbb0f0abbbee76edc854d9&rgn=div5&view=text&node= 14: &idno=14 FAA Order (14 April 2003) –http://www.faa.gov/documentLibrary/media/Order/ pdfhttp://www.faa.gov/documentLibrary/media/Order/ 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. 8

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

10 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 Lesson Plan Crosswalk 10 ASAP Training Course Instructor Guide Module F: Participating in the ERC Meeting ASAP Course Design Guide Module F: Participating in the ERC Meeting Objective 1: Describe the ERC and the purpose and processes of the ERC meeting A-TPO4: Procure the best qualified individuals to serve as ASAP staff F-TPO2: Ensure consistency in the ASAP report review process T1-1: Purpose, roles, and responsibilities of the ERC A-EO22: Describe the purpose of the ERC and the parties represented T1-2: Overview and purpose of the ERC meeting A-EO22: Describe the purpose of the ERC and the parties represented T1-3: Consistency in the ASAP report review process F-EO5: Describe strategies for ensuring consistency in the ASAP report review process F-EO7: Describe potential challenges for ASAP report collection A1-4: Practice applying a consistent strategy for reviewing ASAP reports F-EO6: Demonstrate skill in applying a consistent strategy for reviewing ASAP reports Objective 2: Apply teamwork strategies to the ASAP report review process F-TPO1: Apply ASAP teamwork strategies to the ASAP report review process T2-1: Team-building strategiesF-EO1: Describe strategies for working together as a team A2-2: Practice team-building behaviorsF-EO2: Demonstrate skill in engaging in team- building behaviors T2-3 Consensus-building strategiesF-EO1: Describe strategies for working together as a team A2-4: Practice consensus-building behaviorsF-EO3: Demonstrate skill at engaging in effective consensus-building among ERC members T2-5: Conflict management strategiesF-EO1: Describe strategies for working together as a team A2-6: Practice conflict management behaviorsF-EO4: Demonstrate skill at engaging in conflict management behaviors

11 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 Lesson Plan Crosswalk (Cont’d) 11 ASAP Training Course Instructor Guide Module F: Participating in the ERC Meeting ASAP Course Design Guide Module F: Participating in the ERC Meeting Objective 3: Conduct a thorough ASAP report investigation F-TPO3: Conduct ASAP report processing investigation T3-1: Initial review of the ASAP reportC-EO5: Describe the process for evaluating the impact of ASAP reports upon receipt T3-2: Event type and causal contributor taxonomies F-EO19: Describe the process for assigning, 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 taxonomy to an ASAP report F-EO20: Demonstrate skill in applying an event type taxonomy to an ASAP report A3-4: Practice applying a causal contributor taxonomy to an ASAP report F-EO22: Demonstrate skill in applying a causal contributor taxonomy to an ASAP report T3-5: Methods for collecting and evaluating information beyond that included in the ASAP report F-EO8: Describe effective strategies for gathering additional information about ASAP reports A3-6: Practice conducting investigative tasks during an ERC meeting F-EO9: Demonstrate skill in conducting 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 acceptance F-TPO4: Determine ASAP report acceptance T4-1: ASAP report acceptance criteriaF-EO11: Describe the criteria for the acceptance of reports into ASAP T4-2: ASAP report exclusion criteriaF-EO11: Describe the criteria for the acceptance of reports into ASAP A4-3: Practice applying acceptance and exclusion criteria to an ASAP report F-EO12: Demonstrate skill in applying acceptance and exclusion criteria to an ASAP report

12 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 Lesson Plan Crosswalk (Cont’d) 12 ASAP Training Course Instructor Guide Module F: Participating in the ERC Meeting ASAP Course Design Guide Module F: Participating in the ERC Meeting Objective 5: Reach consensus on the key decisions regarding an accepted ASAP report to determine its disposition F-TPO5: Determine the disposition of an accepted ASAP report T5-1: Lack of qualificationF-EO15: Describe the process for handling ASAP reports involving a lack of qualification T5-2: Corrective action(s) and/or recommendation(s) F-EO25: List potential corrective actions for the report submitter, certificate holder, and other relevant parties T5-3: Apparent violations of 14 CFRF-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 reports F-EO13: Describe the process for handling sole-source and non-sole-source ASAP reports A5-5: Practice determining whether an ASAP report is sole-source or non-sole-source F-EO14: Demonstrate skill in determining whether an ASAP report is sole-source or non- sole-source T5-6: Sufficient evidence of an apparent violation of 14 CFR F-EO16: Describe the process for handling ASAP reports that involve a violation of the certificate holder A5-7: Practice determining whether sufficient evidence of a violation exists for an ASAP- reported event F-EO17: Demonstrate skill in determining whether sufficient evidence of a violation exists for an ASAP-reported event Objective 6: Determine and communicate the appropriate action(s) and/or recommendation(s) F-TPO7: Determine the appropriate action(s) or recommendation(s) T6-1: Strategies for determining corrective action(s) and/or recommendation(s) F-EO25: List potential corrective actions for the report submitter, certificate holder, and other relevant parties T6-2: Strategies for communicating corrective action(s) and/or recommendation(s) F-EO28: Describe considerations for effectively communicating corrective actions A6-3: Practice determining the appropriate corrective action(s) and/or recommendation(s) F-EO27: Demonstrate skill in identifying the appropriate corrective action(s) on the basis of an ASAP report and other supporting documentation

13 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 Lesson Plan Crosswalk (Cont’d) 13 ASAP Training Course Instructor Guide Module F: Participating in the ERC Meeting ASAP Course Design Guide Module F: Participating in the ERC Meeting Objective 7: Determine the disposition of an accepted non-sole-source ASAP report with sufficient evidence of an apparent violation F-TPO6: Determine risk level associated with the reported event T7-1: Determination of risk level using a risk matrix F-EO23: Describe the process for determining risk level using a risk matrix T7-2: Determination of appropriate Administrative or Informal Action F-EO26: Describe FAA enforcement actions and when they are applied F-EO18: Describe procedures for conducting an enforcement investigation in accordance with FAA guidance Not includedF-EO24: Demonstrate skill in using a risk matrix to quantify the level of risk associated with an ASAP-reported event

14 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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 14

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

16 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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 B: A short-hand notation referring to FAA Order B 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) –ASAP: A short-hand notation referring to FAA Order , Volume 11, Chapter 2, Section 1, which provides guidance specific to the Aviation Safety Action Program (ASAP) –EDP: A short-hand notation referring to FAA Order , Volume 14, Chapter 1, Section 8, which conforms to Appendix F of FAA Order B 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 B, 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. 16

17 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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. 17

18 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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. 18

19 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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 A. 19

20 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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. 20

21 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 Module F Instructor Guide: Organization and Formatting The Instructor Guide for "Module F: Participating in the ERC Meeting" contains the script for administering the training course. As a reminder, an electronic version of the Instructor Guide can 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: An "Outline for Objective X" page serves as a divider for each objective and provides the following information: –An outline of the topics and activities to be covered in the objective –An introduction to the purpose of the objective –An estimate of the time it will take to complete the objective –A list of any materials required to complete the objective A gray column is included on the right side of each odd page in the Instructor Guide, which contains key information about the page's content. An example of this gray column can be found on the right side of this page. It includes the following: –Objective ID number and its description (i.e., TPO) –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") Objective X: Objective number and name TX-# or AX-#: Specific topic (T) or activity (A) that help explain and teach objective X 21 TIME: X hours X minutes MATERIALS: Xxxxx

22 Module F: Participating in the ERC Meeting | Preparation Information | Version Date: 30 April 2012 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. 22 IconInstruction 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 EXPERIENCE Provide an example of a relevant personal experience  KEY POINT Emphasize a particular point


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