Term Paper on "Voluntary Reporting Systems"

Term Paper 5 pages (2321 words) Sources: 3 Style: APA

[EXCERPT] . . . .

Voluntary Reporting Systems

federal government is responsible for looking after the aviation safety for which it collects and assimilates vast amount of data. The Aviation Safety Reporting System -- ASRS was primarily intended for supporting the mission of FAA in eliminating unsafe conditions and preventing avoidable accidents in the national aviation system. The concept of ASRS has been followed worldwide by many aviation systems and presently it is being replicated in industries apart from aviation. The database of ASRS serves the needs of NASA and FAA and is a public repository. Its database is also used for serving other organizations all over the world who are engaged in the promotion and research of safe flight.

Many voluntary programs have been implemented by the FAA which involves voluntary reporting of safety-related data for enhancing the safety in aviation. In these programs the information is reported by people and not by automated systems. In the case of voluntary reports, there exists a certain amount of deficiency in indicating the frequency or prevalence of the nature of the incidents which occur. For this reason the ASRS system was planned to be an analytical system rather than being a descriptive system. The report of the ASRS was designed in such a way so that it is able to gather the maximum possible information without making the reporter feel discouraged. A major aspect which contributes to the success of ASRS has been the participation of the complete aviation stakeholders' community in the structure of an Advisory Committee of the industry. However, since many years the ASRS model has demonstrated that if the users of the system are confident about reporting problems of safety encountered by them to a program in which they have faith in, the goals of safety would be attained much quicker than if the incidents were not reported by the volunteers.

Overview of Voluntary Reporting Systems

The U.S. federal government is responsible for looking after the aviation safety for which it collects and assimilates vast amount of data. There are four main organizations that are responsible for collecting and analyzing the safety and safety-related data for the aviation industry. These are the RSPA -- Research and Special Programs Administration, the NASA --National Aeronautics and Space Administration, the NTSB -- National Transportation Safety Board and the FAA -- Federal Aviation Administration. Extensive rage of aviation information is collected by the FAA which also operates automated data systems in excess of 280 systems. (Wells; Rodrigues, 2003)

The Aviation Safety Reporting System -- ASRS was created through a MOA -- Memorandum of Agreement between the NASA and FAA in 1976. This program was primarily intended for supporting the mission of FAA in eliminating unsafe conditions and preventing avoidable accidents in the national aviation system. The first step was to devise a system in which a high degree of trust could be placed, individually as well as collectively, by the aviation community. It was found that if the FAA would operate this program, it would not promote the aviation community in using and trusting the new program because of the enforcement and regulatory roles of the FAA. Hence, NASA was asked to act as an independent third party for administering the program and for fulfilling the role of a neutral party who would look after the interests of either side. ("ASRS: The Case for Confidential Incident Reporting Systems," n. d.)

The FAA's proposal was accepted by NASA and on 15th April, 1976 the ASRS began its operations. The operations of data analysis and data collection are funded by the FAA along with contributions from the NASA. NASA undertakes administering the program details, ensuring that confidentiality is guaranteed, overseeing the products and services and ensuring that the de-identified data of the incident and the results got from special studies undertaken are sent to the people who are accountable for aviation safety as well as to other interested parties. The concept of ASRS has been followed worldwide by many aviation systems and presently it is being replicated in industries apart from aviation. ("ASRS: The Case for Confidential Incident Reporting Systems," n. d.)

Aviation safety situation/incident reports which are submitted voluntarily by controllers, pilots and others are collected by the ASRS who takes action as per the information contained in these reports. System deficiencies are identified and alerting messages are issued to people who are in the right position for taking action and correcting it. ASRS also helps to educate the public through research studies, ASRS Directline and CALLBACK; its newsletter and journal respectively. The database of ASRS serves the needs of NASA and FAA and is a public repository. Its database is also used for serving other organizations all over the world who are engaged in the promotion and research of safe flight. People who are involved in aviation operations like "mechanics, air traffic controllers, ground personnel, pilots, flight attendants" and others who observe or are involved in a situation or incident which warrants compromising the aviation safety put forward such reports to the ASRS. ("Aviation Safety Reporting System: Program Briefing," n. d.)

All reports are submitted on a voluntary basis and are taken in strict confidence. Till date more than 715,000 reports have been submitted and there has not been any breach of the reporter's identity by the ASRS ever. The time, date and other such related information which could be utilized for surmising the identity of the person who has given the information is either eliminated or generalized to protect the identity. The ASRS reporters are offered incentives and guarantees by the FAA for reporting without fear of being disclosed. FAA has also committed that the information of ASRS would not be used against the reporters for enforcing action. It has also undertaken to waive certain penalties and fines reported to the ASRS, dependent on certain limitations, for unintended breach of federal regulations and statutes. ("Aviation Safety Reporting System: Program Briefing," n. d.)

Many voluntary programs have been implemented by the FAA which involves voluntary reporting of safety-related data for enhancing the safety in aviation. In these programs the information is reported by people and not by automated systems. Three programs are as follows: (a) ASRP -- Aviation Safety Reporting Program - the reports submitted to the ASRS is used in this program. The reports which are submitted under this program cannot be used by the FAA for enforcing any action; exceptions are in the case of criminal offense and accidents. (b) Air Carrier Voluntary Disclosure Reporting Procedures - this was initiated in 1990 by the FAA. This procedure encourages airlines to disclose to the FAA immediately if the requirements for flight operations, maintenance and security have not been complied with. However, a policy of relinquishing civil penalty actions was initiated by the FAA if five conditions are fulfilled. - Aviation Safety Action Programs -- ASAP - several ASAP have been established by the FAA. These include the Alaska Airlines Altitude Awareness Program, the American Airlines Safety Action Program and the USAir Altitude Awareness Program. Incentives were established by these programs for encouraging the air carriers' employees to recognize possible breach of the Federal Aviation Regulations and to disclose information without being afraid of disciplinary legal enforcement sanction. The use of ASAP has been recently expanded by the FAA via the execution of a 2-year program of demonstration. As per this program, the apparent violations would in general be addressed with administrative action if it does not involve the following- (i) misconduct which is deliberate in nature; (ii) disregarding the security and safety to a considerable extent; (iii) criminal conduct; (iv) conduct which reveals or raises a deficiency in qualifications. (United States General Accounting Office, 1997)

In the case of voluntary reports, there exists a certain amount of deficiency in indicating the frequency or prevalence of the nature of the incidents which occur. For this reason the ASRS system was planned to be an analytical system rather than being a descriptive system. The report of the ASRS was designed in such a way so that it is able to gather the maximum possible information without making the reporter feel discouraged. Key words and structured information blocks are provided for guiding not only the reporter but also to ensure that the data research and retrieval done subsequently is aided. Space is made available so that details like the reporter's telephone number, address and name can be provided. Due to this NASA can acknowledge the receipt of the reporter through return mail; it also permits the Battelle analyst to get in touch with the reporter for getting follow-up data. (Office of Technology Assessment, United States Government Printing Office, 1988)

The database is preserved in Ohio, at the Battelle Columbus Laboratories. Information through which the reporter can be identified is erased before the data is entered into the system. The reports of the incident are received by Battelle which then processes the data and analyzes it and the findings of the report are published. All this is… READ MORE

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