Legal Briefing

The Aviation Safety Reporting System

The Aviation Safety Reporting System-a joint program of the Federal Aviation Administration and NASA-is good for pilots and for aviation safety. It can protect a pilot facing FAA enforcement action from having to surrender his or her pilot certificate and keep a pilot from having to pay a civil penalty. For aviation safety, it permits the free flow of safety information from those who are in the best position to identify a deficiency to those who are in the best position to take action to remedy the problem. In this way, information gathered from those who use the aviation system may be used to lessen the likelihood of an aviation accident.

History has proven that people are reluctant to tell about incidents that are embarrassing to them. Pilots are no exception, especially if these incidents could involve violations of the federal aviation regulations (FARs). So, in 1975, the Aviation Safety Reporting System (ASRS) was established through a joint agreement between the FAA and NASA. The two government agencies agreed that NASA would administer the program by collecting and analyzing aviation safety incident reports. NASA would then alert the FAA or other aviation authorities about circumstances that might compromise aviation safety so that they may be remedied.

In order to encourage these reports, NASA developed a procedure that allows the reporter to remain anonymous. Reports are made on a special form that is preaddressed to NASA and needs no postage. The first part of the form is a strip on which the reporter records his or her name and address. When the report is received by NASA, this strip is removed, date stamped, and returned to the reporter as proof that the report was filed. The other part of the form requests detailed information on the event or situation.

After NASA reviews this form and removes all information that may identify the reporter, the information is entered into NASA's database. The actual report is not given to the FAA, and the information contained within the report is provided to the FAA only without any information that could identify the reporter. Thus, the information is received and used confidentially. There are only two exceptions to the anonymity aspect of this program: The reporter will be identified if the incident involves criminal conduct or an accident.

To further encourage the filing of incident reports, the FAA adopted a program that gives pilots immunity from punitive enforcement action. The FAA issued Advisory Circular 0046D, the "Aviation Safety Reporting Program," in which the FAA has committed to waive the penalty in an enforcement action if the pilot can show that he or she filed a timely NASA report and is otherwise eligible for the waiver.

To be eligible for the immunity protection of the program, the pilot must be able to show that the report was filed within 10 days of the offending event. To prove this, the pilot can present the stamped identification strip that was returned by NASA. Other eligibility requirements demand that the offending conduct was not deliberate and did not involve a lack qualifications or competency. Finally, the FAA must not have found the pilot guilty of committing a violation within the preceding five years. More than 90 percent of the enforcement cases brought against pilots who have filed a NASA report qualify for immunity.

Each report is protected from being used against the reporter by the way NASA removes any identifying features from the report before passing the safety information on to others. To further tighten up this anonymity, the FAA adopted FAR 91.25, which specifically prohibits the use of these reports in any FAA enforcement action.

However, pilots should still exercise caution when completing the "Type of Event/Situation" block on the identification strip of the NASA form. The pilot may have to show this strip to the FAA in order to obtain the waiver of sanction. By innocently describing the event, the pilot could inadvertently admit to the violation or a part of the violation.

Aviation Safety Reporting System forms are usually available at FAA flight standards district offices (FSDOs) and flight service stations (FSS). They are also sometimes available at aviation events, such as lectures, seminars, and fly-ins. AOPA offers the form on its Web site ( www.aopa.org ); in AOPA's Airport Directory; and through AvFax, it's fax-on-demand service (800/462-8329).

The ASRS is an important program for pilots to remember. If ever you experience any sort of aviation safety incident, you should promptly file a NASA report. It can cost nothing but a little of your time, and the benefits could be immeasurable.