20120430_ASAP_Training_Instructor Prep_for_Module_F

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(No Transcript)
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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)

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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

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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 students participation in the
  Module F training course is contingent upon that
  students 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).

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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.

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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)

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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 12066B (15 November 2002)
• http//rgl.faa.gov/Regulatory_and_Guidance_Library
  /rgAdvisoryCircular.nsf/0/61C319D7A04907A886256C79
  00648358?OpenDocument
• FAA ASAP Report Process Chart (30 June 2010)
• http//www.faa.gov/about/initiatives/asap/policy/m
  edia/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_Practices_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?modeEBookCon
  tents
• 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 documents 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?modeEBookCon
  tents
• 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 documents currency
  or validity because the Flight Standards policy
  divisions can change its content on a daily
  basis.

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Teaching Aids (Contd)

• 14 CFR Part 193 (25 June 2001)
• http//ecfr.gpoaccess.gov/cgi/t/text/text-idx?cec
  frsidf8d1826f72cbb0f0abbbee76edc854d9rgndiv5v
  iewtextnode143.0.1.5.37idno14
• FAA Order 8000.82 (14 April 2003)
• http//www.faa.gov/documentLibrary/media/Order/800
  0.81.pdf
• Note that the version of each piece of guidance
  and supporting resources listed above was current
  at the time of this training courses
  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.

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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.

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Lesson Plan Crosswalk
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 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
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Lesson Plan Crosswalk (Contd)
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 report C-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 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 exclusion criteria to an ASAP report F-EO12 Demonstrate skill in applying acceptance and exclusion criteria to an ASAP report
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Lesson Plan Crosswalk (Contd)
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 qualification F-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 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 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
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Lesson Plan Crosswalk (Contd)
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 included F-EO24 Demonstrate skill in using a risk matrix to quantify the level of risk associated with an ASAP-reported event
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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
  FAAs 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

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Classroom Preparation (Contd)

• 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.

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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).
• 8900.1ASAP 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).
• 8900.1EDP 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.
• AC12066B 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.

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Key Terms (Contd)

• 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
  FAAs 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 holders 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 members
  range of acceptable solutions for that event and
  is in the best interest of safety.

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Key Terms (Contd)

• 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.

19
Key Terms (Contd)

• 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 AC12066.
  The MOU is a foundational program documentit
  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.

20
Key Terms (Contd)

• 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 individuals
  safety-related report. In order to be considered
  sufficient evidence under ASAP, the ERC must
  determine through consensus that the evidence
  (other than the individuals safety-related
  report) would likely have resulted in the
  processing of an FAA enforcement action had the
  individuals 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.

21
Instructor Guide Organization and Formatting

• Objective X Objective number and name
• TX- or AX-
• Specific topic (T) or activity (A) that help
  explain and teach objective X

• 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

22
Instructor Guide Icons to Denote Special
Instructions

• Icons are included throughout the Instructor
  Guide found in bold, blue, and all CAPITAL
  LETTERSto 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 EXPERIENCE Provide an example of a relevant personal experience
?KEY POINT Emphasize a particular point