AC 00-46F - Aviation Safety Reporting Program

U.S. Department

of Transportation

Federal Aviation

AdministrationAdvisory

Circular

Subject: Aviation Safety Reporting Program Date: 4/2/21 AC No: 00-46F

Initiated by: AFS-200 Change:

1PURPOSE OF THIS ADVISORY CIRCULAR (AC) .This advisory circular (AC)

provides guidance for the submission of reports under the Federal Aviation

Administration (FAA) Aviation Safety Reporting Program (ASRP) . The ASRP is a

cooperative safety reporting program that invites pilots, controllers, flight attendants

(F/A), maintenance personnel, dispatchers, and other users of the National Airspace

System (NAS), or any other person, to report to the National Aerona utics and Space

Administration (NASA) actual or potential discrepancies and deficiencies in aviation

safety . NASA serves as a third party to receive and process Aviation Safety Reports.

Examples of op erations covered by the program include depart ure, en route, approach,

and landing operations and procedures; air traffic control (ATC) procedures and

equipment; crew and ATC communications; aircraft cabin operations; aircraft movement

on the airport; near midair collisions (NMAC); aircraft maintenance and r ecordkeeping ;

airport conditions or services; and unmanned aircraft operations. The effectiveness of this

program in improving safety depends on the free, unrestricted flow of information from

the users of the NAS. Based on information obtained from this p rogram, the FAA will

take corrective action as necessary to remedy defects or deficiencies in the NAS. The

reports may also provide data for improving the current system and planning for a future

system.

2EFFECT OF GUIDANCE. The contents of this document do not have the force and

effect of law and are not meant to bind the public in any way. This document is intended

only to provide clarity to the public regarding existing requirements under the law or

agency policies. This AC is not mandatory and does not c onstitute a regulation.

3AUDIENCE. The audience for this AC include spilots, cont rollers, F/As , maintenance

personnel, dispatchers, and other users of th e NAS, or any other person who reports

either actual or potential discrepancies and deficiencies to NASA that involve the safety

of aviation operations.

4WHERE YOU CAN FIND THIS AC. You can find this AC on the FAA’s website at

https://www.faa.gov/regulations_policies/advisory_circular s.

5WHAT THIS AC CANCELS .AC 00 -46E, Aviation Safety Reporting Program, dated

December 16, 2011 , is canceled .

4/2/21 AC 00-46F

26BACKGROUND.

6.1 FAA Mission. The primary mission of the FAA is to promote aviation safety. To further

this mission, the FAA instituted a voluntary ASRP on April 30, 1975, designed to

encourage the identification and reporting of deficiencies and discrepancies in the NAS .

6.2 NASA Partnership. The FAA determined that ASRP effectiveness would be greatly

enhanced if NASA, rather than the FAA, accomplished the r eceipt, processing, and

analysis of raw data. This would ensure the anonymity of the reporter and of all parties

involved in a reported occurrence or incident and, consequently, increase the flow of

information necessary for the effective evaluation of the safety and efficiency of the

NAS . Accordingly, NASA designed and administers the Aviation Safety Reporting

System (ASRS) to perform these functions in accordance with a Memorandum of

Agreement (MOA) executed by the FAA and NASA on August 15, 1975, as modi fied

September 30, 1983, and August 13, 1987. NASA conducts current ASRS operations in

accordance with an MOA executed by the FAA and NASA on June 15, 1999.

7NASA RESPONSIBILITIES.

7.1 General. The NASA ASRS provides for the receipt, analysis, and de -identification of

Aviation Safety Reports. In addition, the ASRS publishes and distributes periodic reports

of findings obtained through the reporting program to the public, the aviation community,

and the FAA.

7.2 Advisory Committee. The NASA ASRS Advisory Committee, composed of

representatives from the aviation community, including NASA, the FAA, and the

National Transportation Safety Board (NTSB) advises NASA on the conduct of the

ASRS. The Committee conducts periodic meetings to evaluate and ensure the

effectiveness of the reporting system.

8PROHIBITION AGAINST THE USE OF REPORTS FOR ENFORCEMENT

PURPOSES.

8.1 Background. Designed and operated by NASA, the NASA ASRS security system

ensures the confidentiali ty and anonymity of the reporter, and other parties as

appropriate, involved in a reported occurrence or incident. The FAA will not seek, and

NASA will not release or make available to the FAA, any report filed with NASA under

the ASRS or any other informa tion that might reveal the identity of any party involved in

an occurrence or incident reported under the ASRS. There has been no breach of

confidentiality of the ASRS under NASA management.

8.2 Use Restrictions. The FAA will not use any reports submitted to N ASA under the ASRS

(or information derived therefrom) in any enforcement action, except information

concerning criminal offenses or accidents that are covered under paragraphs 10.1.1 and

10.1.2 .Refer to Title 14 of the Code of Federal Regulations (14 CFR )part 91, §91.25

(which prohibits the use of any reports submitted to NASA under the ASRS (or

information derived therefrom) in any enforceme nt action wit hin the scope of

14 CFRpart 91, except information concerning criminal offenses or accidents).

4/2/21 AC 00-46F

38.3 Non-ASRS Report. When a violation of 14 CFR comes to the attention of the FAA from

a source other than a report filed with NASA under the ASRS, the Administrator of the

FAA will take appropriate action. See paragraph 12.

9REPORTING PROCEDURES. NASA ASRS f orms have been prepared specifically

for intended users (including Form 277A for air traffic use, Form 277B for general use

(including pilots), Form 277C for F/As, Form 277D for maintenance personnel ,and

Form 277U for unmanned operations) a nd are preaddressed and postage free, or are

available online for access and filing electronically. Additionally, organiza tions may elect

to securely transfer copies of reports from their internal reporting system to NASA ASRS

directly. Forms with a narrative report should be completed and mailed to ASRS at

NASA Aviation Safety Reporting System, P.O. Box 189, Moffett Field, California

94035 -0189, or filed electronically with ASRS through the NASA ASRS website at

https://asrs.arc.nasa.gov/ .

10 PROCESSING OF REPORTS.

10.1 Processing Procedures. NASA procedures for processing Aviation Safety Reports

provide for the initial screening of reports for:

10.1.1 Information concerning criminal offenses, which will be referred promptly to the

Department of Justice and the FAA;

10.1.2 Information concerning accidents, which will be referred promptly to the NTSB and the

FAA; and

Note: Reports discussing criminal activities or accidents are not de -identified

prior to their referral to the agencies outlined above.

10.1.3 Time -critical information that, after de -identification, will be promptly referred to the

FAA and other intereste dparties.

10.2 Reporter Identification (ID) Strip. Each Aviation Safety Report, in paper or electronic

format, contains an ID strip that contains the information that identifies the person

submitting the report. NASA will time stamp and return the ID strip to the reporter as a

receipt by NASA. This will provide the reporter with proof that he or she filed a report on

a specific incident or occurrence. The ID strip section of the ASRS report form provides

NASA program personnel with the means to contact the repo rter if there is a need for

additional information to understand more completely the report’s content. Except in the

case of reports describing accidents or criminal activities, NASA does not create or retain

a copy of an ASRS form’s ID strip for ASRS file s. Prompt return of ID strips is a primary

element of the ASRS program’s report de -identification process and ensures the

reporter’s anonymity.

11 DE-IDENTIFICATION. All information that might assist in or establish the ID of

persons filing ASRS reports and p arties named in those reports will be deleted, except for

reports covered under paragraphs 10.1.1and 10.1.2.This de -identification will be

accomplished within a timely manner after NASA’s receipt of the reports.

4/2/21 AC 00-46F

412 ENFORCEMENT POLICY.

12.1 Administrator’s Responsibilities. The Administrator of the FAA will perform his or her

responsibility under Title 49 of the United States Code (49 U.S.C.) subtitle VII, and

enforce the statute and the 14 CFR in a manner that will reduce or eliminate the

possibility of, or recurrence of, aircraft accidents. The FAA enforcement procedures are

set forth in 14 CFR part 13and FAA policy.

12.2 Enforcement Action. When determining the type and extent of the enforcement action to

take in a particular case, the FAA will consider the following factors:

1.Nature of the viol ation;

2.Whether the violation was inadvertent or deliberate;

3.The certificate holder’s (CH) level of experience and responsibility;

4.Attitude of the violator;

5.The hazard to safety of others, which should have been foreseen;

6.Action taken by an employer or other government authority;

7.Length of time thathas elapsed since the violation;

8.The CH’s use of the certificate;

9.The need for special deterrent action in a particular regulatory area or segment of the

aviation community; and

10.Presence of any factors involv ing national interest, such as the use of aircraft for

criminal purposes.

12.3 Waiver of Imposition of Sanction. The FAA considers the filing of a report with NASA

concerning an incident or occurrence involving a violation of 49 U.S.C. subtitle VII or

the 14 CF R to be indicative of a constructive attitude. Such an attitude will tend to

prevent future violations. Accordingly, although a finding of violation may be made,

neither a civil penalty nor certificate suspension will be imposed if:

12.3.1 The violation was inadv ertent and not deliberate;

12.3.2 The violation did not involve a criminal offense, accident, or action under 49 U.S.C.

§44709 , which discloses a lack of qualification or competency, which is wholly excluded

from this policy;

12.3.3 The person has not been found in any prior FAA enforcement action to have committed a

violation of 49 U.S.C. subtitle VII, or any regulation promulga ted there for a period of

5years prior to the date of occurrence; and

12.3.4 The person proves that, within 10 days after the violation, or date when the person

became aware or should have been aware of the violation, he or she completed and

delivered o r mailed a written report of the incident or occurrence to NASA.

4/2/21 AC 00-46F

5Note: Paragraph 12does not apply to air traffic controllers who are covered under

the provisions of the Air Traffic Safety Action Program (ATSAP), as desc ribed in

the ATSAP Memorandum of Understanding (MOU).

13 OTHER REPORTS. This program does not eliminate responsibility for reports,

narratives, or forms presently required by existing directives.

14 AVAILABILITY OF FORMS. Electronic repo rting forms (NASA ASRS

Form277-series) are available for access and secure electronic filing from the NASA

ASRS website at https://asrs.arc.nasa.gov/ . Alternatively, forms from this site may be

accessed, printed, and completed by hand, o r accessed and completed by computer and

then printed. These may then be mailed to NASA Aviation Safety Reporting System,

P.O. Box 189, Moffett Field, California 94035 -0189.

15 AC FEEDACK FORM. For your convenience, the AC Feedback Form is the last page

of this AC. Note any deficiencies found, clarifications needed, or suggested

improvements regarding the contents of this AC on the Feedback Form .

Robert C. Carty

Deputy Executive Director, Flight Standards Service

Advisory Circular Feedback Form

If you find an error in this AC, have recommendations for improving it, or have suggestions for

new items/subjects to be added, you may let us know by contacting the Air Transportation

Division (AFS-200) at 9-AWA-AVS-AFS-200-Air-Transportation-Division@faa.gov or the

Flight Standards Directives Management Officer at 9-AWA-AFB-120-Directives@faa.gov .

Subject: AC 00-46F, Aviation Safety Reporting Program

Date: _____________________

Please check all appropriate line items:

An err o

r (pro

ce

dural or typographical) has been noted in paragraph ____________

on page _______ .

Recommend paragraph _____________ on page __________ be changed as follows:

______________________________________________________________________

______________________________________________________________________

In a future change to this AC, please cover the following subject:

(Briefly describe what you want added.)

______________________________________________________________________

______________________________________________________________________

Other comments:

______________________________________________________________________

______________________________________________________________________

I would like to discuss the above. Please contact me.

Submitted by: Date: ______________________