Document ID: FAA-2014-0142-0009
Agency: faa
Document Type: Proposed Rule
Title: Designation of Safety Information as Protected from Disclosure Federal Contract Tower Safety Action Program and Air Traffic Safety Action Program for Engineers&Architects, et al.
Posted Date: 2015-04-03T04:00Z

[Federal Register Volume 80, Number 64 (Friday, April 3, 2015)]
[Proposed Rules]
[Pages 18168-18171]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2015-07743]

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Part 193

[Docket No.: FAA-2014-0142]
RIN 2120-AA66

Federal Contract Tower Safety Action Program (SAFER-FCT and Air 
Traffic Safety Action Program for Engineers & Architects, Staff Support 
Specialists, Aviation Technical System Specialists (Series 2186) and 
Flight Procedures Team (ATSAP-X)

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of Proposed Order Designating Safety Information as 
Protected from Disclosure

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SUMMARY: The FAA is proposing that safety information provided to it by 
Federal Contract Tower employees (hereinafter ``Vendor'') under the 
SAFER-FCT Program or by Air Traffic Organization Engineers & 
Architects, Staff Support Specialists, Aviation Technical System 
Specialists (Series 2186) and Flight Procedures Team (hereinafter 
``Region X'') under the ATSAP-X program be designated by an FAA Order 
as protected from public disclosure in accordance with the provisions 
of 14 CFR part 193. The designation is intended to encourage persons to 
voluntarily provide information to the FAA under the SAFER-FCT or the 
ATSAP-X safety reporting programs, so the FAA can learn about and 
address aviation safety hazards of which it was unaware or more fully 
understand and implement corrective measures for events known by it 
through other means. Under 49 U.S.C. 40123, the FAA is required to 
protect information from disclosure to the public, including disclosure 
under the Freedom of Information Act (5 U.S.C. 552) or other laws, 
following the issuance of such Order.

DATES: Comments must be received on or before May 4, 2015.

ADDRESSES: You may send comments identified by docket number FAA-2014-
0142 using any of the following methods: via mail to U.S. Department of 
Transportation, Docket Operations, M-30, 1200 New Jersey Avenue SE., 
West Building Ground Floor, Room W12-140, Washington DC 20590-0339; 
telephone (202) 366-9826. You must identify the FAA Docket No. FAA-
2014-0142 at the beginning of your comments. You may also submit 
comments through the Internet at http://www.regulations.gov.

[[Page 18169]]

FOR FURTHER INFORMATION CONTACT: Coleen Hawrysko--Group Manager, ATO 
Safety Programs, Federal Aviation Administration, 490 L'Enfant Plaza, 
Suite 7200, Washington, DC 20024 or via email at 
coleen.hawrysko@faa.gov or phone at 202-267-8807.

SUPPLEMENTARY INFORMATION:

Comments Invited

    Interested parties are invited to participate in this proposed 
designation by submitting such written data, views, or arguments, as 
they may desire. Comments that provide the factual basis supporting the 
views and suggestions presented are particularly helpful in developing 
reasoned regulatory decisions on the proposal. Comments are 
specifically invited on the overall regulatory, aeronautical, economic, 
environmental, and energy-related aspects of the proposal.
    Communications should clearly identify docket number FAA-2014-0142 
and be submitted in triplicate to the Docket Management System (see 
ADDRESSES section for address and phone number). Commenters wishing the 
FAA to acknowledge receipt of their comments on this action must submit 
with those comments a self-addressed stamped postcard on which the 
following statement is made: ``Comments to FAA-2014-0142. The postcard 
will be date/time stamped and returned to the commenter.
    All communications received on or before the closing date for 
comments will be considered before taking action on the proposed rule. 
The proposal contained in this action may be changed in light of 
comments received. All comments submitted will be available for 
examination in the public docket both before and after the closing date 
for comments. A report summarizing each substantive public contact with 
FAA personnel concerned with this proposed designation will be filed in 
the docket.

Availability of This Proposed Designation

    An electronic copy of this document may be downloaded through the 
Internet at http://www.regulations.gov. Recently published rulemaking 
documents can also be accessed through the FAA's Web page at http://www.gov/airports_airtraffic/air_traffic/publications.
    You may review the public docket containing the proposal, any 
comments received, and any final disposition in person in the Dockets 
Office (see the ADDRESSES section for the address and phone number) 
between 9:00 a.m. and 5:00 p.m., Monday through Friday, except federal 
holidays. An informal docket may also be examined during normal 
business hours at the Northwest Mountain Regional Office of the Federal 
Aviation Administration, Air Traffic Organization, Western Service 
Center, Operations Support Group, 1601 Lind Avenue SW., Renton, WA 
98057.
    You can get an electronic copy using the Internet by:
    1. Searching the Department of Transportation's electronic Docket 
Management System (DMS) Web page); http://www.regulations.gov;
    2. Visiting the FAA's Regulations and Polices Web page at http://www.faa.gov/regulations_policies; or
    3. Accessing the Government Publishing Office's Web page at http://www.gpo.gov/fdsys/browse/collection.action?collectionCode=FR.
    Privacy Act: Using the search function of our docket Web site, 
anyone can find and read the comments received into any of our dockets, 
including the name of the individual sending the comment (or signing 
the comment on behalf of an association, business, labor union, etc.). 
You may review DOT's complete Privacy Act Statement in the Federal 
Register published on April 11, 2000 (65 FR 19477) or you may visit 
http://www.regulations.gov.

Background

    Under Title 49 of the United States Code (49 U.S.C.), section 
40123, certain voluntarily provided safety and security information is 
protected from disclosure in order to encourage persons to provide the 
information. The FAA must first issue an Order that specifies why the 
agency finds that the information should be protected in accordance 
with 49 U.S.C., section 40123. The FAA's rules for implementing that 
section are in 14 CFR part 193. If the Administrator issues an Order 
designating information as protected under 49 U.S.C., section 40123, 
that information will not be disclosed under the Freedom of Information 
Act (Title 5 of the United States Code (5 U.S.C.), section 552) or 
other laws, except as provided in 49 U.S.C. 40123, 14 CFR part 193, and 
the Order designating the information as protected. This Order is 
issued under part 193, section 193.11, which sets out the notice 
procedure for designating information as protected.

2. Applicability

    This proposed designation is applicable to any FAA office that 
receives information covered under this designation from the SAFER-FCT 
Program or the ATSAP-X Program, both of which will be incorporated in 
FAA Order 7200.20, Voluntary Safety Reporting Programs. The proposed 
designation would also apply to any other government agency that 
receives such information from the FAA. For any other government agency 
to receive SAFER-FCT or ATSAP-X information covered under the proposed 
designation from the FAA, each such agency must first stipulate, in 
writing, that it will abide by the provisions of part 193 and the Order 
designating the SAFER-FCT and ATSAP-X information as protected from 
public disclosure under 14 CFR part 193.

3. Summary

    a. Qualified Participants. Region X employees who are covered under 
the Consolidated Collective Bargaining agreement (CBA) between NATCA 
and the FAA effective May 22, 2013, or its successor, and other 
employees identified in FAA Order 7200.22 which will be incorporated in 
FAA Order 7200.20, are eligible to complete a ATSAP-X report for events 
that occur while acting in that capacity. Vendor employees Union or 
Non-Union who are covered under the FAA and the Federal Contract Tower 
September 2011 contract, or its successor, and other employees 
identified in FAA Order 7200.20 are eligible to complete a SAFER-FCT 
report for events that occur while acting in that capacity.

b. Voluntarily-Provided Information Protected From Disclosure Under the 
Proposed Designation

    Except for SAFER-FCT or ATSAP-X reports that involve possible 
criminal conduct, substance abuse, controlled substances, alcohol, or 
intentional falsification, the following information would be protected 
from disclosure:
    (1) the content of any report concerning an aviation safety or 
security matter that is submitted by a qualified participant under the 
SAFER-FCT or ATSAP-X that is accepted into either program, including 
the SAFER-FCT or ATSAP-X report, and the name of the submitter of the 
report. Notwithstanding the foregoing, mandatory information about 
occurrences that are required to be reported under FAA Orders or ATO 
guidance is not protected under this designation, unless the same 
information has also been submitted or reported under other procedures 
prescribed by the Agency. The exclusion is necessary to assure that the 
information protected under this designation has been voluntarily 
submitted. It also permits changes to ATO Orders and guidance without 
requiring a change to this designation.
    (2) Any evidence gathered by the Event Review Committee during its 
investigation of a safety- or security-

[[Page 18170]]

related event reported under SAFER-FCT or ATSAP-X, including the SAFER-
FCT or ATSAP-X investigative file.

    Note: The type of information or circumstances under which the 
information listed above would not be protected from disclosure is 
discussed in paragraph 3.b of this Order.

    c. Ways to Participate. FAA employees who are qualified 
participants register for, and submit a report into, the system.
    d. Duration of This Information-Sharing Program. This program 
continues as long as it is provided for by Order or a collective 
bargaining agreement.

4. Findings

    The FAA designates information received from a SAFER-FCT or ATSAP-X 
submission as protected under 49 U.S.C. 40123 and 14 CFR 193.7, based 
on the following findings:
    a. Summary of why the FAA finds that the information will be 
provided voluntarily. The FAA finds that the information will be 
provided voluntarily. This finding is supported by the significant 
increase in reports of safety-related matters since the implementation 
of voluntary safety reporting programs. No FAA or Vendor employee is 
required to participate in the SAFER-FCT or ATSAP-X.
    b. Description of the type of information that may be voluntarily 
provided under the program and a summary of why the FAA finds that the 
information is safety- related.
    (1) The following types of reports are ordinarily submitted under 
the SAFER-FCT or ATSAP-X:
    i. Noncompliance reports. Noncompliance reports identify specific 
instances of a failure to follow FAA directives.
    ii. Aviation safety concern reports. Aviation safety concerns that 
do not involve specific noncompliance with FAA directives. These may 
include, but are not limited to potential safety events or perceived 
problems with policies, procedures, and equipment.
    (2) Region X employees support the design, delivery and efficiency 
of flight services throughout the National Airspace System (NAS) 
facilities, systems and equipment. Reports submitted by these employees 
under ATSAP-X ordinarily involve matters or observations occurring 
during the performance of their job responsibilities, and therefore the 
information submitted is inherently safety related. Vendor employees 
provide and support the provision of air traffic services at Federal 
Contract Tower facilities throughout the NAS. Reports submitted by 
these employees under SAFER-FCT ordinarily involve occurrences or 
problems identified or experienced during the performance of their job 
responsibilities which directly affect safety.
    c. Summary of why the FAA finds that the disclosure of the 
information would inhibit persons from voluntarily providing that type 
of information.
    The FAA finds that disclosure of the information would inhibit the 
voluntary provision of that type of information. Employees are 
unwilling to voluntarily provide detailed information about safety 
events and concerns, including those that might involve their own 
failures to follow Agency directives and policies, if such information 
could be released publicly. If information is publicly disclosed, there 
is a strong likelihood that the information could be misused for 
purposes other than to address and resolve the reported safety concern. 
Unless the FAA can provide assurance that safety-related reports will 
be withheld from public disclosure, employees will not participate in 
the programs.
    d. Summary of why the receipt of that type of information aids in 
fulfilling the FAA's safety responsibilities.
    The FAA finds that receipt of information in SAFER-FCT or ATSAP-X 
reports aids in fulfilling the FAA's safety responsibilities. Because 
of its capacity to provide early identification of needed safety 
improvements, this information offers significant potential for 
addressing hazards that could lead to incidents or accidents. In 
particular, one of the benefits of both the SAFER-FCT and ATSAP-X is 
that they encourage the submission of narrative descriptions of 
occurrences that provide more detailed information than is otherwise 
available. The SAFER-FCT and ATSAP-X have produced safety-related data 
that is not available from any other source. Receipt of this previously 
unavailable information has provided the FAA with an improved basis for 
modifying procedures, policies, and regulations to improve safety and 
efficiency.
    e. Consistencies and inconsistencies with FAA safety 
responsibilities.
    The FAA finds that withholding SAFER-FCT and ATSAP-X information 
from public release is consistent with the FAA's safety 
responsibilities, because it encourages individuals to provide 
important safety information that it otherwise might not receive.
    (1) Withholding SAFER-FCT and ATSAP-X information from disclosure, 
as described in this designation, is consistent with the FAA's safety 
responsibilities. Without the Agency's ability to assure that the 
detailed information reported under these programs, which often 
explains why the event occurred or describes underlying problems, will 
not be disclosed, the information will not be provided to the FAA. 
Employees are concerned that public release of the information could 
result in potential misuses of the information that could affect them 
negatively. If the FAA does not receive the information, the FAA and 
the public will be deprived of the opportunity to make the safety 
improvements that receipt of the information otherwise enables. 
Corrective action under SAFER-FCT and ATSAP-X can be accomplished 
without disclosure of protected information. For example, for 
acceptance under both programs, the reporting employee must comply with 
Event Review Committee recommendations for corrective action, such as 
additional training for an employee. If the employee fails to complete 
corrective action in a manner satisfactory to all members of the Event 
Review Committee, the event may be referred to an appropriate office 
within the FAA for any additional investigation, reexamination, and/or 
action, as appropriate.
    (2) The FAA may release SAFER-FCT or ATSAP-X information submitted 
to the agency, as specified in Part 193 and this Order. For example, to 
explain the need for changes in FAA policies, procedures, and 
regulations, the FAA may disclose de-identified, summarized information 
that has been derived from SAFER-FCT or ATSAP-X reports or extracted 
from the protected information listed under paragraph 5b. The FAA may 
disclose de-identified, summarized SAFER-FCT or ATSAP-X information 
that identifies a systemic problem in the NAS, when a party needs to be 
advised of the problem in order to take corrective action. Under the 
current version of FAA Order N JO 7200.20, reported events and possible 
violations may be subject to investigation, reexamination, and/or 
action. Although the report itself and the content of the report are 
not used as evidence, the FAA may use the knowledge of the event or 
possible violation to generate an investigation, and, in that regard, 
the information is not protected from disclosure. To withhold 
information from such limited release would be inconsistent with the 
FAA's safety responsibilities. In addition, reports that appear to 
involve possible criminal activity, substance abuse, controlled 
substances, alcohol, or

[[Page 18171]]

intentional falsification will be referred to an appropriate FAA office 
for further handling. The FAA may use such reports for enforcement 
purposes, and will refer such reports to law enforcement agencies, if 
appropriate. To withhold information in these circumstances would be 
inconsistent with the agency's safety responsibilities because it could 
prevent, or at least diminish the FAA's ability to effectively address 
egregious misconduct.
    f. Summary of how the FAA will distinguish information protected 
under part 193 from information the FAA receives from other sources.
    All employee SAFER-FCT and ATSAP-X reports are clearly labeled as 
such. Each employee must submit their own report.

5. Designation

    The FAA designates the information described in paragraph 5b to be 
protected from disclosure in accordance with 49 U.S.C., section 40123 
and 14 CFR part 193.

    Issued in Washington, DC on March 27, 2015.
Michael P. Huerta,
Administrator, Federal Aviation Administration.
[FR Doc. 2015-07743 Filed 4-2-15; 8:45 am]
 BILLING CODE 4910-13-P