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U.S. DEPARTMENT OF TRANSPORTATION ORDER FEDERAL AVIATION ADMINISTRATION 1220.2G National Policy Effective Date: 05/13/11 SUBJ: FAA Procedures for Handling National Transportation Safety Board Recommendations 1. Purpose of This Order. This order prescribes uniform Federal Aviation Administration procedures and responsibilities for responding to recommendations made by the National Transportation Safety Board (NTSB). It provides direction and guidance on processing NTSB safety recommendations, including the receipt, review, and coordination of the FAA's response letter to the NTSB safety recommendation. This order also implements Order DOT 2000.ID, Department of Transportation Procedures for Handling National Transportation Safety Board Recommendations.
2. Audience. This order is intended for all personnel who are called upon to support activities associated with handling NTSB recommendations.
3. Where Can I Find This Order? This order is located in electronic format on both the FAA's Intranet and Internet Web sites at the following links: https://emplovees.faa.Rov/tools resources/orders notices and http://www.faa.gov/regulations policies/orders notices/.
4. What This Order Cancels. Order 1220.2F, FAA Procedures for Handling National Transportation Safety Board Recommendations, dated March 22,1995, is canceled.
5. Background. The NTSB was established by statute in 1966, located within the Department of Transportation, to promote transportation safety by conducting independent accident investigations and by formulating safety improvement recommendations. Effective April 1,1975, the NTSB was reestablished as an independent agency (reference Title III of the Transportation Safety Act of 1974 and the Independent Safety Board Act of 1974). The NTSB and the FAA have a common objective of promoting safety in aviation and preventing aircraft accidents within the scope of their respective statutory responsibilities. When accidents occur, FAA participates in the NTSB investigation to learn what accident prevention actions it should initiate to prevent a recurrence of similar accidents and to provide technical support to the NTSB. The NTSB has jurisdiction to investigate accidents to determine probable cause and to make recommendations to reduce the likelihood of recurrences of similar accidents.
6. Explanation of Changes. This revision incorporates the FAA's establishment of the Office of Accident Investigation and Prevention (AVP). All references to the Office of Accident Investigation (AAI) should be updated to reflect the Office of Accident Investigation and Prevention (AVP).
7. Authority to Change this Order. Only the Administrator or Deputy Administrator may approve substantive changes to this directive. The Director of Accident Investigation and Prevention may approve changes except those involving policy, assignment of responsibility, and delegation of authority. Those organizations with aircraft accident and incident notification, Distribution: Electronic Only Initiated By: AVP-1 05/13/11 1220.2G investigation, and reporting responsibilities should submit proposed changes or additions to the Office of Accident Investigation and Prevention.
8. AVP Quality Management System (QMS) Process. The AVP QMS process, AVP-400- 002, FAA's NTSB Safety Recommendation Program, effective September 9, 2010, can be found on the AVP Intranet site.
9. Policy.
a. All NTSB safety recommendations will be given timely attention and full consideration. The NTSB safety recommendation responses will be prepared on a priority basis and responded to formally, in writing no later than 90 days after receipt.
b. Periodic assessments will be made of the status of the NTSB safety recommendations to ensure timely and appropriate FAA response and to ensure that complete consideration has been given to each NTSB safety recommendation.
c. All NTSB safety recommendations will be coordinated fully with each affected organizational element before a substantive reply is made to the NTSB.
d. All NTSB safety recommendations will be considered active and subject to priority attention until appropriate action has been completed and the safety recommendations have been classified as "closed" by the NTSB.
e. Every effort will be made to resolve controversial NTSB safety recommendation issues in a timely manner.
10. FAA Responsibilities in NTSB Safety Recommendations.
a. The Executive Secretary, AOA-3, will: (1) Assign the action for NTSB safety recommendations to AVP.
(2) Ensure signature of the formal initial response to the Chairman of the NTSB no later than 90 days after receipt of the new safety recommendation (Section 307 of Title III of the Transportation Safety Act of 1974).
(3) Safety recommendations deemed "urgent" by the NTSB should be addressed in fewer than 90 days. The NTSB Order asks that these recommendations be addressed in 30 days. FAA Order 1220.2G and DOT Order 2000.ID do not include this timeline; however, the FAA will address these recommendations as quickly as possible.
b. The Office of Accident Investigation and Prevention, AVP,. will: (1) Serve as the FAA's focal point to review each safety recommendation, acknowledge receipt of the recommendation (to the author/writer), enter it in the NTSB Recommendation 05/13/11 1220.2G Tracking System (RTS), and forward the recommendation to the proper FAA program office.
Ensure compliance with this order and effective implementation of stated policy.
(2) Assign action to the appropriate program office(s) having subject matter responsibility for the NTSB safety recommendations.
(3) Serve as the liaison between the FAA and the NTSB on all NTSB safety recommendation issues.
(4) Review and evaluate proposed responses to the NTSB safety recommendations for adequacy, accuracy, and appropriateness in resolving the safety issue(s) addressed. Ensure that the agency's actions are consistent with previous FAA actions taken on similar matters.
(5) Review and ensure that all responses propose justifiable timelines that are acceptable to the Administrator and responsive to the NTSB.
(6) For new NTSB safety recommendations, prepare the final agency initial response to the NTSB safety recommendation for the Administrator's signature no later than 70 days after receipt of the NTSB safety recommendations and ensure that the agency's response reflects current agency policy.
(7) Ensure that program offices provide an annual follow-on response to all open NTSB safety recommendations to AVP, or sooner if actions are complete.
(8) Initiate FAA coordination process for review and comment on all FAA responses to NTSB safety recommendations with all affected organizational elements.
(9) Conduct and lead meetings with the FAA program offices and the NTSB to discuss and resolve controversial NTSB safety recommendation issues.
(10) Maintain the status and file of all the NTSB safety recommendations and correspondence.
(11) Complete periodic program reviews to ensure all open recommendations have a follow- on action due date assigned to the program office.
c. Headquarters, divisions, directorates, and program offices assigned as an NTSB safety recommendation action office will: (1) Designate principal and alternate coordinators for the NTSB safety recommendations and notify AVP of the names, telephone numbers, and routing symbols. These individuals will serve as the points-of-contact on all the NTSB safety recommendation issues.
(2) Conduct a technical evaluation of each NTSB safety recommendation received to determine the feasibility of implementing the recommendation or alternative action needed to respond to the safety recommendation issue. If an NTSB safety recommendation is assigned to the incorrect program office, notify AVP immediately.
05/13/11 1220.2G (3) Prepare the proposed response to the NTSB safety recommendation. For new NTSB safety recommendations, headquarters and regional program offices are required to submit proposed responses to AVP no later than 40 days after receipt of the new safety recommendation.
(4) If proposed actions involve long-term efforts, annual updated responses will be submitted to AVP. Ensure that follow-on responses propose justifiable timelines that are acceptable to the Administrator and responsive to the NTSB. Provide status reports until the NTSB safety recommendation is closed by the NTSB.
(5) Ensure the proposed responses address the NTSB safety recommendation; state the agency's proposed course of action, and the timeline for implementation. If an alternative action is proposed, or if the recommendation is rejected, in whole or in part, provide justification for the agency's position.
Provide an anticipated completion date for all proposed actions in the response to the NTSB safety recommendations.
(6) Provide AVP with electronic and paper copies of the FAA's response to the NTSB safety recommendation. Provide AVP with electronic or paper copies of all documents to support the FAA's response to the NTSB safety recommendation.
(7) Coordinate the proposed actions to address the NTSB safety recommendations with all affected FAA elements prior to forwarding proposed response to AVP.
(8) Continually monitor proposed actions in response to the NTSB safety recommendations to ensure timely completion of stated actions. If major slippages are identified, ensure AVP is immediately notified of the revised completion date.
11. FAA Reporting Requirements. The Annual Report to the Secretary on FAA's Responsiveness to NTSB Safety Recommendations and Accident Investigations will be prepared by AVP for the Administrator's signature. The report will be submitted to the Secretary on or before March 15 of each year and will address actions taken during the preceding calendar year. This report will: (a) Assess the effectiveness of the statutory scheme for dealing with accident investigations.
(b) Identify any problem areas in the FAA's working relations with the NTSB.
(c) Recommend changes in procedures, relationships, or basic legal authority.
idolph Babbitt linistrator