rev 7 – 6/98

PEER REVIEW - Standard Operating Procedures

Authority

Under the two place training exemptions there exists a requirement for each program to have a procedure to rescind authority to operate under this exemption. The following standard operating procedure has been established to appropriately meet that requirement.

Section 1.0 - Infraction Reports

As reports are received by the organization’s Peer Review Investigator, the special requirements of the report are as follows:

1.1 All reports must be in writing and signed. (Anonymous reports, allegations, or telephone complaints will not be formally reviewed by the Peer Review Investigator or Committee);

1.2 Alleged event(s)/infraction(s) reported must involve the given organization’s registered students, pilots, BFls, AFIs or ultralight qualified CFIs only; EAA Peer Review procedures are limited to violations of FAA Exemption 3784 and subsequent revision, and EAA’s Operating Conditions.

1.3 Written reports should at least contain the following information:

1.3.1 Date(s) and time(s) alleged events/infraction occurred;

1.3.2 Identity of the accused pilot(s), including as much information as possible, i.e., address,

phone, etc., so as to avoid mistaken identity;

1.3.3 Aircraft or vehicle type (include N-number or registration number, if known);

1.3.4 Complete description of the infraction(s) or event(s) alleged to have occurred including supporting evidence (photos, affidavits, etc.) that can help substantiate the claims being made;

1.3.5 an account of any efforts (past and present) taken to correct the reported behavior through efforts at self-regulation or enforcement actions (such as FAA or local police);

1.3.6 list of other witnesses with addresses and phone numbers who will be willing to corroborate the allegations contained in the report.

Section 2.0 - Peer Review Committee

When a formal written report is received, the complaint process may proceed to the Peer Review Investigator and/or committee for consideration. From that point until concluded, records shall be maintained by the Peer Review Investigator and/or committee. A file will be kept containing all hard copy evidence pertaining to the investigation, only while it is in progress. (At completion, the records must be reduced to the report format as shown in 2.2.7)

2.1 Make-up of Peer Review Committee

2.1.1 The Peer Review Committee should consist of three individuals appointed by the organizations governing body.

2.2 - The Inquiry/investigatory Process

2.2.1 Step 1 - The Peer Review Investigator must inform the accused that an investigation is being initiated. This notification must be made by certified letter and include;

a) the charges,

b) the potential ramifications and

c) the clear notification that response is not required at this time, but will be mandatory when the investigation is complete, as documented by a second certified letter.

2.2.2 Step 2 - Peer Review Investigation Results.

The Peer Review Committee must be able to conduct its investigations in a professional manner providing fair and equitable due process to all concerned. Therefore, the Peer Review Investigator is responsible for accumulating all possible relevant information. This is documented in a Peer Review Investigation Results.

2.2.3 Step 3 - Final request for response from the accused.

When completed, the Peer Review Investigation Results are submitted to the accused under a cover letter that clearly states that the accused must respond in writing or he will be found to have failed to cooperate with the Peer Review Committee. As defined in the exemption requirements, this failure may result in exemption authority revocation. The accused is typically given 3 weeks to respond, special cases may allow later responses on a case by case basis (or if a special request by the accused shows sufficient cause).

2.2.4 - Step 4 - The Peer Review Document

2.2.4.1 The Peer Review Document is the collection of the Peer Review Investigation Results and the Response from the accused collected by the PR Investigator under a cover letter setting forth the data as collected.

2.2.4.2 The Peer Review Committee should base all of its final conclusions on the data as provided in the Peer Review Document and by the PR Investigator.

2.2.5 Step 5 - Peer Review meeting and conclusions

2.2.5.1 The Peer Review meeting may be either in person or via telecon. The meeting is chaired by the Peer Review Investigator. In this meeting the PR Investigator may not vote, however, the PR Investigator is required to provide an assessment of the non-tangible data encountered during the investigation. This may include attitudes, postures, nonverbal indications and relational data references. The PR Investigator may provide his assessment of the situation and the facts supporting it, however the responsibility and voting rights remain solely with the Peer Review Committee members, which does not include the PR Investigator. EAA and ASC will each determine their own process for selecting the peer review investigator and/or committee.

2.2.5.2 There are only three possible Peer Review Committee conclusions;

1) not guilty, no action required.

2) guilty (or "further action warranted"), and specific actions to be taken by the staff. These may range from a letter of reprimand to the file, up to revocation of authority under the exemption for a period of time, or even indefinitely.

3) additional data is required in a specific area, in which case, the Peer Review Investigator is required to restart the process at the inquiry level. However, this time the investigation is to be more focused and specific.

2.2.6 Step 6 - Communications.

As soon as practical, all concerned parties should be informed, regarding the Peer

Review Committee's final decisions and actions (if any). This communication should be prepared by the exemption handling staff and provided in writing.

Concerned parties shall include as a minimum:

a) the accuser

b) the accused

c) any witness(es) providing written input

d) organizations leader, ie. chairman of the council or CEO as appropriate.

2.2.7 Step 7 - Reports.

An abstract report shall be retained for the purpose of documenting that peer review proceedings occurred and were concluded with appropriate recommendations. The report should conform to the following guidelines:

a. Name of accused

b. Name of accuser

c. Date of reported infraction

d. Date of Peer Review Committee meeting/telecon

e. PR Conclusions

f. Required actions, if any.

g. The reference Peer Review number.

2.3 Emergency Actions of Suspension

In certain cases, there may exist an emergency need for immediate suspension of authority under the exemption in order to protect persons, property or other overriding consideration.

In such cases, the primary staff for each exemption holder may implement immediate suspension of authority by direct notification. Direct notification may include phone, mail, e-mail, or other, as appropriate. The suspending personnel must convene an initial Peer Review Committee within five working days. That review may either; reinstate the instructor, or initiate a full Peer Review investigation (with or without reinstatement). The Peer Review will then proceed under this procedure starting at 2.2 - The Inquiry/Investigation Process.

Section 3.0 - Schedule

An optimum window for resolution should be two to four months, with six months the desired maximum.

Section 4.0 - Sanctions

4.1 Sanctions may be applied when a finding of guilty or "further action warranted" is made (such as maintaining an "open" file on a pilot or requiring the pilot's participation in some type of monitored review program).

4.2 The precise sanctions imposed (such as permanent or temporary loss of exemption privileges or the required participation in a monitored review program or a period of probation, etc.) will be determined by the Peer Review Committee.

4.2.1 The determinations of the ASC Peer Review Committee are final and may not be overturned by any other entity. The EAA Peer Review Committee will present its findings and recommendations to the EAA Ultralight Council who will have the final decision by majority vote.

4.3 Sanctions will be carried out by the organizations staff handling exemption matters. In revocation of authority under the exemption, specific notification will be made to the FAA via the key exemption contact. As of 6/98 that person is William Cook AFS-820. Should he be replaced or retire, the individual responsible for exemption coordination will be the contact. This is done so that FAA can determine if the data should be handed on to the other exemptions.

5.0 Revisions

This procedure may be revised as needed, from time to time. Therefore, the most current copy will supersede all others. If an assurance of validity of the copy is needed, it will necessary to validate the most current revision date with the ASC office at 616-781-4021.