Section 6. Records

4-6-1. FACILITY RECORDS MANAGEMENT

Manage facility records in accordance with FAAO 1350.15, Records Organization, Transfer, and Destruction Standards.

4-6-2. COLLECTION OF OPERATIONAL DATA

a. Air traffic managers are responsible only for the routine collection and reporting of basic operational information as authorized in this order or by the appropriate service unit. Collection of any data must be considered a secondary function and must not interfere with the accomplishment of operational duties.

b. Air traffic managers must not permit their facilities to participate in special studies and surveys nor agree to the use of facility personnel to tabulate, prepare, or forward to outside organizations or parties any special summaries, abstracts, reports, or aeronautical data unless approved in advance by the Service Area office.

4-6-3. FORMS PREPARATION

a. Exercise care when preparing forms to ensure neatness and accuracy. The forms are a part of the facility's permanent records and subject to review by authorized personnel or agencies.

b. Except as in subpara c, do not erase, strikeover, or make superfluous marks or notations. When it is necessary to correct an entry, type or draw a single horizontal line through the incorrect data, initial that part of the entry, and then enter the correct data.

c. When using an automated Form 7230-4, grammatical and spelling errors may be corrected by use of delete or type-over functions. Substantive changes in contents of remarks should be accomplished by a subsequent or delayed entry. If the computer software used contains a strikeout feature, this feature may be used.

d. Authorized FAA abbreviations and phrase contractions should be used.

e. New daily forms must be put into use at the start of each day's business.

4-6-4. FAA FORM 7230-4, DAILY RECORD OF FACILITY OPERATION

a. Completion of FAA Form 7230-4, Daily Record of Operation. Using agency-approved automation methods to complete FAA Form 7230-4 is preferred to using manual methods.

1. Each air traffic facility, excluding Federal contract towers (FCT) and FAA flight service stations, must use the Comprehensive Electronic Data Analysis and Reporting (CEDAR) program to complete an automated version of FAA Form 7230-4.

2. Where currently in use, facilities and/or TMUs may continue to use the NTML to complete an automated version of the FAA Form 7230-4.

NOTE-
A National Workgroup has been established to develop methods to exchange pertinent data between CEDAR and NTML that is needed to complete FAA Form 7230-4. This method will enable a single method of completing an automated version of the FAA Form 7230-4 while maintaining the unique program functionality capability of both CEDAR/NTML programs.

3. If an automated method is not available to complete FAA form 7230-4, the facility and or traffic management unit must manually complete the form. An example of the Daily Record of Facility Operation follows this section. (See FIG 4-6-1.)

b. The use of FAA Form 7230-4 for individual position assignments is authorized only for the STMCIC, FLMIC, OMIC, TMC, TMCIC, and CIC positions, and positions at the ATCSCC.

4-6-5. PREPARATION OF FAA FORM 7230-4

Personnel responsible for preparation of the Daily Record of Facility Operation, FAA Form 7230-4, must ensure that entries are concise, yet adequately describe the operation of the facility, including any abnormal occurrences. Prepare FAA Form 7230-4 as follows:

a. Use of a typewriter, computer printout, or ink is mandatory. Signatures or handwritten initials must be in either blue or black ink. Handwritten entries must be printed, rather than in script. REMARKS section entries must be single-spaced.

b. Make all time entries in UTC, except that in the section titled “Personnel Log,” local time must be used for time and attendance purposes.

c. Complete the information required at the top of each form.

d. Make an appropriate notation under “Operating Position” to indicate the extent of the operation described on each form; e.g., “AM,” “All,” “Sector D3,” etc.

e. The first entry in the REMARKS section of each day's form must indicate the employee responsible for the watch and must be used to show carry-over items. Items to be carried over from the preceding “Daily Record of Facility Operation” are those which will affect the current day's Daily Record (e.g., equipment outages, runway or airspace status, or coordinated routes/procedures). The last entry on each day's form must indicate the close of business (COB), consider midnight local time or facility closing time, if earlier, as the close of the day's business.

f. Employees must sign on/off as follows:

1. When a typed or handwritten FAA Form 7230-4 is used, the employee assuming responsibility for the watch must sign on using their operating initials and must sign the certification statement at the bottom of the form.

2. When an automated FAA Form 7230-4 is used, in lieu of actually signing the form, the employee assuming responsibility for the watch must sign on using their name, e.g., “1430 J. SMITH ON.” Entering the name of the employee assuming responsibility for the watch, in lieu of entering operating initials, serves the same purpose as signing the certification statement at the bottom of the actual form. Additionally, the employee responsible for the watch at the time that the form is printed out must sign the certification statement at the bottom of the form, as when the actual FAA Form 7230-4 is used.

3. When FAA Form 7230-4 is used to indicate position responsibility, record employees initials and exact minute on/off the position.

g. Establish and post a list of equipment checks required during each watch; e.g., recorder checks, siren check, etc. Make an entry (“WCLC”) on FAA Form 7230-4 when the watch checklist has been completed. Notify the organization responsible for corrective action on equipment malfunctions. Record equipment malfunctions, equipment released for service, notification information and/or course of action taken to correct problem, and return of equipment to service. Facilities may establish local forms and procedures for recording and disseminating equipment malfunction and restoration information. Local forms used for recording this information are considered to be supplements to FAA Form 7230-4 and must be filed with it.

NOTE-
At facilities which are closed prior to the beginning of the new business day, changes in status can occur during nonoperational hours. If the status of equipment or other facility operations has changed from status reported on previous days' FAA Form 7230-4, changes must be noted in Watch Checklist entry, as well as time of status change, if known (e.g., WCLC - ABC VOR RTS 0700). If necessary, place an “E” in the left margin as prescribed in para 4-6-5, Preparation of FAA Form 7230-4.

h. FAA Order 7210.56, Air Traffic Quality Assurance, defines situations requiring a Quality Assurance Review (QAR) and the procedures to be followed to accomplish the review. Promptly notify personnel responsible for conducting the review upon identifying the need for a QAR. Record QARs with the minimum detail necessary in order to identify the initiating incident (for example, unusual go-around, three/four-hour tarmac delay) and how it was identified (for example, in-flight evaluation).

1. En Route and Oceanic facilities must use the CEDAR tool to record and disseminate QARs. En Route and Oceanic facilities must also use CEDAR to document the resolutions of QARs.

2. Terminal facilities and flight service stations may utilize an automated version of FAA Form 7230-4 or establish local forms and procedures for recording, disseminating, and documenting the resolution of QARs. Local forms used for recording this information are considered supplements to FAA Form 7230-4 and must be filed with it.

i. Place a large letter “E” in the left hand margin beside entries on equipment malfunctions. The “E” must also be used when equipment is restored to service. The “E” is not required for facilities using local forms if procedures are established in accordance with subpara g.

NOTE-
The “E” is to be used on entries related to equipment problems which require Technical Operations involvement. The “E” is not required for routine maintenance items or for carryover entries on previously entered equipment malfunctions.

j. Place a large letter “Q” in the left hand margin beside QAR entries. Resolution of QARs, made in accordance with FAAO 7210.56, Air Traffic Quality Assurance, must be indicated by either the responsible person initialing and dating the original “Q” entry, or by a second “Q” entry identifying the incident and person responsible for accomplishing its review. It is not necessary to document the details of the review or corrective actions taken in these log entries provided the persons resolving the QAR maintain adequate notes and records so as to reasonably explain the QAR at a later date. The “Q” is not required for facilities using local forms if procedures are established in accordance with subpara h.

k. When this form is used to describe the operation of radioteletypewriter and radiotelegraph circuits, record the following information:

1. Frequencies being used and type of watch (continuous or scheduled) being maintained on each frequency.

2. A record of each communication, test transmission, or attempted communication except when such information is recorded elsewhere in the facility, the time the communication is completed, the station communicated with, and the frequency used.

l. Employees other than the person responsible for the watch who make an entry must initial or enter initials for each of their own entries.

m. Use additional forms as necessary to complete the reporting of the day's activity.

n. Make an entry closing out FAA Form 7230-4 at the close of business.

o. The air traffic manager, or his/her designee, must initial the form after reviewing the entries to ensure that the facility operation is adequately and accurately described.

4-6-6. FAA FORM 7230-10, POSITION LOG

a. Air traffic managers must ensure that FAA Form 7230-10, Position Log, or an automated sign on/off procedure is used for position sign on/off. FAA Form 7230-10 must be prepared daily. All logs, including automated ones, must reflect 24 hours or the facility's official operating hours, if less than 24 hours daily.

b. Position logs must be used as the sole-source record for on the job training instructor (OJTI) and evaluator time and premium pay. As a supporting document for time and attendance (T&A) purposes, position logs which document on the job training (OJT) time must be retained for one year prior to destruction.

c. Prepare FAA Form 7230-10 as follows:

1. Field 1 must contain the facility three-letter identification code.

2. Field 2 must contain a position identifier that is a maximum of five letters and/or numbers, starting in the first space on the left side of the field. Unused spaces must be left blank.

(a) ARTCCs: ARTCCs must use sector identifiers which have been approved by the En Route and Oceanic Area Office.

(b) TERMINALS and FSSs: When there is more than one position of a particular type, establish and use individual identifiers for each position. When only one position of a particular type exists, this field may be left blank.

3. Field 3 must contain a maximum of two letters to show the position type, as follows:

(a) ARTCCs: Starting on the left side of the field, use position codes as follows:

TBL 4-6-1
Field 3 - ARTCC

(b) Terminals: Use two-letter position codes as follows:

TBL 4-6-2
Field 3 - Terminal

(c) FSSs: Use two-letter codes, as follows:

TBL 4-6-3
Field 3 - FSS

4. Field 4 must contain the date in digit format. All spaces must be used.

5. Field 5 must contain the UTC time that the employee assumes responsibility for the position or the UTC time that the position is combined with another. For employees receiving OJT instruction or evaluation, field 5 must contain the UTC time that the OJT instruction or evaluation begins.

6. Field 6 must contain the operating initials of the employee working the position.

7. Field 7 must contain the UTC time that the employee is relieved of responsibility for the position or the UTC time that the position is decombined. For employees receiving OJT instruction or evaluation, field 7 must contain the UTC time that the OJT instruction or evaluation ends.

8. Field 8 must contain the appropriate code identified at the bottom of page 1 of the form.

9. Field 9 must contain the identifier of the position being combined with (per field 2). Field 9 may be left blank if the same entry is appropriate and entered in field 10.

10. Field 10 must contain the type of position being combined with (per field 3).

11. If the second page (back-side) of FAA Form 7230-10 is used, then fields 1, 2, 3 and 4 on that page must also be completed.

12. When a mistake is made in filling out fields 5, 6, 7, 8, 9, or 10 - if the portion of the line that is incorrect can be legibly corrected, then line out that portion only and write the correct information. If the incorrect portion cannot be legibly corrected, then line out the entire line and write the correct information on the next line.

4-6-7. AUTOMATED POSITION SIGN ON/OFF

a. FLIGHT SERVICE STATION.

Use of automated position sign on/off procedures is approved for FSS facilities. Facility managers are responsible for ensuring the accuracy of sign on/off data. Facilities must ensure sign on/off data is forwarded to concerned facilities along with other data required for accident packages. Sign on/off data must be retained for six months, in accordance with FAA Order 1350.15, Records Organization, Transfer, and Destruction Standards. Data can be retained either electronically or on paper. FAA Form 7230-10, Position Log, is only required to be used during those times that the automated procedure is not available.

b. TERMINAL/EN ROUTE.

Use of automated position sign on/off procedures is approved for terminal and en route facilities. The information requirements described in para 4-6-6, FAA Form 7230-10, Position Log, for FAA Form 7230-10 also apply to the automated procedure, except that times on/off the position may be displayed to the second rather than to the minute. Before implementation, facilities must receive En Route and Oceanic Operations Area or Terminal Operations Area office approval and must verify the accuracy of the automated sign on/off procedure by conducting a 30-day trial period. After successfully verifying the automated procedure's accuracy, an actual FAA Form 7230-10 is only required to be used during those times that the automated procedure is not available.

4-6-8. TIME AND ATTENDANCE (T&A) RECORDING

Record the actual times an employee works and is absent on a daily basis. Facilities may use any of the following methods for documenting time and attendance reported to the servicing payroll office.

a. The supervisor's or timekeeper's observation and subsequent recording of employees' hours worked. When this method is used, leave usage must be documented via OPM (Formerly Standard Form 71), Request for Leave or Approved Absence, or a locally produced form/electronic format documented by facility directive.

b. Personnel log. A locally produced sign in/out form documented by facility directive, or FAA Form 7230-4.

1. When employees arrive, they must sign their name and record their time of arrival. When employees leave, they must record their time of departure and initial the form.

2. The personnel log must contain a statement or certification signed by each shift supervisor affirming the form's accuracy and approving the entries made by personnel while under their supervision. This statement must include the specific period of time for which each supervisor is providing certification.

3. The personnel log may also be used to document leave usage provided:

(a) The employee records the amount and type of leave used on the day the leave is used.

(b) Since leave use is covered by the Privacy Act, local management must inform all employees that they may use OPM (Formerly Standard Form 71), Request for Leave or Approved Absence instead of indicating their leave use on the log (or any other group format employed). This notification must be in writing, signed by the employee and retained in facility files, or the notification may be included in a facility directive which authorizes the group form.

c. Facilities may develop forms other than the personnel log to facilitate the documentation of leave and absence, provided:

1. The form includes, as a minimum, the employee request for leave, and the supervisor's approval/disapproval.

2. Each form and its use must be contained in a facility directive.

3. Group forms must allow for the Privacy Act alternative addressed above.

d. Initialing time and attendance reports may be used to document leave usage where this capability still exists.

e. Time clocks or other automated timekeeping devices. These devices may be linked to a supporting computer system for purposes of recording.

FIG 4-6-1
Daily Record of Facility Operation
[FAA Form 7230-4]

FIG 4-6-2
Position Log
[FAA Form 7230-10]