Narrative:

Both incidents involve TCAS. Air carrier X at 11000' advised ATC of initiating climb after already climbing 400' above assigned altitude of 11000' due to TCAS alert. Traffic causing alert was 10300'. Cpr Y at 3000' issued traffic 3 or more times on same target at 2500'. Cpr Y then climbed based on TCAS instructions, west/O ATC authorization. In this case, aircraft was being shuttled under 4000' traffic in pattern for ord runway 9R approach. Unsafe condition report was also filed on 4/X/91. There is no established policy or procedure for these altitude deviations.

Google
 

Original NASA ASRS Text

Title: ACR X AND CPR Y NON ADHERENCE TO ATC CLRNC. RECURRENT EVENT TCASII CAUSES FLT CREW EXCURSION FROM ASSIGNED ALT.

Narrative: BOTH INCIDENTS INVOLVE TCAS. ACR X AT 11000' ADVISED ATC OF INITIATING CLB AFTER ALREADY CLBING 400' ABOVE ASSIGNED ALT OF 11000' DUE TO TCAS ALERT. TFC CAUSING ALERT WAS 10300'. CPR Y AT 3000' ISSUED TFC 3 OR MORE TIMES ON SAME TARGET AT 2500'. CPR Y THEN CLBED BASED ON TCAS INSTRUCTIONS, W/O ATC AUTHORIZATION. IN THIS CASE, ACFT WAS BEING SHUTTLED UNDER 4000' TFC IN PATTERN FOR ORD RWY 9R APCH. UNSAFE CONDITION RPT WAS ALSO FILED ON 4/X/91. THERE IS NO ESTABLISHED POLICY OR PROC FOR THESE ALT DEVIATIONS.

Data retrieved from NASA's ASRS site as of July 2007 and automatically converted to unabbreviated mixed upper/lowercase text. This report is for informational purposes with no guarantee of accuracy. See NASA's ASRS site for official report.