03/09/10                              FY10 SECOND quarter Editorial updates                         8900.1 CHG 0

Volume 3 general technical administration

chapter 20  Check airman, instructor, and supervisor programs for 14 cfr parts 121 and 135 certificate holders

Section 1  General

3-1386       INTRODUCTION. This section contains guidance concerning check airman, air transportation instructor, and air transportation supervisor programs for Title 14 of the Code of Federal Regulations (14 CFR) parts 121 and 135 operators. This section addresses the roles and purposes of check airmen, air transportation flight instructors, air transportation ground instructors, and air transportation supervisors. Also in this section are regulatory requirements, qualifications, and functional responsibilities. Section 2 addresses Federal Aviation Administration (FAA) approval and surveillance of parts 121 and 135 check airmen. Section 3 addresses training requirements.

3-1387       REGULATORY REQUIREMENTS. Parts 121, § 121.401(a)(4) and part 135, § 135.323(a)(4) require operators to provide enough flight instructors and check airmen to conduct the flight training and flight checks required in parts 121 and 135. Sections 121.401(c) and 135.323(c) specify that each instructor, supervisor, or check airman responsible for a particular training curriculum or curriculum segment (including ground and flight training segments and flight checks or competency checks) shall certify the proficiency and knowledge of individuals receiving the training or checks. Sections 121.411 and 121.413 or §§ 135.337 and 135.339, as applicable, specify the qualification and training requirements for check airmen and flight instructors. Sections 121.421(b) and 121.422(b) require that Flight Attendants (F/A) and aircraft dispatchers may be given competency checks, which may be given by appropriately qualified air transportation supervisors or ground instructors. Section 121.434(e) requires that F/As receive Operating Experience (OE) under the supervision of a qualified F/A supervisor.

3-1388       EXEMPTIONS. The terms and procedures set forth in 14 CFR part 11 provide a process to petition for relief from regulatory requirements. The language contained in exemptions granted under this process is viewed as regulatory language and must be respected in exactly the same manner as the regulations themselves.

Note:       Confusion often arises when policy guidance appears to be inconsistent with regulations. Inspectors and operators must bear in mind that public laws and regulations—including exemptions—comprise the body of requirements that policy cannot change. Policy guidance documents such as advisory circulars (AC), handbooks, and notices are always subordinate to those requirements.

3-1389       DEFINITIONS. For purposes of standardization, the following definitions apply to check airmen, air transportation flight and ground instructors, and air transportation supervisors who teach and check under part 121 and 135 training programs:

A.     Check Airman. A check airman is an airman approved by the FAA who has the appropriate training, experience, and demonstrated ability to evaluate and to certify the knowledge and skills of other airmen. Evaluation is made on the basis of various checks conducted as modules in a specified air carrier’s FAA-approved training program. A check airman is authorized to conduct proficiency or competency checks (including line checks), to supervise the reestablishment of landing currency, and/or to supervise the initial OE requirements of §§ 121.434 and 135.244. A check airman may conduct flight training in the certificate holder’s approved program. A new term, “check pilot,” is replacing the older “check airman” in regulations and guidance. The term “check pilot” is synonymous with “check airman.”

Note:       Part 121 requires that a check airman reestablish a pilot’s landing currency. Part 135 does not have such a requirement.

B.     Air Transportation Flight Instructor. An air transportation flight instructor is an airman designated by a part 121 or 135 certificate holder, who has the appropriate training, experience, and demonstrated ability to instruct other airmen in a flight segment (curriculum segment) of that certificate holder’s training program. An air transportation flight instructor may certify the proficiency and knowledge of other airmen and recommend them for proficiency or competency checks, proficiency checks leading to certification, and other special qualification flight checks. An air transportation flight instructor may also conduct Line‑Oriented Flight Training (LOFT)/Line‑Operational Simulation (LOS) training under Advanced Qualification Program (AQP) and part 121, appendix H programs when all appropriate requirements have been met.

Note:       An air transportation flight instructor is not required to hold an FAA Flight Instructor Certificate when instructing in part 121 or 135 training programs.

C.     Air Transportation Ground Instructor. An air transportation ground instructor is a person selected and qualified by the certificate holder who has the appropriate knowledge, experience, training, and demonstrated ability to instruct crewmembers or aircraft dispatchers in curriculum segments other than flight curriculum segments. In accordance with §§ 121.402(a) and 135.324(a), an air transportation ground instructor must be working for, and under the direct operational control of, the certificate holder, another certificate holder under the same part, or a 14 CFR part 142 training center. An air transportation ground instructor may certify the satisfactory completion of ground training curriculum segments by flight crewmembers. An air transportation ground instructor who is specifically selected and qualified by the certificate holder may conduct competency checks for F/As or for aircraft dispatchers, as applicable.

Note:       For an air transportation ground instructor, holding an FAA Ground Instructor Certificate when conducting part 121 or 135 training activities is not a requirement.

D.    Supervisor. For purposes of this handbook, a supervisor is an aircraft dispatcher or F/A chosen by the certificate holder to conduct competency checks. An F/A supervisor may supervise F/A OE.

Note:       Certificate holders may define the term “supervisor” differently from the definition used in this handbook. Inspectors should ensure a mutual understanding of the term in discussions with air carriers.

3-1390       CHECK AIRMAN ROLE AND CHARACTERISTICS. The role of the check airman is to ensure that the flight crewmember has met competency standards before the check airman releases the crewmember from training, and to ensure that those standards are maintained while the crewmember remains in line service. Effective training and use of check airmen by an operator ensure that flight crewmembers are standardized in their job performance. A check airmen candidate must be knowledgeable in the applicable requirements of 14 CFR parts 61, 63, 65, 91, 121, 135, and other regulations in applicable FAA policies and safe operating procedures required for particular crewmember positions. A check airman candidate must have achieved and maintained a favorable record as a flight crewmember. Once approved, a check airman’s manner and professional reputation should always reflect positively upon the employer and the FAA.

Note:       Under current regulations no normal term to expiration is specified for approvals of check airmen (unlike designated examiners, whose term is 12 months, per 14 CFR part 183). A check airman’s approval may be given, limited, or withdrawn in the discretion of the principal operations inspector (POI).

3-1391       CLASSIFICATIONS OF CHECK AIRMAN. There are six check airman classifications, five of which relate to pilots and one of which relates to Flight Engineers (FE). Approval for each check airman classification is contingent on the check airman having been properly certificated in the applicable aircraft and crew position, having been trained in accordance with the operator’s approved check airman training program for the specific classification, and having demonstrated to the FAA the ability to conduct a test event and to evaluate an airman’s performance. The six check airman classifications are:

·        Proficiency Check Airman–Aircraft.

·        Proficiency Check Airman–Simulator.

·        Line Check Airman–All Seats (left, right, observer’s).

·        Line Check Airman–Observer’s Seat Only.

·        Check Airman–All Checks.

·        Check FE.

3-1392       PROFICIENCY CHECK AIRMAN—AIRCRAFT (INCLUDES SIMULATOR).

A.     Eligibility. For initial and continuing approval as a proficiency check airman (aircraft), an airman must meet the following eligibility requirements:

·        Hold the required certificate and ratings for the specific aircraft to serve as the pilot in command (PIC) in revenue service.

·        Hold FAA Form 8500-9, Medical Certificate Third Class, for instructing or evaluating in an aircraft. For programs approved under § 121.409(b) (and the sections referenced therein), a medical certificate is not required.

·        Have completed the operator’s air transportation flight instructor and check airman qualification training programs required by §§ 121.411, 121.413, and appendix H, or by §§ 135.337 and 135.339, as applicable, covering such topics as:

·        Check ride briefings and debriefings:

·        For an applicant.

·        For supporting crew members.

·        For a safety pilot.

·        Safety preparedness and countermeasures:

·        In an aircraft.

·        In a flight simulator (SIM) (such as emergency exits, fire and smoke procedures, and simulator motion failures).

·        Meet training and currency requirements to serve as the PIC for that operator, including ground and flight training, proficiency or competency checks, and 90‑day landing currency.

·        Maintain line currency as a flightcrew member with the operator, or be line familiar with the operator’s procedures and line operation by participating in a line observation program that the operator’s POI has approved. (Refer to the current edition of AC 120-35, Line Operational Simulations: Line Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation, for a discussion of terms.) Holding a medical certificate appropriate to the crew position occupied on the line is a requirement for those instructors and check airmen who maintain line currency.

·        Satisfactorily demonstrate, initially and at least every two years, to an FAA inspector the ability to conduct proficiency or competency checks in an aircraft in flight or in a simulator, or in both, as appropriate. Initial evaluation must include evaluation in an aircraft. Evaluation of an instructor in a simulator must include the individual’s ability to operate the simulator while instructing.

B.     Authorized Activities. A classification of proficiency check airman (aircraft) authorizes a check airman to conduct the following activities:

·        Pilot proficiency or competency checks conducted as a qualification curriculum segment in the operator’s approved training program, from either pilot seat in an aircraft in flight, or in a simulator, as appropriate.

·        Flight instruction in the operator’s approved training program, from either pilot seat in an aircraft in flight, or in a simulator, or both, as appropriate.

·        Supervision of the reestablishment of landing currency.

·        Special checks conducted as a qualification curriculum segment of the operator’s approved training program, provided the check airman is qualified in the specific activity for which the special check is being conducted (such as Category II (CAT II) and Category III (CAT III) operations).

·        Certification of the satisfactory proficiency and knowledge of airmen after completion of a flight training curriculum segment or flight training module.

·        When authorized by the operator, ground instruction for airmen, and certification of the satisfactory completion by an airman of a ground training curriculum segment.

3-1393       PROFICIENCY CHECK AIRMAN—SIMULATOR.

A.     Eligibility. To be eligible for initial and continuing approval as proficiency check airman (simulator), an airman must meet the following eligibility requirements:

·        Hold the required certificate and ratings to serve as the PIC of the specific aircraft in revenue service.

·        Hold at least a valid third‑class medical certificate (FAA Form 8500-9).

·        Have completed the operator’s air transportation flight instructor and check airman qualification training programs as required by §§ 121.411, 121.413, and appendix H, or by §§ 135.337 and 135.339, as applicable. The requirements of §§ 121.413(c)(1) and 135.339(c)(1) may be accomplished entirely in a simulator, including such topics as:

·        Check ride briefings and debriefings:

·        For an applicant.

·        For supporting crewmembers.

·        Safety preparedness and countermeasures in a SIM (such as emergency exits, fire and smoke procedures, and simulator motion failures).

·        Meet the currency requirements to serve as the PIC for the operator, including ground and flight training and the required proficiency or competency checks. These requirements may be met by using a level B (or higher) SIM, in which case landing currency in the actual aircraft is not required. When the operator’s training program includes single visit training under an exemption to part 121, or is approved for AQP, the instructor must maintain currency as required by those programs.

·        Maintain line currency as a flight deck crewmember with the operator, or be line familiar with the operator’s procedures and line operation by participating in a line observation program that the operator’s POI has approved. (Refer to the current edition of AC 120-35, for a discussion of terms.) A medical certificate appropriate to the crew position occupied on the line is required for those instructors and check airmen who maintain line currency.

·        Satisfactorily demonstrate to an FAA inspector, initially and at least every two years, the ability to conduct proficiency or competency checks in simulated flight in a simulator. Part of the inspector’s observation must address the check airman’s proficiency in evaluating an airman and operating the simulator simultaneously.

B.     Authorized Activities. Approval as a proficiency check airman (simulator) authorizes a check airman to conduct the following activities:

·        Pilot proficiency or competency checks, as authorized, in an approved SIM or flight training device (FTD) in a qualification curriculum segment of the operator’s approved training program.

·        The simulator or training device segment, as authorized, of a two-segment proficiency or competency check, as a qualification curriculum segment of the operator’s approved training program.

Note:       A two‑segment check is one conducted partially in an approved training device or simulator and completed in flight in an aircraft.

·        Flight instruction in a SIM or FTD as a curriculum segment in the operator’s approved training program.

·        Supervision of the reestablishment of landing currency.

·        Any special check as a module in the operator’s approved training program, provided that the check airman is qualified in the specific activity for which the special check is being conducted (such as CAT II and CAT III operations).

·        Certification of the satisfactory proficiency and knowledge of airmen after completion of a flight training curriculum segment or flight training module.

·        When authorized by the operator, ground instruction for airmen and certification of the satisfactory completion of a ground training curriculum segment.

3-1394       LINE CHECK AIRMAN—ALL SEATS (LEFT PILOT SEAT, RIGHT PILOT SEAT, AND OBSERVER’S SEAT).

A.     Eligibility. For initial and continuing approval as a line check airman (all seats), an airman must meet the following eligibility requirements:

·        Hold the required certificate and ratings for the specific aircraft to serve as the PIC in revenue service.

·        Hold a valid medical certificate equal to the class required to act as the PIC in revenue service.

·        Meet training and currency requirements to serve as the PIC, including line currency, ground and flight training, proficiency or competency checks, line checks, and 90‑day landing currency. (These requirements may be met entirely in a level B or higher simulator.)

·        Have completed the operator’s check airman qualification training program equivalent to that required by §§ 121.411 and 121.413, or §§ 135.337 and 135.339, as applicable, including such topics as:

·        Briefings and debriefings:

·        For the PIC.

·        For other crewmembers.

·        Safety preparedness and countermeasures:

·        In an aircraft.

·        Satisfactorily demonstrate to an FAA inspector, initially and at least every two years, the ability to conduct line checks from a pilot seat or to oversee OE and other activities.

B.     Authorized Activities. Approval as a line check airman (all seats) authorizes a check airman to conduct the following activities:

·        Pilot line checks from either pilot seat or the observer’s seat.

·        Supervision of OE from either pilot seat.

Note:       OE may be conducted from the observer’s seat, in accordance with § 121.434(c)(ii), provided that the PIC is completing a transition training curriculum by acquiring OE; the PIC has made at least two takeoffs and landings in the aircraft; and the check airman is satisfied that the pilot is competent to perform as the PIC.

·        Training and checking in special operations as a module of the operator’s approved training program, provided that the check airman is qualified in the specific operations being conducted (special airports or international routes).

·        When authorized by the operator, ground instruction and certification of the satisfactory completion by an airman of a ground training curriculum segment.

3-1395       LINE CHECK AIRMAN—OBSERVER’S SEAT ONLY.

A.     Eligibility. For approval as a line check airman (observer’s seat only), an airman must meet the following eligibility requirements:

·        Hold the required certificate and ratings to serve as the PIC in the particular aircraft.

·        Hold at least a valid third‑class medical certificate (FAA Form 8500-9).

·        Meet the currency requirements to serve as the PIC, including ground and flight training, proficiency or competency checks, and 90-day landing currency. These requirements may be met entirely in a level B (or higher) simulator for this designation.

·        Have completed the operator’s check airman qualification training program equivalent to that required by §§ 121.411 and 121.413, or §§ 135.337 and 135.339, as applicable, including such topics as:

·        Briefings and debriefings:

·        For the PIC.

·        For other crewmembers.

·        Safety preparedness and countermeasures:

·        In an aircraft.

·        Satisfactorily demonstrate, initially and at least every two years, to an FAA inspector the ability to conduct line checks from the observer’s seat when a second observer’s seat is available: otherwise in LOFT.

·        Maintain line currency as a flight deck crewmember with the operator, or be line familiar with the operator’s procedures and line operation by participating in a line observation program that has been approved by the operator’s POI. (Refer to the current edition of AC 120-35 for a discussion of terms.) If the instructor and check airman want to maintain line currency, than the appropriate medical certificate is required.

·        Be re‑evaluated initially and at least every two years as a line check airman by an FAA inspector.

Note:       The operator must have procedures, published in his/her operations manual, which he/she will follow in the event that a line check airman determines that a pilot’s performance does not meet standards that would allow the individual to continue to operate the aircraft. The check airman must not allow the crewmember to continue the flight or trip. If the line check airman does not possess the appropriate class of medical certificate to substitute for the crewmember, specific alternative procedures must be followed.

B.     Authorized Activities. Approval as a line check airman (observer’s seat only) authorizes a check airman to conduct the following activities as modules of the operator’s approved training program, provided that the PIC and second in command (SIC) are current and fully qualified in the aircraft:

·        Line checks from the observer’s seat.

·        Training and checking for special operations, from the observer’s seat, provided that the check airman is qualified in the specific operation (such as special airports and international routes).

·        When authorized by the operator, ground instruction and certification of the satisfactory completion by an airman of a ground training curriculum segment.

3-1396       CHECK AIRMAN—ALL CHECKS. The airman must meet eligibility requirements for a proficiency check airman (aircraft), for a proficiency check airman (simulator), and for a line check airman (all seats), in accordance with earlier paragraphs in this section. Approval as a check airman (all checks) authorizes a check airman to conduct all checks contained in the qualification curriculum segment of the operator’s approved training program, including those checks and other activities of a line check airman (all seats). With the approval of the operator, a check airman has the authorization to give flight and ground instruction in that training program.

3-1397       CHECK FLIGHT ENGINEER. Approval as a check FE is appropriate for operators using aircraft exclusively for their FE training programs. This approval is also appropriate for operators using SIMs or FTDs for part or all of those training programs.

A.     Eligibility. For initial and continuing approval as a check FE, an airman must meet the following eligibility requirements:

·        Hold the required certificate and class ratings to serve as a FE on the specific aircraft in revenue service.

·        Hold a valid third‑class medical certificate (FAA Form 8500-9) when conducting simulator checks.

·        Hold a valid third‑class medical certificate (FAA Form 8500-9) when conducting aircraft training or checks in an aircraft in flight.

·        Have completed the operator’s approved air transportation check airman training program for this function, including the training required by §§ 121.411 and 121.413, as applicable to the FE crew position, including topics such as:

·        Check ride briefings and debriefings:

·        For an applicant.

·        For supporting crewmembers.

·        Safety preparedness and countermeasures:

·        In an aircraft (if applicable).

·        In a SIM (such as emergency exits, fire and smoke procedures, and simulator motion failures).

·        Meet the training and currency requirements to serve as a FE for the operator in the specific aircraft, including ground training, flight training, and proficiency checks.

·        Maintain line currency as a flight deck crewmember with the operator, or be line familiar with the operator’s procedures and line operation by participating in a line observation program that the operator’s POI has approved. (Refer to the current edition of AC 120-35, for a discussion of terms).

·        Satisfactorily demonstrate to an FAA inspector, initially and at least every two years, the ability to conduct a FE proficiency check in a SIM.

Note:       When the normal procedures portion of the check must be conducted in an aircraft and in flight, an FAA inspector must observe the check airman candidate under those conditions. If the normal procedures segment of the check can be conducted in a simulator, the check airman may be evaluated either in the simulator or in an aircraft (refer to Exemption No. 4901, as amended).

B.     Authorized Activities. Approval as a “check Flight Engineer” makes a check airman eligible to conduct any or all of the following activities, subject to the specific terms (authorizations and limitations) shown in the letter of approval:

·        FE proficiency checks in an approved FTD or SIM, or in an aircraft, as a module of the qualification curriculum segment in the operator’s approved training program.

·        Instruction of FEs in an approved FTD or SIM, or in an aircraft, as a module in the operator’s approved training program.

·        Certification of the satisfactory performance of airmen after completion of a flight training curriculum segment or flight training module.

·        When authorized by the operator, ground instruction and certification of the satisfactory completion by an airman of a ground training curriculum segment.

3-1398       AIR TRANSPORTATION INSTRUCTOR ROLE AND CHARACTERISTICS. An air transportation instructor is a person employed by an operator or training center for the purpose of training flight crewmembers in a part 121 or 135 operator’s approved ground training curriculum. The training must be sufficient to ensure that acceptable performance standards are met. When selected and qualified by the operator, an air transportation instructor is responsible for certifying the knowledge and proficiency of each crewmember upon completion of a training curriculum or curriculum segment. Air transportation instructors must be knowledgeable in the applicable requirements of parts 61, 63, 65, 91, 121, 135 (as appropriate), and in the operator’s policies and procedures. An air transportation instructor should possess effective communication skills and a manner which always reflects professionalism and a positive attitude toward safety.

3-1399       AIR TRANSPORTATION FLIGHT INSTRUCTOR—AIRCRAFT. An air transportation flight instructor in an aircraft may be a pilot instructor, a FE instructor, or both, and may also conduct flight training in a SIM, FTD, or ground training.

A.     Eligibility. An instructor candidate airman must meet the following eligibility requirements:

·        Hold the certificate and ratings required to serve in revenue service in the specified crewmember duty position on the specific aircraft except that the certificates and ratings are not required for training programs approved under § 121.409(b) (simulators).

·        Hold a valid third‑class medical certificate (FAA Form 8500-9) for operations conducted under part 91 such as aircraft training and aircraft ferry operations.

·        Meet currency requirements to serve as the PIC for the operator or as FE for the operator, including ground and flight training, proficiency or competency checks, and (for pilots) 90-day landing currency.

·        For pilots, must complete an annual line check or line observation module of a recurrent qualification curriculum segment.

·        Have received flight instructor qualification training under the operator’s approved training program, including the training required by §§ 121.411, 121.413, and appendix H, or §§ 135.337 and 135.339, as applicable.

·        Maintain line currency as a flight deck crewmember with the operator, or be line familiar with the operator’s procedures and line operation by participating in a line observation program that the operator’s POI has approved. (Refer to the current edition of AC 120-35 for a discussion of terms.) For those instructors and check airmen who maintain line currency, holding a medical certificate appropriate to the crew position occupied on the line is a requirement.

B.     Authorized Activities. An air transportation flight instructor in an aircraft, when authorized by the employer, may conduct the following flight instruction activities:

·        Flight instruction for airmen in an aircraft in flight, including instruction in giving appropriate preflight and postflight briefings.

·        Certification of the satisfactory performance of an airman after completion of a flight training curriculum segment or flight training module.

·        When authorized by the operator, ground instruction and certification of the satisfactory completion by an airman of a ground training curriculum segment.

3-1400       AIR TRANSPORTATION FLIGHT INSTRUCTOR—SIMULATOR. An air transportation flight instructor in a simulator may instruct in a simulator or FTD, and may be a pilot instructor, a FE instructor, or both.

A.     Eligibility. A candidate must meet the following eligibility requirements:

·        Under a part 121 training program, a pilot simulator instructor candidate must hold at least an Airline Transport Pilot Certificate (ATPC); additionally an approved type rating for initial instruction.

·        Under a part 135 training program, a pilot simulator instructor candidate must hold an ATPC and the appropriate type rating. A commercial certificate with an instrument rating is sufficient when operations of the aircraft do not require the PIC to hold an ATPC and type rating.

·        Pilot simulator instructor candidates must have received the training required by part 121, appendix H, when applicable. All candidates must have received the simulator instructor qualification required by the operator’s approved training program including that required by §§ 121.411 and 121.413, or §§ 135.337 and 135.339, as applicable, including such topics as:

·        Briefings and debriefings by the PIC to flight deck crewmembers and to other crewmembers.

·        Safety preparedness and countermeasures in a SIM (such as emergency exits, fire and smoke procedures, and simulator motion failures).

Note:       The requirements of §§ 121.413(c) and 135.339(c)(1) may be accomplished entirely in a simulator.

·        Maintain line currency as a flight deck crewmember with the operator, or be line familiar with the operator’s procedures and line operation by participating in a line observation program that the operator’s POI has approved. (Refer to the current edition of AC 120-35 for a discussion of terms) A medical certificate appropriate to the crew position occupied on the line is required for those instructors and check airmen who maintain line currency.

B.     Authorized Activities. An air transportation flight instructor in a simulator, when authorized by the employer, may conduct the following flight instruction activities:

·        Flight instruction of airmen in a SIM or FTD, including instruction in giving the appropriate preflight and postflight briefings.

·        Certification of the performance of an airman after completion of the SIM or FTD portion of a flight training curriculum segment or flight training module (§ 121.409(b)).

·        When authorized by the employer, ground instruction and certification of the satisfactory completion by an airman of a ground training curriculum segment.

3-1401       AIR TRANSPORTATION GROUND INSTRUCTOR.

A.     Eligibility. Sections 121.402(a) and 135.324(a) specify that other than the certificate holder, only another certificate holder under the same rule part or a part 142 training center may provide training or checking under contract. In addition, §§ 121.401(a)(2) and 135.323(a)(2) require that certificate holders provide adequate ground training facilities and properly qualified ground instructors. An FAA inspector should monitor a certificate holder’s ground instruction to ensure that only qualified and competent instructors teach the approved training curriculum and curriculum segments. Inspectors and check airmen conducting checking events must evaluate the knowledge and competency of crewmembers that have completed the ground training curriculums. They should identify any deficiencies and effect any required corrections with respect to the trainee, the instructor, or the training program itself. POIs should monitor instructor training records to ensure that air transportation ground instructors are properly qualified.

B.     Authorized Activities. An air transportation ground instructor, when selected and qualified by the certificate holder, may instruct in specified ground training curriculum segments.

Note:       The use of any training device, including mockups, FTDs, and SIMs is appropriate provided that the use of such a device is an integral part of an approved ground training curriculum segment (no flight training credit permitted).

C.     Training and Qualification Records. The certificate holder must maintain documentation of the training and qualification for each air transportation ground instructor and supervisor, and must make that documentation conveniently accessible for inspection by the FAA.

3-1402       PART 121 SUPERVISOR, F/A, AND AIRCRAFT DISPATCHER. An air carrier operating under part 121 engaged in passenger‑carrying operations must establish and maintain a program to train and qualify F/A supervisors. Domestic and flag operators must also establish and maintain a program to train and qualify aircraft dispatcher supervisors. Those supervisors have the authorization to conduct the competency checks required by part 121 for F/As and aircraft dispatchers. Section 121.401(c) specifies that ground instructors and supervisors responsible for a particular ground training curriculum segment or competency check must certify the proficiency and knowledge of F/A crewmembers and aircraft dispatchers after completion of the competency check. When these ground instructors are chosen by their employers to conduct competency checks for aircraft dispatchers and F/As, they are termed air transportation supervisors, as defined in this handbook. To qualify, these supervisors must complete the appropriate training curriculum and the required competency check. To maintain qualification, supervisors must complete the required recurrent training curriculum. POIs should monitor training records to ensure that air transportation supervisors who conduct F/A competency or aircraft dispatcher competency checks are properly qualified. (See paragraph 3‑1401C.)

RESERVED. Paragraphs 3-1403 through 3-1420.


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Volume 3 GENERAL TECHNICAL ADMINISTRATION

chapter 9  RESERVED

Section 1  Reserved

RESERVED. Paragraphs 3‑236 through 3‑260.


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Volume 3   GENERAL TECHNICAL ADMINISTRATION

CHAPTER 18  OPERATIONS SPECIFICATIONS

Section 3  Part A Operations Specifications—General

3-736      DISCUSSION. This section and sections 4, 5, and 6 of Volume 3, Chapter 18 discuss each standard template available for issuance by the automated Operations Safety System (OPSS). These templates are more commonly referred to as “paragraphs.” The standard paragraphs discussed in this order are limited to operations in accordance with Title 14 of the Code of Federal Regulations (14 CFR) parts 91, 91K, 121, 125 (including Letter of Deviation Authority (LODA) 125M), 135, and 145.

A.     Definition of OpSpecs. The standard paragraphs for parts 121, 125, 135, and 145 are called operations specifications (OpSpecs).

B.     Definition of MSpecs. The standard paragraphs for part 91K are called management specifications (MSpecs).

C.     Definition of LOAs. The standard paragraph for part 91 and 125M are called letters of authorization (LOA).

D.    Other Source Documents. References are provided to other sections of this handbook, to advisory circulars, or other applicable documents that discuss detailed requirements for certain standard paragraphs.

E.     Ensure Complete Review. Before issuing a standard paragraph, any specific requirements specified by this order or the referenced material (relative to the paragraph being issued) must be met. Before reading the following sections for the first time, review the applicable paragraphs available in the OPSS for the specific regulation.

F.      Applicability of Paragraphs. There are some standard paragraphs that are required to be issued to all operators for a specific regulation. There are standard paragraphs that are optional and only issued when the operator is specifically authorized to conduct those operations.

3-737      PART A OPERATIONS AND MANAGEMENT SPECIFICATIONS PARAGRAPHS.

OPSPEC/MSPEC A001, ISSUANCE AND APPLICABILITY.

A.     General. A001 identifies the OpSpec/MSpec holder. The name must be the legal name of the operator. A001 also specifies the kinds of operations authorized, the applicable regulatory sections under which the operations are to be conducted, and any other business names under which the operations are being conducted. See the new OPSS user’s manual for additional guidance to issue A001. Figure 3‑4 is a summary of the information required in OpSpec/MSpec A001.

Table 3-4, Summary of Information Required in OpSpec/MSpec A001

Type of Certificate

Any of the following may apply:

Type of Carriage:

Regulation Reference:

Economic Authority

Text to be inserted:

Air Carrier

Domestic

Common

119.21(a)(1)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Flag

Common

119.21(a)(2)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Supplemental Passenger

(more than 60 pax and/or >18,000# payload)

Common

119.21(a)(3) (i)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Supplemental All Cargo

Common

119.21(a)(3) (ii)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

Commuter

(5+ trips/week)

Common

119.21(a)(4)

(Part 135)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier

On Demand

(less than 5 round trips/week)

Common

119.21(a)(5)

(Part 135)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation (DOT).

Air Carrier

Commuter

(flag or domestic)

Common

119.21(b)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Table 3-4, Summary of Information Required in OpSpec/MSpec A001 (Continued)

Type of Certificate

Any of the following may apply:

Type of Carriage:

Regulation Reference:

Economic Authority

Text to be inserted:

Air Carrier

On Demand

(Supplemental)

Common

119.21(c)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Operating

Flight

(Part 125)

Private

Non Common

119.23(a)

(Part 125)

and provided the certificate holder does not conduct any operation which results directly or indirectly from the certificate holder or any other person holding out to the public to provide for the carriage of person or property.

Operating

On Demand

(non scheduled)

Private

__________

Non Common

119.23(b)

(Part 135)

Ltd. to holding out to public

________

# of Con tracts

(Definitions)

119.23(b)(3)

and provided the certificate holder does not conduct any operation which results directly or indirectly from the certificate holder or any other person holding out to the public to provide for the carriage of person or property.

None

Fractional

Non Common

Park 91K

None

B.     Authorization. A001 authorizes the conduct of operations under other business names known as “doing business as” (DBA). If no operations are authorized to be conducted under another DBA, the statement selected will state that “the operator is authorized to use only the business name which appears on the certificate to conduct the operations described in subparagraph a.” Other DBAs authorized under 14 CFR parts 215 or 298 must be listed in OpSpecs. Before listing a DBA in an operator’s OpSpecs or entering a DBA in an Air Oper Vital Information Subsystem (VIS) file, inspectors must verify that the DBA is on file with DOT or an appropriate state agency. This verification can be accomplished by one of the following means:

1)      The operator shows that the DBA is listed on a DOT registration (proof of insurance);
2)      The operator shows that the DBA is listed on a DOT certificate of public convenience and necessity;
3)      The operator shows that the DBA is authorized by a DOT order or other DOT document;
4)      When the operator claims the DBA is on file with the DOT, verification must be made by contacting the DOT Office of Aviation Analysis, Air Carrier Fitness Division, (202) 366‑9721; or
5)      When an “operating certificate” is involved, the operator shows that the DBA is authorized and registered by an appropriate state authority.
6)      DBAs can apply to 14 CFR part 91 subpart K, but they do not have economic authority requirements.

C.     Part 145. For part 145 repair stations, A001 lists the:

·        Location,

·        Mailing address (if different from the fixed location),

·        Other DBAs (see subparagraph B above) if authorized, and

·        Any delegated authorities.

OPSPEC/MSPEC A002, DEFINITIONS AND ABBREVIATIONS. A002 includes definitions of words or phrases used in other paragraphs. These definitions are not found in the regulations and should enhance understandings between the FAA and the aviation industry. Washington headquarters developed definitions must not be changed by regional or district offices. Washington headquarters will add definitions when it becomes apparent that they are needed. Addition of a definition by a certificate‑holding district office (CHDO) makes the whole paragraph nonstandard and must be processed as a nonstandard OpSpec/Mspec request.

OPSPEC/MSPEC A003, AIRPLANE/AIRCRAFT AUTHORIZATION. A003 authorizes an operator to use specific make/model/series of airplanes or aircraft in 14 CFR part 91 subpart K, part 121, or part 135, operations. The following provides direction for the information fields which must be added to this paragraph.

A.     Make/Model/Series, Parts 91K, 121, and 135. Select the authorized make/model/series (M/M/S) from the listing provided in the OPSS. If the appropriate M/M/S cannot be found in the OPSS, inspectors should immediately notify the OPSS help desk so that the aircraft can be updated.

B.     Passenger Seating Capacity or Cargo Only, Part 121.

1)      Enter the passenger seating capacity used by the operator during the emergency evacuation demonstration required by part 121, § 121.291(a) or (b) for each M/M/S listed in the column labeled “Demonstrated.” If the demonstrated passenger seating capacity applies to more than one series of a particular make and model, the seating capacity must be listed for each series to which it applies. It is unnecessary to list seating configurations used by the operator that are less than the demonstrated seating capacity. List the demonstrated seating capacity in the column labeled “Approved.” However, if the operator requests a higher seating capacity than that which was demonstrated by the operator, the principal operations inspector (POI) may approve the higher capacity under the following conditions:
a)      The higher seating capacity does not require another emergency evacuation demonstration to be conducted in accordance with § 121.291(a) or (b). (See paragraph 3‑2463.)
b)      The higher seating capacity does not exceed the maximum approved passenger seating capacities listed in Table 3‑121, paragraph 3‑2966.
c)      The POI lists the higher seating capacity in the column labeled Approved.
2)      If the airplane is configured for cargo only, enter Cargo Only in the column labeled Approved. In some situations, such as combination passenger/cargo configurations, the approved seating capacity and the required number of flight attendants may need elaboration. This elaboration should be accomplished by adding additional text as an extra subparagraph to the paragraph.

C.     Required Number of Flight Attendants, Part 121. Enter the number of flight attendants used during the emergency evacuation demonstration for each M/M/S listed.

D.    Class of Operation. Enter the appropriate class of operation for each make/model/series listed. Enter only one of the five classes of operation for each make/model/series. The five classes of operations are: Single Engine Land (SEL), Single Engine Sea (SES), Multiengine Land (MEL), Multiengine Sea (MES), and Helicopter (HEL). If a particular make/model/series can be operated in more than one class (such as an amphibious airplane) list the make/model/series twice with each listing, showing the appropriate class (such as SES, SEL). When entering the data in the OPSS, enter the total number of aircraft in only one of the two entries.

E.     Type of Operation. Enter the appropriate en route flight rule for each M/M/S. If the M/M/S is approved for instrument flight rules (IFR) operations, enter IFR/VFR in the column labeled En route Flight Rule. If the make/model/series is restricted to visual flight rules (VFR) operations only, select VFR Only. Select the day/night condition for each M/M/S. If the M/M/S is approved for both day and night conditions, select the phrase Day/Night in the column labeled Day/Night Conditions. If the M/M/S is approved for daylight conditions only, select Day Only. Part 121 operations are required to conduct operations IFR.

F.      Flight Attendant or Cargo Only, Part 135. Enter the flight attendant requirement for each M/M/S. If the M/M/S is configured with more than 19 passenger seats, enter the number “1” in the column labeled Flight Attendant Or Cargo Only. If the passenger seating configuration is 19 seats or fewer, enter the word None. If the M/M/S is configured for cargo‑only operations, enter Cargo Only in this column.

G.    Part 145 Repair Stations. A003 must always be issued for part 145 repair stations and lists the authorized class ratings, limited ratings, and limited specialized services ratings held by the certificate holder.

1)      We have revised this paragraph to allow the selection of a capability list when a limited rating has been issued. When either the “Manufacturer” or “Make/Model” cell is selected, it displays a drop-down menu with two choices: “Capability List, as Amended” or “N/A.” When the accepted “Capability List, as Amended” cell is selected, it will automatically fill both cells. The phrase from the accepted “Capability List, as Amended” indicates that the certificate holder will be using a current capability list that is acceptable to the FAA and includes any additions made to the list using the self-evaluation process described in its manual. The principal inspector (PI) will use “N/A” if the ratings meet the criteria of § 145.61(b)(7), (9), (10), or (12).
2)      We have also revised OpSpec A003 to add a “Location” field to accommodate repair stations that qualify for one certificate issued by the certificate management unit (CMU) and identified in OpSpec A101. The airport identifier where the repair station is located, or the airport closest to the repair station, will be identified in the “Location” field.

Repair stations assigned to a CMU should use the “Location” field in OpSpec A003. No other repair stations should use the “Location” field.

3)      If A003 is issued for a European Aviation Safety Agency (EASA) member state with which the US has a Bilateral Agreement (BA), the paragraph should just reference the issuance of OpSpec A060, which lists the EASA rating.

OPSPEC/MSPEC A004, SUMMARY OF SPECIAL AUTHORIZATIONS AND LIMITATIONS.

A.     Purpose. This paragraph summarizes optional authorizations applicable to a particular operator.

B.     Part 145. For part 145 repair stations, this paragraph summarizes special (optional) authorizations and/or limitations applicable to the certificate holder. The OPSS application extracts the specific paragraphs that authorize a specific activity; it provides a summary of the authorized activity and reference number of the specific paragraph.

OPSPEC/MSPEC A005, EXEMPTIONS AND DEVIATIONS. In order for an operator to conduct operations under the provisions of any exemption or deviation, the exemption or deviation must be listed in A005.

A.     Exemptions. The current exemption number and expiration date must be selected for insertion into A005. List the exemption numbers in numerical order. Enter a brief description of the exemption or, if appropriate, the exempted regulations in the space labeled Remarks and/or References (adjacent to each exemption). If certain conditions or limitations related to the exemption are specified in another paragraph of the OpSpec, the reference number of the other paragraph must also be entered in this space. For example, if a single high frequency (HF) radio is permitted by exemption in certain areas of en route operation, insert a reference to OpSpec B050 ( see paragraph B050). In this example, the appropriate areas of en route operation in B050 should contain a note authorizing the provisions of that exemption for those areas.

B.     Deviations. Enter the applicable 14 CFR sections to which a deviation has been granted in A005b. Select the applicable deviations by 14 CFR section. In the space labeled Remarks and/or References (adjacent to each deviation), briefly describe the provisions of the deviation. For example, if an operator is granted a deviation to permit the same person to serve as director of operations and director of maintenance, list the applicable 14 CFR. In the Remarks and/or Reference space, enter information specific to that operator or NA for “not applicable”. Table 3‑5 explains the standard OpSpecs paragraphs that must be referenced and issued when granting deviations in each subject area (others may also be applicable).

There are no deviations for part 145 repair stations.

Table 3-5, Standard OpSpecs Paragraphs to Reference When Granting Deviations

SUBJECT

PARAGRAPH NUMBER

APPROPRIATE REGULATION

Management

A006

Various, depends on operating regulation, management position, and qualifications

Extended‑Overwater Operations without liferafts

A013

Sections 121.339(a)(2), (3), and (4)

Basic Part 135 Operator

On‑Demand Operations Only

A038

Sections 119.69(b), 135.21(a), and 135.341(a)

Basic Part 135 Operator

Commuter and On‑Demand

A037

Sections 119.69(b), 135.21(a), and 135.341(a)

Part 135 Single Pilot‑in‑Command Operator

A039

Sections 119.69(b), 135.21(a), and 135.341(a)

Extended‑Range Operations with Two‑Engine Airplanes

B042

Sections 121.161(a)

Special Fuel Reserves in International (Flag) Operations

B043

Sections 121.645(b)(2)

OPSPEC A006, MANAGEMENT PERSONNEL.

A.     Titles. An operator’s management personnel may have titles different from titles of management positions used in 14 CFR. The intent of A006 is to clearly identify the operator’s management personnel who are fulfilling 14 CFR management positions. A006 is also used to approve deviations from required management positions. Direction and guidance for approving deviations from management requirements is in subparagraph C below. Indicate approval of these deviations in A006 as follows:

1)      For deviations which permit less than the required management positions, leave the positions which are not filled blank. Enter NA for “not applicable” for single‑pilot operators and single pilot in command operators.
2)      For deviations that permit the same person to fill two or more positions, enter the name and title of that person in the appropriate positions.
3)      For deviations that permit a person to hold a management position when that person does not meet the regulatory qualification requirements, enter the name and title of that person in the appropriate position.
4)      In all cases list the appropriate regulatory section in OpSpec A005(b) of the OpSpecs.

B.     Required Information. The OPSS must be accurate and contain at least the information required for OpSpecs in order for them to be correct. Additional text may be added to A006 without making it nonstandard, provided the extra paragraph is used to identify additional management positions (such as more than one chief pilot), or to specify conditions of a deviation. If the extra paragraph provides for anything other than the preceding, it must be processed in accordance with Volume 3, Chapter 2, Exemptions, Deviations, Waivers, and Authorizations, paragraph 3‑37B.

C.     Required Management and Technical Personnel Positions.

1)      Part 119, § 119.65 requires management and technical personnel positions for certificate holders operating under part 121 (i.e., director of safety, director of operations, chief pilot, director of maintenance, chief inspector).
2)      Section 119.69 requires management and technical personnel positions for certificate holders operating under part 135 (i.e., director of operations, chief pilot, director of maintenance).
3)      Sections 119.67 and 119.71 specify the airman and experience qualifications for personnel serving in these positions for parts 121 and 135, respectively.
4)      Sections 119.67(e) and 119.71(f) specify airman, managerial, and supervisory experience deviation authority.
5)      The regulations are intended to ensure that persons holding these required management and technical positions have the measure of experience as well as the demonstrated capability needed to effectively manage these types of programs. In addition, persons exercising control over the maintenance and operations programs must have that level of qualification and experience that will allow these persons to carry out their duties and responsibilities with the degree of expertise consistent with the certificate holder’s responsibility to operate with the highest possible degree of safety.
6)      The deviation request element of the regulations is intended to provide the certificate holder a measure of flexibility in order to allow employment of persons who may not possess the exact type or level of experience outlined in the regulations but have other experience that is found to be comparable. Further, the deviation request procedure is not intended to accommodate individuals who do not possess the length of experience required by the regulations.

D.    Management Deviation Request. When a certificate holder requests a management experience deviation, or management positions or numbers of positions other than the requirements of §§ 119.65 through 119.71, it must make such requests through its certificate‑holding district office (CHDO). The request must adhere to the following processes and procedures, and contain a minimum of the following information for evaluation:

1)      Management deviation request contents.
a)      Full certificate name including “doing business as” (DBA) of the requesting entity (i.e., ABC Airlines, Inc. DBA XYZ Air);
b)      Complete address and certificate number of certificate holder;
c)      Full name and airman certificate number of the management applicant;
d)      Number of aircraft by category, class and type;
e)      Number of employees/pilots/other crewmembers;
f)        Areas and kinds of operations (e.g., CONUS, domestic) authorized;
g)      Statement of operations authorized (e.g., single pilot in command (PIC), Basic Part 135 On Demand Only, part 121);
h)      Any other management deviations held by the certificate holder;
i)        Statement of why the certificate holder requires a management deviation, management position(s) involved, and what comparable experience the individual has that would justify the management deviation; and
j)        A resume for the individual which specifically outlines their work experiences and duration of each work experience to include, if appropriate, PIC, certified mechanic, and/or management experience for the kind of operations conducted.

The information contained in the resume must be verified by the principal operations inspector (POI) or principal maintenance inspector (PMI), as appropriate.

2)      Evaluating management experience deviation requests part 119.
a)      Lack of Airmen Certificates. The regulations do not permit the issuance of an airman certificate requirement deviation for individuals who do not hold the required airmen certificates or ratings. However, they may apply for an exemption under 14 CFR part 11.
b)      Director of Safety Position. Each certificate holder that conducts operations under part 121 must have a director of safety. This person is responsible for keeping the certificate holder’s highest management officials fully informed about the safety status of the company. An independent, full time position is required. However, in a small part 121 operation, the director of safety functions may be an additional function of a current manager. Any request for a management deviation involving a director of safety position must be approved by the Air Transportation Division (AFS‑200).

Requests for one individual to fill this position for more that one certificate holder concurrently will not be considered.

c)      Comparable Experience. A management position experience deviation may be issued for individuals who lack the precise experience requirements (specified in § 119.67 and/or § 119.71) if acceptable comparable experience is presented and accepted by the Administrator.

1.      Director of Operations/Chief Pilot Positions. Experience in any position where the normal duties and responsibilities included management/supervisory oversight and/or control of the development upkeep, and the performance of one or more elements of an operator’s operational control system, may be considered as comparable experience. Management positions, wherein the applicant exercised management decisionmaking processes, may be considered as comparable experience (e.g., assistant director of operations, assistant chief pilot, general manager). Experience involving operational control may also be acceptable (e.g., supervisory aircraft dispatcher, supervisory flight follower).

2.      For certificate holders with only a single PIC or a basic part 135 operation, the following examples may be considered as comparable experience:

·        Experience as a PIC conducting the same kinds of operations that the applicant would be responsible for managing;

·        Experience as a manager of a corporate flight department with operations similar to an air carrier;

·        Experience in a military PIC position with responsibilities and Experience comparable to a civil aircraft operation PIC; or

·        Experience in a management position with responsibilities for safely transporting passengers and/or military executive charter.

3.      All acceptable, comparable experiences added together must equal the required three years. However, experience as a military fighter pilot flying in combat scenarios, a flight instructor, a crop duster, or a helicopter external load operator, would not be considered comparable experience. A college education or educational experience in aviation or writing manuals does not substitute for actual work experience.

Table 3-6, Example for a Chief Pilot Deviation

POSITION/TITLE

LENGTH OF EMPLOYMENT

COMPARABLE EXPERIENCE

Part 135 PIC

24 months

Acceptable (24 months)

Assistant Chief Pilot

13 months

Acceptable (13 months)

Flight/Ground Instructor

26 months

Unacceptable (0 months)

 

Total: (37 months)

4.      In the example, the applicant would be approved. The applicant had 24 months of actual experience required by the regulation combined with 13 months of comparable experience for a total of 37 months (36 months required). The 26 months as a flight instructor is not comparable experience.

5.      Director of Maintenance Positions. Experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, as well as the performance of one or all of the following elements of an aircraft maintenance or inspection program:

·        The maintenance program manual;

·        Responsibility for airworthiness;

·        Maintenance and inspection organization;

·        Performance and approval of maintenance, preventive maintenance, and alterations;

·        Alterations performed by maintenance providers or contractors;

·        Continuing analysis and surveillance system;

·        Maintenance recordkeeping; and

·        Maintenance personnel training.

6.      Chief Inspector Positions. Experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, as well as the performance of one or all of the following elements of an aircraft maintenance inspection, quality control, or quality assurance functions within a maintenance or inspection program:

·        The inspection program policy and procedures;

·        Responsibility for airworthiness;

·        Inspection organization;

·        Quality assurance of the performance and approval of maintenance, preventive maintenance, and alterations;

·        Alterations performed by maintenance providers or contractors;

·        Maintenance recordkeeping; and

·        Inspection personnel training.

7.      Combined Positions. Any certificate holder who requests approval to combine two or more required management positions into one position must ensure that the person who will serve in that position meets the qualifications for, or receives a deviation for, each management position to be combined (e.g., chief pilot and director of operations), in addition to receiving an approval to combine the management positions. The size, scope, complexity, and work load of the operations that the applicant has been involved with, and will be involved with in the combined management position, must be considered when evaluating this request. Requests to combine the positions of director of maintenance and chief inspector will not be approved.

Applicants who serve in a combined management position should not be assigned to any additional duties (e.g., check airman, aircraft instructor).

3)      Authority to Approve or Deny Management Requests.
a)      CHDO.

1.      The manager of the CHDO is authorized to approve or deny management experience deviation requests for a certificate holder with only a single PIC, and for Basic Part 135 On‑Demand Only certificate holders conducting on demand passenger and/or cargo operations. This authority includes any combined positions or numbers of management positions other than the management positions specified in § 119.69(a). The CHDO’s evaluation must include the following:

·        Size, scope, any known expansion plans, and safety records of the certificate holder;

·        Accident/enforcement history of the certificate holder and management applicant;

·        Verification of the applicant’s resume, including whether the applicant holds the required certificates and ratings;

·        Any significant justification or personal knowledge of the operator/management candidate; and

·        Reasons for recommending approval or denial of the request.

2.      If the CHDO has the authority, it will approve or deny the request. The CHDO will respond to the operator in writing. If the CHDO does not have the authority, it will make a written recommendation for approval or denial and forward the request to the regional Flight Standards division (RFSD).

b)      RFSD. The RFSD manager is authorized to approve or deny management experience deviations for all other part 135 certificate holders, except part 135 operators conducting commuter operations. This authority includes any combined positions or numbers of management positions other than the management positions specified in § 119.69(a). The RFSD will review the package from the CHDO. If the RFSD has the authority as stated above, it will approve or deny the request. The RFSD will reply in writing to the CHDO with a statement of approval or denial for the request. If the RFSD does not have the authority, the RFSD will attach their memo of recommendation for approval/ denial and forward the request to AFS 200 or Aircraft Maintenance Division (AFS-300), as appropriate.
c)      Air Transportation Division (AFS‑200) and/or Aircraft Maintenance Division. (AFS‑300), as appropriate, will review the package forwarded from the RFSD. AFS‑200 and/or AFS‑300 will reply in writing to the CHDO through the RFSD with a statement of approval or denial of the request. AFS‑200 and/or AFS-300 will not take action on requests received directly from certificate holders or CHDOs without CHDO manager and RFSD manager recommendations.

E.     Program Tracking and Reporting Subsystem (PTRS) Input. Enter activity code number 1381 or 3381, as appropriate and enter “119DEV” in the “national use” field. POIs/PMIs should record comments of interaction with the operators in the comments section.

OPSPEC/MSPEC A007, OTHER DESIGNATED PERSONS.

A.     Agent for Service. An agent for service is a person or company designated by the operator upon whom all legal notices, processes and orders, decisions, and requirements of the Department of Transportation (DOT), FAA, and National Transportation Safety Board (NTSB) are served. Once any of these documents is served upon the operator’s agent for service, the certificate holder cannot claim (legally) that it did not receive the documents. Section 1005 of the FA Act requires air carriers to designate an agent for service. Obtain the name, title, and address of the agent for service from the operator and enter the information into the OPSS Certificate Holder’s Personnel tab.

B.     Persons Designated To Apply for and Receive OpSpecs/MSpecs. Enter names and titles of persons designated by the operator as authorized to apply for and receive OpSpecs/MSpecs in OpSpec A007. Enter the OpSpecs parts for which the designated person is responsible. Principal inspectors may determine that it is appropriate to record signatures of these designated persons in this subparagraph.

C.     Part 91K. For part 91 subpart K fractional ownership operations, identify the following persons in MSpec A007:

1)      Agent for service for the program manager,
2)      Personnel designated to apply for and receive MSpecs for the program manager, and
3)      Point(s) of contact and required positions for those authorized a continuous airworthiness maintenance program.

D.    Part 145 Repair Stations. List the authorized person(s) by name, title, and the paragraph of the OpSpec he or she is authorized to sign.

Individuals’ titles listed in A007 should match the title in the Vital Information Subsystem (VIS).

OPSPEC A008, OPERATIONAL CONTROL; MSPEC A008, FLIGHT MANAGEMENT.

A.     General. Each 14 CFR part 121 and part 135 operator must have a system and/or procedures for the control of flight movements. The intent of A008 is to promote a mutual understanding between an operator and the FAA concerning the system and/or procedures used by that operator. Volume 3, Chapter 25, Operational Control for Air Carriers details the three basic systems and/or procedures required by parts 121 and 135. The three systems and/or procedures are as follows:

1)      Part 121 domestic and flag operations must have dispatch systems. See Volume 3, Chapter 25, Section 2, Flight Dispatch Systems and Domestic Operating Rules.
2)      Part 121 supplemental operations must have flight following systems when the operator does not have an established dispatch system. See Volume 3, Chapter 25, Section 3, Part 121 Flight Release Systems and Supplemental Operating Rules.
3)      Part 135 operators use flight locating procedures. See Volume 3, Chapter 25, Section 5, Title 14 CFR Part 135 Flight Locating Systems and Operating Rules.
4)      MSpec A008 must describe the flight management used by the program manager to provide program control for flight operations and other procedures and policy instructions regarding program operations. This information may also be notated by reference to the appropriate manual (part 91, § 91.1029). In addition, MSpec A008 requires the program manager to give the location of the current list of fractional aircraft owners (part 91, § 91.1027).

B.     Referencing With Paragraph A008. Describe or reference the system and/or procedures used by an operator in A008. It is preferable to complete A008 with references to an operator’s manual or sections of an operator’s manual which describe the system and/or procedures used by that operator. It is not necessary to control these references by date. Change the references only when a revision to the operator’s manual makes the reference in the OpSpecs incorrect. When an operator’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be necessary. Often, it may not be appropriate to use references in this paragraph, (especially with smaller part 135 operators). In these cases narrative description may be necessary. When a narrative description is used, it should be brief but provide sufficient information so that the FAA and the operator have the same understanding about the system and/or procedures used by the operator.

C.     Necessary Information for Description of Systems/Procedures. The description of the systems and/or procedures for controlling flight movement as described in the operator’s manual and referenced in the OpSpecs, or as narratively described in the OpSpecs, should include the following information, as appropriate, to the kind of operation:

·        Methods and procedures for initiating, diverting, and terminating flights;

·        Persons or duty positions authorized to, and responsible for, exercise of operational control;

·        Facilities and location of facilities used by the operator in the exercise of operational control;

·        Communication systems and procedures used by the operator;

·        Special coordination methods and/or procedures used by the operator to assure the aircraft is airworthy; and

·        Emergency notification procedures.

OPSPEC A009, AIRPORT AERONAUTICAL DATA; MSPEC A009, AERONAUTICAL DATA.

A.     General. Part 121, §§ 121.97 and 121.117 require part 121 operators to have an approved system for obtaining, maintaining, and distributing airport aeronautical data. A009 provides the method for approving airport aeronautical data systems for part 121 operators. Title 14 CFR part 91, § 91.103 and 14 CFR part 135 subpart I, § 135.83 require part 135 operators to obtain, maintain, and distribute essentially the same types of airport aeronautical data. Although a part 135 operator is not required to obtain FAA approval of the system used, A009 provides a method of promoting the same understanding between the operator and FAA concerning the system used to comply with the regulations pertinent to airport aeronautical data. Volume 4, Chapter 3, Section 4, Airport Data Acquisition Systems provides direction and guidance concerning airport aeronautical data systems.

B.     Referencing Systems Used for A009. Describe or reference the system approved for part 121 operators or used by part 135 operators in A009. When possible, the paragraph should be completed by referencing pertinent sections of the operator’s manual or other documents which describe the system used by the operator. When the airport aeronautical data system is not described in a manual or another document, a narrative description of the system must be used to complete A009. When a narrative description (or outline) is used, it should be brief but provide sufficient information to describe the system used to obtain, maintain, and distribute required airport aeronautical data.

C.     Description of Aeronautical Data System. The program manager’s description of the aeronautical data system in MSpec A009 should be brief but provide sufficient information describing the system used to obtain, maintain, and distribute required aeronautical data.

OPSPEC/MSPEC A010, AERONAUTICAL WEATHER DATA.

A.     General. OpSpec A010 is intended to promote understanding between the operator and the FAA concerning the system used for obtaining and disseminating required weather data and other aeronautical data. Numerous regulatory requirements in 14 CFR parts 121 and 135 require operators to have or use a system for obtaining and disseminating aeronautical weather data.

·        Part 91 subpart K program managers are expected to maintain an equivalent level of safety as a part 135 certificate holder.

·        Part 121, § 121.97 requires operators who conduct domestic and flag operations to use an FAA‑approved system for obtaining, maintaining, and distributing current aeronautical data.

·        Part 121, § 121.101 requires operators who conduct domestic and flag operations to use an FAA approved system for obtaining forecasts and reports of adverse weather phenomena.

·        Part 121, § 121.117 requires operators who conduct supplemental operations to use an FAA‑approved system for obtaining, maintaining, and distributing current aeronautical data.

·        Part 121, § 121.119 requires operators who conduct supplemental operations to use an FAA‑approved system for obtaining forecasts and weather reports.

·        Part 125 has no requirement for using an FAA‑approved system for weather or aeronautical data.

·        Part 135, § 135.213 requires operators who conduct instrument flight rules (IFR) operations under that part to use the U.S. National Weather Service or a source approved by the Administrator.

B.     Approving Weather Collection and Dissemination System. OpSpec A010 provides the method for approving this adverse weather phenomena collection and dissemination system. Volume 3, Chapter 26, Aviation Weather Information Systems for Air Carriers, provides additional direction and guidance on aeronautical weather data systems.

C.     Approval to Use Enhanced Weather Information Systems. Enhanced Weather Information Systems (EWINS) are approved by OpSpec/MSpec A010. Approval for an operator to use EWINS must be accomplished by referencing the EWINS Policy and Procedures Manual in OpSpec/MSpec A010. The original date of the EWINS manual and the last revision must also be referenced in OpSpec/MSpec A010. See Volume 3, Chapter 26, Section 4, Sources of Weather Information.

D.    Approval for Adverse Weather Phenomena Reporting and Forecasting System. Part 121 operators (domestic and flag operations) who are not approved to use EWINS must obtain approval of an Adverse Weather Phenomena Reporting and Forecasting System. For these operators, OpSpec/MSpec A010 must be completed as follows:

1)      Reference sections of the operator’s manual or other documents that describe the operator’s Adverse Weather Phenomena Reporting and Forecasting System. If such manual sections or other documents do not clearly describe the Adverse Weather Phenomena Reporting and Forecasting System, a narrative description (combined with references where available) of the approved system must be added to OpSpec/MSpec A010. See Volume 3, Chapter 26, Section 3, Parts 121/135 Weather Information Systems, paragraphs 3‑2096 and 3‑2097.
2)      Reference or describe the methods used for obtaining and disseminating other types of weather data (not related to the approved Adverse Weather Phenomena Reporting and Forecasting System) in OpSpec/MSpec A010.

E.     Requirement to Use Qualified Internet Communications Provider. For Internet communications of aviation weather and Notices to Airmen (NOTAM) used in flight operations, all part 121 and 135 operators are required to use an approved Qualified Internet Communications Provider (QICP).

1)      List the QICPs used by the operator in OpSpec/MSpec A010 subparagraph a, Table 1.
2)      The QICP used must be obtained from the approved list provided by the FAA.
3)      For more detailed information in regard to QICPs, refer to AC 00‑62, Internet Communications of Aviation Weather and NOTAMs, and Volume 3, Chapter 26, Aviation Weather Information Systems for Air Carriers.

OPSPEC/MSPEC A011, APPROVED CARRY‑ON BAGGAGE PROGRAM.

A.     General. Part 121, § 121.589 requires part 121 operators to have an approved carry‑on baggage program. This regulation also requires FAA approval to be in the operator’s OpSpecs. When the FAA issues OpSpec/MSpec A011, the operator is authorized to either allow passengers to stow carry on bags in the aircraft cabin or restrict the items brought inside the aircraft cabin to passenger personal items. Operators that do not allow carry on bags in the cabin of the aircraft are considered to have a no‑carry-on baggage program. Advisory Circular (AC) 120‑27, Aircraft Weight and Balance Control, current edition, provides further details regarding the definitions of carry‑on baggage and personal items. OpSpec/MSpec A011 must describe or reference the carry on baggage program or the no‑carry‑on baggage program. It is permissible for OpSpec/MSpec A011 to reference a separate carry‑on baggage document developed by the operator that describes the program. However, the operator may elect to implement the carry‑on baggage program by describing the requirements of the program in various sections of its manuals, such as the passenger services manual and the flight attendant manual. In this case, template A011 should reference specific sections of the pertinent manuals. Reference to the approved program in the template must be controlled by revision number and/or date, as appropriate. When an operator’s manual or separate carry‑on baggage document does not adequately describe the approved carry‑on baggage program, a combination of references and narrative description may be necessary. The description of the approved carry‑on baggage program must address the items discussed in the current editions of AC 121‑29, Carry‑On Baggage, and AC 120‑27. Additionally, one or more of templates A096, A097, A098, and/or A099 must be issued to track the approved carry‑on bag/personal item actual or average weights.

B.     Accounting for Carry‑On Baggage Weight. Parts 91, 91 subpart K, and 135 operators requesting authorization to use average or segmented passenger weights that meet the requirements specified in AC 120‑27, current edition, must either have a letter of authorization or been issued OpSpec/MSpec A011 to account for the actual or average weights used to account for carry‑on baggage. Additionally, one or more of OpSpecs/MSpecs A096, A097, A098, and/or A099 must be issued to track the approved carry‑on bag/personal item actual or average weights.

C.     No Carry‑On Baggage Program. Operators of small- and medium‑cabin aircraft, as referenced in AC 120‑27, current edition, may elect to only allow personal items onboard the aircraft. Operators with no‑carry‑on baggage programs must have procedures in place that ensure carry on bags are either checked at the ticket counter, the gate, or plane side. Training programs should include the recognition of carry on bags and procedures for removing such bags if they are inadvertently brought onboard the aircraft.

OPSPEC A012, DOMESTIC OPERATIONS TO CERTAIN AIRPORTS OUTSIDE THE 48 CONTIGUOUS UNITED STATES.

A.     General. OpSpec A012 is the method the Administrator uses to authorize a certificate holder that conducts domestic operations to comply with all regulations applicable to domestic operations to and from specific airports outside the 48 contiguous United States instead of the part 121 regulations applicable to flag operations. Part 119, § 119.3, under the definition “domestic operation,” provides the authority for the Administrator to permit this authorization and may be granted only when the following conditions and limitations can be met:

1)      The destination airport outside the contiguous United States is within 2 hours’ average flying time of the border of the contiguous United States. The determination of the 2‑hour distance is based on the average cruise true airspeed for the fleet type. Actual daily flight plan speed, routing or weather patterns (en route winds) do not affect this authorization.
2)      This domestic operation authorization applies only to operations conducted as follows:
a)      From airports located in the contiguous United States (listed in the certificate holder’s OpSpec C070);
b)      To the airports listed in Table 1, provided those airports are outside the contiguous United States and are within 2 hours’ average flying time of the territorial limits of the 48 contiguous United States; and
c)      From the airports listed in Table 1 to the airports located in the contiguous United States (listed in the certificate holder’s OpSpec C070).
3)      The flight operations have rapid and reliable communications capability in accordance with part 121, § 121.99.
4)      The operator can show compliance with the weather reporting services requirements of part 121, § 121.101 (see AC 00‑45, Aviation Weather Services, current edition, for further guidance).
5)      No special training or procedural requirements need be accomplished before granting this authorization unless there are procedural requirements which are new to the operator or its crewmembers.
6)      The certificate holder must obtain written economic authority from Department of Transportation (DOT) and have that authority documented in its OpSpec A001.

B.     Conditions Cannot Be Met. If the conditions and limitations above cannot be met, the airports may not be authorized on OpSpec A012 for operations under domestic rules and the flights must be operated under flag rules.

C.     Flights That Exceed the Two‑Hour Limitation.

1)      The Administrator may grant this authorization for flights that exceed 2 hours beyond the territorial limits of the 48 contiguous United States only with the concurrence of the manager of the Air Transportation Division, AFS‑200, in accordance with the guidance for requesting a nonstandard OpSpec authorization. In addition to the requirements described above, the following items must be addressed and expanded upon for this nonstandard request to be considered.

Economy of flight is not an applicable condition.

a)      Unique weather environments;
b)      Runway availability (is more than one runway available?);
c)      Alternate airport(s) within the fuel range of the flight’s planned fuel supply (these must be listed in the dispatch release if this authorization is granted); and
d)      For most aircraft, the fuel reserve requirements for domestic and flag operations become approximately equivalent for flights of about 2 to 2 1/2 hours total flight time. For flight times in excess of 2 to 2 1/2 hours, the request must address fuel requirements mitigation.
2)      If AFS‑200 concurs with the request, the approved International Civil Aviation Organization identifier for the airport outside the contiguous United States must be listed in Table 1 of OpSpec A012. An asterisk (*) may be placed next to the identifier in the column. Note this specific concurrence along with any appropriate conditions and limitations in the nonstandard text provision of OpSpec A012. For example, *Nonstandard authorized by AFS‑200 memo dated January 25, 2001.

OPSPEC/MSPEC A013, OPERATIONS WITHOUT CERTAIN EMERGENCY EQUIPMENT.

A.     General. Use OpSpec/MSpecs A013 and A005 to approve deviations from the requirements for certain emergency equipment for extended over water operations for turbojet‑powered airplanes.

1)      Authorization for issuance requires the concurrence of the principal operations inspector (POI), the appropriate region, and the Air Transportation Division, AFS‑200.
2)      Approval is indicated by listing in OpSpec/MSpec A013 the make and model of the aircraft and the routes and/or areas to which the deviation applies.

B.     Applicability of OpSpec/MSpec A013 and Associated Deviations.

1)      Part 91 subpart K fractional ownership program managers may apply for a deviation from part 91, § 91.509 to permit extended over water operations without carrying certain emergency ditching equipment.
2)      Part 121 certificate holders may apply for a deviation from part 121, § 121.339 to permit extended over water operations without carrying certain emergency ditching equipment.
3)      Part 135 certificate holders may apply for a deviation from part 135, § 135.167 to permit extended over water operations without carrying certain emergency ditching equipment.

C.     Granting Deviations. If the FAA grants a deviation and issues OpSpec/MSpec A013:

1)      Part 91K, fractional ownership program managers must list part 91, §§ 91.509(b)(2), (3), (4), and (5) in MSpec paragraph A005 with the reference to A013.
2)      Part 121 certificate holders must list part 121, § 121.339(a)(2), (3), and (4) in OpSpec A005 with the reference to OpSpec A013.
3)      Part 135 certificate holders must list part 135, § 135.167(a)(2) in OpSpec A005 with the reference to A013.

D.    Life Preserver Deviation. It is FAA policy that deviations from the requirement to carry life preservers (§§ 121.339(a)(1)), 135.167 (a)(1), or 91.509(b)(1), as applicable) will not be approved.

E.     Deviations From Carrying Liferafts. Deviations from the requirements for carrying liferafts and the liferaft’s required attached equipment may be approved. There is no individual deviation provision or requirement for a deviation for the following required items:

·        Survival kits (§§ 91.509(e), 121.339(c)), and, 135.167(c), as applicable);

·        Pyrotechnic signaling devices (§§ 91.509(b)(3), 121.339(a)(3), and 135.167(b), as applicable); and

·        Emergency locator transmitters (§§ 91.509(b)(3), 121.339(a)(4), and 135.167(b), as applicable).

F.      Permitted Areas of Operation. The area(s) of operation permitted is any offshore area adjoining the 48 contiguous states of the United States, the Gulf of Mexico, and the Caribbean Islands, as follows:

1)      The south and east coasts of the United States, below 35 degrees North latitude, the Gulf of Mexico, and the Caribbean Islands, not to exceed 30 minutes’ flying time in still air with one-engine inoperative, or 162 nautical miles (NM) from the nearest shoreline, whichever is less.
2)      The east coast of the United States, 35 degrees North latitude and above, not to exceed 30 minutes’ flying time in still air with 1 engine inoperative or 100 NM from the nearest shoreline, whichever is less.
3)      The west coast of the United States, not to exceed 30 minutes’ flying time in still air with one-engine inoperative or 100 NM from the nearest shoreline, whichever is less.

G.    Requirements for Supporting Documentation for Deviation Request. The operator must submit an application with supporting documentation for the deviation request with at least the following information about the conditions that must be met for the approval:

1)      Aircraft operational capabilities for diversion due to an engine failure. This information must include drift down profiles, engine out cruise performance for two‑ and three‑engine aircraft, and two‑engine cruise performance for four‑engine aircraft.
2)      A graphical presentation of the areas and routes of en route operation and/or routes over which provisions of the deviation will apply, including proposed minimum en route altitudes and airports which could be used if diversion is necessary. The A013 authorization contains a limitation that in flight operations must not exceed the distance allowed under subparagraph F, as applicable, from a shoreline at any time. An exception is allowed for temporary maneuvering for weather avoidance.
3)      Navigation and communication equipment requirements and capabilities for normal flight conditions and for engine inoperative flight conditions in the proposed areas of en route operation.
4)      Existing and/or proposed procedures for diversion contingency planning and training curricula for flight and cabin crewmembers concerning ditching without liferafts.
5)      A description of search and rescue facilities and capabilities for the proposed areas of en route operations.

H.    Reviewing the Application.

1)      The principal operations inspector (POI), in coordination with the principal maintenance inspector (PMI) and principal avionics inspector (PAI), must evaluate and substantiate submitted information. If a POI does not concur with the operator’s proposal, the POI will forward a letter to the operator denying the application for a deviation with an explanation of the reasons for denial. If a POI concurs that the deviations should be approved, the POI will prepare and forward a recommendation along with the operator’s application and supporting information to the Air Transportation Division, AFS‑200, through the regional Flight Standards division.
2)      AFS‑200 will review the application, the supporting information, and the POI’s recommendation. If AFS‑200 does not concur with the POI’s recommendation, AFS‑200 will forward a letter to the POI, with a copy to the region, indicating nonconcurrence with an explanation of the reasons. If AFS‑200 agrees with the POI’s recommendation, AFS‑200 will advise the POI by letter of the concurrence. With AFS‑200 concurrence, the POI may approve the deviation by issuing A013 and A005.

OPSPEC A014, IFR EN ROUTE OPERATIONS IN CLASS G AIRSPACE.

A.     General.

1)      A014 provides the initial authorization for instrument flight rules (IFR) en route operations in Class G airspace. Other IFR en route authorizations may be found in OpSpecs B031, B034, B035, and B036, as applicable and appropriate.
2)      OpSpec B032 prohibits special IFR en route operations in Class G airspace unless the POI approves such operations by issuing A014. IFR operations in Class G airspace are not provided any air traffic control (ATC) separation services. The certificate holder and the pilot in command (PIC) are responsible for avoiding obstacles and other air traffic.

B.     Prerequisites for Authorizing En Route IFR Operations. Before authorizing en route IFR operations in Class G airspace to part 121, 121/135, 125, or 135 certificate holders:

1)      The POI must confirm that the operator has a method or procedure for assuring that any facilities and services that this type of operation depends upon are operational during the periods in which flights are to occur.
2)      The POI must also confirm that the operator has developed procedures and guidance for crewmember use while operating in areas of en route operations in Class G airspace. Aeronautical Information Publications (AIP) or flight information region (FIR) publications have broadcast in the blind procedures and other guidance for crewmember use when large areas of Class G airspace are within the area covered by the AIP or FIR.

See Volume 4, Chapter 1, Section 1, General Navigation Concepts, Policies, and Guidance, and Section 4, Class II Navigation, for further discussion on en route operations in Class G airspace.

3)      The reference to OpSpec B051 is to provide for part 121 reciprocating and turbo propeller powered aircraft operations only.

C.     Special Terminal Area IFR Operations. OpSpecs C064, C080, and/or C081 now authorize special terminal area IFR operations in Class G airspace or at airports without an operating control tower. One or both types of these operations may be authorized.

D.    Program Manager Authorizations. MSpec A014 authorizes the program manager to conduct IFR operations in Class G airspace and at airports without an operating control tower. Part 91 subpart K program managers will not have a separate MSpec C064 or C080.

OPSPEC A015, AUTOPILOT IN LIEU OF REQUIRED SECOND IN COMMAND.

A.     General. In accordance with part 135, § 135.105(b), a part 135 operator may apply for authorization to use an autopilot in place of a second in command. The principal operations inspector (POI) must coordinate with an avionics inspector to ensure each particular aircraft/autopilot combination is installed in accordance with FAA‑approved data, is airworthy, and is operationally capable of maintaining control of the aircraft to the degree specified in § 135.105(c).

B.     Making Note of Conditions and Limitations. List the aircraft make and model and the autopilot manufacturer and model identification in A015. Any conditions or limitations which the POI determines necessary for a particular aircraft/autopilot combination must also be listed. It is not necessary to repeat conditions or limitations already specified in an Airplane Flight Manual (AFM) or AFM supplement. If no conditions or limitations apply, enter the word “none” in that part of the listing.

OPSPEC A016. Reserved. It was split into four separate authorizations: A037, A038, A039, and A040.

OPSPEC A017, APPROVED SECURITY PROGRAM FOR HELICOPTERS.

A.     General. Title 49 of the Code of Federal Regulations part 1,500 does not include provisions for helicopter security programs. Helicopter operators who wish to enplane or deplane passengers or checked luggage into “sterile areas” must apply for, and receive authorization to use, an approved security program. A017 conveys the authority for helicopter operators to use an approved security program. Principal operations inspectors will not issue A017 without concurrence of the Civil Aviation Security Field Office.

B.     Using References. Describe or reference the security program used by the operator in A017a. Reference sections of the operator’s manual that describe the program used by that operator. It is not necessary to control these references by date. Change the references only when a revision to the operator’s manual makes the reference in the OpSpecs incorrect. When the operator’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be needed.

C.     Listing Airports and/or Heliports. List the airports and/or heliports where operators must comply with the approved security program in A017b.

OPSPEC A018, SCHEDULED HELICOPTER OPERATIONS. A018 is issued to helicopter operators who operate scheduled passenger or cargo carrying operations.

A.     Completing Approach and Landing With Powerplant Failure. Subparagraph A018a(2) authorizes scheduled helicopter operations along “Restricted Helicopter Routes” with helicopters which do not have Transport Category “A” one engine inoperative performance capabilities. The operator must show that helicopters using these routes can, at any point along the route and while at the minimum authorized altitude, complete a safe approach and landing if powerplant failure occurs. Determining compliance with these conditions will almost always be a controversial and difficult inspector task. For this reason, only currently qualified and highly experienced helicopter specialists should be used to evaluate these types of routes. In controversial cases, a team of helicopter specialists should be employed for this task.

B.     Defining Restricted Helicopter Routes. OpSpec B050 must precisely define “Restricted Helicopter Routes.” This may be accomplished in accordance with instructions in Volume 3, Chapter 18, Section 4, Part B Operations Specifications—En Route Authorizations and Limitations, paragraph B050, subparagraph B(2)(e). In certain situations, detailed descriptions (including maps, charts, ATC letters of agreement, special provisions, and limitations) of “Restricted Helicopter Routes” may be lengthy and complex. Therefore, it is permissible to incorporate these documents in B050 by reference.

OPSPEC A019, AUTOMOTIVE GASOLINE AS AIRCRAFT FUEL. A certificate holder may request authorization to use automotive gasoline as fuel in reciprocating engine aircraft used in 14 CFR part 135 cargo operations. When an inspector receives a request for this authorization, he must take all of the following actions before issuing A019:

A.     Approval to Use Automotive Gasoline. In coordination with an Airworthiness inspector, determine that the specific aircraft is approved to use automotive gasoline as fuel.

B.     Inspect the List of Aircraft. Inspect the proposed list of aircraft the certificate holder must maintain under 14 CFR part 119, § 119.59(b) for compliance with the provision of A019b(2).

C.     Inspect Certificate Holder Procedures. In coordination with an Airworthiness inspector, determine that the certificate holder has written procedures which provide compliance with the requirements of OpSpec paragraphs A019b(3) and (4).

D.    Necessary Entry in Aircraft and Powerplant Historical Record. The certificate holder must enter, in each appropriate aircraft and powerplant historical record, the following entry:

“This aircraft/powerplant has been operated using automotive gasoline as fuel and is prohibited for use in part 135 passenger carrying operations until the following events have been completed and documented by a person authorized to perform an annual inspection of this aircraft:

1)      Remove all automotive fuel and fuel residue from the aircraft and powerplant fuel systems.
2)      Inspect all components of the aircraft fuel system and appropriate components of the powerplants to determine that those components are airworthy and conform to the appropriate type design.
3)      Record events (1) and (2) in the aircraft and/or powerplant records.”

OPSPEC A020, AIRPLANE OPERATIONS WITHOUT INSTRUMENT RATED PILOTS. A certificate holder who applies for this authorization may be issued A020 after each of the following considerations are satisfied.

A.     Criteria for an Isolated Area. The area to be approved must be isolated. In determining whether an area is an “isolated area,” consider the following criteria:

1)      Isolated areas may include small settlements or villages. Commercial transportation, such as bus or train, is not available. Major highways do not transit or penetrate isolated areas although secondary and unimproved roads (suitable for cars and trucks) may be available. In many cases, the destinations are so isolated that air travel is the primary means of transportation.
2)      Landing areas may be unimproved strips or water sites depending on the kinds of airplanes used and the time of year. Ski equipped airplane operations would be appropriate to frozen lakes or rivers and to suitable, snow covered land areas.
3)      The size of isolated areas may vary considerably, depending on the needs of a particular certificate holder. However, part 135, § 135.243(d) states that flights may not exceed 250 nautical miles (NM) from the operator’s base of operations. The point of departure, en route portion of flight, and landing site all must be within the boundaries of the approved isolated area.
4)      Within isolated areas flight planning and navigational requirements are normally performed by pilotage only. Radio navigational signal coverage (very-high frequency omnidirectional range or nondirectional radio beacon facilities) is usually limited, or largely ineffective, in these areas. However, a radio facility may be located at or near a landing site without changing the classification of the isolated area.
5)      Weather hazards that may be encountered in the proposed area and planning strategies that may reduce risk. (e.g., valleys may produce heavy fog in morning hours. Should a destination airport become fogged in while en route, consider using ABC airport as an alternate.)

B.     Application for Isolated‑Area Operations Using a PIC Without an Instrument Rating. Applicants requesting approval for these operations must hold an Air Carrier Certificate or an Operating Certificate and OpSpecs authorizing part 135 on‑demand visual flight rules (VFR) day‑only operations using single‑engine land or seaplanes. Isolated‑area operations using a pilot in command (PIC) without an instrument rating must not be authorized for commuter operations. Application for this authorization must be made by letter requesting amended OpSpecs. A map or current aeronautical chart identifying the area involved must be attached to the letter of application. This chart must clearly show the boundaries of the isolated area, the principal landing sites, and the distances from the operator’s operations base.

C.     Review of the Application for Compliance. Inspectors must review the application to confirm compliance with § 135.243(d)(3) (that the area is isolated) and § 135.243(d)(6) (flight distances do not exceed 250 NM). Inspectors must determine whether the certificate holder has a manual that incorporates instructions concerning operations in isolated areas. This manual must include a procedure that guarantees that noninstrument-rated PICs will not be used outside of the approved isolated areas. The principal operations inspector must determine that the following requirements are met before issuing A020.

1)      All aircraft to be used are single, reciprocating engine powered, nine or fewer passenger airplanes equipped for at least day VFR operations.
2)      Operations are limited to on demand, day VFR flights within the boundaries of the approved isolated area and not more than 250 NM distance from the base of operation.
3)      Flight locating procedures are adequate.
4)      The regional Flight Standards division concurs with the approval of the isolated area operation.

OPSPEC A021, HELICOPTER EMERGENCY MEDICAL SERVICES (HEMS)/AIR AMBULANCE OPERATIONS—HELICOPTER.

A.     General. OpSpec A021 authorizes a certificate holder operating under part 135 to conduct air ambulance visual flight rules (VFR) emergency medical service operations in helicopters. The terms air ambulance, helicopter emergency medical services (HEMS), and helicopter emergency medical evacuation services (HEMES) are used interchangeably in regard to this authorization.

1)      This HEMS/air ambulance authorization requires that the intended takeoff and landing site be adequate for the proposed operation considering the size of the site, type of surface, surrounding obstructions, and lighting.
2)      If the HEMS operation is to be conducted at night, the takeoff and landing site must be clearly illuminated by a lighting source that will provide adequate lighting for the site itself and for any obstructions that could create potential hazards during approach, hovering, taxiing, and departure operations.

B.     Provisions and Limitations. OpSpec A021 specifies that the certificate holder may not use a pilot in command (PIC) in HEMS operations unless that PIC has satisfactorily completed the certificate holder’s FAA-approved training program for such operations. Because HEMS operations often involve flights during periods of inclement weather, the training program for HEMS operations must include a segment that covers the recovery from inadvertent instrument meteorological conditions encountered because of unforecasted weather conditions.

1)      OpSpec A021 specifies the conditions (day/night), area (local/cross country), ceiling, and visibility the certificate holder is authorized to use for HEMS operations in Class G (uncontrolled) airspace. Night conditions are further defined by identifying different minimums for high and low lighting conditions. In addition, OpSpec A021 specifies different ceiling and visibility minimums for these considerations and areas when operating in mountainous and nonmountainous areas. Each specific combination of conditions and areas are listed in OpSpec A021.
a)      The possible combinations of conditions and area include time of day (night or day), level of light available at night (low and high lighting conditions), area of operation (local or cross country), and the kind of area (mountainous or non‑mountainous). Each of these combinations is specified along with ceiling and visibility authorizations.
b)      Instrument flight rules (IFR) operators authorized to fly point-in-space special instrument approach procedures (IAP) with a “Proceed VFR” transition to the heliport must apply their visual flight rules (VFR) weather minimums in determining their landing minimums.

1.      Since these operations require that the aircrew be specifically qualified for the use of these approaches, the visual segment area may be considered “local” in nature.

2.      Because the pilot and aircraft are trained, equipped, and authorized as fully IFR capable under Part H authorizations, the area may be considered the equivalent of a “high lighting conditions” area at night.

3.      The effect of precipitous terrain has been accounted for in the development of the minimum descent altitude (MDA) so, for purposes of applying VFR minimums in determining IFR landing visibility minimums, the area may be considered “nonmountainous.” For planning purposes, this consideration applies when the distance from the missed approach point to the landing area is less than 3 NM.

4.      Therefore, when applying the VFR weather minimums of OpSpec A021 in determining the minimums for all Special PinS approaches, with a “Proceed VFR” transition to the heliport, apply the local, nonmountainous, day, or night high lighting conditions (as appropriate) minimums in Table 1 of OpSpec A021 in determining the landing minimum if the distance from the missed approach point to the heliport is 3 NM or less. However, if the distance from the missed approach point to the heliport exceeds 3 NM, the certificate holder must apply the VFR minimums prescribed in Table 1 of OpSpec A021 appropriate to the actual existing conditions (local, mountainous, day or nonmountainous, cross country, night, etc.).

For instrument approaches with a “Proceed visually” visual segment, the minimums provided in OpSpec A021 do not apply; the minimums specified in the instrument approach procedure apply.

c)      Requests for lower weather minimums for operations in uncontrolled airspace must be coordinated with and approved by AFS‑200 through the regional Flight Standards division (RFSD). These requests must follow the nonstandard OpSpec approval process outlined in Volume 3, Chapter 18, Section 2, Automated Operations Safety System (OPSS), paragraph 3‑713, Procedures for Requesting Nonstandard Authorizations.

C.     Local Area. OpSpec A021 contains a description of the “local area.” The local area is an area designated by the certificate holder which generally may not exceed 50 NM from the dispatch location, taking into account man made and natural geographic terrain features that are easily identifiable by the PIC, and from which the PIC may visually determine a position at all times.

1)      The local area may be the same for night and day operations unless the terrain features used for the day local area would not be discernible at night. In such a case, both a day and night local area must be described.
2)      For example, in mountainous or desert locations, geographical features may facilitate day operations but because of the lack of such features and/or lighted landmarks, night operations would not be authorized.
3)      Additional information on local flying areas is provided in Volume 4, Chapter 5, Section 3, Air Ambulance Service Operational Procedures, paragraph 4‑947, Local Flying Area for HEMS Operations.

D.    Additional Information. For more information, see OpSpec A024, Air Ambulance Operations—Airplane, and OpSpec A050, Helicopter Night Vision Goggle Operations, in this section.

OPSPEC A022, APPROVED EXIT ROW SEAT PROGRAM. Reserved.

OPSPEC A023, USE A PROGRAM DURING GROUND ICING CONDITIONS.

A.     Part 121. Part 121, § 121.629(c) requires part 121 certificate holders to have an approved ground deicing/anti‑icing program, unless the certificate holder complies with § 121.629(d), which requires an outside the aircraft pretakeoff contamination check. Principal inspectors (PI) will issue OpSpec A023 to authorize the use of an approved ground deicing/anti-icing program or the use of an outside the aircraft pretakeoff contamination check. See Volume 3, Chapter 27, Ground Deicing/Anti icing Programs, for guidance on approving a ground deicing/anti-icing program.

B.     Parts 125 and 135. Part 125, § 125.221 and part 135, § 135.227 require parts 125 and 135 certificate holders who operate during ground icing conditions to have approved aircraft pretakeoff contamination check procedures. PIs will issue OpSpec A041 to authorize a pre takeoff contamination check (not necessarily outside the aircraft). A part 125 or 135 certificate holder may choose to comply with § 121.629(c) by having an approved ground deicing/anti icing program, in which case the PI will issue OpSpec A023. If a part 125 or 135 operator chooses to operate without a pre takeoff contamination check or without a § 121.629(c) program, then PIs may only authorize them to operate when ground icing conditions do not exist by issuing OpSpec A042. See Volume 3, Chapter 27 for guidance on approving a ground deicing/anti-icing program.

OPSPEC A024, AIR AMBULANCE OPERATIONS—AIRPLANE.

A.     General. Airplane air ambulance operations do not differ significantly from other types of airplane air carrier operations. A024 authorizes a certificate holder operating in accordance with parts 121 or 135 to conduct EMS operations in airplanes.

B.     Requirement for Aircraft Used in Air Ambulance Operations. The aircraft used in air ambulance operations must be equipped with at least medical oxygen, suction, and a stretcher, isolette, or other approved patient restraint/containment device. The aircraft need not be used exclusively as an air ambulance aircraft, and the equipment need not be permanently installed.

C.     Air Ambulance Operations Definition.

1)      Air transportation of a person with a health condition that requires medical personnel as determined by a health care provider; or
2)      Holding out to the public as willing to provide air transportation to a person with a health condition that requires medical personnel including, but not limited to, advertising, solicitation, association with a hospital or medical care provider.

D.    Complete the Training Program Before Starting Air Ambulance Flights. A024 specifies that the flightcrew must satisfactorily complete the certificate holder’s approved training program prior to commencement of air ambulance flights.

E.     Additional Information. For further guidance see Volume 4, Chapter 5, Air Ambulance Operations, and OpSpec A021, Air Ambulance Operations—Helicopter.

OPSPEC/MSPEC A025, ELECTRONIC RECORDKEEPING SYSTEM AND/OR ELECTRONIC FLIGHT BAG.

A.     General. A025 is required for part 121 air carriers in accordance with part 121, § 121.683. It is an optional paragraph for 14 CFR part 91 subpart K program managers, 14 CFR part 135 air carriers, and 14 CFR part 145 repair stations. Recordkeeping for part 121 air carriers is covered in part 121 subpart V, Records and Reports.

1)      The full description of the electronic recordkeeping system may be kept in the operator’s General Operations Manual (GOM). Reference the GOM appropriately in A025.
2)      Volume 3, Chapter 31, Operator Recordkeeping for 14 CFR Part 121 and 135 Certificate Holders, sections 1–4, give details of the requirements for approving an air carrier’s recordkeeping system.
3)      A025 is also used to approve an electronic flight bag. See AC 120‑76, Guidelines for the Certification, Airworthiness, and Operational Approval of Electronic Flight Bag (EFB) Computing Devices (current edition), for more information.
4)      Volume 6, Chapter 2, Section 24, Station Facilities Inspections for Part 121 and 135 Air Carriers (PTRS Code 1635), provides guidance for inspections that include the review of required records.

B.     Additional Information. See A025 Job Aid in the OPSS for other current information.

C.     Part 145. For part 145 repair stations, A025 identifies the electronic/digital recordkeeping system acceptable to the administrator. It also identifies the certificate holder and their electronic signature procedures.

OPSPEC A026, RESTRICTED OPERATION OF CERTAIN STAGE 2 AIRPLANES. Reserved.

OPSPEC/MSPEC A027, LAND AND HOLD SHORT OPERATIONS. (OPTIONAL)

A.     General. OpSpec A027 authorizes Land and Hold Short Operations (LAHSO) for part 121, 125, and 135 certificate holders, and part 91 subpart K program managers. Certificate holders must meet certain requirements for operational policies, procedures, and training for LAHSO before the principal operations inspector (POI) may issue this OpSpec. No operator may participate in LAHSO unless it has accomplished flightcrew training. FAA Air Traffic Order 7110.118, Land and Hold Short Operations (LAHSO), must be used in conjunction with the information provided in this paragraph.

Waivers will not be issued to any LAHSO procedures.

B.     Requirement for Participating in LAHSO. Operators may not participate in LAHSO and the FAA will not issue OpSpec A027 until the following are met:

1)      Local Flight Standards District Office (FSDO) managers and local and regional Air Traffic managers must coordinate, (in accordance with FAA Order 7210.3, Facility Operation and Administration and Order 7110.118) the following for airports in their district conducting LAHSO:

·        Participation of Flight Standards Service (AFS) representatives in local LAHSO development teams;

·        Review of air traffic control (ATC) procedures to ensure that procedures are consistent with aircraft/aircrew performance capabilities according to the type of aircraft operations involved;

·        Assisting in the identification of eligible aircraft that may operate on each runway, based on the available landing distance (ALD); and

·        Ensuring that no air carrier is approved to operate aircraft to a runway, for the purpose of conducting LAHSO, with less than that specified on Order 7110.118, appendix 1, Aircraft Group/Distance Minima.

Aircraft not identified in Order 7110.118, appendix 1 do not participate in LAHSO. Aircraft additions to Appendix 1 may be requested through the local ATC facility manager to Air Traffic Service (AAT) and AFS at FAA Headquarters.

2)      POI.
a)      Each POI must review the following:

·        FAA Order 7110.118, in order to identify AFS roles and responsibilities to support joint development of procedures for conducting LAHSO at specific airports. FAA Order 7110.118 may be found at http://ato.faa.gov.

If Internet access is unavailable, contact ATP 120 at (202) 267‑7265 for the most current guidance document.

·        Regulatory requirements, as applicable: parts 125 and 135 subpart I; and §§ 91.1037, 23.75; 25.125; and 121.195.

b)      Each POI must ensure the following actions have been accomplished before issuing or re‑issuing, as appropriate, OpSpec A027:

·        The air carrier has instituted flight crewmember training on LAHSO;

·        The air carrier has a system that accurately determines the landing distance or maximum landing weight required for LAHSO and that ensures no aircrew accepts a landing clearance to a runway with a landing distance less than the distance identified in FAA Order 7110.118, appendix 1;

·        The air carrier has provided flight crewmembers with all necessary information needed to conduct LAHSO; and

·        Paragraph A027c describes the location of the air carrier’s LAHSO procedures. These procedures may be contained in any flight crewmember manual or document readily available to flight crewmembers for reference.

The FAA strongly recommends that all carriers provide aircrews with in flight single source documentation on LAHSO procedures. See Volume 4, Chapter 3, Section 5, Selected Practices, paragraph 600, Land and Hold Short Operations (LAHSO), for additional information.

OPSPEC A028—AIRCRAFT WET LEASE ARRANGEMENTS. In FAA use, the term “wet lease” is any leasing arrangement whereby a person agrees to provide an entire aircraft and at least one crewmember (part 119, § 119.3). This OpSpec authorizes certificate holders who conduct common carriage operations under parts 121 and 135 to enter into wet lease arrangements with other part 119 certificate holders. See Volume 12, Chapter 2, Section 9, Lease, Interchange, and Charter Arrangements, for the wet lease of any aircraft by a U.S. air carrier to a foreign air carrier or foreign person engaged in common carriage wholly outside the United States. Volume 3, Chapter 13, Section 4, Wet Lease Agreements, provides direction and guidance for processing and authorizing wet lease arrangements.

A.     Reviewing Wet Lease Arrangements. When reviewing proposed § 119.53 wet lease arrangements between U.S. certificate holders authorized to conduct common carriage operations, there are two critical factors to consider: (1) whether or not the lessee has exclusive legal possession and use of the entire aircraft, and (2) whether or not the lessor retains actual possession and operational control of the aircraft by virtue of providing and controlling the crewmembers.

1)      Possession. In an FAA‑defined wet lease, the lessor surrenders legal possession of specific aircraft to the lessee, but in general retains actual possession of the aircraft by virtue of providing and controlling the crewmember(s). This form of lease implies that the lessee has possession or custody, not ownership, of the aircraft for a specified period of time or a defined number of flights.
a)      The lessor is the certificate holder who grants legal possession and use of specific aircraft to another certificate holder.
b)      The lessee is the certificate holder who obtains legal possession and use of specific aircraft from another certificate holder.
c)      If the lessor/grantor never transfers legal possession or custody of the entire aircraft, the arrangement is not a § 119.53 wet lease. Likewise, if the arrangement makes it clear that actual possession of the entire aircraft is never transferred; the arrangement is not a § 119.53 wet lease. In this case the arrangement might actually be a charter. An example of such an arrangement is a provision of “aircraft with crew” agreement where no legal or actual transfer of the possessory rights to the aircraft occurs. Such an arrangement is a services agreement for provision of a flight service to a customer even if characterized as a wet lease by the parties to the agreement.
2)      Operational Control. As defined in 14 CFR part 1, operational control is the exercise of authority over initiating, conducting, or terminating a flight. The certificate holder exercising operational control—generally the lessor—is responsible for the safety and regulatory compliance of the flights. The FAA rarely has allowed operational control to be exercised by the lessee certificate holder. An example of such a case entails a lessee certificate holder who obtains legal possession of the lessor certificate holder’s aircraft and, as part of the arrangement, the lessor agrees to furnish two flight attendants with the aircraft. In addition, the lessee furnishes the pilot crewmembers to operate the aircraft. In this case, the lessee certificate holder obtains both actual and legal possession of the aircraft and operational control by virtue of providing and controlling the pilot crewmembers. If there is a question that the lessee may have operational control, the lease must also be reviewed by AFS‑200 and AGC‑300. In this case, both must concur in the issuance of OpSpec A028.
3)      Wet Lease Types. Operational control under an FAA‑defined wet lease will be one of two types.
a)      The lessor certificate holder will have operational control of the listed aircraft. If the lessor certificate holder will have operational control, that certificate holder is authorized to conduct operations in accordance with each applicable wet lease arrangement identified in Table 1 of the OpSpec.

1.      The certificate holder issued this authorization must at all times be responsible for and maintain the operational control and airworthiness of each aircraft identified in each lease arrangement. The lease arrangement(s) must be listed in Table 1 of the OpSpec.

2.      The nationality, registration, and serial number of each aircraft to be used under the terms of the wet lease arrangement will be identified in paragraph D080 or D087, as applicable, and D085 of the certificate holder’s OpSpecs.

3.      While conducting operations under this authorization, the lessor may use the call sign and flight number(s) of the lessee, provided that, for all flights the lessor certificate holder explains in the remarks section of the applicable flight plan that the flight is actually being conducted under the call sign and flight number(s) of the lessee.

4.      Both lessor and lessee certificate holders will have their role and information of the wet lease arrangement documented in OpSpec A028 of their respective OpSpecs.

b)      The lessor certificate holder will not have operational control of the listed aircraft. This type of arrangement is rare. For the FAA to approve such an arrangement, the parties to it will have to establish to the FAA’s satisfaction how the lessee will exercise operational control of the aircraft. For the party to each applicable wet lease who will not have operational control, that determination must be stated in Table 2, of the respective certificate holders’ OpSpecs. Under this example, the lessor certificate holder not having operational control will exercise the wet lease arrangement(s) listed in Table 2 with the following limitations and provisions:

1.      The lessee, as the party exercising operational control, is singularly responsible for the safety and regulatory compliance of the flights.

2.      The lessee, as the party having operational control in the wet lease arrangement listed in Table 2, must at all times be responsible for, and maintain the operational control and airworthiness of the aircraft identified in each wet lease arrangement listed.

3.      The lessor certificate holder is not authorized to have, and may not have, operational control of any operation conducted by the lessee certificate holder under this subparagraph of the OpSpec.

4.      Both lessor and lessee certificate holders will have their role and information of the wet lease arrangement documented in OpSpec A028 of their respective OpSpecs.

B.     Wet Leasing Prohibitions. Section 119.53(b) prohibits part 119 certificate holders’ wet leasing from a foreign air carrier or any other foreign person or any person not authorized to engage in common carriage. This prohibition is to prevent confusion as to which carrier would be held accountable for the safety of the flight, which country’s air carrier safety rules would be followed, and which civil aviation authority would have primary oversight responsibilities.

1)      It is common practice among commercial operators to enter into agreements which the two parties characterize as wet leases but which actually are charters when compared to the FAA definition of wet lease. The term “charter” is not defined in FAA regulations. However, in operational terms, a charter is an agreement whereby a person provides lift capacity (cargo or passengers) to another person for a defined period of time or number of flights. In other words, a charter is a services agreement for the provision of a flight service—not transfer of possession or custody of an aircraft and the FAA expects the charter operator providing an aircraft with crew to have operational control over all flights conducted pursuant to the agreement.
2)      A U.S. air carrier that enters into an agreement with a foreign air carrier for both an aircraft and crew to perform part of the U.S. air carrier’s international operations may not be entering into a wet lease as defined by the FAA if certain conditions (described below) are met. Note that, for commercial reasons both U.S. and foreign air carriers may characterize such arrangements as wet leases even though they are more in the nature of a charter. These agreements, even if characterized by the parties as wet leases, are a type of charter and are subject to the requirements of 14 CFR part 212.
3)      In some commercial arrangements, the term provision of aircraft with crew (or similar phrasing) rather than charter may be used. The provision of aircraft with crew arrangement does not involve any legal or actual transfer of the possessory rights to the aircraft; it is a services agreement or arrangement for a lessor to provide a flight service and does not transfer possession of the aircraft to the lessee.
4)      Charter or provision of aircraft with crew arrangements are commercial arrangements between carriers that require a statement of authorization from the Office of the Secretary of Transportation (OST); they are not documented by OpSpec. The OST authorization process includes a determination that the requirements of part 212 are met and the proposed operation is in the public interest. Such determinations are made in coordination with the FAA, which will review the arrangements and make determinations relating to operational control, possession of the aircraft, the safety oversight of the operation, and the safety audit of the foreign air carrier. Where a foreign air carrier will be involved in such a lease or provision of aircraft with crew arrangement to a U.S. air carrier, approval will be subject to the following requirements:
a)      The foreign air carrier involved holds a foreign air carrier permit or exemption authority from OST to conduct charter operations;
b)      The country that issued the foreign air carrier’s air operator certificate has been rated as Category 1 under the FAA’s International Aviation Safety Assessment program.
c)      The operations to be conducted represent foreign air transportation and not prohibited cabotage, in accordance with Title 49 of the United States Code, § 41703;
d)      The foreign air carrier would be conducting a flight or series of flights. The U.S. air carrier has the economic authority for the flight or series of flights that will be conducted with the foreign air carrier’s aircraft and crew;
e)      The foreign air carrier files an application for a statement of authorization for any such operation proposed;
f)        The foreign air carrier demonstrates that it would be in operational control of the proposed operation, for example, by providing with its application, for review by the FAA, copies of the lease arrangement for the aircraft with crew, that it has entered into with the U.S. certificated air carrier;
g)      The foreign air carrier demonstrates that it will retain legal and actual possession of the aircraft;
h)      The foreign air carrier provides evidence, for example, that the U.S.‑certificated air carrier involved has conducted a safety audit of the foreign carrier, consistent with an FAA‑approved safety audit program, and has submitted a report of that audit to the FAA for review; and
i)        The FAA notifies the OST that it has determined that operational control of the proposed flights rest with the foreign air carrier applicant, that the oversight of the operation will remain with the country that issued the foreign air carrier’s air operator certificate, and that the safety audit meets the standards of the U.S.‑certificated air carrier’s safety audit program.

OPSPEC A029, AIRCRAFT INTERCHANGE ARRANGEMENTS. Volume 3, Chapter 13, Section 5, Interchange Agreements, provides direction and guidance for processing and authorizing interchange arrangements. When an interchange arrangement is authorized, A029 must be issued to both parties of the interchange agreement by each responsible principal operations inspector. All interchange arrangements authorized for an operator must be listed in A029. Enter the name of the operator who would normally operate the aircraft if an interchange agreement were not in effect in the column labeled Primary Operator. List the name of the other party to the interchange agreement in the column labeled Interchange Operator. List the aircraft make/model/series of the aircraft used and all specified interchange points for each agreement in the appropriate columns. If it is necessary to specify other conditions or limitations such as expiration dates, they should be specified by adding text to A029.

OPSPEC A030, PART 121 SUPPLEMENTAL OPERATIONS.

A.     General.

1)      A030 is optional for issuance to operators who conduct domestic operations or domestic and flag operations. If a part 121 domestic or a domestic/flag carrier wishes to be authorized to conduct supplemental operations using domestic/flag rules, it can be authorized to do so only between the city pairs listed in C070. This authorization is given by issuance of A030.
2)      If a part 121 air carrier conducts only supplemental operations, A030 will not be issued. The supplemental operations are authorized by listing supplemental only in A001. OpSpec A030 would not apply because OpSpec C070 would not be issued since the air carrier has no scheduled city pairs or approved stations. Thus, the carrier would be required to operate under supplemental regulations at all times.

B.     When to List Supplemental on A001. Since the publication of part 119, it is necessary to include supplemental when issuing A001 to a domestic or flag carrier. In other words, if a carrier is a flag carrier and also does domestic flights, it will be necessary to have both flag and domestic listed on A001. If that same carrier does flag, domestic, and supplemental, all three must be listed on A001. Due to the nature of the aviation industry, if a carrier does primarily domestic operations, the Department of Transportation has determined that it has economic authority for supplemental operations.

OPSPEC A031, ARRANGEMENTS WITH TRAINING CENTER(S) OR OTHER ORGANIZATION(S) FOR CERTIFICATE HOLDER TRAINING; MSPEC A031, ARRANGEMENTS WITH TRAINING CENTERS, AIR AGENCIES, AND/OR OTHER ORGANIZATIONS FOR PERSONNEL TRAINING. This paragraph is used to document the approval of the operator’s/certificate holder’s training program.

OPSPEC A032, ADOPTION OF FLIGHT CREWMEMBER FLIGHT TIME LIMITATION RULES TO ESTABLISH FLIGHT ATTENDANT DUTY AND FLIGHT TIME LIMITATIONS AND REST RESTRICTIONS; MSPEC A032, FLIGHT ATTENDANT FLIGHT, DUTY, AND REST RULES. The program manager may be authorized to adopt the flight crewmember’s flight, duty, and rest requirements for its flight attendants in accordance with written approved procedures as provided in part 91, § 91.1062(b) and described or referenced in MSpec A032.

OPSPEC A033, TITLE 14 CFR PART 135 FLIGHT AND REST TIME LIMITATIONS FOR CERTAIN PART 121 AND CERTAIN 135 OPERATIONS.

A.     General. A033 is issued to authorize the certificate holder to conduct:

1)      Certain part 121 operations with airplanes having a passenger seat configuration of 30 seats or fewer and a payload capacity of 7,500 pounds or less in accordance with part 121, §§ 121.470(a), 121.480, and/or 121.500, using flight and rest time limitations under part 135, §§ 135.261 through 135.273, and/or
2)      Certain 14 CFR part 135 operations using flight and rest time limitations under § 135.265, in lieu of any other §§ 135.261 through 135.273.

B.     Compliance With Applicable 14 CFR Sections. Part 119 establishes that all certificate holders conducting scheduled passenger‑carrying operations with turbine‑powered airplanes and/or airplanes having 10 or more passenger seats must operate under part 121, § 121.470(a), Flight Time Limitations, Domestic Operations; § 121.480, Flight Time Limitations, Flag Operations; and § 121.500, Flight Time Limitations, Supplemental Operations. These sections contain, in pertinent part, the provisions that a certificate holder conducting operations with airplanes having a passenger seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less may comply with the applicable requirements of §§ 135.261 through 135.273. Section 135.261(a)(2) allows certain part 135 certificate holders to comply with the requirements of § 135.265, when OpSpec A033 is issued.

MSPEC A033, FLIGHT AND REST TIME REQUIREMENTS. As allowed by part 91, § 91.1057(j), the program manager may be authorized to conduct program operations using the applicable unscheduled flight time limitations, duty period limitations, and rest requirements of part 121 or 135, instead of the flight time limitations, duty period limitations, and rest requirements of part 91 subpart K, as described in MSpec A033.

OPSPEC/MSPEC A034, ADVANCED QUALIFICATION PROGRAM (AQP).

A.     When to Issue OpSpec A034. Following initial/Phase IV approval, all Advanced Qualification Program (AQP) air carriers must be issued OpSpec paragraph A034. For all AQP documents and phases for which the Extended Review Team (ERT) is designated as the approval authority, the FAA manager AQP and the principal operations inspector (POI) or training center program manager (TCPM) will cosign the approval letters. Following approval for continuing operation (Phase V), the POI will manage and sign approved curriculum outline changes.

B.     About AQP. AQP is a voluntary program; Flight Standards Service encourages air carriers to participate. AQP provides for enhanced curriculum development and a data driven approach to quality assurance along with the flexibility to target critical tasks during aircrew training. The AQP methodology directly supports the FAA’s safety enhancement goals. The Voluntary Safety Programs Branch, AFS‑230, will provide assistance to the Flight Standards District Office (FSDO), certificate management office (CMO), or Certificate Management Unit (CMU) from initial application through the final fleet approval as a collaborative effort. An accepted air carrier AQP application will initiate the AFS‑230/FSDO/CMO/CMU partnership. AFS‑230 will assist in the development, implementation, and review as well as follow on reviews for the air carrier’s AQP. AFS‑230 and the FSDO/CMO/CMU will manage program approvals and revisions through an ERT process.

C.     Additional Information. More detailed information on AQP can be found in Volume 3, Chapter 21, The Advanced Qualification Program, Sections 1 through 5.

OPSPEC A035, U.S. REGISTERED AIRCRAFT—FOR PART 129 ONLY.

OPSPEC A036. Reserved.

OPSPEC A037, BASIC 14 CFR PART 135 OPERATOR—COMMUTER AND ON DEMAND OPERATIONS. A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into OpSpecs A037, A038, A039, and A040. The four types of operations authorized are: Single‑Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On‑Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135, sections 1 through 6. Deviations are required to authorize a single pilot in command or a basic part 135 operator. The appropriate regulatory sections that an operator is authorized deviations from will also be listed in OpSpec A005.

OPSPEC A038, BASIC TITLE 14 CFR PART 135 OPERATOR—ON DEMAND OPERATIONS ONLY. A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into OpSpecs A037, A038, A039, and A040. The four types of operations authorized are: Single‑Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On-Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135, sections 1 and 2. Deviations are required to authorize a Single Pilot in Command or a Basic Part 135 Operator. The appropriate regulatory sections that an operator is authorized deviations from will also be listed in OpSpec A005.

OPSPEC A039, SINGLE PILOT IN COMMAND OPERATOR (PART 135). A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into paragraphs A037, A038, A039, and A040. The four types of operations authorized are: Single‑Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On‑Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, Section 2, Phase 2—Formal Application. Deviations are required to authorize a single pilot in command or a basic part 135 operator. Therefore, the appropriate regulatory sections that the operator is authorized deviations from must also be listed in OpSpec A005.

OPSPEC A040, (PART 135 AND 135/121 DATABASES ONLY) SINGLE PILOT OPERATOR (PART 135). A016 was comprised of four different paragraphs. Because of the new Operations Safety System, the four authorizations were split into paragraphs A037, A038, A039, and A040. The four types of operations authorized are: Single Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On-Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, Section 1. It is not required to issue an A005 for the single pilot operator for deviations from the requirements for an operations manual, management personnel and positions, and an approved pilot training program. However, OpSpec A005 must list other appropriate regulatory sections from which the operator is authorized deviations.

OPSPEC A041, PRETAKEOFF CONTAMINATION CHECK OR APPROVED ALTERNATE GROUND DEICING/ANTI-ICING PROCEDURE FOR TITLE 14 CFR PART 125/135 AIRPLANE OPERATIONS.

A.     Part 125, § 125.221 and Part 135, § 135.227. These sections require part 125 and 135 certificate holders who operate in ground icing conditions to have approved aircraft pretakeoff contamination check procedures or an approved alternate ground deicing/anti-icing procedure to determine the airplane is free of frost, ice, or snow. Principal inspectors (PI) will issue OpSpec A041 to authorize a pretakeoff contamination check (not necessarily outside the aircraft) or the approved alternate procedure. A part 125 or 135 certificate holder may choose to comply with part 121, § 121.629(c) by having an approved ground deicing/anti‑icing program, in which case the PI will issue OpSpec A023. See Volume 4, Chapter 8, Low Visibility Taxi Operations, for guidance on approving a ground deicing/anti icing program.

B.     OpSpec Paragraph A041. This paragraph will be used to authorize the use of the alternative procedure using the services of a provider with an approved § 121.629 program and thereby authorizing the use of the holdover times (HOT) as limiting values instead of as advisory information only. The conditions specified in this OpSpec must be complied with in order for the operator to use this alternate procedure. Before issuing the OpSpec the operator’s General Operations Manual (GOM) and training program must be updated to include the elements contained in this guidance. The flightcrew, and, if appropriate, other ground personnel (example: persons charged with prearranging ground deicing services) must be trained as per the approved training program as updated to address the elements contained in this guidance. For an operator choosing to implement this alternate procedure, OpSpec A041 allows the operator to chose for each takeoff between conducting a pretakeoff contamination check in accordance with the Aircraft Flight Manual (AFM) or certificate holder’s approved program within five minutes of takeoff, or, if authorized, and all the conditions of their approved alternate procedure and the OpSpec can be met, to use the holdover time/allowance times as limiting values. OpSpec A023 should not be issued for the purpose of authorizing this alternate procedure. This is an alternate procedure to conducting a pretakeoff contamination check and not in full compliance with the requirements of an approved § 121.629 program.

C.     Approved Alternate Ground Deicing/Anti-icing Procedure. By providing this guidance for the development of an alternate ground deicing plan the FAA anticipates an improvement in the level of safety in winter operations by encouraging part 125 and 135 operators to develop aircraft ground de/anti-icing plans similar to an approved § 121.629 program. By incorporating the procedures outlined in this guidance and by incorporating and conducting the training specified, the operator will have available for use quality assured de/anti‑icing fluids, applied with equipment meeting the proper specifications, and applied by qualified ground personnel under the quality assurances built into a § 121.629 approved ground deicing program. An operator under part 125 or 135 may choose to implement the alternate procedures for ground de/anti-icing as outlined in this guidance or continue to operate in ground icing conditions by conducting a pretakeoff contamination check within five minutes of takeoff using procedures in their approved ground deicing plan, and AFM limitations. Under these alternate procedure guidelines the operator is restricted to using the ground deicing services of an air carrier or an air carrier contract service provider conducting ground deicing service under an approved § 121.629 ground deicing program. Since the quality control requirements for the fluids and application equipment along with the activation of the program/plan as it relates to the ground service readiness is under the control of the holder of the § 121.629 approved program, the operator under these alternate procedures need not have policies and procedures for these elements in their alternate plan. Likewise, all ground deicing personnel are required to have been trained and qualified by the holder of the § 121.629 approved program being used, therefore the holder of these alternate ground deicing procedures must conduct only aircraft-specific training. In lieu of prior training of the ground deicing personnel on the specific aircraft, the flightcrew may, in person, supervise the de- /anti-icing process. This supervision must be supplemented by pictorial description (provided to the application personnel) of the aircrafts critical and sensitive surfaces indicating those areas that must be checked as part of the post deicing and anti-icing inspections. In order to use this flightcrew supervision provision the flightcrew must be trained on all fluid application procedure requirements except for actual hands on practice. In essence, the operator’s ground de/anti-icing alternate procedures plan must contain all other elements of an approved § 121.629 program as detailed in the current edition of AC 120‑60, Ground Deicing and Anti-icing Program, except as indicated above. The required elements of the operator’s alternate procedure plan and required training is provided below. This guidance is extracted from AC 120-60 with limited additional guidance from other FAA ground deicing guidance material. In addition, inspectors and certificate holders should consult Notice 8900.22, FAA-Approved Deicing Program Updates, Winter 2007-2008, and the AFS‑200 Web site for current guidance.

1)      Required Ground De/Anti-Icing Elements. This paragraph describes ground de/anti icing elements required to be contained in a part 125 and 135 alternate procedures in-lieu of a pretakeoff contamination check in order to be authorized the use of the current FAA‑published fluid HOT as limiting time values rather than advisory times when utilizing the ground de/anti-icing service provider with an approved part 121, § 121.629 program.
a)      Management Plan. In order to properly exercise operational control (when conditions are such that frost, ice, snow, or slush may reasonably be expected to adhere to an aircraft), the certificate holder should develop, coordinate with other affected parties, implement, and use a management plan for proper execution of its alternative de/anti-icing plan. A plan encompassing the following elements is acceptable:

1.      Responsibility. Where operations are expected to be conducted in conditions conducive to ground icing, determine who is responsible for deciding when ground deicing/anti-icing procedures are in effect and the ambient conditions for implementing ground deicing procedures.

2.      Manuals Requirements. The certificate holder should incorporate a detailed description of the deicing/anti-icing plan in its manuals for flight crewmembers, flight followers, ground operations personnel, and management personnel to use when conducting operations under ground icing conditions. This description should include the functions, duties, responsibilities, instructions, and procedures to be used.

3.      Coordination. The certificate holder should develop a winter operations plan to include procedures for coordination with the deicing service provider, air traffic control (ATC), and airport authorities as appropriate.

b)      De/Anti-icing Fluid Application Procedures. In an appropriate manual, certificate holders must specify the deicing and anti-icing fluid procedures for each type of aircraft operated. Thickened anti-icing fluids (Type II, III, and IV), may only be used on aircraft that the aircraft manufacturer has provided documentation that these fluids are safe to be used on that make and model aircraft. Type I deicing fluid may be used on any aircraft with a takeoff rotation speed of 65 knots or greater with an outside air temperature of -19 C or warmer. In order to use the HOT as limiting time values the de/anti-icing service must be provided by an operator with an approved de/anti-icing program approved under § 121.629 or a contract provider to that operator under the operators approved § 121.629 approved program. Ground personnel trained and qualified to apply deicing and anti-icing fluid, in accordance with a certificate holder’s approved § 121.629 program, do not require additional training and qualification to deice and anti-ice similar aircraft operated by another certificate holder. If the deicing service provider has been trained by another part 125 or 135 air carrier using an alternate deicing procedures in accordance with this guidance for the same type of aircraft additional training under the provisions of this guidance is not required. However, specific training and/or direct flightcrew supervision, supplemented with pictorial descriptions of the de/anti-icing procedures to be used identifying the critical aircraft surfaces, sensitive areas, and areas to be checked in the post deicing and post anti-icing inspections is needed for deicing personnel to deice different types of aircraft or aircraft with different configurations.
c)      HOT Tables and Procedures for Their Use. The operator’s alternate ground de/anti-icing procedures must include HOT tables and the procedures for the use of these tables by the certificate holder’s personnel. The following elements must be included in the operator’s alternate plan:

1.      Responsibilities and Procedures. The certificate holder’s program must define operational responsibilities and contain procedures for the flightcrew, ground personnel, and maintenance personnel that apply to the use of HOTs and resultant actions if the determined HOT is exceeded.

i.         Procedures to address deicing operations at specific deicing locations (e.g., gate, remote, or centralized facilities, engines running/not running, auxiliary power unit (APU), etc.), including how to determine radio frequencies to be utilized for communications between the flightcrew and the ground personnel.

ii.       Procedures for ground crew and flightcrew to communicate:

·        During aircraft positioning, (if required),

·        Other pertinent information regarding the deicing/anti-icing process,

·        Start of the HOT (start time of final fluid application),

·        The aircraft departure process from the deicing area, and

·        Equipment clear/job done (post de/anti-icing inspections completed) – safe to start taxiing.

iii.      In addition, procedures must be developed for the flightcrew’s use of the pertinent HOT tables, coordination with flight followers and ATC as appropriate.

2.      FAA HOT Tables. An operator’s alternate procedure must implement HOT tables for use by its personnel. The FAA develops HOT tables for Type I deice/anti-ice fluid and manufacturer specific and generic Type II, III, and IV anti-ice fluid in accordance with SAE ARP 4737, Aircraft Deicing/Anti-Icing Methods, and ISO 11076, Aerospace Aircraft Deicing/Anti-Icing Methods with Fluids. HOTs that exceed those specified in the current edition of the FAA specific HOT of approved fluids are not acceptable. However, the certificate holder may require the use of more conservative times than those specified in the FAA tables.

3.      Use of HOT Tables. HOT ranges are an estimate of the time that deicing/anti-icing fluid will prevent the formation of frost or ice and the accumulation of snow on the unprotected surfaces of an aircraft. HOT begins when the start of the final application of deicing/anti-icing fluid commences and expires when the deicing/anti-icing fluid applied to the aircraft loses its effectiveness (e.g., when ice begins to form on or in the fluid). HOTs vary with weather conditions. The effectiveness of deicing/anti-icing fluids is based on a number of variables (e.g., temperature, moisture content of the precipitation, wind, and the aircraft skin temperature). The HOT tables are to be used for departure planning and in conjunction with pretakeoff check procedures.

d)      Frozen Contaminants on the Aircraft. The operators must have procedures that insure the aircraft is free of all frozen contaminants adhering to the wings, control surfaces, propellers, engine inlets, or other critical surfaces before takeoff.

1.      Identification of Critical Aircraft Surfaces. The critical aircraft surfaces, which must be clear of contaminants before takeoff should be described in the aircraft manufacturer's maintenance manual or other manufacturer-developed documents, such as service or operations bulletins.

i.         Generally, the following should be considered to be critical aircraft surfaces, if the aircraft manufacturer's information is not available:

·        Pitot heads, static ports, ram-air intakes for engine control and flight instruments, other kinds of instrument sensor pickup points, fuel vents, propellers, and engine inlets. These are both critical areas for flight safety and classified as sensitive surfaces because they may be adversely affected by direct de/anti-icing fluid application and therefore require special attention during cold weather preflight and fluid application.

·        Wings, empennage, and control surfaces.

·        Fuselage upper surfaces on aircraft with center mounted engine(s).

ii.       Certificate holders must list in the general operations manual, for each type of aircraft used in their operations, the critical and sensitive surfaces that should be checked on flight-crewmember preflight inspections, pretakeoff checks, and pretakeoff contamination checks.

iii.      Critical surfaces must be defined for the use of ground personnel for conducting the check following the deicing/anti-icing process and for any pretakeoff contamination checks that may be accomplished by ground personnel.

2.      Identification of Representative Aircraft Surfaces (if used in place of critical surfaces). Representative aircraft surfaces are for use in conducting pretakeoff checks only; this is not to be confused with pretakeoff contamination check requirements. For each type of aircraft operated, certificate holders should list, in the general operations manual, the representative surfaces that may be checked while conducting pretakeoff checks. Some aircraft manufacturers have identified certain aircraft surfaces that the flightcrew can readily observe to determine whether or not frozen contaminants are accumulating or forming on that surface and, by using it as a representative surface, can make a reasoned judgment regarding whether or not frozen contaminants are adhering to other aircraft surfaces. When identifying a representative aircraft surface, the following guidelines should be considered:

i.         The surface can be seen clearly to determine whether or not frozen contaminants are forming or accumulating on the surface and if the estimated HOT is valid considering the precipitation conditions actually present.

ii.       The surface must be unheated.

iii.      If using a treated surface during the deicing/anti-icing procedure, the representative surface should be one of the first surfaces treated with deicing/anti-icing fluid. However, the designation of representative surfaces is not limited to treated surfaces.

3.      Recognition Techniques. Certificate holders must have aircraft specific guidance for the recognition of contamination on aircraft surfaces. The flightcrew and other personnel should use these type-specific techniques while conducting preflight aircraft icing checks, pretakeoff checks, and pretakeoff contamination checks. Frozen contaminants can take the form of ice, frost, snow, or slush. Initial, Transition, Recurrent, Upgrade, or Advanced Qualification Program and Continuing Qualification training curricula should include aircraft type-specific techniques for use by the flightcrew and other personnel for recognizing contamination on aircraft surfaces. The flightcrew and other personnel should use these type‑specific techniques while conducting preflight aircraft icing checks, pretakeoff checks, and pretakeoff contamination checks. Frozen contaminants can take the form of ice, frost, snow, or slush. The formation of clear ice may be difficult to detect visually. Therefore, specific techniques for identification of clear ice should be included.

e)      Types of Icing Checks. The operator’s alternate ground deicing/anti-icing plan must include procedures for pretakeoff and pretakeoff contamination checks that, when applicable, are required to be accomplished. The aircraft deicing/anti-icing procedure must also include a post deicing/anti icing check of all aircraft critical surfaces.

1.      Pretakeoff Check (within the HOT, not to be confused with a pretakeoff contamination check that is applied after the expiration of the HOT). This check is required anytime HOT are used. The flightcrew must accomplish the check within the HOT. The flightcrew should check the aircraft’s wings or representative aircraft surfaces for frozen contamination. The surfaces to be checked are determined by manufacturer’s data or guidance contained in AC 120-60, current edition. The pretakeoff check is integral to the use of HOTs. Because of the limitations and cautions associated with the use of HOTs, the flightcrew must assess the current weather and other situational conditions that affect the aircraft’s condition and not rely on the use of HOTs as the sole determinant that the aircraft is free of contaminants. Several pretakeoff checks may be required during the HOT period based on factors that include the length of the HOT range, weather, or other conditions. The flightcrew must maintain a continued awareness of the condition of the aircraft and accomplish, as a minimum, a pretakeoff check just before taking the active runway for departure. When conducting the pretakeoff check, the flightcrew must factor in the application sequence (i.e., where on the aircraft the de/anti-icing process began).

2.      Pretakeoff Contamination Check (when HOT has been exceeded). Completing a pretakeoff contamination check is one of the conditions that allows a takeoff after a HOT has been exceeded. When a HOT has been exceeded, certificate holders must have appropriate pretakeoff contamination check procedures for the flightcrew’s and/or other qualified ground personnel’s use to ensure that the aircraft’s critical surfaces remain free of frozen contaminants. Flightcrews and/or other qualified ground personnel must complete the pretakeoff contamination check within 5 minutes before beginning takeoff. This check must be accomplished from outside the aircraft unless the certificate holder’s program specifies otherwise. If any doubt exists concerning the aircraft’s condition after completing this check, the aircraft cannot takeoff unless it is deiced again and a new HOT is determined. The following should be considered while developing procedures for this check:

i.         For all hard wing aircraft (those without leading edge devices) this check must be an outside the aircraft tactile check (feel). For all high wing aircraft this check must also be an outside the aircraft check and maybe visual or tactile based on the aircraft manufacturers procedures or as approved by the FAA. Also aircraft with aft, fuselage-mounted, turbine-powered engines must conduct pretakeoff contamination checks from outside the airplane.

ii.       Operators of aircraft other than those addressed in paragraph a) above, should conduct this check from outside the aircraft unless they can show that the check can be adequately accomplished from inside the aircraft. The operators plan must detail procedures and requirements for this check. When developing a procedure—not described in the AFM—for conducting the pretakeoff contamination check from inside the aircraft, certificate holders should consider if crewmembers are able to see enough of the wings, control surfaces, and other surfaces to determine whether or not they are free of contaminants. When making this determination, consider the aircraft type, the method of conducting the check (from the cockpit or cabin), and other factors, such as aircraft lighting and ambient conditions.

3.      Post‑Deicing/Anti-Icing Check. The operator must have procedures outlining these check procedure for each aircraft. This multi-part check is an integral part of the deicing/anti-icing process. The check ensures that:

i.         All critical surfaces are free of adhering frozen contaminants after deicing.

ii.       If anti-icing fluid is to be applied it assures that all critical surfaces are free of frozen contaminants before the application of any anti-icing fluid.

iii.      All critical surfaces are free of frozen contaminants before pushback or taxi. And if anti-icing fluid has been applied that all critical surface have been treated with an even coating of the applicable fluid.

Certificate holders must have procedures that require that qualified ground personnel or flightcrew personnel conduct this check. If conducted by qualified ground personnel, certificate holders should establish communication procedures to relay pertinent deicing/anti‑icing information and the results of this check to the pilot in command (PIC).

f)        Communications. The operator must have standardized communication procedures for communications between the flightcrew and ground deicing personnel. Communication between ground personnel and the flightcrew before commencing deicing/anti‑icing operations is critical. Upon completion of deicing/anti‑icing operations, ground personnel should communicate with the flightcrew to determine the start time of the final fluid application procedure and therefore the start of the HOT. The particular HOT the flightcrew uses is extremely critical. Because many deicers service multiple carriers, the FAA recommends that all operators include the following flow sequence and information to provide standardization:

1.      Before commencing deicing/anti-icing operations, ground personnel and the flightcrew should review the following (as applicable):

i.         Deicing/anti-icing prior to crew arrival.

ii.       Gate or remote deicing/anti-icing procedures.

iii.      Aircraft-specific procedures.

iv.     Communications between ground personnel and the flightcrew.

2.      Just before commencing the application of deicing/anti-icing fluid, ground personnel should confirm with the flightcrew that the aircraft is properly configured for deicing, as the following example states: “N90FAA, is your aircraft ready for deicing/anti-icing?” Response from N90FAA, “Learjet N90FAA, parking brake is set, engines are running, APU is off, aircraft is configured for deicing, and anti-icing with Type IV fluid.” Response from deicing crew, “Roger N90FAA commencing deicing.”

3.      Upon completion of deicing/anti-icing, the flightcrew must be provided the following elements:

i.         Fluid type (e.g., Type I, Type II, Type III or Type IV), the fluid product name is optional for each type of fluid if the fluid meets product on-wing viscosity requirements.

ii.       Fluid/water mix ratio by volume of Types II, III, and IV. (Reporting the concentration of Type I fluid is not required.)

iii.      Specify, in local time (hours and minutes) the beginning of the final fluid application (e.g., 1330).

iv.     Post application check accomplished. Specify date (day, written month, year).

The element listed in subparagraph 3d is required for recordkeeping; it is optional for crew notification.

Transmission of elements listed in subparagraphs a through c, to the flightcrew, confirms that a post deicing/anti-icing check was completed and the aircraft is clean.

4.      Below are two examples of the ground/flightcrew communication sequence.

i.         One Step Process with Type I or other approved deicing fluid: “N90FAA are you ready for your deicing report?” “N90FAA is ready to copy deicing report.” “N90FAA your aircraft has been deiced with Type I fluid. Your fluid application began at 1430.”

ii.       Two Step Process with Types II, III, or IV: “N90FAA are you ready for your deicing report?” “N90FAA is ready to copy deicing report.” “N90FAA your aircraft has been deiced with Type I fluid and anti-iced with Type IV. An anti-ice fluid mixture of 75/25 was used. Your anti-ice fluid application began at 1645.”

2)      Training Requirements Required for the Authorization of the Alternate Procedures Allowing the Use of HOT as Limiting Values. Training for flight followers is only required if that person plays a role in the planning, execution, or recording of aircraft ground de/anti-icing. Training for ground deicing personnel is only required if each de/anti-icing fluid application is not to be supervised by flightcrew personnel.
a)      Initial/Recurrent Ground Training and Qualification. Only trained and qualified personnel may carry out deicing/anti-icing procedures. A flightcrew member trained on fluid application procedures for the applicable aircraft and operator may, in person, supervise the de/anti-icing of the aircraft in lieu of the fluid application personnel being trained on the specific aircraft, provided the application personnel have been appropriately trained and currently qualified under a § 121.629 approved program and the application personnel are provided pictorial diagrams indicating the critical and sensitive areas of the aircraft, and areas to be inspected as part of the post deicing and post anti-icing inspection, and instructed on the proper methods for treatment of the critical and sensitive areas.

1.      Each certificate holder’s approved program must consist of the following:

i.         Certificate holders must conduct initial and annual recurrent training for flightcrews, and, as applicable, flight followers, and ground personnel and must ensure that all such crews obtain and retain a thorough knowledge of aircraft ground deicing/anti-icing policies and procedures, including required procedures and lessons learned.

ii.       Flightcrew, and, as applicable, flight follower, and ground personnel training programs must include a detailed description of initial and annual recurrent ground training and qualification concerning the specific requirements of the alternate plan and the duties, responsibilities, and functions detailed in the plan.

iii.      Flightcrew, and, as applicable, flight follower, and ground personnel training programs must have a Quality Assurance Program to monitor and maintain a high level of competence. An ongoing review plan is advisable to evaluate the effectiveness of the deicing/anti-icing training received.

iv.     The program must have a tracking system that records all required personnel have been satisfactorily trained. Certificate holders must maintain records of personnel training and qualification for proof of qualification.

v.       Personnel must be able to adequately read, speak, and understand English in order to follow written and oral procedures applicable to the deicing/anti-icing program.

2.      Certificate holders must train and qualify flightcrew, and as applicable flight followers, and ground personnel on at least the following subjects, identified as All personnel (no identification) Flightcrew (F), Flight Followers (FF) (persons charged with pre‑arranging of ground deicing services), if applicable to the operators operation, or Ground Personnel (G) if applicable, all pilots that supervise the application of de/anti-icing fluids need to be trained on the subjects for Ground personnel (G) except for hands on training of fluid application techniques:

i.         Effects of Frozen Contaminants on Aircraft Surfaces. Provide an understanding of the critical effect the presence of minute amounts of frost, ice, or snow has on flight surfaces. This discussion should include, but is not limited to:

·        Loss of lift (F),

·        Increased drag and weight (F),

·        Decreased control (F),

·        Tendency for rapid pitch-up and roll-off during rotation (F),

·        Stall occurs at lower-than-normal angle of attack (F),

·        Buffet or stall occurs before activation of stall warning (F),

·        Aircraft specific areas: (F/G),

·        Engine foreign object damage potential,

·        Ram air intakes,

·        Instrument pickup points,

·        Leading edge device (LED) aircraft (aircraft that have slats or leading edge flaps) and non-LED aircraft,

·        Airworthiness Directives (AD)/specific inspections, and

·        Winglets.

ii.       Aircraft Ground Icing Conditions. Describe conditions that cause implementation of deicing/anti-icing procedures (F).

·        In-Flight Ice Accumulation. Certificate holders should have procedures for flightcrews on arriving flights to report occurrences of in-flight icing to the personnel responsible for executing the certificate holder’s deicing/anti-icing program. In-flight ice accumulation could result in a ground-deicing situation when flights are scheduled for short turnaround times (e.g., for 30 minutes or less and when ambient temperatures on the ground are at or below freezing).

·        Frost, including hoarfrost (F).

·        Freezing precipitation (snow, freezing rain, freezing drizzle, or hail, which could adhere to aircraft surfaces) (F).

·        Freezing fog (F).

·        Rain or high humidity on cold soaked wing (F).

·        Rain or high humidity on cold soaked wing fuel tanks (F).

·        Under-wing frost (may not require deicing/anti-icing within certain limits) (F/G).

·        Fluid failure identification (F/G).

iii.      Location specific deicing/anti-icing procedures (F/G, as appropriate).

iv.     Communications procedures between the flightcrew, ground personnel, ATC, and company station personnel (F/FF/G).

Communication procedures must include ground crew confirmation to the flightcrew after the deicing and anti-icing process is completed that all personnel and equipment are clear before reconfiguring or moving the aircraft.

v.       Means for obtaining most current weather information (F/FF).

vi.     Characteristics and capabilities of fluids used (F/D/G).

·        General fluid descriptions (F/G),

·        Composition and appearance (F/G),

·        Differences between Type I and Type II/IV deicing/anti-icing

·        fluids(F/G),

·        Purpose for each type (F/G),

·        Deicing fluids (F/G),

·        Anti-icing fluids (F/G),

·        De/anti-icing fluids capabilities (F/G),

·        Approved deicing/anti-icing fluids for use (SAE, ISO, etc.) (F/G),

·        Fluid-specific information provided by fluid or aircraft manufacturer (F/G),

·        Fluid temperature requirements (hot vs. cold) (F/G),

·        Properties associated with infrared deicing/anti-icing (F/G),

·        Health, safety, and first aid (F/G),

·        Environmental considerations (G),

·        Fluid selection (F/G), and

·        Unusual flying qualities, such as the need for additional takeoff rotation stick-force (F).

vii.    Methods/Procedures (F/G).

·        Inspection of critical surfaces,

·        Clear ice precautions,

·        Flightcrew/groundcrew preflight check requirement,

·        Deicing/anti-ice determination,

·        Deicing/anti-ice location,

·        Communication before deicing/anti-icing,

·        General deicing/anti-ice precautions,

·        Aircraft specific requirements,

·        Deicing:

·        Requirements,

·        Effective removal of frost, snow, and ice.

·        Anti-icing:

·        Requirements

·        Preventative anti-icing,

·        Application,

·        Deicing/anti-icing:

·        One step,

·        Two step,

·        Guidelines for the application of deicing/anti-icing fluids,

·        Post deicing/anti-icing checks requirement,

·        Flight control check, and

·        Communications after deicing/anti-icing.

viii.  Use of HOTs (F/G).

·        Definition of HOT;

·        When HOT begins and ends;

·        Limitations and cautions associated with the use of HOTs;

·        Source of HOT data;

·        Relationship of HOT to particular fluid concentrations and for different types of fluids;

·        Precipitation category (e.g., fog, drizzle, rain, or snow);

·        Precipitation intensity;

·        How to determine a specific HOT from the HOT range that accounts for moderate or light weather conditions; and

·        Adjusting HOT for changing weather conditions.

ix.     Pretakeoff Check Requirement (F/G). Identification of representative surfaces.

x.       Pretakeoff Contamination Check Requirement (F/G). Communications.

xi.     Aircraft Surface Contamination Recognition (F/G).

3)      Confirmation of Service Provider Qualification. The operator must have procedures for the flightcrew to determine that ground de/anti-icing service providers are providing their service under a current approved § 121.629 aircraft ground deicing program. These procedures must include a regular check, by the operator, to ensure the currency of the service providers continued approval status under § 121.629. The flightcrew instructions must be clear that if the service provider’s approval under § 121.629 cannot be assured that the HOT tables revert to being advisory information only and a pretakeoff contamination check per the applicable procedures must be performed.
4)      Recording Requirements. The operator’s plan must include procedures for the recording of the location that de/anti-icing was performed, the name of the provider, the type of fluid and mixture used, the final fluid application start time, and the takeoff time. This record may be included as part of an existing record requirement (example: aircraft discrepancy log). This record must be retained and made available to the FAA upon request for a period of at least 12 calendar-months.

OPSPEC A042, TITLE 14 CFR PART 125/135 AIRPLANE OPERATIONS WITHOUT A DEICING/ANTI ICING PROCEDURE WHEN GROUND ICING CONDITIONS DO NOT EXIST. If a part 125 or 135 operator chooses to operate without a pre takeoff contamination check as required by part 125, § 125.221 and part 135, § 135.227, or without a part 121, § 121.629(c) program, then principal inspectors may only authorize them to operate when ground icing conditions do not exist by issuing OpSpec A042. See Volume 3, Chapter 27, Ground Deicing/Anti-Icing Programs, for guidance on approving a ground deicing/anti icing program.

MSPEC A043—AFFILIATE PROGRAM MANAGERS. MSpec A043 allows fractional owners to use program aircraft operated by the program manager’s affiliate’s program. The program manager certifies to the Administrator that the affiliate program manager listed in MSpec A043 meets the requirements of part 91 subpart K.

OPSPEC A044, (PART 133 DATABASE ONLY) CLASS D OPERATIONS INVOLVING CARRIAGE OF PERSONS. (TBD)

OPSPEC A045, SUBSTITUTE SCHEDULED SERVICE AS A SUPPLEMENTAL OPERATOR. (TBD) (See the non standard, A345 job aid for information.)

OPSPEC A046, SINGLE‑ENGINE IFR PASSENGER CARRYING OPERATIONS UNDER 14 CFR PART 135. A046 is issued to authorize single‑engine instrument flight rules (SEIFR) passenger‑carrying operations under part 135. Additional Maintenance Requirements OpSpec paragraphs D100–104, must be issued as applicable. The operator must meet the conditions part 135, § 135.163 and other appropriate sections, to be issued the authority to operate under IFR with passengers or a combination of passengers and cargo. A046 provides the operational limitations and provisions necessary to operate under IFR while carrying passengers in a single‑engine aircraft. The principal operations inspector, principal maintenance inspector, and principal avionics inspector must coordinate the issuance of A046 and the applicable Part D paragraphs (by the authority of 119, § 119.51(b)). Once the operator has met the requirements to conduct SEIFR operations, all the applicable OpSpec paragraphs must be issued for SEIFR authorization.

OPSPEC/MSPEC A047, REPLACED BY OPSPEC A447.

OPSPEC A048, VERIFICATION OF PERSONNEL FOR ACCESS TO FLIGHT DECK. Reserved.

OPSPEC/MSPEC A049, REPLACED BY OPSPEC/MSPEC A449.

LOA A049, LETTER OF AUTHORIZATION FOR COMMERCIAL AIR TOUR OPERATIONS AND ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM REGISTRATION.

A.     Applicability. LOA A049 applies to part 91 operators and part 119 certificate holders operating under part 121 or part 135 who conduct commercial air tour operations for compensation or hire under § 91.147.

1)      If a part 91 operator is not already identified in OPSS, general instructions for putting an operator into the OPSS, in order to issue the automated part 91 LOA A049 is associated with all OpSpec/MSpec A001 templates in the part 91 database of the OPSS. If you need further assistance, please contact Aviation Safety (AVS) Support Central at 405-954-7272.
a)      Because of programmatic limitations, we are unable to provide any other title than POI, PMI, or PAI for the signature block in the OPSS for part 91 LOAs. Thus, the office manager or applicable supervisor who chooses to sign the part 91 authorizations will be identified as a POI, PMI, or PAI instead of manager or supervisor.
b)      When issuing a part 91 authorization from the OPSS, at a minimum the A001, Issuance and Applicability; and A004, Summary of Special Authorizations and Limitations templates must be included in the operator’s package.
2)      Operators who are uncomfortable with the limitations in § 91.146 and wish to continue flights supporting charities, nonprofit organizations, and community events may also use § 91.147 and must be issued A049. Part 91 operators using § 91.147 also have the option of becoming certificated operators in order to conduct commercial air tour operations under part 135 or part 121.

B.     Air Carriers Operating Under Section 91.147. Part 121 or 135 certificate holders that conduct commercial air tour operations under § 91.147 must be issued a separate LOA from the part 91 database and issued a separate four character identifier. Certificate holders must implement a second drug and alcohol testing program to conduct operations under § 91.147. Even though the same company may be conducting operations under part 135 or 121 and air tour operations under § 91.147, the FAA’s regulations consider the two operations to be separate entities for drug and alcohol purposes.

C.     Commercial Air Tours (defined in 14 CFR part 136, § 136.1). These operations are passenger-carrying flights conducted in accordance with § 91.147. As of September 11, 2007, all operators or certificate holders must have applied for and have been operating in accordance with LOA A049, issued by the FSDO nearest to its principal place of business. The seven items listed in § 91.147(c) represent the minimum amount of information required for the national database and the issuance of LOA A049 to the part 91 operators. Certificate holders comply with most of these requirements through the issuance of other applicable OpSpecs:

1)      Name of operator, agent, and any DBA under which that operator does business (template/OpSpec A001);
2)      Principal business address and mailing address (template/OpSpec A001);
3)      Principal place of business (if different from business address) (template/OpSpec A001);
4)      Name of person responsible for management of the business (LOA A049);
5)      Name of person responsible for aircraft maintenance (LOA A049);
6)      Type of aircraft, registration numbers(s), and make/model/series (LOA A049); and
7)      A copy of the Antidrug and Alcohol Misuse Prevention Program registration (LOA A049). This information will be used to populate Table 3 (Location of Records for Inspection) in LOA A049. The population of this table “activates/registers” the drug abatement program for future inspection by AAM-800.

The operator must implement its drug and alcohol testing programs in accordance with part 121 appendices I and J.

D.    Special Agreements. Some operators may have agreements with other parts of the FAA, such as air traffic, directly or through outside industry associations to conduct flights in a certain way or airspace. These special agreements need to be documented in the LOA A049. The documentation of these agreements in LOA A049 does not imply nor require that the agreements are approved by the Flight Standards PI.

Section 136.3 now allows amendment and reconsideration of LOAs through § 119.51.

E.     Hawaiian Air Tour Operators. The Hawaii air tour operators conducting these commercial air tour operations under § 91.147 must be issued LOA A049. The Hawaiian air tour operators may be issued a deviation (previously under SFAR 71) using LOA/OpSpec B048. The deviation authorizes the operator/certificate holder to conduct § 91.147 commercial air tour operations below an altitude of 1,500 feet above the surface in accordance with the appropriate requirements of part 136 and part 136 appendix A, and the limitations and provisions of B048.

F.      Air Tour Operations Under § 91.147 and § 136.37. The requirements of § 91.147 and those of § 136.37 are two separate requirements. Some commercial air tour operators conduct overflights of national parks and fall under the exception in § 136.37. OpSpec/LOA B057 is required for national parks and is issued in addition to LOA A049. OpSpec/LOA B057 authorizes a certificate holder or operator to conduct commercial air tour operations over national park(s) and tribal lands within or abutting the national park in accordance with part 136. See OpSpec/LOA B057 for guidance regarding air tour operations under § 136.37.

G.    The National Air Tour Safety Standards Final Rule (72 FR 6911). Final Rule 72 FR 6911 published on February 13, 2007, and effective March 15, 2007, set safety and oversight rules for a broad variety of sightseeing and commercial air tour flights with changes in parts 61, 91, 119, 121, 135, and 136. Intended effects of this rule are to identify the air tour operators in a national database, standardize requirements for commercial air tour operators, and consolidate air tour safety standards within part 136. The rule change responded to NTSB recommendations, Government Accountability Office (GAO) reports, and DOT General Reports that recommend better oversight of the sightseeing (commercial air tour) industry. The preamble and final rule are posted on the DOT Web site at URL: http://dms.dot.gov/search/document.cfm?documentid=452251&docketid=4521.

Exemptions to this rule are outlined in § 91.146.

OPSPEC A050, HELICOPTER NIGHT VISION GOGGLE OPERATIONS (HNVGO). (TBD).

OPSPEC A051. Reserved.

OPSPEC/MSPEC/LOA A052, AUTOMATIC DEPENDENT SURVEILLANCE BROADCAST (ADS‑B). ADS‑B systems will provide many applications for air traffic and air operators.

A.     Separation of Aircraft. One of the near term applications using ADS‑B is separation of aircraft by air traffic services in a non‑radar environment. Since this application will not require pilots to share separation responsibility (maintain separation on other air traffic using a Cockpit Display of Traffic (CDTI)), the issuance of A052 is not required. However, other OpSpec authorizations, as described below, may need to be issued or amended.

B.     When to Issue A052. Issue A052 to authorize operations if an air carrier or commercial operator intends for the pilots to use ADS‑B for any one or more of the following CDTI applications:

·        Visual acquisition of proximate aircraft,

·        In‑trail climbing/descending/passing maneuvers,

·        Stationkeeping,

·        Enhanced see and avoid,

·        Reduced separation standards,

·        Long‑range conflict management, or

·        Conflict detection and avoidance.

C.     Determining Appropriate Authorization for ADS‑B Use. It is important for the principal operations inspector (POI) to coordinate with the principal maintenance inspector (PMI) and principal avionics inspector (PAI) on the following activities in order to determine the appropriate authorizations necessary for each application using ADS‑B. PIs will complete the following tasks before authorizing the air carrier or commercial operator to conduct any operations using cockpit avionics displays that generate information or data from an ADS‑B signal.

1)      The POI will determine which operational applications of ADS‑B will be used by the pilots of the air carrier or commercial operator. This includes determining that the operator understands and complies with all limitations and conditions associated with applicable Supplemental Type Certificate (STC) requirements, Parts Manufacturer Approvals, and appropriate Aircraft Flight Manual (AFM) supplements.
2)      The POI will verify with the PMI and PAI that the ADS‑B system is installed in compliance with the applicable STC or other appropriate aircraft certification requirements and that the operator’s maintenance program includes continuing airworthiness and maintenance personnel training requirements.
3)      All of the operator’s pilots must be trained, qualified, and tested in the use, conditions, and limitations of the installed ADS‑B system and components. There are no deviations allowed from this training requirement. If the operator out sources or contracts the ADS‑B training to another entity, OpSpec A031 must be issued.
4)      The POI will review the operator’s procedures for deferral of inoperative equipment and coordinate with the PMI and PAI during the evaluation and approval of the operator’s minimum equipment list (MEL). The POI will also provide the operator with guidance for revising the existing airplane MEL and procedures that will allow the operator to defer inoperative ADS‑B equipment. ADS‑B equipment may not be listed as “Administrative Control Items” in the MEL. OpSpec D095, Minimum Equipment List, may need to be issued or amended, as appropriate.
5)      If the operator requests approval to use ADS‑B for flight following or operational control, the POI must evaluate and validate this capability prior to approval. OpSpec A008, Operational Control, may need to be issued or amended as appropriate.
6)      The PIs must verify that the operator is able to conduct the proposed operations, and validate that appropriate training manuals, operations manuals, checklists, and operating procedures address ADS‑B operations. Validation test(s) must be conducted if operational approval via the issuance of A052 is required.
7)      If the air carrier or commercial operator requests operational approval for any of the applications listed in subparagraph B above, A052 must be issued with the appropriate authorizations indicated. Until test and evaluation results are analyzed, only operations in visual meteorological conditions (VMC) are authorized. A052 also requires the listing of the aircraft make and model, the aircraft registration number, and the make and model of the approved ADS‑B equipment.

OPSPEC A053. Reserved for Emergency Charter Operations. (TBD.)

OPSPEC A054, (PART 133 DATABASE ONLY) INSTRUMENT FLIGHT RULES OPERATIONS (FOR PART 133, EXTERNAL LOAD OPERATIONS ONLY). (Guidance is found in Volume 2, Chapter 7, Initial Certification/Renewal of a Part 133 Operator.)

OPSPEC A055. Reserved.

OPSPEC/MSPEC/LOA A056, DATA LINK COMMUNICATIONS.

A.     General. Template A056 contains specific operational limitations and provisions for granting authorization to operators of aircraft under part 91, 121, 125, 135, or 91 subpart K to conduct data link communications using aircraft systems that are certificated for air–ground air traffic services (ATS).

1)      Parts 91, 121, 125, and 135 operators, and part 91K program managers conducting flight operations in oceanic and remote airspace may use data link communications systems (i.e., Future Air Navigation System (FANS) (FANS‑1/A or equivalent)). Operations using data link communications within domestic airspace require very‑high frequency (VHF) radios called very‑high frequency digital link Mode 2 (VDL‑2), compatible with ATS.
2)      Data link may be used as a supplement to voice communications with ATS. Voice communications must be continually monitored because aircraft still must be equipped with operating VHF voice and, when required, high frequency (HF) voice radios along the entire flight route.
3)      All data link operations in domestic airspace are limited to the en route phase of flight where radar or an equivalent surveillance system such as Automatic Dependence Surveillance‑Broadcast (ADS‑B) is available for surveillance services.
4)      All aircraft used to conduct data link operations in domestic airspace must be equipped with an FAA-certified collision avoidance system that is on and operating. (Reference part 91, § 91.221; part 121, § 121.356; part 125, § 125.224; part 129, § 129.18; and part 135, § 135.180.)
5)      An exception to the requirement for data link communication systems is the FANS‑1/A system in oceanic or remote airspace. The FANS‑1/A communications system can only be approved for data link operations in oceanic and remote area airspace. FANS‑1/A systems are not interoperable with the VDL‑2 infrastructure for domestic data link communications.

B.     Data Link Training. Part 121 and 135 air carriers, and part 91K program managers must have an approved data link training program for their maintenance and flightcrew personnel, as outlined in FAA AC 120‑70, Operational Authorization Process for use of Data Link Communication System, current edition.

C.     Validation Tests. Part 91, 121, 125, and 135 operators and part 91K program managers must follow the validation test process outlined in Volume 3, Chapter 29, Proving and Validation Tests. Applicants who have no previous experience conducting data link must demonstrate competency to the FAA during a validation flight in the aircraft.

1)      A validation flight is not required in each make, model, and series of aircraft as long as the equipment and system configuration is the same and ground tests demonstrate suitable expected performance.
2)      During the validation flight tests, the FAA evaluator must ensure that the operator’s procedures, knowledge, and use of the data link communications system are consistent with the operator’s data link communications training program and the recommendations outlined in AC 120‑70.

D.    Authorization for Data Link Use. For part 91, 121, 125, and 135 operators and part 91K program managers, the POI will coordinate with the principal avionics and PMIs on the following matters:

1)      Equipment and systems certification, and airworthiness approval review;
2)      The content of the OpSpec authorization;
3)      The required communication performance;
4)      The AFM;
5)      Additional MEL requirements and relief; and
6)      Other elements necessary for the safe and effective use of data link communications.

POIs should be aware that there may be additional limitations and guidance for specific airplanes in Flight Standardization Board (FSB) reports.

E.     Contents of Operator Application for Operational Authorization to Use Data Link. The operator’s application to obtain authorization to use data link must address and contain the following subjects:

1)      List of source documents used:
a)      For generic data link operations (e.g., aircraft/avionics manufacturer documents).
b)      For area of operations specific policy/procedures. (See item 3 below.)
2)      Description of aircraft data link systems including certification documents and current configuration (e.g., current avionics load).
3)      Data link system make/model/series. All STC and AFM limitations and procedures.
4)      General information.
5)      Areas of operation/routes where operator intends to use data link.
a)      List of areas and/or routes where operator intends to conduct data link operations.
b)      List of air traffic centers/service providers with which the operator intends to communicate via data link.
c)      List of policy and procedures source documents applicable to each area(s) of operations, such as:

1.      Operations manuals for specific areas of operations (e.g., FANS-1/A Operations Manual (FOM) for operation in Asia–Pacific flight information regions (FIR)).

2.      State Aeronautical Information Publications (AIP).

3.      State Notices to Airmen.

4.      FAA chart supplements (e.g., Pacific and Alaska chart supplement).

6)      Flightcrew qualification programs.
7)      Manuals and other publications.
8)      MMEL/MEL.
9)      Issues unique to a particular operator.
10)  Maintenance programs.

F.      Contents of Flightcrew Qualification Programs.

1)      Academic Training Subjects. A basic source document for data link procedures in oceanic areas is the FOM, part 5. Policy and procedures applicable to specific FIRs are in state AIPs and NOTAMs. Address the following areas:

·        Acronym Source: FOM part 2,

·        General concepts of digital and analog communications,

·        Expected flightcrew response,

·        ATS coordination,

·        Aircraft digital or analog communication equipment components, displays, alerts. (Sources: aircraft manufacturer documents.),

·        Interface with other aircraft systems,

·        AFM information MEL provisions,

·        Data link events reports,

·        Data link malfunction or irregularity reports, and

·        Human factors—lessons learned.

2)      Operational Use Training.

·        General requirement,

·        Simulators,

·        Computer-based instruction,

·        Policy on initial pilot evaluation, and

·        Recurrent training and evaluation.

3)      Currency (recent experience).
4)      Line Checks and Route Checks (if applicable).
5)      Line‑Oriented Flight Training (if applicable).

G.    Operational Authorization Documents. This issuance of paragraph A056 grants approval to use data link communications in operations. Either the certificate management office or Flight Standards District Office should coordinate the approval with AFS-400.

 


Table 3-23, Communications Systems and Operating Environments. This table lists the systems and their operating environment including the applicable criteria with references.

Row

Aircraft Data Link System

Operating Environment

Applicable Standards

Type of Airspace

ATS Unit System

Capabilities and Uses

1

ATN B1

Domestic (Continental)

ATN B1

Supplemental ATC communications:

Communication application supports data link initiation capability (DLIC) data link service.

Controller Pilot Data Link Communications (CPDLC) application supports ACM, ACL, and AMC data link services.

Note 1: departure clearance (DCL), downstream clearance (DSC), (Digital- Automatic Terminal Information Service (D‑ATIS), and Flight Plan Consistency (FLIPCY) data link services are not supported.

a. DO‑290/ED‑120, Chg 1 and Chg 2, Continental Safety and Performance (SPR) Standard.

b. DO‑280B/ED‑110B air traffic management (ATM) B1 INTEROP Standard.

2

FANS 1/A+

Domestic (Continental)

ATN B1 FANS‑1/A

Same as row 1 except:

Uses Aeronautical Telecommunications Network (ATN) ATC Facilities Notification (AFN) application for DLIC data link service.

For CPDLC application, UM 215, TURN (direction) (degrees) is not supported.

Note 2: FANS 1/A aircraft will require use of DM67 (free text) to mimic certain message elements per DO‑290/ED‑120 Chg 1 and Chg 2. See DO‑305/ED‑154 paragraph 4.2.13.2.

Note 3: In accordance with DO‑290/ED‑120, Chg 1 and Chg 2, FANS 1/A aircraft will require use of a message latency timer per DO‑258A/ED‑100A, paragraph 4.6.6.9 and is denoted by a “+” appended to the “FANS 1/A” label.

Note 4: Only via VHF data link subnetwork.

Same as row 1 plus:

a. DO‑305/ED‑154, FANS 1/A‑ATN INTEROP Standard (Applies only to ATS Unit except see note 2).

b. DO‑258A/ED‑100A, FANS 1/A INTEROP Standard (Applies only to aircraft).

3

FANS 1/A+ or FANS 1/A

Oceanic and remote

FANS‑1/A

Normal means of ATC communication uses AFN and CPDLC applications for direct controller-pilot communications (DCPC).

Eligible for:

Required Communication Performance (RCP) 240 operations via VHF, Satcom Iridium and Satcom Inmarsat subnetworks.

RCP 400 operations via HF data link subnetwork.

No RCP operations.

Note 4: Aircraft capability that supports multiple RCP type operations needs to include appropriate indications and/or alerts to enable the flightcrew to notify ATC when aircraft equipment failures result in the aircraft’s ability to no longer meet its criteria for any of the RCP types, per DO‑306/ED‑122, paragraph 5.2.6.a) and 5.2.6.b).

Uses ADS‑C application for automatic position reporting.

a. DO‑306/ED‑122, Oceanic SPR Standard.

b. DO‑258A/ED‑100A (or earlier versions) FANS 1/A INTEROP Standard.

4

FANS 1/A+ or

FANS 1/A

Oceanic and Remote

CADS

No CPDLC application.

Uses ADS‑C application for automatic position reporting.

a. DO‑306/ED‑122 Oceanic SPR Standard.

b. DO‑258A/ED‑100A (or earlier version), FANS 1/A INTEROP Standard (Applies only to aircraft)

c. Centralized ADS (CADS) Common Specification, Version 2.0, approved ICAO NAT FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit)

5

Flight manage-ment system waypoint position reporting (FMS WPR)

Oceanic and Remote

CFRS

Same as row 4

a. DO‑306/ED‑122, Oceanic SPR Standard

b. ARINC 702A, Advanced Flight Management Computer System (Applies only to aircraft)

c. Central Flight Management Computer Waypoint Reporting System (CFRS) Common Specification, Version 2.0, approved International Civil Aviation Organization (ICAO) North Atlantic (NAT) FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit when ATS unit is CADS)

6

FANS 1/A

ADS‑C

Oceanic and Remote

FANS‑1/A or CADS

Same as row 4

a. DO‑306/ED‑122 Oceanic SPR Standard

b. DO‑258A‑ED‑100A (or earlier version) FANS 1/A INTEROP Standard (If ATS unit is CADS, applies only to aircraft)

c. CADS Common Specification, Version 2.0, approved ICAO NAT FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit when ATS unit is CADS

 


MSPEC A058, SINGLE PILOT PROGRAM FLIGHTS. The program manager may be authorized to use certain program aircraft with approved autopilot systems in single pilot program flights provided the limitations and provisions of MSpec A058 are met.

MSPEC A059, USE OF ALTERNATE MANUALS, PROGRAMS, OR SYSTEMS. The program manager may be authorized to use specific alternate manuals, programs, or systems (except for flight, duty, and rest provisions) in accordance with the limitations and provisions of MSpec A059.

OPSPEC A060, EUROPEAN AVIATION SAFETY AGENCY RATINGS FOR REPAIR STATIONS LOCATED OUTSIDE THE UNITED STATES. This paragraph authorizes work performed under European Aviation Safety Agency (EASA)-rated repair stations if the appropriate form (EASA Form 3) authorizes the scope of the work.

OPSPEC/MSPEC A061, AUTHORIZATION TO USE AN ELECTRONIC FLIGHT BAG; ISSUANCE OF OPERATIONS SPECIFICATION/MANAGEMENT SPECIFICATION A061.

A.     General. Aviation safety inspectors (ASI) and Aircraft Evaluation Groups (AEG) will no longer approve Class 1 and Class 2 Electronic Flight Bag (EFB) hardware and associated Type A and B application software. Instead, ASIs may authorize the use of Class 1 or Class 2 EFB devices, including those Class 2 EFBs containing Type C application software meeting requirements of Technical Standard Order (TSO) C165, Electronic Map Display Equipment for Graphical Depiction of Aircraft Position, for display of “own-ship” position on airport moving map displays. Installation requirements and airworthiness approval remain unchanged.

1)      Class 3 hardware and Type C software will be FAA-approved by the normal type certification processes (type certificate (TC)/Supplemental Type Certificate (STC)). For operations conducted under 14 CFR parts 91 subpart K, 121, 125 (including deviation holders), and 135, all EFBs will be authorized for use by OpSpec/MSpec/LOA. AEG evaluation of Class 3 and/or Type C will be published in the applicable FSB Report.
2)      Class 1 or 2 hardware (with Type A and/or B software applications) must be demonstrated to reliably meet intended EFB functions. It is the responsibility of the applicant and/or the EFB hardware/software vendor to ensure that its EFB system and Type A and B software applications can accurately perform intended functions. AEG evaluation of a Class 1 or 2 EFB (with Type B applications) will be at the AEG’s discretion and published in an Operational Suitability Report for the particular EFB.

B.     Background. AC 120‑76, Guidelines for the Certification, Airworthiness, and Operational Approval of Electronic Flight Bag Computing Devices, current edition, and expired Notice N 8200.98, Electronic Flight Bag Job Aid, reference several instances of FAA inspector and AEG approval requirements for Class 1 and 2 EFB hardware and associated Type A and B application software (whether that software is sold separately or embedded in an EFB device). The guidance in this section replaces procedures and advisory material in FAA orders and ACs requiring an FAA inspector or the AEG to approve Class 1 and Class 2 EFB hardware and associated Type A and B software applications. The guidance in this section is not intended to stop or restrict the operational use of these devices and software. This section also replaces the cancelled Notice N 8000.353, Revised Guidance for Authorizing the Use of Electronic Flight Bags, Issuance of A061, Electronic Flight Bag, and Revision to A025.

1)      In AC 120-76, the words “approved” and “approval” are used in many instances when referring to actions that may be accomplished by Flight Standards Service (AFS) ASIs. The uses of these words are intended to reflect the general process for approval or acceptance. The general process of approval or acceptance of certain operations, programs, documents, procedures, methods, or systems is an orderly method used by AFS inspectors to ensure that such items meet regulatory standards and provide for safe operating practices. It is a modular, generic process that can be applied to many types of approval or acceptance tasks. It is important for inspectors to understand that this process is a tool to be used with good judgment.
2)      The application of the approval process described in ASI handbooks, coupled with the “plain English” definitions of “approved” and “approval,” has led to some confusion in the aviation community. AFS ASIs have no authority to approve EFB hardware or EFB application software. The guidance in this section is not intended to stop or restrict the operational use of these devices and software, but to clarify the role of AFS ASIs with regard to EFBs.

C.     Guidance.

1)      The authorization to use an EFB is optional and applicable to operators conducting operations under parts 91K, 121, 125 (including Letter of Deviation Authority holders), and 135. ASIs may authorize the use of Class 1, 2, and 3 EFB devices. (OpSpec/MSpec/LOA A025 is no longer used for the EFB authorization).
a)      For authorizing the use of a Class 1 or Class 2 EFB device. The ASI must issue the selectable statement in OpSpec/MSpec/LOA A061, Electronic Flight Bag (see paragraph 3) below).
b)      For authorizing the used of a Class 3 EFB device. Table 1 of OpSpec/MSpec/LOA A061 will be used to document the aircraft make/model/series (M/M/S), the Class 3 device, and the Type C software revision control for Class 3 EFB devices, if installed. Compliance with the requirements of OpSpec/MSpec/LOA A061 should be validated during routine inspections of the operator before it is issued.
2)      ASIs and AEGs are not responsible for approving Class 1 and Class 2 EFB hardware and associated Type A and B application software.
a)      Installation requirements and airworthiness approvals remain unchanged as specified in AC 120-76.
b)      The appropriate AEG, at their discretion may evaluate the EFB device installations that present new or novel functions and provide a report of operational suitability and/or adverse findings to the responsible aircraft certification or airworthiness entity having approval authority for the initial installation. Operational Suitability Reports (OSR) are available at www.opspecs.com Web site on the FSB Report page for EFB hardware that has been evaluated by the AEG and separate OSRs may be available for specific Type B software applications. ASIs should ensure an operator complies with these reports when they are available for a particular EFB.
3)      Class 1 and Class 2 EFB Devices. A061 provides for the selection of standardized text for the use of Class 1 and Class 2 EFB devices. Any specific information should be contained in the operator’s appropriate manual and not entered into A061. The following is applicable for authorizing the use of Classes 1 and 2 EFB devices:
a)      Class 1 and/or Class 2 devices with Type A and/or B application software may be authorized for use in accordance with the technical guidance specified in AC 120-76. Class 1 devices with Type A or B application software and/or Class 2 devices with Type A or B application software and/or software approved under TSO‑C165 (Type C) may be used.

Technical guidance on Class 2 EFBs with Type C application software providing “own-ship” position is found in the current edition of AC 20-159, Obtaining Design and Production Approval of Airport Moving Map Display Applications Intended for Electronic Flight Bag Systems.

b)      The maintenance and avionics inspectors must ensure that the aircraft and equipment have the proper airworthiness approvals for any power, databus connections, or mounting.
c)      Training for the use and/or maintenance of the EFB by certificate holder/program manager must be documented and included in the operator’s approved training program and applicable maintenance program.
d)      The certificate holder/program manager will specify the procedures for updating and maintaining any databases necessary to perform the intended functions of the EFB in its manual.
e)      The principal inspector (PI) is responsible for conducting a review of the system performance to ensure its acceptability prior to granting authorization to use. The PI should review the system performance using the EFB system users manual/pilot’s guide. The PI is responsible for evaluating the operators use of the EFB in normal and emergency operations, but not a review of the actual hardware or software.
f)        The AEG is available to assist with questions and guidance regarding EFB Operational Evaluations. The PI should contact the AEG when an operator submits a request for authorization to use an EFB that includes a new or novel function. The AEG may evaluate Class 1 or 2 hardware or Type B software applications as necessary to address progression in available EFB equipment and functions in the aviation industry.
g)      If a Class 1 or Class 2 EFB device is authorized for use, the ASI must select that statement in the Select Data table for A061 and enter NA in the cells of the table. All other information in regard to the authorization for the use of an EFB should be documented in the operator’s manual and not written into A061.
4)      The Aircraft Certification Service (AIR) must provide design, installation, and airworthiness approval for Class 3 EFB hardware which is permanently installed on an aircraft. This will be accomplished by incorporating the EFB into the aircraft type design or STC, not by field approvals. If a Class 3 EFB device is authorized to be used, the table in A061 should be appropriately filled out.
a)      The Type C application software associated with Class 3 EFB device is also certified by AIR in reference to Radio Technical Commission for Aeronautics (RTCA)/DO‑178B, Software Considerations in Airborne Systems and Equipment Certification. Type A and B application software may be installed on these devices, but require no approval by the ASI as this software is protected from the Type C application software in the RTCA/DO‑178 standard.
b)      Operators should have procedures to control revisions to the Type A and B software in their manuals. Type C software revision control is accomplished by using Table 1 in OpSpec/MSpec/LOA A061.
c)      If Type A or Type B software is used in conjunction with Type C software in the Class 3 EFB, the name of the software must be documented in Table 1 of OpSpec/MSpec/LOA A061.
5)      Simulator and/or in flight validation tests may be needed to fully determine the suitability of the use of an EFB (see AC 120‑76, paragraph 12(j), pages 21 and 22). Each operator’s proposed EFB functionality and software will vary, and scenarios should be customized for the particular situation by the inspector and applicant. It is the operator’s responsibility to demonstrate the function and reliability of the EFB.
a)      Validation flight scenarios should be used to ensure that EFB device’s use has adequately transitioned into the operator’s overall training and operations programs. In some cases, the task will be completed entirely with an EFB, while in other cases the EFB device may be used together with other sources of information, such as paper charts or documents, depending on the capabilities of the EFB device and its operational implementation.
b)      The required EFB validation flight scenario differences could be affected by other factors, such as:

·        Software: Type A, B, or C application;

·        Hardware: Classes 1, 2, or 3, which include factors such as location in the flight deck and connectivity to other aircraft systems;

·        Aircraft/Operations: single pilot vs. dual pilot, single EFB vs. dual EFB; and

·        Weather conditions: visual vs. instrument; very‑low visibility.

D.    Inspector Action. ASIs will review this section and provide pertinent information to the affected operators. Operations specification OpSpec/MSpec/LOA A025 would be a nonmandatory revision to remove any EFB authorization.

1)      ASIs will provide technical advice and guidance to operators, when requested, to assist them in evaluating their selected EFB devices using the technical guidance found in AC 120‑76 but will no longer issue FAA approvals for the hardware and software. Authorization for use will be issued in reference to paragraph 3) below.
2)      If the operator’s OpSpec/MSpec/LOA A025 already contains an authorization for the use of an EFB, the operator’s existing OpSpec/MSpec/LOA A025 must be re‑issued and the new A061 must be issued to authorize the use of the appropriate EFB within 120 days of the publication of this section. No subsequent evaluation of previously authorized EFB device(s) is necessary. If the operator has OpSpec A025 issued for electronic recordkeeping systems without the use of an EFB, it is not necessary to re-issue that operator’s OpSpec A025. Electronic recordkeeping system functions may co-reside on an EFB device and if so, OpSpec A025 as well as OpSpec A061 should be issued as instructed below.
3)      ASIs will use the new OpSpec/MSpec/LOA A061, EFB, to authorize the use of Class 1, Class 2, or Class 3 EFB device. Compliance with the requirements of OpSpec/MSpec/LOA A061 should be validated prior to the initial authorization to use an EFB and during routine inspections of the operator. If a Class 3 EFB device is authorized to be used, the table in A061 should be appropriately filled out. If a Class 1 or Class 2 EFB device is authorized for use, the ASI must select that statement in the Select Data table and enter NA in the cells of the table. All other information in regard to the authorization should be documented in the operator’s manual and not written into A061.

OPSPEC/MSPEC A096, ACTUAL PASSENGER AND BAGGAGE WEIGHT PROGRAM FOR ALL AIRCRAFT. Passenger and cargo only operations conducted under 14 CFR parts 91K, 121, 125, and 135 that use actual weights, or asked/volunteered weights plus 10 pounds to account for the weight and balance of all company owned and operated aircraft, must be issued OpSpec A096. If OpSpec A096 is issued, OpSpecs A097, A098, and/or A099 may not be issued.

Operators authorized to use average weight always retain the option to use actual weights.

OPSPEC/MSPEC A097, SMALL CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of small‑cabin aircraft (aircraft type certificated for 5 to 29 passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A097. (The classification of small-, medium-, and large‑cabin aircraft is based on the maximum type certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated) If an operator elects to use only actual passenger and baggage weights, only OpSpec A096 must be issued. Table 1 of OpSpec A097 approves and tracks the general weight and balance control program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar‑months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A097 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120‑27, Aircraft Weight and Balance Control, current edition, before issuing OpSpec A097 to verify operator weight and balance control program compliance.

OPSPEC/MSPEC A098, MEDIUM CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of medium‑cabin aircraft (aircraft type certificated for 30 to 70 passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A098. (The classification of small‑, medium‑, and large‑cabin aircraft is based on the maximum type certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated.) If an operator elects to use only actual passenger and baggage weights, OpSpec A096 must be issued. Table 1 of OpSpec A098 approves and tracks the general weight and balance program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar‑months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A098 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120‑27, Aircraft Weight and Balance Control, current edition, before issuing OpSpec A098 to verify operator weight and balance control program compliance.

OPSPEC/MSPEC A099, LARGE CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of large‑cabin aircraft (aircraft type‑certificated for 71 or more passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A099. (The classification of small-, medium-, and large‑cabin aircraft is based on the maximum type‑certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated.) If an operator elects to use only actual passenger and baggage weights, OpSpec A096 needs to be issued. Table 1 of OpSpec A099 approves and tracks the general weight and balance program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar‑months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A099 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120‑27, Aircraft Weight and Balance Control, current edition, before issuing template A099 to verify operator weight and balance control program compliance.

OPSPEC A101, ADDITIONAL FIXED LOCATIONS. This paragraph identifies additional locations (facilities) within the FSDO that collectively form a certificated part 145 repair station’s operational base without having to certificate each facility as a stand-alone or satellite repair station.

A.     Additional Locations. All additional locations of the certificated repair station must be under the full control of the primary facility listed in OpSpec A001. Individual facilities are not required to be completely equipped with tools, equipment, and parts, but must have them available when they perform the work.

B.     Repair Station Manual (RSM). The RSM must contain detailed procedures for the transport of equipment and parts between facilities. The RSM should also outline procedures to ensure adequate personnel are available to support the additional fixed locations/facilities while articles are undergoing maintenance. Further, using additional fixed locations does not constitute work away from the repair station.

C.     Bilateral Agreement (BA) Including Provisions for Maintenance. When a repair station is located in a country with which the United States has signed a BA that includes provisions for maintenance of aircraft, engines, and appliances for installation on U.S.‑registered aircraft, the repair station may operate in multiple facilities under one FAA air agency certificate within that country. The authorization requires the cooperation of the local national aviation authority.

The repair station’s additional locations may only be within the geographic boundaries of the BA country.

OPSPEC/MSPEC/LOA A353, ADS-B OUT OPERATIONS IN THE HUDSON BAY AREA, CANADA: 14 CFR Parts 91, 91 SUBPART K, 121, 125, 125M, AND 135 Operators.

To obtain the nonstandard authorization A353, the operator and the PI are required to use the nonstandard request process. See Volume 3, Chapter 18, Section 2, paragraphs 3‑712 to 3‑713, for the nonstandard request process. For all operators, a formal request must be sent to the Flight Technologies and Procedures Division (AFS‑400).  After review by AFS-400, the formal request will be authorized by:

·        The Air Transportation Division (AFS‑200) for operators conducting operations under parts 121 or 135.

·        The General Aviation and Commercial Division (AFS‑800) for operators conducting operations under part 125, including part 125 LODA holders, under part 91, or under part 91K.

A.     Applicability. OpSpec A353 is applicable to all operators conducting airplane operations under parts 91, 91K, 121, 125 (including the LODA 125 operators), and 135. Paragraph A353 authorizes operators to conduct Automatic Dependent Surveillance-Broadcast (ADS-B) Out operations in the Hudson Bay area of Canada. OpSpec/MSpec/LOA A353 is an optional authorization for:

1)      Part 91 operators (LOA),
2)      Part 121 and 135 operators (OpSpec),
3)      Part 125 (including 125 LODA) operators (OpSpec/LOA), and
4)      Program managers conducting operations under part 91K (MSpec).

B.     Background. ADS-B is a surveillance system that uses a Global Navigation Satellite System (GNSS), aircraft avionics, and a ground infrastructure to accurately and quickly transmit flight information between the airplane and air traffic control (ATC). ADS-B consists of two functions: ADS-B Out and ADS-B In. ADS-B Out, defined as the capability necessary to transmit ADS-B messages, is the core of the operational system. The ability to receive and display ADS-B messages and broadcast services, both from the ground and directly from other aircraft is called ADS-B In. The Hudson Bay area will only utilize ADS-B Out functions.

1)      The system is automatic since it functions without intervention from the flightcrew as long as the necessary avionics are in place, connected and functioning. Contrary to the independent primary radar system, ADS-B is dependent because it requires the aircraft to state its position.
2)      The implementation of ADS-B has significant benefits that include the following:
a)      Application of 5 nautical miles (NM) lateral separation based on a surveillance system in lieu of procedural separation minima;
b)      Fuel savings due to the opportunity for more user preferred trajectories; and
c)      Enhanced safety in the air through increased areas of surveillance coverage.
3)      ADS-B is not being mandated in Canada in the near term. It is acknowledged that ADS-B technology will supplement the current ground-based radar surveillance system and may eventually replace it to some extent, however, the intent of not mandating the ADS-B system is to allow owners and operators to volunteer their participation in a surveillance system where Nav Canada will offer ADS-B, and to benefit from its advantages.

C.     Transport Canada Requirements. The operator must meet the requirements of Transport Canada Civil Aviation (TCCA) Advisory Circular (AC) 700-009, Automatic Dependent Surveillance-Broadcast, as it relates to “foreign air operators.” A link to the current TCCA AC is provided in paragraph D below and the relevant section (see paragraph 6.2, Foreign Air Operators) currently reads as below:

1)      A foreign air operator must meet the conditions of operational specification No. 610, provided in Appendix B of this document, to obtain operational approval for ADS-B operations in the Hudson Bay area. The conditions are as follow:
a)      The aircraft, the equipment and the installation must;

1.      Meet the airworthiness requirements of the State of the Foreign Air Operator; and

2.      Meet the certification considerations of the European Aviation Safety Agency (EASA) AMC 20-24, Certification Considerations for the Enhanced ATS in Non-Radar Areas using ADS-B Surveillance (ADS-B-NRA) Application.

b)      The air operator must establish procedures in its Company Operations Manual for the guidance of its personnel and any other procedures related to ADS-B that are necessary for safe operations. These procedures must include at least a system description, the operational aspects described in document EASA AMC 20-24, operational and contingency procedures, and training elements for use of the ADS-B-NRA application.
c)      The air operator must provide training to each flightcrew member involved with ADS-B operations that address at least the items listed at sections 10.3.2 and 10.4 of EASA document AMC 20-24 (end of excerpted TCCA AC 700-009).

Part 91 operators do not need this manual, but part 91 operators must have relevant supporting documents.

D.    Operator Requirements. The operator must submit documentation which verifies that each aircraft intended for use in the Hudson Bay area meets TCCA airworthiness requirements for both initial and continuing authorization. The operator must also submit the unique International Civil Aviation Organization (ICAO) 24 bit aircraft address for each aircraft intended for use in the Hudson Bay area. The unique ICAO 24 bit aircraft address should be verified to be correct as assigned by the responsible authority to each airframe.

1)      Aircraft Flight Manual (AFM). An FAA-approved Aircraft Flight Manual Supplement (AFMS) or Supplemental Aircraft Flight Manual (SAFM) must be carried in the airplane at all times when the ADS-B Out equipment is installed in accordance with a Supplemental Type Certificate (STC). The operator’s pilot’s operating handbook (POH) may be sufficient for aircraft which do not have an applicable AFM and must be carried on board the aircraft in lieu of the AFMS or SAFM.  However, the POH alone may not be sufficient evidence for airworthiness approval of the aircraft to meet ADS-B standards of AMC 20-24.
2)      Required Pilot Training. Each member of the flightcrew must have completed an approved training program that includes ADS‑B Out equipment, operating practices, procedures, conditions, and limitations before being authorized to use the ADS-B Out equipment, unless one of the crewmembers is an appropriately trained check airman.
3)      The inspector should verify that the operator’s training is accomplished, and the AFM or supplements shows compliance with EASA AMC 20-24. The operator must contact Transport Canada with their OpSpec and the unique ICAO 24 bit aircraft address for each aircraft which will be used in the Hudson Bay area.
4)      Table 1 of the OpSpec requires the aircraft registration number, aircraft serial number, and the ICAO 24 bit aircraft address for each aircraft approved for operations in the Hudson Bay area. When authorizing A353 in WebOPSS, the aircraft registration number and serial number can be pre-loaded by selecting “Hudson Bay” in the aircraft listing. However, the ICAO 24-bit address must be entered manually for each authorized aircraft.

E.     Source Documents. The source documents include:

·        Transport Canada AC 700-009, available at http://www.tc.gc.ca/CivilAviation/IMSdoc/ACs/700/700-009.htm, and

·        European Aviation Safety Agency (EASA) document AMC 20-24 at http://www.easa.europa.eu/ws_prod/g/rg_certspecs.php.

F.      Contacts. To ensure timely attention for foreign operators applying to Transport Canada for OpSpecs, requests should be made directly to the Foreign Inspection Division (FID). The principle points of contact are:

1)      Mr. David Biehn

Chief, Foreign Inspection Division

Telephone - (613) 998-9074

Fax - (613) 991-5188

Email - david.biehn@tc.gc.ca

2)      Mr. Keith Levia

Operations Inspector, Foreign Inspection

Telephone - (613) 990-1079

Email - keith.levia@tc.gc.ca

3)      Postal Address:

Transport Canada, Enterprise Building

427 Laurier Ave, 11th Floor AARJ

Ottawa, Ontario Canada K1A 0N5

G.    Additional Information. For additional ADS-B information, contact the Flight Technologies and Procedures Division (AFS-400) at (202) 385-4597 or 9‑AWA‑AVS‑ADS‑ Programs-AFS@faa.gov. For additional information on part 121 and 135 special authorizations (300 series OpSpecs), contact AFS-200 at (202) 267-8166. For additional information on part 91 and 125 special authorizations (300 series OpSpec/MSpec/LOA), contact AFS-800 at (202) 267‑8212.

OPSPEC/MSPEC A447, EMERGENCY AIRWORTHINESS DIRECTIVES (AD) NOTIFICATION INFORMATION.

A.     General. OpSpec A447 is a permanent data collection OpSpec paragraph for certificate holders that conduct operations under 14 CFR parts 121, 125, and 135. The Emergency Airworthiness Directive (AD) Notification was originally put into OpSpec A047 and now is contained in A447 (see below for completion and issuance instructions for A447).

1)      Essentially, the notification of emergency AD “receipt” is the responsibility of an operator’s management personnel. Part A of the templates is for general operations and management responsibilities.
2)      The principal operations inspector (POI), along with the principal maintenance inspector (PMI) and the principal avionics inspector (PAI), is responsible to see that a certificate holder complies with an AD, as applicable for the operations of any particular aircraft. All three PIs are responsible for all the templates in Part A.
3)      If needed, the principal inspector (PI) should fill out the appropriate information for the certificate holder and “activate” the OpSpec paragraph. The certificate holder is not required to sign the paragraph in the same way as an OpSpec authorization. If the FAA signs and activates the paragraph, it is considered to be effective.
4)      The FAA uses the 400‑series of templates in the OPSS for data collection.

B.     When to Issue an AD. ADs are substantive regulations issued by the FAA in accordance with 14 CFR part 39. ADs are issued when an unsafe condition has been found to exist in particular aircraft, engines, propellers, or appliances installed on aircraft. ADs are also issued when that unsafe condition is likely to exist or develop in other aircraft, engines, propellers, or appliances of the same type design. Once an AD is issued, no person may operate a product to which the AD applies except in accordance with the requirements of that AD.

C.     Emergency ADs Require Immediate Action. The FAA only distributes emergency ADs that affect transport category aircraft by facsimile. As such, all certificated operators are being required by an approved document to provide an AD point of contact (name, address, city, state, zip, telephone, and e‑mail) and a facsimile transmission telephone number for emergency AD notification. The owner or operator of an aircraft is responsible for maintaining that aircraft in an airworthy condition, as required by part 39 and part 91, § 91.403(a).

D.    Notification of AD Issuance. Delegation and Airworthiness Programs Branch (AIR‑140), will notify all affected operators of the issuance of the emergency ADs via the facsimile number(s) identified by the operator’s method of notification in the template.

1)      Parts 121 and 125 operators. AIR uses facsimiles for the official notification of the transport category emergency ADs to part 121 and 125 operators. AIR mails paper copies of ADs to all applicable registered owners (part 135 and others).
2)      All other operators. Due to a large number of owners/operators (parts 91, 129, 135, etc.), AIR uses the FAA Aircraft Registry address database and the United States Postal Service for official notification of emergency ADs. AIR uses the information in template A447 to verify those addresses.
3)      AIR no longer uses Societe International de Télécommunications Aeronautiques (SITA), ARINC, or TELEX codes for electronic notification. AIR does not use e‑mail for official emergency AD notification or receipt acknowledgement.

E.     Confirmation of AD Receipt. Upon receipt of an emergency AD, the certificate holder will immediately confirm receipt of the AD by signing the fax cover page and faxing it to AIR‑140 at (405) 954‑4104. This ensures the FAA that all operators affected by an emergency AD have been notified in time to comply with its requirements and avoid any undue safety risks.

F.      Listing of Historical ADs. ADs from the 1940s to the present are now available in electronic format for full text searching on the FAA Web site at www.airweb.faa.gov/rgl. You can also find ADs from the FAA home page (www.faa.gov) by clicking on Airworthiness Directives. Direct questions to any of the following:

Automated Systems Branch (AFS‑520) (202) 267‑3522

Airworthiness Programs Branch (AFS‑610) (405) 954‑6896

AIR‑520 (202) 267‑3682

OPSPEC/MSPEC/LOA A449, ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM. OpSpec/ MSpec A449 is applicable for parts 121, 121/135, and 135 certificate holders, part 91K (fractional owners) program managers, and part 145 repair stations. Inspectors must use LOA A049 for part 91K operators conducting sightseeing operations under § 91.147.

·        The certificate holders, program managers, or operators are responsible for providing the information required by part 121 appendices I and J to the POIs for the issuance of OpSpec/MSpec A449 or MSpec A449, as applicable;

·        OpSpec/MSpec A449 is a “data collection” template and should not be construed as a Flight Standards authorization;

·        Oversight of the actual implementation of the Antidrug and Alcohol Misuse Prevention Program is the function of the Office of Aerospace Medicine, Drug Abatement Division (AAM-800);

·        When any changes occur, certificate holders and operators are responsible for providing Flight Standards with current information to update and amend A449;

·        Even though the A449 OpSpec or template is for data collection purposes, it should be signed by the certificate holder or operator because they are “certifying” that the information is accurate and that they will comply with the applicable requirements of part 121, appendices I and J; and

·        In the part 91K database, the program manager is certifying that the information is accurate for its Antidrug and Alcohol Misuse Prevention Program.

A.     Applicability. The following must comply with the Antidrug and Alcohol Misuse Prevention Program regulations in accordance with part 121 appendices I and J, and must have OpSpec A449 issued by Flight Standards:

·        All parts 121 and 135 certificate holders; and

·        All part 91K, program managers must have an antidrug and alcohol misuse prevention program. MSpec A449 must be issued indicating where those records are kept.

B.     Issuance. All parts 121 and 135 certificate holders must be issued OpSpec A449.

·        Existing parts 121 and 135 certificate holders must provide the information to their POIs that is required by part 121 appendices I and J for the issuance of OpSpec A449;

·        New parts 121 and 135 certificate holders must have an Antidrug and Alcohol Misuse Prevention Program and OpSpec A449 issued by their POI before beginning operations pursuant to the certificate;

·        The Antidrug and Alcohol Misuse Prevention Program shall be implemented concurrently with beginning such operations;

·        When a part 121 or 135 certificate holder surrenders its certificate or its certificate is terminated, revoked, or suspended, it must discontinue testing under its Antidrug and Alcohol Misuse Prevention Program. OpSpec A449 should be archived when the certificate is no longer in an active status;

·        Part 135 certificate holders must declare whether they have 50 or more safety-sensitive employees or fewer than 50 safety-sensitive employees. Whenever the number changes from 50 or more to fewer than 50, or vice versa, the certificate holder must inform the POI and OpSpec A449 would need to be amended; and

·        Certificate holders that operate under parts 121 and 121/135 are required to report testing data annually to the FAA, Office of Aerospace Medicine, regardless of the number of safety-sensitive employees in their company. Therefore, there is no requirement to declare when the number of their safety-sensitive employees crosses over or below 50.

C.     Air Tour Operators Under 91K. Part 121 or 135 certificate holders that conduct commercial air tour operations under § 91.147 must be issued a separate LOA from the part 91 database and issued a separate four character identifier. Certificate holders must implement a second drug and alcohol testing program to conduct operations under § 91.147. Even though the same company may be conducting operations under part 135 or 121 and air tour operations under § 91.147, the FAA’s regulations consider the two operations to be separate entities for drug and alcohol purposes. Exemptions to this rule are outlined in § 91.146.

D.    Restriction. No applicable certificate holder or operator shall use a contractor’s employee to perform safety-sensitive functions who is not subject to its own or a certificate holder’s or operator’s Antidrug and Alcohol Misuse Prevention Program. All new applicable certificate holders and operators must ensure that their contract employees who perform safety‑sensitive functions are subject to an Antidrug and Alcohol Misuse Prevention Program.

E.     Responsibilities. All oversight of the Antidrug and Alcohol Misuse Prevention guidance, inspections, and enforcement activity will be conducted exclusively by the Drug Abatement Division (AAM-800), Office of Aerospace Medicine. Any and all enforcement actions to be taken for violations of part 121, appendices I and J, and other sections of 14 CFR related to drug and alcohol testing by the aviation industry is the sole responsibility of the Drug Abatement Division. Any indication of possible regulatory violations of these provisions must be referred to the Drug Abatement Division. All questions regarding the Antidrug and Alcohol Misuse Prevention Program must be directed to the Drug Abatement Division.

F.      Part 145 Repair Stations. New and existing part 145 certificate holders may obtain an OpSpec A449 if they opt to have drug and alcohol programs because they perform safety‑intensive functions for an air carrier. Only one OpSpec is required for both the drug and alcohol programs.

1)      OpSpec A449 serves as a verification to the operators (parts 121, 135, 91, and 136) that the repair station performing the maintenance is under an antidrug and alcohol misuse prevention program.
2)      Those certificate holders who operate under § 135.1(a)(5) or 135.1(c)(1) or (2) who do not hold a part 119 certificate and who operate under the provisions of § 91.147 are permitted to use a person who is otherwise authorized to perform aircraft maintenance or preventative maintenance duties and who is not subject to antidrug and alcohol misuse prevention program to perform the following:

·        Aircraft maintenance or preventative maintenance on the operator’s aircraft if the operator would otherwise be required to transport the aircraft more than 50 NM further than the repair point closest to the operator’s principal place of operation to obtain these services, or

·        Emergency repairs on the operator’s aircraft if the aircraft cannot be safely operated to a location where an employee subject to FAA-approved programs can perform the repairs.

If the above circumstances do not exist, the repair station must adhere to the regulations found in § 91.147 and part 136.

3)      Since 1988, part 121 appendices I and J have required specified aviation employers to implement drug and alcohol testing programs. Originally, a part 145 repair station submitted an antidrug and alcohol misuse prevention program to the Drug Abatement Division for approval. In 2004, the regulations were changed to allow part 145 repair stations to obtain OpSpec A449 to certify compliance with the regulations. Upon obtaining OpSpec A449, each part 145 repair station is required to implement its testing program under these regulations. The regulations require that each part 119 certificate holder, with the authority to operate under part 121 and/or 135, or sightseeing operation defined under § 91.147, ensure that any individual who performs safety-sensitive functions (directly or by contract) is subject to testing under the FAA’s drug and alcohol testing regulations.
a)      The operator may choose one of two ways to comply with the regulations:

·        Include individuals performing safety-sensitive functions from a part 145 repair station under the operator’s own drug and alcohol testing program, or

·        Ensure the part 145 repair stations including the individual performing safety-sensitive functions are under an FAA-mandated drug and alcohol testing program.

b)      When a part 145 repair station chooses to implement its own proprietary drug and alcohol testing program, it may choose one of two ways:

·        Obtain OpSpec paragraph A449 in its OpSpecs, or

·        Register a combined drug and alcohol testing program directly with the Drug Abatement Division. “Combined” means a repair station with multiple locations or certificates.

4)      As identified earlier, OpSpec A449 is applicable for part 121, 121/135, or 135 certificate holders, or LOA A049 for part 91 operators conducting sightseeing operations under § 91.147. OpSpec A449 is also applicable to certified part 145 repair station maintenance facilities that perform safety-sensitive functions for the above-identified operations and choose to implement their own FAA-mandated drug and alcohol testing program.
a)      Certificate holders, program managers, or operators are responsible for providing the information required by part 121, appendices I and J, to the PI for the issuance of OpSpec A449 as applicable. When any changes occur, certificate holders and operators are responsible for providing AFS with current information to update and amend OpSpec A449.
b)      The following questions and answers should help:

Table 3-6B, Operations Specification A449 Questions and Answers

Question

Answer

Explanation

Is a part 145 certificated repair station required to comply with FAA drug and alcohol regulations?

No

But a part 119 certificate holder, with the authority to operate under parts 121 and/or 135, or sightseeing operation defined under § 91.147, are prohibited from using any contractor or contract employee to perform safety-sensitive work, unless that individual is subject to testing under a domestic and or FAA drug and alcohol program.

 

 

 

Should I, as a principal maintenance inspector (PMI), ensure a part 145 certificate holder is in compliance with the drug and alcohol testing program regulations?

No

Refer any questions that you or a company might have about program compliance or implementation by a part 145 certificate holder to the Drug Abatement Division, (202) 267‑8442 or at drugabatement@faa.gov.

 

 

 

What oversight responsibility does the POI or PMI have regarding a certificate holder’s requirement to ensure that contractors who perform safety‑sensitive work are subject to the drug and alcohol testing program?

None

All Flight Standards inspectors’ primary responsibilities relating to the drug and alcohol testing regulations are to issue and make changes to an air carrier’s OpSpec A449 or to issue LOA A049 for § 91.147. For any questions, please contact a Drug Abatement manager at (202) 267‑8442 or drugabatement@faa.gov.

5)      When certificating a new part 145 repair station or when providing oversight of an existing part 145 repair station that provides safety-sensitive functions for parts 121, 121/135, and 135 certificate holders, or part 91 operators conducting sightseeing operations under § 91.147, the PI records or validates the location of the repair station’s antidrug and alcohol misuse prevention program records in OpSpec A449 as described below.
a)      Implementation of proprietary program. If the part 145 repair station certificate holder has elected to implement its own antidrug and alcohol misuse prevention program, record or validate where their antidrug and alcohol misuse prevention program records are maintained and available for inspection by FAA drug abatement compliance and enforcement inspectors by filling out OpSpec paragraph A449, as shown in Figure 3‑67A:

Figure 3-67A, Example A449 Table 1 for a Propriety Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records:

 

 

Telephone Number:

A1 (202) 575-8732

Address:

699 Strander Dr.

Address:

N/A

City:

Tukwila

State:

WA

Zip code:

98899

EXAMPLE: RS101 is a repair station that provides safety-sensitive functions to a major airline operating in their area. RS101 chooses to implement their own drug and alcohol testing program to cover their safety-sensitive employees. RS101 contacts their PI and requests an OpSpec paragraph A449 be included in their OpSpecs.

b)      Registered proprietary program. If a part 145 repair station certificate holder has registered its antidrug and alcohol misuse prevention program directly with the Drug Abatement Division of the FAA, record or validate their antidrug and alcohol misuse prevention program records by filling out OpSpec paragraph A449 as shown in Figure 3‑67B:

Figure 3-67B, Example A449 Table 1 for a Registered Propriety Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records:

 

 

Telephone Number:

A2

Address:

 

Address:

 

City:

 

State:

 

Zip code:

 

EXAMPLE: RS102 is a corporation or repair station. They have a central location in Kansas City, as well as several outlying repair stations in Denver, Atlanta, and Miami. RS102 chooses to implement their own drug and alcohol testing program, which will include all of their locations. RS102 contacts AAM‑800 to submit a contractor registration, which includes a listing of all the repair stations and locations their program will cover.

c)      Included in air carrier’s program. If the part 145 repair station certificate holder is included as part of the air carrier’s (parts 121, 135, or part 91, § 91.147) drug and alcohol testing program, record or validate their antidrug and alcohol misuse prevention program records by filling out OpSpec paragraph A449 as shown in Figure 3‑67C:

Figure 3-67C, Example A449 Table 1 for a Program Included in Air Carrier’s Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records:

 

 

Telephone Number:

A3

Address:

 

Address:

 

City:

 

State:

 

Zip code:

 

EXAMPLE: An air carrier operating under part 121 also maintains a part 145 repair station (RS103). RS103 works solely for that air carrier. The air carrier chooses to implement its drug and alcohol testing program for the part 121 and includes its RS103 employees. RS103 does not implement its own testing program. If RS103 chooses to contract out to a third-party air carrier, the third‑party air carrier is required to ensure that the employees working for RS103 are subject to an FAA-mandated drug and alcohol testing program. To do this, the third-party air carrier must obtain this verification with the part 121 air carrier that includes the RS103 employees under its testing program.

It is the Drug Abatement Division’s responsibility to ensure that the third‑party air carrier has obtained assurance from the part 121 air carrier that the RS103 employees performing safety-sensitive functions are subject to testing.

OPSPEC A501, LIABILITY INSURANCE SUSPENSION FOR SEASONAL OPERATIONS.

A.     Liability Insurance Does Not Apply to Certificate Holders With Operating Certificates. Liability insurance coverage and the associated Department of Transportation (DOT) forms (Office of the Secretary of Transportation (OST) Form 6410, U.S. Air Carrier Certificate of Insurance) are an inclusive part of the economic authority required for parts 121 and 135 air carrier certificate holders. This is not applicable to those with operating certificates. 14 CFR part 205, § 205.4(b) states, in part, that “Aircraft shall not be listed in the carrier’s operations specifications with the FAA and shall not be operated unless liability insurance coverage is in force.”

B.     Suspending Liability Insurance for Seasonal Operations. Title 14 CFR part 119, § 119.61(b)(4) provides for the issuance of OpSpec A501, Liability Insurance Suspension for Seasonal Operations, which effectively suspends the air carrier certificate holder’s OpSpecs and requirement for liability insurance for the period of time established in Table 1 of OpSpec A051. The operator cannot use the aircraft during that period of time to conduct operations in air transportation. The POI and the PMI must coordinate this effort.

C.     Circumstances Under Which to Issue OpSpec A501. OpSpec A501 may be issued in order to comply with the requirements of § 119.61, § 205.4(b) and, if the air carrier certificate holder:

·        Does not want to surrender its certificate during nonoperational periods,

·        Requests the issuance of OpSpec A501 in writing, specifying the date it chooses to cease operations and the date it will resume operations,

·        Wants to cancel the liability insurance on all of its aircraft for a period of 60 days or more during the specific period of non‑use, and

·        Completely ceases operations for a period of 60 days or more during the specific period of non‑use.

D.    No Status Change to VIS or OPSS. The status of the air carrier certificate holder’s certificate remains active even though the OpSpecs are in the “suspension” status. Make no status changes to the Vital Information Subsystem (VIS) or the OPSS.

E.     Opting to Not Carry Liability Insurance. If the air carrier certificate holder does not want to cease all operations but wants only to reduce the number of aircraft operated for a period of time and not carry the liability insurance for those aircraft, it has two options:

1)      Remove those aircraft completely from its OpSpecs, or
2)      Place those aircraft into long term maintenance or long term storage and issue OpSpec D106, Aircraft in Long Term Maintenance or Storage (reference Volume 3, Chapter 18, Section 6, Parts D and E—Maintenance MSpecs/OpSpecs.

F.      Notification of Suspension of Insurance. The air carrier certificate holder or its insurance company will send notification of the suspension of liability insurance to the appropriate FAA or DOT office as required by part 205, § 205.7(a). (The FAA will record the notification and the red alert clause, “Insurance in a Non‑Compliant State,” will appear at the top of the “Maintain Operations Specifications” window in the OPSS for that certificate holder.) (Use the “Review Insurance Info” selection in the OPSS to view the details of the noncompliance.)

G.    Separate Uses for OpSpecs A501 and D106. At no time will OpSpecs A501 and D106 be active at the same time. These paragraphs are developed as separate provisions for specific needs. (See Volume 3, Chapter 18, Section 6 for guidance on OpSpec D106.)

H.    Start Up Procedures and Rescinding OpSpec A501.

1)      Before the “Re‑Start of Operation” date listed in Table 1 of OpSpec A501, the air carrier must reinstate the required liability insurance. OST Form 6410 must be filed with the appropriate FAA or OST office at least 5 days prior to the “Re‑Start of Operation” date listed in Table 1 of the OpSpec.
2)      PIs should verify with AFS-260 (for air taxi operators), AAL‑230 (for Alaskan air carriers), and OST‑X‑56 (for DOT certificated and commuter carriers) that the air carrier has filed evidence of liability insurance coverage as required by 14 CFR part 205 and that it otherwise continues to hold the necessary economic authority to resume operations.
3)      See Volume 6, Chapter 2, Section 38, Evaluate a Part 121/135.411(a)(2) Operator Aircraft Storage Program, paragraph 6‑1048, OpSpec D106, Aircraft in Long Term Maintenance or Storage for additional guidance in regard to liability insurance.
4)      OpSpec A501 must be rescinded and archived in the OPSS. Again, make no changes to the VIS or the OPSS for the certificate status. When the required liability insurance documentation is received by AFS‑260, the red alert clause will be removed for that certificate holder. See Volume 3, Chapter 18, Section 2, Automated Operations Safety System (OPSS), paragraph 3‑718, OPSS Liability Insurance Subsystem, for information regarding the alert clause.
5)      The principal inspector must review the recency requirements of § 119.63 for the air carrier certificate holder and reexamine as necessary prior to the start of the seasonal operations.

OPSPEC A502, AIR CARRIER MERGER AND/OR ACQUISITION.

A.     General. OpSpec A502 is provided to specifically address conditions that must be met by the operator during the transition process. Fields are provided to outline specific conditions that must be met by the operator in order to continue operations during the transition period. These fields are (1) General, (2) Operations, and (3) Airworthiness.

B.     Description of Fields. After the transition team reaches consensus on the transition plan, primary conditions provided in the plan should be entered in the appropriate field by the PI responsible for that area.

1)      General. Principal inspectors (PI) of either specialty may use the General field to identify conditions that do not belong specifically to operations or airworthiness. Examples include station personnel training, flight numbering, and administrative department functions (such as reservations and sales).
2)      Operations. The Operations field is provided to identify specific operational conditions. There are three areas that should be addressed in the Operations field. They are Operational Control, Training and Qualification, and Other.
a)      Operational Control. Operational control fields identify which air carrier will assume operational control responsibility over the combined operation and the date that transfer is planned to take place. If the change over is to be phased in over a period of time, such as by fleet, enter appropriate milestones here. Milestones listed in this field must correlate with the same milestones in the transition plan.
b)      Training and Qualification. Training and qualification fields identify planned dates crewmember training and qualification will be completed. If two or more fleets will be phased in over different time periods, enter the fleet types and their associated training and qualification date milestones in the free text fields provided. Include training plans for dispatchers and flight followers here, as well. Milestones listed in this field must correlate with the same milestones in the transition plan.
c)      Other. This field is provided for other operations milestones not addressed in Operational Control or Training and Qualification. Examples include manual revisions, computer system support, and record keeping.
3)      Airworthiness. The Airworthiness field is provided to identify specific conditions that apply to airworthiness. List maintenance program manual milestones in this field. Identify training and qualification of mechanics and inspectors here, as well. Major milestones outlining the transition of maintenance responsibilities and record keeping are appropriate for this field.

OPSPEC A570, ONE YEAR EXTENSION OF COMPLIANCE TIMES IN SECTIONS 121.1117(E) AND 129.117.

A.     Applicability.

1)      Except as provided in paragraph C below, OpSpec A570 can only be issued to part 121 certificate holders or part 129 foreign air carriers/foreign persons with U.S.-registered airplanes who notified their PI or CHDO of their intention to use the relief specified in §§ 121.1117(k) or 129.117(k) before March 29, 2009 and who then applied for OpSpec A570 before June 24, 2009. OpSpec A570 is time-limited and will expire on December 26, 2018.
2)      OpSpec A570 applies to transport category turbine-powered airplanes with a TC issued after January 1, 1958, that, as a result of original type certification or later increase in capacity have a maximum TC’ed passenger capacity of 30 or more, or a maximum payload capacity of 7,500 pounds or more. This authorization does not apply to the airplanes listed in §§ 121.1117(m) and 129.117(k). Specifically, it applies to the airplanes listed in Table 3-23A.

Table 3-23A, Airplanes Which Require Ground Air Conditioning Systems

Boeing

Airbus

737 series

A318, A319, A320, A321 series

747 series

A300, A310 series

757 series

A330, A340 series

767 series

 

777 series

 

3)      OpSpec A570 is used to extend the compliance dates in §§ 121.1117(e) and 129.117(e) by one year. In order to be eligible for the extension, a certificate holder or foreign air carrier/ person must have notified their PI or CHDO before March 29, 2009, of its intention to use ground air conditioning systems on its applicable airplanes in accordance with §§ 121.1117(k)(2) and (3) and 129.117(k)(2) and (3), and the certificate holder or foreign air carrier/person must have applied for OpSpec A570 by June 24, 2009. With the issuance of this OpSpec, the compliance date specified in §§ 121.1117(e)(1) and 129.117(e)(1) is extended to December 26, 2015 and the final compliance date is extended to December 26, 2018.

B.     Issuing OpSpec A570. OpSpec A570 is the joint responsibility of the POI and the PMI. Before issuing OpSpec A570. The office manager of all affected CHDOs, CMOs, IFOs, and IFUs should bring this guidance to the attention of the principal inspectors of any operator who has applied for this OpSpec and ensure that it is properly issued.

1)      The PMI must ensure that the certificate holder’s manual required by § 121.133 (for part 121) or maintenance program (for part 129) includes a listing, by N‑registration number and fleet type, of those airplanes in the certificate holder’s fleet that ground conditioned air systems applies to. That listing should be identical to the operator’s Flammability Reduction Means (FRM)/Ignition Mitigation Means (IMM) retrofit listing that is provided to the CHDO. As airplanes are retrofitted they should be removed from the list.
2)      The POI must ensure that the certificate holder’s manual required by § 121.133 (for part 121) or equivalent manual for part 129 includes a requirement for the airplanes in this listing to use ground air conditioning systems for actual gate times of more than 30 minutes, when available at the gate and operational, whenever the ambient temperature exceeds 60 degrees Fahrenheit.
3)      The office manager will determine which principal inspector will sign OpSpec A570 and ensure that it is issued.

C.     Certificate Holders Certificated After December 26, 2008. A certificate holder or foreign air carrier/person for which an operating certificate is issued after December 26, 2008, and that has notified their PI or CHDO of its intention to use ground air conditioning systems on its applicable airplanes (see Table 3-23A above), the compliance date specified in § 121.1117(e) may be extended by one year, provided that the certificate holder meets the requirements of §§ 121.1117(k)(2) or 129.117(k)(2) when its initial OpSpecs are issued and, thereafter, uses ground air conditioning systems as described in § 129.117(k)(2) on each airplane subject to the extension. OpSpec A570 must be approved by the PMI, using the guidance above, concurrent with the initial OpSpecs.

TEMPLATE A999, AIR OPERATOR CERTIFICATE (AOC) IN THE INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) FORMAT.

A.     Annex 6 Requirements. Annex 6 to the Chicago Convention requires air operators to carry onboard their aircraft a standardized, certified true copy of their AOCs when operating internationally. See the following ICAO Web site for more information: http://www.icao.int/ fsix/_Library/Annex%206‑Part%20I%20‑%20AOC%20Template%20en.pdf. Template A999 is applicable to part 121 and 135 air carriers.

B.     Federal Aviation Administration (FAA) Role. To enable certificate holders to fulfill this ICAO requirement, the FAA made an ICAO standardized AOC available as Template A999 in the Web‑based automated Operations Safety System (WebOPSS). (See Figure 2‑9A in Volume 2, Chapter 1, Section 4 for a sample of Template A999.) Much of the data contained in the AOC will be preloaded from WebOPSS. The principal operations inspector (POI) or the certificate holder must enter some of the data. This standardized ICAO AOC is in addition to the FAA Operating Certificate or Air Carrier Certificate. For compliance with Annex 6, certificate holders must carry this ICAO AOC onboard their aircraft when operating internationally.

C.     Specific Guidance for Issuing Template A999. For specific guidance on issuing Template A999, see Volume 2, Chapter 1, Section 4, Preparation of Federal Aviation Administration Operating Certificates, paragraph 2‑74.

RESERVED. Paragraphs 3‑738 through 3‑751.


9/13/10                                                                                                                         8900.1 CHG 0

Volume 3 GENERAL TECHNICAL ADMINISTRATION

chapter 19  TRAINING PROGRAMS AND AIRMEN QUALIFICATIONS

Section 2   Training Approval Process

3-1096       GENERAL.

A.     Overview. Training curriculum approvals follow the five-phase general process for approval or acceptance described in Volume 3, Chapter 1, Section 1, The General Process for Approval or Acceptance. The basic steps of this process must be followed. Each phase, however, may be adjusted to accommodate existing circumstances. Depending on the complexity of the operator’s request and the availability of Federal Aviation Administration (FAA) resources, the approval process may be accomplished in just a few days, or may last many months. The approval process applies to each operator requesting approval of a new curriculum or a revision to a currently-approved curriculum. Inherent in the approval process is the FAA’s responsibility to deny approval of any training which does not meet regulatory requirements or which has been found deficient. Training curriculums which have been granted approval and later found either to be in conflict with regulatory requirements or to be ineffective, must be appropriately modified by the operator, or FAA approval must be withdrawn. This section establishes procedures for granting approval or withdrawing approval of all or part of a training curriculum. When appropriate, job aids have been developed to assist inspectors in the approval process of curriculum segments. These job aids are discussed in subsequent sections of this chapter.

B.     Applicability. The training approval process discussed in this section applies only to Title 14 of the Code of Federal Regulations (14 CFR) part 121 and part 135 operators. Part 121 subpart N training can be approved for only part 121 operators. Part 135 subpart N training can be approved for only part 135 operators. There are no regulatory provisions for part 121 or part 135 training to be conducted by training centers or aircraft manufacturers. Certain training centers and aircraft manufacturers, however, currently have FAA approval to train flightcrew members in certain aircraft types used in part 121 and part 135 operations. As of the effective date of this revision, each inquiry received from a training center or an aircraft manufacturer concerning the authorization to conduct any part 121 or part 135 training, shall be referred to the Air Transportation Division, AFS-200. AFS-200 will determine whether it is appropriate for a particular training center or aircraft manufacturer to conduct part 121 or part 135 training.

3-1097       OPERATIONS CONDUCTED UNDER BOTH PARTS 121 AND 135.

A.     Differences Between Parts 121 and 135. There are only a few differences in the training required by parts 121 and 135. Part 121, however, generally contains more stringent requirements. To maintain the requisite level of safety without unnecessary restrictions and redundant training, certain considerations may be given to operators using crewmembers in operations conducted under both parts 121 and 135. All regulatory requirements applicable to the operation in which the crewmember is engaged must be met. Training which meets the same requirements of both parts 121 and 135, however, does not have to be repeated. Training curriculums may be combined if the training given clearly meets all applicable regulatory requirements. For example, with aircraft of similar types, such as the Security Directives (SD)‑360 and SD-330, if applicable, difference training is included in a combined curriculum, the part 121 training on the SD-360 meets the training requirements for the SD-330. For most aircraft, however, a combined curriculum may not be possible due to differences in the training requirements between parts 121 and 135.

B.     Parts 121 Subparts N and O. The FAA recognizes that the airman and crewmember training, checking, and qualification requirements of part 121 will always meet or exceed the requirements of part 135. This is consistent with the recognition that part 121 affords the highest standards of safety in civil flight operations. Therefore, as a matter of safety policy, the FAA will both permit and encourage compliance with of part 121 subparts N and O, by operators who conduct part 135 operations. It is FAA policy that a training, checking, and qualification program submitted by a part 135 operator, which is found by the FAA to be in compliance with part 121 subparts N and O, will be considered as a program that exceeds the requirements of part 135 and will be approved by the FAA for use by that operator. Principal operations inspectors (POI) are authorized to approve curriculum segments (including qualification curriculum segments which permit training to be substituted for checking), provided the operator adopts all the training, checking, and qualification requirements of part 121 subparts N and O.

3-1098       INITIATING THE APPROVAL PROCESS—PHASE ONE.

A.     Approval Process Initiation. The training approval process can be initiated by either the operator or the FAA as follows:

1)      Operator Initiated. The operator informs the FAA that it is planning to establish a new training curriculum or to change an existing curriculum.
2)      FAA Initiated. The FAA informs an operator that revisions to its training program are required based on recently acquired information relative to training techniques, aviation technology, aircraft operational history, operator performance, or regulatory changes.

B.     Needed Information. When a proposal is initiated by the operator, one of the first steps the POI or certification project manager (CPM) should take is to obtain the following basic information:

·        Type of operation,

·        Type of equipment to be operated,

·        Geographic areas of operation,

·        Proposed training schedules,

·        Proposed date of revenue operations,

·        Proposed contract training, if any,

·        Type of simulator to be used, if any, and

·        Facilities to be used.

3-1099       FAA INVOLVEMENT IN PHASE ONE.

A.     POI Responsibilities. Early in the process, the FAA and the operator should establish, through discussion, a common understanding of both the regulatory training requirements and the direction and guidance provided in this handbook. The POI or CPM and the operator must examine the entire operation to ensure that any training necessitated by operational requirements, authorizations, or limitations (such as those in the operations specifications (OpSpecs), minimum equipment lists (MEL), deviations, and exemptions), is included in the operator’s training curriculums. The training program is the area most affected by operational changes. The POI should review all general requirements in the regulations and in this handbook that apply to the proposed operation. The POI should be aware of changes to the information initially provided by the operator. The POI should discuss with the operator the sequence and timing of events which occur in the development and the granting of initial and final approval of a training curriculum. If the operator’s proposal involves complex operations (such as long-range navigation or polar navigation operations), the POI must consult appropriate sections of this handbook and other relevant documents and be prepared to advise the operator during this phase. In such a case, the POI should also determine whether assistance from an FAA specialist is necessary.

B.     Advice and Guidance Given to the Operator. An FAA inspector should be prepared to provide advice to an operator during training curriculum development. During phase one, the operator must be informed of the procedure for requesting initial approval and of the types of additional supporting information which the POI will require the operator to submit. An inspector should be prepared to provide advice and guidance to the operator on the following:

·        The general format and content of curriculums, curriculum segments, training modules, and flight maneuvers and procedures documents;

·        Courseware;

·        Facilities;

·        Qualifications of instructor personnel; and

·        Other areas of the operator’s proposed training program.

C.     Importance of Early Involvement. Early FAA involvement is also important for the following reasons:

·        FAA advice and guidance during development of training may provide a useful service to the operator. This advice may save the operator and the FAA from unnecessary use of resources. It may also prevent the operator from submitting a training curriculum proposal which would not be approved by the FAA;

·        The POI can become familiar with the material the operator intends to submit. This facilitates review of the proposal before the granting of initial approval; and

·        The POI can begin planning long-range needs, such as qualification of inspectors on the operator’s aircraft, and evaluation of the program’s overall effectiveness.

·        Early FAA inspector involvement in the development of training programs is appropriate. An FAA inspector, however, must act in an advisory capacity only. The inspector must avoid active participation in the actual training program development. The operator is responsible for the development of its own training program. The FAA inspector must not assume that responsibility.

D.    Additional Help. As the operator’s proposals solidify, any significant requirements which may affect office or regional inspector resources should be discussed with the district office manager. An FAA inspector may need training on an operator’s aircraft type. Requests for inspectors from outside the office or region to assist in the training approval process may be necessary.

E.     Potential Causes of Approval Delays. The operator should be aware of the potential for delays in approval. Such delays may be caused by any of the following reasons:

·        The applicant for a certificate not meeting the schedule of events;

·        The operator failing to expeditiously transmit information to the FAA;

·        A change in plans, for example, changing either the training locations or the type of aircraft;

·        Inadequate, insufficient, or unclear material submitted in phase two;

·        Deficiencies in the training discovered during phases two, three, or four;

·        Delays in obtaining equipment (such as simulators) or simulator approval; and

·        Higher priority work (such as accidents) assigned to the POI or other inspectors associated with the training approval process.

3-1100       REQUESTS FOR INITIAL APPROVAL—PHASE TWO.

A.     Overview. Phase two begins when the operator submits its training proposal in writing, for initial approval, to the FAA. The operator is required to submit to the FAA an outline of each curriculum or curriculum segment and any additional relevant supporting information requested by the POI. These outlines, any additional supporting information, and a letter must be submitted to the FAA. This letter should request FAA approval of the training curriculum. Two copies of each curriculum or curriculum segment outline should be forwarded along with the letter of request to the FAA.

B.     Required Information in Curriculums. Each operator must submit its own specific curriculum segment outlines appropriate for its type of aircraft and kinds of operations. These outlines may differ from one operator to another and from one category of training to another in terms of format, detail, and presentation. Each curriculum should be easy to revise and should contain a method for controlling revisions, such as a revision numbering system. Curriculums for different duty positions may be combined in one document, provided the positions are specifically identified and any differences in instruction are specified for each duty position. Each curriculum and curriculum segment outline must include the following information:

·        Operator’s name,

·        Type of aircraft,

·        Duty position,

·        Title of curriculum and/or curriculum segment including the category of training,

·        Consecutive page numbers, and

·        Page revision control dates and revision numbers.

C.     Required Curriculum Segment Items. Each curriculum and curriculum segment must also include the following items, as appropriate:

1)      Prerequisites prescribed by the 14 CFRs or required by the operator for enrollment in the curriculum;
2)      Statements of objectives of the entire curriculum and a statement of the objective of each curriculum segment;
3)      A list of each training device, mockup, system trainer, procedures trainer, simulator, and other training aids which require FAA approval (The curriculum may contain references to other documents in which the approved devices, simulators, and aids, are listed);
4)      Descriptions or pictorial displays of normal, abnormal, and emergency maneuvers and procedures which are intended for use in the curriculum, when appropriate (These descriptions or pictorial displays, when grouped together, are commonly referred to as the flight maneuvers and procedures document. The operator may choose to present detailed descriptions and pictorial displays of flight maneuvers and procedures in other manuals. For example, the flight maneuvers and procedures document may be described in an aircraft operating manual. However, as a required part of the training curriculum, it must either be submitted as part of the curriculum or be appropriately referenced in the curriculum);
5)      An outline of each training module within each curriculum segment (Each module should contain sufficient detail to ensure that the main features of the principal elements or events will be addressed during instruction);
6)      Training hours which will be applied to each curriculum segment and the total curriculum; and
7)      The checking and qualification modules of the qualification curriculum segment used to determine successful course completion, including any 14 CFR qualification requirements for crewmembers or dispatchers to serve in part 121 or part 135 operations (such as initial operating experience, line checks, operating familiarization).

3-1101       ADDITIONAL RELEVANT SUPPORTING INFORMATION—PHASE TWO. As specified in part 121, § 121.405(a)(2) and part 135, § 135.325(a)(2), an operator must submit any additional relevant supporting information requested by the POI. This information is that additional information the POI finds necessary for determining whether the proposed training program is feasible and adequately supported. It is information which would be difficult to include in a curriculum outline format. The type and amount of supporting information needed will vary depending on the type of training, aircraft types to be operated, and kinds of operations. The POI must determine the appropriate types of supporting information to be required. This should be limited to only that information critical to the determination of the proposed training program’s acceptability. The following list of types of relevant supporting information is not all‑inclusive, but includes information that is typical.

A.     Description of Facilities. A description of facilities is appropriate if the POI is unfamiliar with the facilities, or if the facilities are not readily available for examination.

B.     List of Ground and Flight Instructors and Qualifications. A list of ground and flight instructors and their qualifications may be requested. This information is particularly important if the operator intends to use contract instructors. The POI should determine whether the proposed instructors meet regulatory requirements and if they are qualified to conduct training.

C.     Description of Flight Simulator (SIM) and Training Device. A detailed description of each SIM and training device is appropriate when the simulator or training device is not readily available for the POI’s examination. This detailed description is particularly important when the operator intends to contract for a specific SIM or training device. This description should provide sufficiently detailed information to enable the POI to determine whether the training and checking to be conducted is appropriate for the level of the SIM or training device to be used.

D.    Description of Qualification and Enrollment Prerequisites. A detailed description of minimum student qualifications and enrollment prerequisites is appropriate when such prerequisites are not described in detail in the curriculum. Examples of these prerequisites which may need to be detailed as supporting information include: type of airman certificate, aircraft type qualifications, previous training programs, minimum flight hours, experience with other part 121 or part 135 operators, and recency of experience. This description may be useful to the POI when determining whether the proposed amount of detail outlined in training modules and the proposed training hours are adequate.

E.     Recordkeeping Requirements. Copies of training forms and records to be used for recording student progress and the completion of training may be required. This ensures the operator has planned for the 14 CFR recordkeeping requirements. This type of supporting information shall be required of applicants for an air operator certificate. It may also be required of operators with any significant revision to existing training programs. These forms, records, or computer transmittal worksheets must be designed so that attendance and course-completion information is recorded and retrievable for verifying regulatory compliance.

F.      Supporting Information. Supporting information may include samples of courseware, such as lesson plans and instructor guides. Descriptions of other types of courseware, such as home study, computer-based instruction (CBI), and Line Oriented Flight Training (LOFT) scenarios, should be in enough detail to provide an understanding of how the training will be administered and of the proposed instructional delivery method. This information should describe the instructor student-interaction and indicate methods for measuring student learning.

3-1102       INITIAL REVIEW OF REQUESTS FOR APPROVAL—PHASE TWO. In phase two the POI must review the submitted training curriculum and supporting information for completeness, general content, and overall quality. A detailed examination of the documents is not required during phase two. If after initial review, the submission appears to be complete and of acceptable quality, or if the deficiencies are immediately brought to the operator’s attention and can be quickly resolved, the POI may begin the phase three in-depth review. If the submission is determined to be incomplete or obviously unacceptable, the approval process is terminated and the POI must immediately return the documents (preferably within 5 working days) with an explanation of the deficiencies. The documents must be immediately returned, so the operator will not erroneously assume the POI is continuing the process to the next phase. The approval process can be resumed when the revised training curriculum or curriculum segment is resubmitted.

3-1103       TRAINING CURRICULUMS SUBMITTED WITH AIR OPERATOR CERTIFICATE APPLICATIONS. An applicant for a certificate in the early stages of certification, may be unable to provide all information required for its training program. For example, the applicant may not yet know what training facilities or devices it intends to use. The lack of such information in the formal application does not necessarily indicate that the training curriculum attachment be returned. There should be an understanding between the applicant and the CPM that such portions are missing. The CPM may initiate the phase three in‑depth review without this type of information. Initial approval, however, of a curriculum segment must be withheld until all portions pertinent to the curriculum segment have been examined. For example, it may be appropriate to initially approve a ground training curriculum segment even though the simulator has not yet been evaluated and approved for flight training. However, effective evaluation of training curriculums can be hampered when an excessive number of incomplete curriculum segments are permitted. The CPM shall either delay initial approval of training curriculums or return them to the applicant when an excessive number of incomplete curriculum segments have been submitted with the formal application.

3-1104       IN-DEPTH REVIEW OF SUBMITTED CURRICULUMS—PHASE THREE.

A.     Specialists and or FAA Offices. Phase three is initiated when the FAA begins a detailed analysis and evaluation of a training curriculum or curriculum segment. The purpose of this phase is to determine the acceptability of training curriculums for initial approval. This phase ends either with the initial approval or with the rejection of all or part of the training curriculum. To complete an evaluation in a timely manner the POI may need to involve other FAA personnel early in this phase. Certain specialists or offices may be required to participate in the approval process as follows:

·        The principal security inspector (PSI) should be involved in security and hazardous materials training issues;

·        Various aviation safety inspector (ASI) specialists should be involved when appropriate. For example, navigation specialists should be involved with evaluating special navigation operations;

·        The POI may need to contact the Flight Standardization Board (FSB) and the Flight Operations Evaluation Board (FOEB) for information on training recommendations and minimum equipment list procedures. See Volume 8 for more information about FSBs and FOEBs;

·        The POI’s district office manager and certain regional headquarters (HQ) personnel may need to be involved with locating and directing additional FAA resources to accomplish the approval process; and

·        Washington HQs may be requested to provide assistance with obtaining training quotas for selected inspectors or with obtaining information concerning exemptions.

B.     Required Evaluations. Before granting initial approval for a specific curriculum or curriculum segment, the POI must ensure that the following evaluations are accomplished:

1)      A side-by-side examination of the curriculum outline with the appropriate regulations and with the direction provided in this handbook must be performed. This examination is to ensure that training will be given in at least the required subjects and in-flight training maneuvers. It should also ensure that appropriate training will be given on safe operating practices.
2)      An examination of the courseware developed or being developed by the operator must be performed. This review should include a sampling of available courseware such as lesson plans, audiovisual programs, flight maneuvers and procedures documents, and student handouts. The courseware must be consistent with each curriculum and curriculum segment outline. From this review, the POI should be able to determine whether the operator is capable of developing and producing effective training courseware.
3)      An inspection of training facilities, training devices, and instructional aids (which will be used to support the training) must be performed if the POI is not familiar with the operator’s training program capabilities.
4)      The training hours specified in each curriculum segment outline must be evaluated. An inspector should not attempt to measure the quality or sufficiency of training by the number of training hours alone. This can only be determined by direct observation of training and testing (or checking) in progress, or by examination of surveillance and investigation reports. The specified training hours must be realistic, however, in terms of the amount of time it will take to accomplish the training outlined in the curriculum segment so as to achieve the stated training objectives. During the examination of courseware, an inspector should note the times allotted by the operator for each training module. These times should be realistic in terms of the complexity of the individual training modules. The number of training hours for any particular curriculum segment depends upon many factors. Some of the primary factors are as follows:

·        The aircraft family in which the specific aircraft belongs;

·        Complexity of the specific aircraft;

·        Complexity of the type of operation;

·        Amount of detail that needs to be covered;

·        The experience and knowledge level of the students; and

·        Efficiency and sophistication of the operator’s entire training program (including items such as instructor proficiency, training aids, facilities, courseware, and the operator’s experience with the aircraft).

C.     Criteria for Approval. If after completing these evaluations, the POI determines that the curriculum or curriculum segment is satisfactory and adequately supported, and that the training hours are realistic, initial approval should be granted. Sometimes a portion of the submittal may appear to be satisfactory. However, if that portion is dependent upon another undeveloped portion or another unsatisfactory portion, initial approval must be withheld. For example, a PIC BE-100 initial equipment, flight training curriculum segment is satisfactory but related training modules within the initial equipment ground training curriculum segment are unsatisfactory. In such a case, it may be inappropriate to grant initial approval to the initial equipment flight training curriculum segment until the ground training curriculum segment is determined to be satisfactory.

D.    Establishment of Priorities. During phase three of the approval process, the POI must establish priorities to ensure that, if appropriate, the granting of initial approval, is not unnecessarily delayed. These priorities should assure that deficiencies are resolved so that initial approval can be granted before the operator’s planned starting date for training.

3-1105       EXPIRATION DATES FOR INITIAL APPROVALS. When the POI determines that a training curriculum or curriculum segment should be initially approved, the POI must also determine an appropriate expiration date for the initial approval. The expiration date is important throughout phase four of the approval process. Sections 121.401(a)(1) and 135.323(a)(1) require the operator to obtain final approval of training curriculums. The expiration date provides an incentive to the operator for refining all aspects of the program to assure that this regulatory requirement is met. The expiration date also provides the POI with a time frame with which to plan evaluation activities for determining the effectiveness of the training. The expiration date assigned to an initially approved training curriculum must not exceed 24 months from the date of initial approval. The expiration date of initial approval may be reduced by the POI if it is apparent that a 24-month time frame will unnecessarily delay final approval. The POI should be aware that shortening the initial approval expiration date will commit him to completing the final approval phase within the shorter time period. The POI may grant final approval any time before the expiration date. Except when unforeseen circumstances preclude an adequate evaluation of training effectiveness, an extension to the initial approval expiration date should not be permitted. A new expiration date, however, may be established for a curriculum segment when there are significant revisions to an initially approved curriculum segment.

3-1106       METHOD OF GRANTING INITIAL APPROVAL.

A.     Initial Approval is Granted by Letter. Sample letters granting initial approval are included at the end of this paragraph (Figures 3-71, Letter of Initial Approval (Part 135) and 3‑72, Letter of Initial Approval (Part 121)). The initial approval letter must include at least the following information:

·        Specific identification of the curriculums and/or curriculum segments initially approved, including page numbers and revision control dates;

·        A statement that initial approval is granted, including the effective and expiration dates;

·        Any specific conditions affecting the initial approval, if applicable;

·        A request for advance notice of training schedules so that training may be evaluated in accordance with § 121.405 or § 135.325, as appropriate; and

·        If the POI is authorizing a reduction in the programmed hours specified by part 121, a statement concerning the basis for reduction.

B.     Other Acceptable Methods. An initial approval letter serves as the primary record of curriculum or curriculum segment pages that are currently effective. In the past, initial approval was stamped on each page of a curriculum. Although this method is no longer necessary, the POI and each operator may agree to use the method to account for revisions to training documents. If this method is used, the stamp must clearly indicate initial approval and the expiration date. Other acceptable methods include a list of effective curriculum or curriculum segment pages, or pages with a preprinted signature and date blocks.

C.     Return of Originals. The original pages of the curriculum or curriculum segment shall be returned to the operator with the transmittal letter. These documents should be retained by the operator as an official record. A copy of the training curriculum or curriculum segment, with a copy of the transmittal letter granting initial approval attached, shall be maintained on file in the certificate-holding district office (CHDO) by the POI during the period that the initial approval is valid. The POI shall also maintain on file with the curriculum all additional relevant supporting information.

Letter of Initial Approval (Part 135)

ABC Airlines

Director of Operations

1 Park Avenue

New York, NY 11001

Dear Mr. Smith:

Initial approval is granted to ABC Airlines SD-330 Pilot in Command and Second in Command Initial Equipment Flight Training, pages 1 through 10, dated March 11, 1988. This training curriculum is initially approved in accordance with the provisions of 14 CFR § 135.325(a), effective March 30, 1988.

Initial approval of this training curriculum shall remain in effect until March 31, 1990, or upon the granting of final approval, whichever occurs first. ABC Airlines is requested to notify this office at least 10 days in advance of any training to be conducted under this program so that the FAA may evaluate the effectiveness of the program, in accordance with 14 CFR § 135.325(b).

Principal Operations Inspector

Letter of Initial Approval (Part 121)

ABC Airlines

Director of Training

1 Park Avenue

New York, NY 11001

Dear Mr. Townsend:

This letter in reference to ABC Airline’s B-737 Pilot in Command and Second in Command Initial Equipment Ground Training curriculum, pages 100/1 through 100/15, dated April 14, 1988. This curriculum is granted initial approval, effective April 30, 1988. The approval is contingent upon a satisfactory evaluation of your advanced systems ground trainer scheduled for April 28 and 29, 1988.

The expiration date of this initial approval is April 30, 1990. This office requests ABC Airlines provide at least 7 days advance notice of any training to be conducted under this curriculum to allow for evaluation of the training in accordance with 14 CFR § 121.405(b) and (c). Approval of the reduced training hours from the programmed hours required by 14 CFR § 121.419(b) to 75 hours is based on the improved training techniques available from your advanced systems ground trainer.

Principal Operations Inspector

3-1107       METHOD OF DENYING INITIAL APPROVAL. If the POI determines that initial approval of a proposed training curriculum or curriculum segment must be denied, the operator shall be notified in writing of the reasons for denial. This letter must contain an identification of the deficient areas of the training curriculum and a statement that initial approval is denied. It is not necessary that each minor deficiency which resulted in the denial be identified, however, the major deficiencies should be outlined in the letter. It is the operator’s responsibility to redevelop or correct the deficient area before resubmission to the FAA. A copy of the denial letter and a copy of the proposed training curriculum or curriculum segment shall be kept on file in the CHDO. Figure 3-73 is a sample letter of a denial of initial approval.

Letter of Denial of Initial Approval

ARK Airlines

Director of Operations

48 Turnover Place

Landover, MD 20765

Dear Mr. Townsend:

This letter is in response to your request for initial approval of Revision 2 to ARK Airline’s DC‑9 Pilot in Command and Second in Command Recurrent Ground Training curriculum, dated August 2, 1988. Your request for initial approval for revision 2 is denied for the following reason.

More than 70 percent of your scheduled operations occur in areas which during the winter months, are subject to cold weather, snow, ice, and sleet. Your pilot workforce must have adequate training in the safe operating practices associated with a cold weather environment, to enable them to cope effectively with such hazards. Revision 2 deletes training previously given on major aspects of cold weather operations and does not provide any identifiable instruction to your crews for operating flights in such conditions. Presently there is not another course of training for ARK Airline’s pilots containing adequate information on cold weather procedures.

Principal Operations Inspector

3-1108       EVALUATING INITIALLY APPROVED TRAINING CURRICULUMS—PHASE FOUR.

A.     Overview. Phase four begins when the operator starts training under the initially-approved curriculum. This phase should provide the operator with adequate time to test the program and the flexibility to adjust the program during FAA evaluation. The POI must require an operator to provide ongoing schedules of all training and checking to be accomplished under an initially-approved training curriculum. The POI must closely monitor training conducted under initial approval. Whenever possible, the first session of training conducted under initial approval should be monitored by the POI or a qualified operations inspector. An FAA inspector does not need to observe every training session. A sufficient sampling of the training sessions, however, should be observed as a basis for a realistic evaluation. Inspectors qualified in the type aircraft, and other individuals knowledgeable of the curriculum subject matter, should assist in evaluating the training. During training under initial approval, the operator is expected to evaluate and appropriately adjust training methods as needed. Often adjustments can be made by changing courseware and instructional delivery without (or with only minor) revisions to the initially approved curriculum. Conversely, it may be necessary for the operator to substantially change the curriculum which may require another initial approval action by the POI before the changes can be put into effect. Sometimes proposed revisions may be transmitted to the POI just before the initial approval expiration date. If the change is significant, the POI may need to establish a different expiration date for the curriculum segment, or for the revised portions, to allow adequate time for a proper evaluation.

B.     Identification and Correction of Curriculum Deficiencies. During phase four, the operator must demonstrate the ability to effectively train crewmembers and dispatchers. Each deficiency identified during the evaluation of training conducted under an initially-approved curriculum must be discussed with the operator. If the deficiencies are significant, they must be documented and kept on file. In most cases, when the cause of a deficiency has been accurately identified, the operator will make the necessary changes to correct the deficiency to obtain final approval. Each significant deficiency which has been accurately identified must be immediately corrected. If an operator does not take appropriate corrective action, the POI shall advise the operator in writing that initial approval is withdrawn. See paragraph 3-1113.

3-1109       ELEMENTS AVAILABLE FOR EVALUATING TRAINING—PHASE FOUR. The POI must develop a plan for systematically evaluating training given under the initially approved training curriculum. This plan should remain in effect throughout the initial approval period. There are five elements which can be evaluated when assessing the overall effectiveness of training programs. These five elements are: curriculum segment outlines, courseware, instructional delivery methods and training environment, testing and checking, and surveillance and investigation of operator activities. These elements are interrelated; however, each can be separately evaluated. See Table 3-38 for a summary of the five elements.

A.     Curriculum Segment Outlines. Before evaluating a training program, an inspector must become familiar with the contents of the curriculums or curriculum segments to be evaluated. This preparation is essential if an inspector is to determine whether an operator has developed an effective course of instruction from its initially approved training curriculum.

B.     Examination of Courseware. Direct examination of courseware includes reviewing materials such as lesson plans, workbooks, or flight instructor guides. The inspector must determine whether the courseware is consistent with the curriculum or curriculum segment and that it has been organized to facilitate effective instructional delivery. Courseware is usually the training program element which is most adaptable to revision or refinement. Inspectors must review at least a sampling of the courseware.

C.     Observation of Instructional Delivery Methods and Training Environments. Direct observation of instructional delivery includes surveillance of training methods, such as instructor lectures, CBI presentations, and in-flight instruction. Effective learning can only occur when an instructor is organized, prepared, and properly uses the courseware and various training aids. The inspector must determine that the instructional delivery is consistent with the courseware. For example, the inspector should note whether the instructor teaches the topics specified in the lesson plan. Training aids and devices should function as intended during the instructional delivery. In addition, during training, the inspector should be sensitive to the type of questions being asked by students and should identify the reasons for any excessive repetition. These conditions may indicate ineffective instructional delivery or courseware. The inspector must also determine if the instructional environment is conducive to learning. Distractions which adversely affect instructional delivery, such as excessive temperatures, extraneous noises, poor lighting, cramped classrooms or workspaces, are deficiencies because they interfere with learning.

D.    Observation of Testing and Checking. Direct observation of testing and checking is an effective method for determining whether learning has occurred. Examining the results of tests, such as oral or written tests or flight checks, provides a quantifiable method for measuring training effectiveness. The POI must examine and determine the causal factors of significant failure trends.

E.     Surveillance and Investigation of Training and Checking in Progress. Direct observation of training and checking in progress is an effective method of evaluating training. Sometimes the opportunity for direct observation, however, will be limited. In such cases, the POI will have to rely more on his evaluation of other sources of information such as reports of surveillance and investigations. Results of inspection reports, incident or accident reports, enforcement actions, and other relevant information about the operator’s performance should be reviewed by the POI for indications of training effectiveness. The POI must establish methods to evaluate these sources of information for trends which may develop while training is being conducted under initial approval. For example, repeated reports of deficiencies such as excessive taxi speed, navigation deviations, incomplete briefings, or incorrect use of the checklists, may be traceable to a lack of specific training or ineffective training. Such information may provide indications that revisions or refinements are needed for a curriculum segment and/or training modules.

Table 3-38, Elements For Training Evaluation

 

ELEMENTS AVAILABLE FOR EVALUATING TRAINING

CURRICULUM SEGMENT OUTLINES

Curriculum segment outlines contain the specific training modules and the amount of time allocated for the curriculum segment. The modules must be consistent with regulatory requirements and safe operating practices. This element requires direct examination.

COURSEWARE

Courseware converts curriculum outline information into usable instructional material. Courseware must be consistent with the curriculum outline and be organized to permit effective instructional delivery. It is readily adaptable to adjustments and refinement by the operator. This element usually requires direct examination.

INSTRUCTIONAL DELIVERY METHODS AND TRAINING ENVIRONMENT

Instructional delivery methods are used to convey information to the student. Effective learning is maximized if the instructional delivery adheres to and properly uses the courseware. The training environment should be conductive to effective learning. This element requires direct observation.

TESTING AND CHECKING

Testing and checking is a method for determining whether learning has occurred. Testing and checking standards are used to determine that a desired level of knowledge and skill has been acquired. Testing and checking also measures the effectiveness of courseware and instructional delivery. This element requires direct observation. It can be supplemented by examining operator records of tests and checks.

SURVEILLANCE AND INVESTIGATION OF OPERATOR ACTIVITIES

Surveillance and investigations produce information about an operator’s overall performance. A high rate of satisfactory performance usually indicates a strong, effective training program. Repeated unsatisfactory performances can often be traced to deficiencies in a training program. This element requires the examination and analysis of surveillance and investigative reports.

3-1110       METHOD FOR GRANTING FINAL APPROVAL—PHASE FIVE. This phase involves the granting of final approval of an operator’s training curriculum. Based on the results of the evaluation, the POI must determine whether to grant or deny final approval of a training curriculum. This determination must be made before the expiration date of the initial approval. If the POI decides not to grant final approval, the procedures outlined in paragraph 3-1114 shall be followed. If the POI decides that final approval should be granted, the following procedures apply:

A.     Programs that Contain a List of Effective Pages (LEP). Although the method presently stated in this order may still be used in the approval process (that is, stamping each page), another procedure may also be used. Final approval of the training curriculum can be granted and documented by the POI on the LEP. This means that the FAA has given final approval of every page of the operator’s training curriculum, as listed on that page, but only one FAA approval block must be completed and signed.

1)      The stamped page that documents final approval of the training curriculum and/or curriculum segment shall be stamped for approval, dated, and signed by the POI. The approval stamp that appears on the page should be a facsimile of the stamp that appears in Figure 3-73A.
2)      The original curriculum and/or curriculum segment must contain the one page that documents FAA approval on the LEP. The curriculum and/or curriculum segment must be transmitted to the operator with an approval letter signed by the POI in accordance with handbook guidance.

B.     Programs that do not Contain a LEP. The original and a copy of each page of the training curriculum and/or curriculum segment shall be stamped for approval, dated, and signed by the POI. The approval stamp shall appear on each page and be facsimile of the stamp that appears in Figure 3-73A.

C.     Original Stamped Curriculum. The original stamped curriculum or curriculum segment must be transmitted to the operator with an approval letter signed by the POI. This letter must specifically identify the curriculum or curriculum segment; contain a statement that final approval is granted; and provide the effective date of approval. This letter must also state that final approval shall remain in effect until otherwise notified by the FAA that a revision is necessary in accordance with § 121.405(e) or § 135.325(d), provided the operator continues to train in accordance with the approved curriculum. If the POI is authorizing a reduction in the programmed hours specified by part 121, the letter must contain a statement concerning the basis for reduction. A copy of the stamped curriculum or curriculum segment, and a copy of the approval letter must be kept on file in the CHDO. Figures 3-74 and 3-75 are sample letters of final approval.

Figure 3-73A, Final Approval Stamp

Figure 3-73A, FAA Final Approval

Letter of Final Approval (Part 121)

ABC Airlines, Inc.

Director of Training

417 Oakton Boulevard

Enid, OK 78154

Dear Mr. Townsend:

Final approval is granted to ABC Airlines’ Flight Attendant Recurrent Ground Training curriculum, for pages 1 through 5, dated May 21, 2007, and for pages 6 through 7, dated April 15, 2008.

The effective date of final approval is January 20, 2009. ABC Airlines may continue to train in accordance with this curriculum until a revision is required by the FAA under 14 CFR § 121.405(e) or, until ABC Airlines revises the curriculum.

Approval of the reduced training hours from the programmed hours required by 14 CFR § 121.427(c)(3) to 8 hours is based on continued use of the Rolex II cabin mockup.

Principal Operations Inspector

Letter Of Final Approval (Part 135)

ABC Airlines, Inc.

Director of Operations

Hoffman Building, Suite 306

1012 Perkin Lane

Motown, LA 58642

Dear Mr. Smith:

Final approval is granted to ABC Airlines, Inc. Cessna 310 Pilot in Command Upgrade Ground Training curriculum, pages 1 through 6, dated December 10, 2008.

The effective date of this final approval is June 9, 2009. ABC Airline may continue to train in accordance with this curriculum until a revision is required by FAA under 14 CFR § 135.325(d) or, until ABC Airlines revises the curriculum.

Principal Operations Inspector

3-1111       REVISIONS TO TRAINING CURRICULUMS.

A.     Final Approval of Proposed Revisions. Revisions to initially-approved training curriculums shall be processed as described in paragraphs 3-1099 through 3-1109. To incorporate significant revisions into training curriculum with final approval usually requires the full training approval process. Final approval, however, may be directly granted to a proposed revision, if the revision involves any of the following situations:

·        Correction of administrative errors such as typographical or printing errors;

·        A reorganization of training or any changes in the sequence of training that does not affect the quality or quantity of training; and

·        An improvement to the quality, or an increase in the quantity, of training.

B.     Probable Causes of Revisions. Other proposed revisions, including any proposal to reduce the approved number of training hours, are subject to the training program approval process. Although each step in the process must be completed, the process may be abbreviated in proportion to the complexity and extent of the proposal. There are many factors that could require revisions to training curriculums. Such factors include the following:

·        The effects and interrelationships of changes in the kind of operations;

·        The size and complexity of an operation;

·        The type of aircraft being used;

·        Any special authorizations through operations specifications;

·        A revised MEL; and

·        Any exemptions or deviations.

3-1112       WITHDRAWING APPROVAL OF TRAINING CURRICULUMS. Before withdrawing approval of an operator’s training curriculum or curriculum segment, the POI shall make reasonable efforts to convince the operator to make the necessary revisions. It is important to understand that withdrawing approval could be detrimental to the operator’s business. The operator’s ability to continue to hold a certificate may be in question if a new curriculum is not submitted for initial approval within a reasonable period of time. A decision to withdraw approval must be based on sound judgment and justifiable safety reasons. When sufficient reasons are established, it is mandatory for the POI to take immediate action to remove FAA approval from an ineffective or noncompliant training curriculum. When an approval is withdrawn, the POI must ensure that the operator clearly understands that any further training conducted under an unapproved curriculum is contrary to 14 CFR requirements. Enforcement action must be taken if any company employee who received unapproved training is used in part 121 or part 135 operations. The three methods for withdrawing approval of a training curriculum are as follows:

·        Allowing an initially-approved training curriculum to expire without granting final approval (paragraph 345);

·        Withdrawing approval of an initially-approved training curriculum before the expiration date (paragraph 347); and

·        Withdrawing approval of a training curriculum which has already received final approval in accordance with § 121.405(e) or § 135.325(d) (paragraph 349).

3-1113       EXPIRED TRAINING CURRICULUMS. A training curriculum granted initial approval has an expiration date. Usually, this date shall not be later than 24 months after the initial approval date. If the POI does not grant final approval before the expiration date, training under that curriculum must terminate as of that date. Therefore, the POI shall not allow an initially-approved curriculum to expire due to the FAA’s inability to administratively grant final approval. Final approval may not be granted to an operator’s training curriculum for several reasons. One reason, for example, may be the operator’s inability to achieve an acceptable level of training effectiveness during phase four of the approval process. Another example of a reason for not granting final approval is the discontinued use of the initially-approved curriculum. When the POI decides not to grant final approval before the expiration date, he must notify the operator of this decision in writing, at least 30 days before the expiration date of the initially-approved curriculum. An operator not so notified may mistakenly assume that the initial approval will continue in effect until receipt of notification of either final approval or termination. The notification letter should contain the reasons for allowing the curriculum to expire and should state that any further training under the expired curriculum will not be in compliance with regulatory requirements. A POI who fails to provide this 30-day notification must establish a new expiration date so that appropriate notification can then be given to the operator.

3-1114       WITHDRAWAL OF INITIAL APPROVAL OF TRAINING CURRICULUMS. A POI may decide to withdraw initial approval any time during phase four of the approval process. This action may be necessary if the training is not in regulatory compliance, does not provide for safe operating practices, or is ineffective in meeting training objectives. An operator who has received a letter withdrawing approval must revise or refine the training curriculum and resubmit it for initial approval. The POI must ensure that the operator understands that it is his responsibility to correct each deficiency in the training program. The POI withdraws initial approval of training curriculums by letter. This letter must contain both a statement informing the operator that initial approval is withdrawn and the effective date of the withdrawal. This letter must include the reasons for withdrawal of approval and a precaution concerning the use of persons trained under a curriculum which is not FAA-approved. A sample letter for withdrawing initial approval is in provided Figure 3-76.

3-1115       WITHDRAWAL OF FINAL APPROVAL OF TRAINING CURRICULUMS. Each operator is responsible for ensuring that its training curriculums, once they have been granted final approval, continue to provide training in accordance with the conditions under which final approval was granted. In accordance with §§ 121.405(e) and 135.325(d), whenever the FAA determines revisions to a curriculum that has been granted final approval are necessary, the operator shall, after notification, make the necessary changes to ensure the effectiveness and acceptability of its training. Such notification by the FAA effectively withdraws final approval. These regulations also provide the operator with certain appeal rights. Therefore, the following procedures will be applied when a decision is made to withdraw final approval of a training curriculum:

A.     Required Items of the Notification Letter. The CHDO shall inform the regional Flight Standards division (RFSD) of the impending action to withdraw final approval. The POI must notify the operator in writing that revisions are required in accordance with § 121.405(e) or § 135.325(d). See Figure 3-77 for a sample letter of a notification for withdrawing final approval. The notification letter must contain the following:

·        A statement that FAA approval of the training curriculum is withdrawn;

·        A list of the revisions which must be made;

·        A brief description of the reasons necessitating the revisions;

·        A precautionary statement concerning the use of personnel trained under a curriculum which is not FAA-approved;

·        A statement that the actions specified in the letter may be appealed; and

·        Instructions on how to make an appeal.

B.     Revisions. If the operator chooses to revise the training program in response to the notification letter, the proposed revision will be processed in the same manner as a request for initial approval. The POI must reinitiate the five-phase approval process previously described.

C.     Appeal of Decision by Operator. If an operator decides to appeal the POI’s action, it must, within 30 days after receiving notification, petition the CHDO manager for reconsideration of the withdrawal of final approval. The petition must be in writing and contain a detailed explanation on why the operator believes the revisions described in the withdrawal notice are unnecessary. If upon receipt of a petition, the district office manager believes that an emergency exists which directly impacts aviation safety, he must immediately inform the operator in writing, of his decision. The district office manager’s letter must include a statement that an emergency exists, a brief description of the revisions which must be made, and the reasons the revisions are necessary. In this case, the district office manager’s letter upholds the POI’s decision to withdraw final approval. The operator must revise its training program if FAA approval is to be obtained. If the district office manager does not believe an emergency exists, careful consideration must be given to both the operator’s petition and the POI’s reasons for withdrawal of approval. The operator’s petition stays the POI’s withdrawal of final approval and the operator may continue to train under the training curriculum, pending the district office manager’s decision. The district office manager may need to conduct additional evaluations of the operator’s training program. It may be appropriate for the district office manager to obtain additional facts from other sources. Consultation with the RFSD and Washington HQ may be advisable. The district office manager must make a decision within 60 days after receipt of an operator’s petition. If the district office manager accepts the operator’s explanations, he will direct the POI to rescind the letter that withdrew final approval, either partially or fully. If the decision is to uphold the POI’s action, the district office manager must respond to the operator’s petition in writing. The letter denying the petition should indicate that careful consideration was given to the petition. The letter must also contain the reasons for denying the petition and a statement that confirms the withdrawal of final approval. The letter must also contain a statement that any training conducted under the unapproved training curriculum is contrary to the 14 CFRs.

3-1116       ORGANIZATION OF DISTRICT OFFICE TRAINING PROGRAM FILES. The POI shall maintain a separate training program file for each operator at the CHDO. Each operator’s training program file will be organized and maintained to keep each major curriculum type and any revisions together. Superseded training curriculum pages must be kept on file for 2 years. All correspondence and additional relevant supporting information associated with each training curriculum will be filed with the curriculum or curriculum segment, as appropriate.

Letter of Withdrawal of Initial Approval

ABC Airlines

Director of Training

49 Wheat Drive

Barley, Iowa 96496

Dear Mr. Roberts:

This letter notifies you that FAA initial approvals of the following training curriculum segments are withdrawn, effective April 1, 1988:

1. The emergency training segment for the DC-9 Second in Command Initial New-Hire Training curriculum, pages 9.1 through 9.3, dated 11/15/86.

2. The emergency training segment for the DC-9 Pilot in Command Upgrade Training curriculum, pages 9.31 through 9.33, dated 6/1/87.

The investigation of the in-flight incident that occurred on ABC Airline’s Flight 943 on February 10, 1988, revealed that the flightcrew did not take positive action to isolate the source of smoke caused by malfunctioning cabin light ballast. During the FAA interview, the flightcrew displayed a lack of concern about the importance of taking immediate and positive action to control in‑flight fire and smoke. In addition, since this incident, inspectors from this office have been emphasizing fire and smoke-combating procedures during oral testing of DC-9 pilots taking the above listed training. These inspectors have observed that many of your DC-9 pilots have a serious lack of knowledge about fire and smoke control procedures and the use of fire-fighting equipment, particularly the type of extinguishers to be used in different classes of fire. We have discussed these deficiencies with your staff and they have effectively revised the Emergency Training curriculum segment for the DC-9 PIC/SIC Recurrent Training. Your staff, however, advises that they will not revise the training curriculums listed above. Therefore, FAA initial approval is withdrawn. Initial approval can be reobtained by revising the curriculum to require detailed instruction on fire and smoke control procedures and fire-fighting equipment. It is contrary to 14 CFR part 121 to use pilots who have not been trained in accordance with an approved training curriculum.

Principal Operations Inspector

Letter of Withdrawal of Final Approval (Part 135)

ABC Airlines, Inc.

Director of Training

49 Wheat Drive

Barley, Iowa

Dear Mr. Roberts:

This letter notifies you that, effective April 7, 1988, final approval of your Cessna 500 Pilot in Command Upgrade Training curriculum, dated March 1987, is withdrawn in accordance with 14 CFR § 135.325(d). This course of training must be revised as discussed below if FAA initial approval is to be reobtained.

The revised curriculum is required to have more detailed ground and in-flight instruction on the performance, limitations, and proper operating procedures for the NST-410 area navigation systems. During the past 2 months, three of your Cessna 500 flights failed to maintain the assigned route flight specified by the air traffic control (ATC) clearance. Two of the flights required ATC radar assistance for reestablishing ATC clearance. All three pilots involved in these deviations were recently upgraded to pilots in command by completing the aforementioned training curriculum. The FAA has determined, through interviews with these pilots, that the training being given does not provide sufficient knowledge for the proper operation of the NST‑410 area navigation systems.

You may file a petition for reconsideration of this withdrawal of final approval within 30 days after receipt of this letter by writing to Mr. Belsole, Manager, Utica Flight Standards District Office. Your letter should contain a complete explanation of why you believe final approval of the Cessna 500 Pilot in Command Upgrade Training curriculum should not be withdrawn. It is contrary to part 135 to use pilots who have not been trained in accordance with an FAA‑approved training curriculum.

Principal Operations Inspector

RESERVED. Paragraphs 3-1117 through 3-1135.


3/18/10                                                                                                                         8900.1 CHG 0

Volume 3 GENERAL TECHNICAL ADMINISTRATION

chapter 32  MANUALS, PROCEDURES, AND CHECKLISTS FOR 14 CFR PARTS 91 K, 121, 125 , AND 135

Section 14  Review Operator’s Mechanical Interruption Summary Report for Parts 121 and 135

3-3430  PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.     Maintenance: 3322.

B.     Avionics: 5322.

3-3431  OBJECTIVE. This section provides guidance for monitoring an operator’s fleet performance by tracking mechanical irregularities that occur during scheduled operations.

3-3432  GENERAL. Operators are required by Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.705 and part 135, § 135.417 to submit a monthly Mechanical Interruption Summary Report (MISR). This report enables the inspector to evaluate the effectiveness of the operator’s maintenance and manual procedures.

A.     Requirement for Reporting Mechanical Irregularities.

1)      Sections 121.563 and 135.65 require each certificate holder to provide an aircraft maintenance log for recording or deferring mechanical irregularities, as applicable, and the subsequent corrective actions performed. This log must be carried on board each aircraft.
2)      The operator’s manual should provide a method where the pilot in command (PIC) will inform the operator of mechanical irregularities or defects that appear before, during, and after a flight. The operator uses this information to let the maintenance personnel know of any suspected problems so that corrective action can be taken. This method of reporting is the basis for the required MISR.

B.     Role of the Aviation Safety Inspector (ASI). Following receipt of an operator’s MISR, the ASI must evaluate the information for problem areas and significant trends. If a problem area or trend is evident, the inspector must decide on a course of action to investigate and/or correct the problem as necessary.

C.     Obtaining Additional Information. The ASI may need to obtain more information than that available on the MISR. Possible sources of information include:

·        Contact with the operator,

·        Research of previous MISR and inspection reports, or

·        Investigation of the operator’s recent enforcement history for related violations.

D.    Analysis and Findings. Once the ASI has gathered the necessary data, he or she must analyze the findings to define the cause of the problem and determine a course of corrective action. Possible actions include:

·        Filing a Service Difficulty Report (SDR);

·        Inspecting aircraft, facilities, or products to ensure they meet minimum standards;

·        Investigating for possible regulatory noncompliance;

·        Recommending procedural changes to the operator’s manual(s); or

·        Filing an Enforcement Investigative Report (EIR).

3-3433  PREREQUISITES AND COORDINATION REQUIREMENTS.

A.     Prerequisites:

·        Knowledge of the regulatory requirements of parts 121 and 135, as applicable.

·        Familiarity with the operator’s procedures manual.

·        Successful completion of Airworthiness Inspector Indoctrination course for general aviation and air carrier inspections, or previous equivalent.

B.     Coordination. This task may require coordination with other Airworthiness ASIs.

3-3434  REFERENCES, FORMS, AND JOB AIDS.

A.     References. None.

B.     Forms. None.

C.     Job Aids. None.

3-3435  PROCEDURES.

A.     Analyze the Content of Report. Review the MISR.

1)      Coordinate with the appropriate specialty for analysis.
2)      Determine if any item on the MISR requires further action.

B.     Conduct Research. To determine the course of action and the severity of the problem, accomplish the following, as necessary:

1)      Contact the operator for additional information to help establish the following:

·        Were proper maintenance procedures followed?

·        Have appropriate corrective actions been taken?

2)      Review previous MISRs to detect trends or irregularities that may indicate problem areas in maintenance procedures, operational procedures, or the operator’s training.
3)      Review previous inspection reports, correspondence, and other documents in the office files to determine if problem areas that relate to MISRs have been identified.
4)      Examine operator’s recent enforcement history to determine if there are any related violation actions.

C.     Analyze Findings. Based on information obtained, determine an appropriate course of action.

D.    Debrief Operator. Discuss with the operator all significant items identified on the MISR. Discuss corrective actions and, if necessary, inform the operator that a letter will follow to confirm the items discussed.

3-3436  TASK OUTCOMES.

A.     Close the PTRS Record.

B.     Complete the Task. Completion of the task may result in the following:

·        A formal letter to the operator confirming the results of the analysis,

·        A change in the operator’s maintenance or manual procedures, or

·        An EIR.

C.     Document the Task. File the MISR in the operator’s district office file according to office procedures.

3-3437  FUTURE ACTIVITIES. Follow up inspections to ensure compliance, as required.

RESERVED. Paragraphs 3-3438 through 3-3440.


2/26/10                                                                                                                       8900.1 CHG 12

Volume 6 Surveillance

chapter 2  CHAPTER 2 PART 121, 135, AND 91 SUBPART K INSPECTIONS

Section 41  Evaluate/Inspect Part 121/129 (N-registered only)/135 (10 or More) and 125 Operator’s Contract Maintenance Organization Facility

6-1121       PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES AND ATOS ELEMENT.

A.     Maintenance: 3338, 3640, 3624.

B.     Avionics: 5338, 5640, 5624.

C.     ATOS Element: 1.3.7.

6-1122       OBJECTIVE. This chapter provides guidance for evaluating and inspecting Title 14 of the Code of Federal Regulations (14 CFR) parts 91 subpart K (part 91K), 121, 129 (N-registered only), and 135 air carriers and part 125 operators contract maintenance organization, facility and guidance for compliance with the air carrier’s manual procedure system and with regulatory requirements of associated CFRs.

6-1123  GENERAL. The Federal Aviation Administration (FAA) air carrier inspector will evaluate the contract maintenance provider, facility, (certificated or noncertificated and other air carrier) to ensure that it has adequate housing, equipment, spare parts, technical data, and qualified personnel available to satisfactorily complete all contracted maintenance in accordance with parts 91K, 121, 125, 129 (N-registered only) and 135 (10 or more), and the air carrier or the commercial operators program and applicable sections of its maintenance manual.

Note:       NOTE: The purpose of this guidance is to evaluate and provide oversight of an air carrier’s contract maintenance program. This guidance is not intended to evaluate a certificated repair station, noncertificated repair facility or a certificated air carrier.

A.     The term “noncertificated repair facilities” is not a regulatory term. The Department of Transportation, Inspector General (IG), used the term in a report (AV‑2006‑031) to describe a person, other than a repair station, that a certificate holder uses to perform maintenance under the authority of §§ 121.379 and 135.437. These sections state in part that a certificate holder may arrange with another person to perform maintenance, preventive maintenance, or alterations. The term in the report described an air carrier’s maintenance base. All of the employees were certificated mechanics with airframe and power plant ratings, and trained by the air carrier. However, all were contracted employees:

·        Before certificating a new operator, and

·        When an existing operator introduces a new make and model aircraft to an operation.

B.     Some contract maintenance organization/facility inspections are conducted outside the geographic boundaries of the certificate‑holding district office (CHDO). In such cases, the aviation safety inspector (ASI) will coordinate with, and request assistance as necessary from, the Flight Standards office responsible for the certificate management of a repair station or the management of the air carrier to be inspected.

6-1124  INITIATION AND PLANNING. Before inspecting a contract maintenance organization/facility, the inspecting ASI should:

A.     Review the Safety Performance Analysis System (SPAS) Repair Station Analytical Model (RSAM). This tool will provide the inspecting ASI with analysis and information that will be useful before and during the inspection.

B.     Arranging a Visit. Schedule a meeting with the air carrier’s management to discuss the arrangements made with this contract maintenance provider and the plans and provisions that will be in place during this visit/inspection.

C.     Check Agreements. Ensure the agreements stated in the contract are in accordance with the procedures in the air carrier or operators manual. Contract agreements change routinely.

D.    Point of Contact. If an ASI is a geographical inspector conducting a facility inspection on behalf of the CHDO, the ASI will to contact the air carrier’s principal inspectors (PI) to discuss the scope of the inspection.

E.     Contract Review. If you are the air carrier principal maintenance inspector (PMI) or principal avionics inspector (PAI), consider reviewing the contract between the air carrier and the contractor before the inspection.

F.      Obtain a List of Management Personnel. Before the inspection, the ASI should request a listing and telephone numbers of management personnel at the contract facility. If the facility is a certificated repair station, the ASI may obtain a listing of management personnel from SPAS (see profile).

G.    Inspections Outside the United States. During the early planning phase of the trip, the inspecting ASI should contact the U.S. Department of State. The ASI may view travel advisories for the country he or she plans to visit on the Department of State Web site http://www.travel.state.gov. A minimum of 30 days is recommended to obtain a visa and address any restrictions. ASIs should process their travel plans in accordance with their region’s policies. This is normally done through the regional operations center.

Note:       NOTE: Travel to any foreign country requires a security briefing in accordance with Federal Aviation Administration (FAA) Order 1600.61, Foreign Travel Briefing, and Contact Reporting Requirements for FAA and Contractor Employees.

H.    Contract Maintenance Facility Outside the United States With a Bilateral Aviation Safety Agreement (BASA)‑Maintenance Implementation Procedure (MIP) Approval. During the planning phase of a visit to a repair station/contract maintenance provider that is located in a country with a BASA and associated MIP with the United States, it is important that the ASI, contact the International Field Office (IFO)/CHDO and the repair station’s PI. The inspecting ASI and the repair station PI should discuss the scope and intent of the inspection.

I.       Contract Maintenance Facility Outside the United States Without a BASA‑MIP Approval. Before the visit, contact the IFO/CHDO and the repair station’s PI, to discuss the scope and intent of the inspection.

J.      Canadian Approved Maintenance Organization (AMO) Visit. ASIs planning an inspection of maintenance on U.S. aeronautical products located in Canada must notify the cognizant regional specialist who in turn will notify the Flight Standards Aircraft Maintenance Division, AFS‑300. AFS‑300 will notify Transport Canada Civil Aviation (TCCA) of the impending inspection. ASIs will only inspect the regular maintenance, preventive maintenance, and alterations being performed on U.S. aeronautical products. Prior to the inspection, TCCA should be invited to participate.

6-1125  PERFORMING THE TASK.

A.     Inspecting ASI Responsibilities. The inspecting ASI must determine whether the contract maintenance provider has an adequate organization, equipment, and facilities. All maintenance personnel should be appropriately certificated (when necessary), trained by the air carrier or operator and authorized to perform the work. The inspecting ASI must keep in mind that the contract provider’s maintenance facility is an extension of the air carrier’s overall maintenance organization; therefore, maintenance performed by the provider must be in accordance with the air carrier’s approved maintenance program (reference parts 145, §§ 145.205, 121.363, or 135.413).

B.     Before Visiting the Contract Facility. Before visiting the contract facility, the inspecting ASI should review PTRS or ATOS data and any other information available. The SPAS program is an outstanding source for gathering supportive data.

NOTE: We encourage all ASIs to use the ATOS SAI/Element Performance Inspection (EPI) tool 1.3.7 as a surveillance plan and inspection guide. A copy of the SAI or EPI as well as all other SAI or tools may be attained on the Web at http://www.faa.gov/safety/programs_initiatives/oversight/atos/. Click on Data Collection Tools.

NOTE: Inspectors assigned to ATOS certificate management teams should use data collection tools for element 1.3.7 (maintenance providers) and must follow the provisions of Volume 10, Air Transportation Oversight System.

C.     If PTRS is Used to Document/Record the Inspection. If PTRS is used to document and record the inspection, ensure that the information supporting conclusion (positive or negative) is entered into the Comment block in Section IV of the PTRS record. Comments associated with a “no” answer to an ATOS DCT question should include the question number at the beginning of the comment narrative. This is a good time to validate the essential elements of the air carrier’s system. Collection and recording of objective evidence will assist the ASI in determining if the air carrier’s system is properly designed, and well‑managed.

Note:       NOTE: An alternate surveillance plan, intended for use as a transition DCT, is included in this chapter. The inspection information contained in the Comment block is based on the information in this chapter. It is provided as a sample surveillance plan only. It should not be considered mandatory. (See Figure 6‑41, Sample of a Basic Surveillance Plan.)

6-1126  COORDINATION REQUIREMENTS. If the contract maintenance provider holds a part 145 repair station certificate, air carrier certificate, or operating certificate the ASI should make every effort to contact his or her PI and advise the PI of the planned inspection.

6-1127  REFERENCES, FORMS, AND JOB AIDS.

A.     References (current editions):

·        Parts 43, 91, 119, 121,125,129, 135 (10 or more), and 145,

·        Title 49 of the Code of Federal Regulations (49 CFR) part 180,

·        Advisory Circular (AC) 120‑16 series, Air Carrier Maintenance Program,

·        Air carrier’s or operators maintenance manual and manual system,

·        Air carrier’s contract maintenance program, and

·        ATOS SAI/EPI 1.3.7 (maintenance providers).

B.     Forms. None.

C.     Job Aid. JTA: 2.3.25.

6-1128  PROCEDURES. For parts 125, 129 (N-registered aircraft), and 135, 10 or more, if the contractor is a certificated repair station or Canadian Aircraft Maintenance Organization (AMO), the inspecting ASI should determine the maintenance provider’s qualifications. Ensure that the contract maintenance facility is properly certificated and rated for the work being performed. If the repair station is authorized to work at a place other than the fixed location, the ASI should review the repair stations operations specifications (OpSpecs). OpSpecs D100 will list the authorized work able to be accomplished away from the fixed base and in the case of a repair station, the manual location in which the procedures are listed.

NOTE: Paragraphs A through R are pertinent to ASIs assigned operators who do not fall under the oversight of ATOS.

Note: Inspectors assigned to ATOS Certificate Management Teams for element 1.3.7 (maintenance providers) will follow the provisions of Volume 10, Air Transportation Oversight System.

A.     Notify Flight Standards. If the inspection is to be accomplished on U.S. aeronautical products located in Canada, notify AFS‑300 of the intent to perform an inspection.

B.     Inspect the Contract Provider’s Organization. Ensure that the contractor’s organization is adequate to support the air carrier’s maintenance program.

C.     Inspect the Technical Library. Ensure that the maintenance facility’s library is available for use by the facility personnel and includes the following:

1)      Repair station manual (RSM) (if applicable).
2)      Quality Control Manual (QCM) (if applicable).
3)      Transport Canada approved supplement to the MPM for Canadian AMOs.
4)      If applicable, portions of the air carrier or operators general maintenance manual (GMM/GPP).
5)      If required, applicable parts of the air carrier or operators FAA approved inspection program.
6)      If applicable portions of pertinent maintenance instructions from its manual system.
7)      Applicable instructions for continued airworthiness (ICA).
8)      Applicable portions of the Continuous Airworthiness Maintenance Program (CAMP) necessary to properly maintain the aircraft.
9)      Manufacturer’s aircraft, engine, propeller, appliance, and emergency equipment component repair manual(s) (CRM) or work scopes as required.
10)  If applicable, air carrier provided aircraft, engine, propeller, appliance, and emergency equipment, CRMs or work scopes.
11)  Airworthiness Directives (AD). Engineering orders, etc.

D.    Review the Work Process. If there is an aircraft, engine, or propeller in the facility undergoing maintenance, review the entire contracting process at work. The air carrier’s work package usually comes to the planning department first. Review the inspection package provided by the air carrier. The first page is normally titled the work scope, it will list all of the AD, nonroutine maintenance, and scheduled phase or check work cards, and list any components scheduled for removal and replacement during this heavy maintenance or hospital visit.

Note:       NOTE: It is recommended ASIs verify that the air carrier or operators manual is complete.

1)      Be aware that every air carrier or operators system is different, the information herein is provided as a tool, and is not to be used verbatim. The inspecting ASI must always use the air carrier or operators manual procedure as the guide.
2)      By sampling the records, the inspecting ASI will ensure the work is accomplished and documented in accordance with the air carrier or operator’s manual.
3)      Ensure that Required Inspections Items (RII) notations are accomplished are in accordance with the air carrier’s manuals.
4)      Ensure the airworthiness release is accomplished in accordance with §§ 121.709, 125.411, and part 129, in accordance with the country of origins requirements, and in accordance with § 135.443, and signed in accordance with the air carrier or operators manual.

E.     Review Personnel Training Records. Review the maintenance provider’s records to ensure that personnel are trained to perform the work for which they have been contracted. Inspect the quality control/quality assurance (QC/QA) system. Ensure that the facility personnel have been trained to the air carrier’s program and procedures. Verify the following:

Note:       The asterisk (*) items come under the purview of the part 145 repair station PI. It is most important that the inspecting ASI coordinate all findings with the repair station PI. For findings at a Canadian AMO, coordinate with AFS‑300.

F.      Responsibility. Responsibilities for maintenance and inspection functions are separate.

G.    Personnel. Staffing reflects the complexity of the operation.

H.    Personnel Qualifications. Personnel are appropriately certificated (if required), qualified, and trained to perform inspections.

I.       RII Personnel. Personnel performing RII functions are properly trained and authorized by the air carrier.

J.      Authorized Personnel. Lists of authorized inspectors and RII personnel are maintained, including the type of equipment and limitations authorized.

K.    Records. All inspection personnel training records are maintained and kept current.

L.     Accountability. The air carrier’s system for controlling accountability and documentation of all the work accomplished.

1)      The air carrier and the contract maintenance providers comply with the suspected unapproved parts (SUP) program.
2)      Incoming parts and supplies to the repair station are properly inspected, tagged and distributed in accordance with the quality manual procedures.
3)      Verify the air carrier or operator has properly trained and authorized the contract maintenance provider’s receiving and in coming parts and equipment personal.
4)      Contract maintenance provider receiving inspection personnel.
5)      Verify the air carrier or operator has properly trained the receiving inspection personnel (A/C maintenance representatives) in accordance with the air carrier or operators manual.

M.  Inspect the Contract Maintenance Provider’s Maintenance Department. Ensure the following; (This applies to all types of facilities):

1)      Verify that the CONTRACT MAINTENANCE PROVIDER’s personnel are properly trained for the complexity of the work performed.
2)      The facilities are adequate for the type of work performed. Space, lighting, and ventilation reflect the requirements of the work being performed. (This does not apply to certificated repair station with line rating only.)
3)      Special tools and test equipment is available to support the work being performed.

Note:       NOTE: ASIs inspecting the air carrier or an operator’s calibrated tool program must concentrate on the air carrier’s program and not the repair station’s calibration program, unless the air carrier or operator has adopted the repair station program. The ASI must ensure there is traceable documentation. In all cases all calibrations programs must be in accordance with the National Institute of Standards and Technology (NIST).

·        All work is to be accomplished in accordance with the pertinent parts of the air carriers CAMP, instructions for continued airworthiness, and any other maintenance instructions.

·        The shift turnover procedures must be in accordance with the air carrier’s manual and not the repair stations procedures. Ref. § 121.369(b)(9) Procedures to ensure that required inspections, other maintenance, preventive maintenance, and alterations that are not completed as a result of shift changes or similar work interruptions are properly completed before the aircraft is released to service.

4)      Flammable and hazardous materials are properly segregated and stored.
5)      Serviceable and unserviceable parts are identified and segregated.
6)      Shelf‑life limits are controlled.
7)      Review a copy of the audit form if the air carrier or operator’s internal audit system incorporates an “in‑process audit.” Ask the operator whether you can use the form to observe that it accomplishes its intended task.
8)      Maintenance personnel duty time limitations are in accordance with part 121, §§ 121.369(b)(9) and 121.377.
9)      The contract maintenance provider’s parts scrapping procedures must be in accordance with the air carrier’s procedures.
10)  Discuss the Service Difficulty Report (SDR)/malfunction, or defects program requirement. Reference §§ 121.703 and 135.415. Part 145, § 145.221 has changed the reporting requirements.
11)  Duty Time Limitations must be in accordance with the air carrier’s manual procedures.

N.    Analyze Findings. Upon completion of the inspection, record all deficiencies and determine the appropriate corrective action(s).

O.    Debrief the Contractor Facility’s Management Team. Before leaving the facility, discuss the discrepancies and leave a courtesy copy of the inspection with the facility/contractor’s management. Clarify that this is a preliminary listing.

P.      Determine Whether Any of the Findings Pertain to an Apparent Noncompliance Issue. Common courtesy dictates that the inspecting ASI contact the repair station’s CHDO and PI. The inspecting ASI and the maintenance provider’s management should discuss the conditions and nature of the alleged discrepancy to ensure that all parties are aware of the condition.

Q.    Complete Appropriate Forms. When the inspecting ASI returns to his/her workplace, the inspector must complete the appropriate forms and enter the inspection into the appropriate database.

R.    Communicate Findings. If the inspection was performed by the FSDO with geographic responsibility, that FSDO is responsible for coordinating all findings with the CHDO, the assigned PIs, and for Canadian AMOs the Aircraft Maintenance Engineers (AME).

6-1129  TASK OUTCOMES.

A.     Complete the PTRS Record.

1)      Evaluation of a maintenance provider’s operations or facility should be recorded under PTRS activity codes 3338 or 5338.
2)      New PTRS Activity Codes. Figure 6‑40, Description and Definitions for New PTRS Activity Codes, provides the description and definitions for the new PTRS activity codes including those associated with the evaluation of the OpSpec D091 contractor maintenance facility inspection plan.
a)      OpSpec D091 “Essential Maintenance Provider, and other contract maintenance providers.”

1.      The recording requirements for surveillance activities in the PTRS record for OpSpecs D091 contract maintenance provider/facilities include activities to:

·        Describe the initial evaluation of an OpSpec D091 contract maintenance facility,

·        Describe an onsite inspection of that facility,

·        Evaluate the contractual agreement between the air carrier and the maintenance facility, and

·        Record a review of any revisions to that contractual agreement.

2.      Definitions for PTRS activity codes 3640 and 5640 (formerly contractor maintenance facility) have been revised. These inspection activities are designed to track the inspection observations for an onsite inspection performed at a part 121 air carrier’s OpSpec D091 essential maintenance provider’s facility.

b)      Provide Non-Essential Maintenance. (Other than part 121)

1.      Parts 125, 129 (N-registered only), and 135 10 or more operators do not have an OpSpec D091. PTRS activity codes 3624 (maintenance) and 5624 (avionics) were developed to track inspection observations at an CONTRACT MAINTENANCE PROVIDER/facility that does not perform essential maintenance for the operator.

2.      Part 121 inspectors assigned to ATOS Certificate Management Teams will use Data Collection Tools for element 1.3.7 (maintenance providers) and will follow the provisions of 8900.1 Volume 10, Air Transportation Oversight System.

B.     A Canadian AMO does not have PTRS designators. When entering the results of this type of inspection in PTRS, place the AMO name and operating number as it appears on the Transport Canada operating certificate in the Non‑Cert Activity Name/Company block of Section I of the PTRS form.

C.     Section I of the PTRS Record. When completing Section I of the PTRS record for a Canadian AMO, ASIs will list the name of the maintenance provider in the Affiliated Designator block or Non‑Cert Activity Name/Company block if a PTRS designator does not exist.

Note:       NOTE: A Canadian AMO is not a part 145-certificated repair station.

Note:       NOTE: All other information is the same.

6-1130  FUTURE ACTIVITIES. If deficiencies were noted during the surveillance, followup inspections are authorized.

Figure 6-40, Description and Definitions for New PTRS Activity Codes

APPLICABLE 14 CFRs

PTRS ACTIVITY CODE

SURVEILLANCE

AFFILIATED DESIGNATOR

121

3640/5640 Onsite

Revised

Inspection

Surveillance of a parts 121-125-129 (N reg aircraft) 135 10 or more air carrier contract maintenance providers (OpSpecs D091) contract maintenance provider/facility).(Does not apply to 129). PTRS description: SURVL/INSP ESSENTIAL/MX/ PROVD

Required

121

3617/5617

New

Special PTRS activity codes for recording the accomplishment of a 3640/5640 using the SAI 1.3.7. PTRS description: SURVL/OPER/INSP CONTRACT ORG

Required

119, 121, 125, 129, 135 10 or more

3624/5624

New

Onsite inspection. Surveillance of any contract maintenance provider/facility not covered under the essential maintenance provider (OpSpec D091). PTRS description: SURVL/INSP NON‑ESS/MX/PROVD

Required

Figure 6-41, Sample of a Basic Surveillance Plan

PROGRAM TRACKING AND REPORTING SUBSYSTEM DATA SHEET

SECTION I – Transmittal

Inspector Name Code:

Record ID:

Activity Number:

FAR:

Start Date:

Status:

Call up Date:

Designator:

Results:

Closed Date:

Affiliated designator:

Location:

****

SECTION II—AS REQUIRED

SECTION III—AS REQUIRED

SECTION IV—COMMENTS (UNLIMITED)

Primary Area

Key Word

Opinion Code

I, U, P

CONTRACT MAINTENANCE FACILITY INSPECTION (3640/5640/3624/5624)

EVALUATION (3338/5378)

 

 

 

1.0 OPERATOR’S CONTRACTOR

 

1.1

Review the contract maintenance provider’s certificate and OpSpecs (only required if it is a certificated repair station or air carrier).

 

1.2

Review the air carrier or operators work scope and work instructions to the contract maintenance provider.

 

 

 

2.0 TECHNICAL LIBRARY

 

2.1

Inspect the library.

1) Ensure the contract maintenance facilities library is available for use by all facility personnel. Library Contents should include but not limited to;

a) The contract agency’s Repair Station Manual, quality control manual;

b) If applicable, the air carrier or operator’s maintenance manual.

c) Current applicable advisory circulars, airworthiness directives, and type certificate data sheets;

d) * Manufacturer’s aircraft, engine, propeller, appliance, and emergency equipment maintenance and component repair manuals;

e) If applicable, the air carrier or operators aircraft, engine, propeller, appliance, and emergency equipment maintenance and component repair manuals:

f) If applicable task cards (phase/calendar), engineering orders, and pertinent instructions for continued airworthiness (ICA).

2) Does the contract maintenance provider have published procedures consistent through out their manual system?

 

 

 

3.0 AIRCRAFT RECORDS

 

 

3.1

Inspect the records. Maintenance records (aircraft, power plant, propeller, component, appliances, etc.) Sample the used records to ensure that the work is accomplished and documented in accordance with the air carriers or operator’s manual.

 

 

 

4.0 TRAINING RECORDS

 

4.1

Personnel training records (if applicable)

1) Review the contract maintenance provider’s personal training records.

2) Are the contract maintenance provider inspection personnel training records maintained and kept current in accordance with the repair stations training program requirement?

3) Ensure their maintenance personnel have been trained in the in accordance with the air carriers training requirements.

4) Ensure personal working on the air carrier or operator’s aircraft are trained for the work contracted.

Primary Area

Key Word

Opinion Code

I, U, P

CONTRACT MAINTENANCE FACILITY

INSPECTION (3640/5640/3624/5624)

EVALUATION (3338/5378)

 

 

 

5.0 INSPECTION DEPARTMENT

 

 

5.1

*Inspect the quality control system.

1) Responsibilities for maintenance and inspection functions are separated.

2) Staffing reflects the complexity of the operation.

3) Personnel are appropriately certificated, qualified, and trained to perform inspections under the operators program.

 

 

5.2

Personnel performing Required Inspection Item (RII). (If applicable)

1) Is the list required by 121.371 (d) “authorized inspection and required item personnel, maintained and up‑to‑date?”

Dose the list include the type of equipment and limitations authorized.

2) Is the number of authorized RII inspectors at a level that would support the air carrier or operators contract requirements?

 

 

6.0 CONTRACT MAINTENANCE FACILITIES SYSTEM

 

 

6.1

Procedures for controlling accountability and documentation.

1) Is the maintenance accomplished as specified in the air carriers or operator’s contract, work instructions and instructions for continued airworthiness?

2) Are procedures in place that direct flow and control of all maintenance and inspection records?

 

6.2

* Are the contract maintenance provider’s incoming parts and supplies inspected and tagged in accordance with the repair station manual?

 

 

6.3

Are the air carrier incoming parts and supplies inspected and tagged in accordance with the air carriers or operator’s maintenance manual?

 

 

 

7.0 HANGAR FACILITIES

 

 

7.1

Are the facilities adequate for the work performed?

1) Do space, lighting, and ventilation reflect the requirements of the work being performed?

2) Are safety procedures established and adhered to?

3) Procedures – Direct the flow and control of all maintenance and inspection records.

 

 

7.2

* Parts and storage areas,

1) Available for the air carrier or operator’s equipment?

2) Has the air carrier or operator propositioned spare parts so that they are available to support complexity of the maintenance requirement?

Primary Area

Key Word

Opinion Code

I, U, P

CONTRACT MAINTENANCE FACILITY

INSPECTION (3640/5640/3624/5624)

EVALUATION (3338/5378)

 

 

7.3

Are receiving inspections accomplished in accordance with the operator’s manuals/procedures?

 

 

7.4

Components and hardware. Are they properly identified, protected, and classified as to serviceability?

 

7.5

Shift turnover procedures, should be in accordance with the air carrier manual. The procedures should be in place and utilized by the contract maintenance provider.

 

7.6

Special tools and test equipment.

NOTE: The repair stations calibration program is not under inspection at this time. However, if the air carrier or operator has adopted the repair station program, ensure there is documentation to show the operator has inspected the contract maintenance provider’s program before acceptance. In all cases, all calibrations programs must in accordance with the National Institute of Standards and Technology.

1) If foreign manufactured, are they to the standards of the country where they were manufactured?

2) Does the Administrator approve the standards?

3) Are there appropriate types and quantities available?

4) Is proper storage and protection utilized?

 

 

7.7

Flammable and hazardous materials are properly segregated and stored.

 

 

7.8

Are serviceable and unserviceable parts and hardware identified and segregated?

 

 

7.9

For local use

 

 

 

8.0 SHELF‑LIFE

 

 

8.1

Shelf‑life limits: Are they controlled in accordance with the air carrier or operator’s manual or manufacturer’s recommendations.

 

 

 

9.0 ENGINEERING DEPARTMENT

 

 

9.1

Inspect the engineering department: (If applicable). 1) Is the staffing adequate for complexity of assigned duties. 2) Are the personnel qualified?

 

 

9.2

Is all required technical data current and available? (Ref AC 120‑77, Maintenance and Alteration Data).

 

 

9.3

If applicable, are air carrier or operator, engineering orders accomplished and recorded in accordance with the air carrier or operators manual procedures

Primary Area

Key Word

Opinion Code

I, U, P

CONTRACT MAINTENANCE FACILITY

INSPECTION (3640/5640/3624/5624)

EVALUATION (3338/5378)

 

 

9.4

Major repairs and alterations.

1) Accomplished in accordance with FAA‑approved data (see Order 8900.1).

2) Are major repair reports retained and available?

3) Are major alterations reported per 14 CFR part 121, § 121.707(b)?

 

 

 

10.0 MAINTENANCE PRODUCTION/PLANNING CONTROL INSPECTION

 

 

10.1

Is there evidence that the planning system is effective?

1) Review inspection/overhaul scheduling.

2) Facility scheduling.

3) Parts forecast.

4) Personnel requirements, and communication with other departments?

 

 

10.2

Service Difficulty Report (SDR) reporting requirements are in coordination with the air carrier’s procedures, and the requirements of § 145.221.

 

 

 

11.0 REPAIR STATION WITH LINE RATING (OPSPECS D107)

 

 

 

NOTES:

Date:

Originator: (If Required)

Office:

Inspector Signature: (If Required)

Supervisor: (If Required)

Initials:

RESERVED. Paragraphs 6-1131 through 6-1145.


2/26/10                                                                                                                         8900.1 CHG 0

Volume 6 surveillance

chapter 2  PART 121, 135, AND 91 sUBPART K INSPECTIONS

Section 42  Conduct a Detailed Air Carrier In‑Process/Task Inspection/Team Event of Essential Maintenance Providers

6-1146       PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODE PROCEDURES AND INFORMATION.

A.     PTRS 32082. The Regional Directed Detailed Air Carrier In‑Process/Task Inspection/Team Event, PTRS number 3082 is made up of Air Transportation Oversight System (ATOS) Element Performance Inspection (EPI) 1.3.7 and PTRS activity codes 3651/5651 and 3640/5640, PTRS 3082 should be considered the controlling document, meaning it is administrative only. For this reason, we ask that you do not document information or findings under the 3082 PTRS activity code. Once the inspection is completed, close the 3082 PTRS record following the guidance located at the end of this section.

B.     Non-ATOS Certificate Management Teams (CMT). For non‑ATOS CMTs, all information or findings noted during this detailed air carrier in‑process/task inspection shall be recorded under the PTRS activity code associated with the finding, in accordance with the PTRS Procedures Manual (PPM).

C.     ATOS CMTs. For ATOS CMTs, record any information or findings noted during the detailed air carrier in‑process/task inspection in accordance with Volume 10, Air Transportation Oversight System.

D.    EPI 1.3.7 and PTRS Activity Codes 3651/5651 and 3640/5640. EPI 1.3.7 and PTRS activity codes 3651/5651 and 3640/5640 are integral parts of the 3082 inspection. Since this inspection is part ATOS element and part PTRS activity codes, data collection standardization must be a consideration. This inspection is a component of a National Work Program Guideline (NPG) and the PTRS subsystem is the data collection repository for the NPG, therefore the inspection completion should be documented using the PTRS activity codes provided below.

Note:       NOTE: Documenting PTRS 3082 task inspection using the below listed PTRS activity codes will give the assigned aviation safety inspector (ASI) the ability to sign off required items (“R” items) that may have been issues for the present year.

E.     Contract Maintenance Facility (Essential Maintenance Provider (EMP)).

·        Maintenance: 3640.

·        Avionics: 5640.

F.      Detailed Process Inspection.

·        Maintenance: 3651.

·        Avionics: 5651.

G.    The Labor Distribution Reporting (LDR) Code for PTRS 3082 Task Inspection. The LDR code for PTRS 3082 task inspection is presently under development. It is recommended PTRS activity code 3640 be used in the interim. The following is an example of the Castle LDR composition for most entries.

Table 6‑6, LDR Table

Project

Designator

Task

12XXFAFS

DALA

3640

6-1147       OBJECTIVE. This section provides guidance to the regional Flight Standards divisions (RFSD) and to the Title 14 of the Code of Federal Regulations (14 CFR) part 121 air carrier teams that will be responsible for conducting a detailed in‑process/task assessment/inspection. This assessment/inspection is part of the enhanced air carrier and repair station oversight system and is an integral part of the NPG. Participation of team members will be by regional invitation. This assessment/inspection will use database analysis and risk management principles and is dynamic in nature.

6-1148       GENERAL. The individual air carrier ASIs (team members) will complete an air carrier individual assessment (EPI 1.3.7). After the team reviews the EPI, the team will determine whether the individual air carrier’s contract maintenance programs, processes, and procedures are clear, concise, and easily followed. If functioning as designed, the procedures, controls, process measures, and interfaces should provide the desired results. (The assessment/inspection is considered phase one).

A.     Joint Risk Assessment. The team should provide a joint risk assessment, broken down by air carrier and present it to the team leader.

B.     Notify the PMI. As time permits, notify the PMI of any problems, findings, and corrections made during the inspection.

Note:       NOTE: This Air Carrier In‑Process/Task Inspection/Team Event is regionally sponsored and dynamic enough to satisfy the non‑ATOS CMTs NPG yearly requirements and assessment (PTRS 3640/5640) and/or the ATOS CMTs Comprehensive Assessment Plan (CSP) scheduled assessments (ATOS element 1.3.7). Unless a principal inspector (PI) has concerns based on other risk assessments, the inspection requirement of this EMP should be satisfied.

C.     At The Completion of Phase Two. At the completion of the Detailed In‑Process/Task Inspection (Phase Two) the team should be able to verify that the EMP is following all of the individual user air carriers Continuous Airworthiness Maintenance Programs (CAMP). The verification through the observation of step‑by‑step processes and procedures are outlined in Volume 6, Chapter 11, Section 2, Conduct a Detailed Process/Task Inspection.

D.    References for CAMP Minimum Requirements. References for the air carrier CAMP minimum requirements are located in Volume 3, Chapter 43, Evaluate Continuous Airworthiness Maintenance Program/Revision.

E.     CAMP Compliance. Volume 3, Chapter 42, Evaluate Part 121/135 (10 or More) Contract Maintenance Arrangement, requires each air carrier to review, evaluate, accept/reject, and authorize the specific contract maintenance provider programs, practices, and procedures which are contained in the Repair Station Manual (RSM) and Quality Control Manual (QCM). The air carrier’s manual system should contain the necessary instructions and procedures to ensure compliance with its CAMP.

Note:       NOTE: The air carrier must make available the appropriate parts of its manual system. Reference 14 CFR part 121, §§ 121.363(a)(2) and 121.367(a).

F.      Prior to Conducting the Detailed In-Process Task Inspection. Prior to conducting this Detailed In‑Process/Task Inspection, the assigned ASIs should review the data/information found in the Safety Performance Analysis System (SPAS).

6-1149       SCOPE.

A.     The Team-Focused, In-Depth Inspection. The team‑focused, in‑depth inspection program is an integral part of the “Enhanced Air Carrier and Repair Station Contracting Oversight System.” The FAA recognizes that often a team inspection is more effective due to the complexity of the FAA surveillance system. The team inspection is larger in scope, and has more depth and time to accomplish the FAA surveillance goals.

B.     Inspection Function and Process. The inspection is for 14 CFR part 145 repair stations and to verify that the part 145 repair station is performing maintenance in accordance with the air carrier’s CAMP. The inspection will cover repair stations, which have a class or limited rating for airframes and power plants. The regional branch manager’s staff will only schedule these inspections for repair stations that appear on at least three or more part 121 Air Carriers OpSpec D091. This will be an annual requirement. Invitations to participate will be sent by the regional branch manager to each Flight Standards District Office (FSDO) or certificate management office (CMO) that has the EMP on their D091 OpSpec and meet the above criteria. Each part 121 certificate should be represented on the inspection team. After the invitations are received, the CHDO of the part 121 certificate holder may elect not to participate in the team event. If this is the case the FSDO or CMO/unit manager should notify the regional branch manager and inform them of the reason not to participate. If the regional branch manager agrees that non‑participation is acceptable, the regional branch manager should then recommend to the manager that a copy of the air carrier’s procedures be forwarded to the regional branch manager to be included in the team review. When each air carrier has representation, the inspection will be in accordance with each air carrier’s CAMP requirements.

Note:       NOTE: Based on recommendations, inviting a participating air carrier representative to be present during the inspection will aid the air carrier and the team, if problems arise.

C.     Inspection Dynamics. Due to its dynamics, it may be used for other regional requirements. This type of inspection can verify previous surveillance efforts, allegations of improper maintenance or component failure trends. Team inspections based on these reasons should be comprehensive and in‑depth. The team in‑process inspection can aid the RFSD in making a determination about the repair station’s ability to follow a maintenance scope, comply with process specs, follow shop manuals, and follow each air carrier’s CAMP requirements. Once the team inspection is completed, the FAA should have first hand knowledge of the repair station’s compliance with each carrier’s CAMP requirement.

D.    Primary Pocus of Inspection. It should be noted that the primary purpose of this inspection is to verify a 14 CFR part 121 air carrier’s ability to oversee its contracted repair station(s). As a result, it does not verify a repair station's ability to meet all its own requirements under its authorizations. This inspection should not be considered to meet the requirements of repair station inspections.

E.     Team Composition. The size and complexity of the in‑depth inspection will determine the composition of the team. The team is comprised of an experienced air carrier team leader and as many experienced and trained air carrier ASIs as necessary. Each and every certificate holder that has the EMP on its D091 OpSpec and meets the criteria in this paragraph, should be invited to participate in the team event inspection. The regional branch manager will assign the team leader and must carefully consider the qualifications of each team member; the team leader should assist the regional branch manager with the selection of the team members.

1)      A team leader (lead ASI ) should have at least 2 years’ experience as either an air carrier PI, air carrier assistant PI or an air carrier partial program manager. All team members should have training and two years experience as an air carrier ASI. It is desirable to have the repair station PI serve in an advisory capacity utilizing his/her knowledge and expertise of the assigned repair station. Inspectors who do not meet the experience requirements, as stated for team member, can serve on the team in a training capacity. However, the team should not have more than one trainee assigned. (See Figure 6‑46 for “Tips for the Team Leader” guidance)
2)      Team composition is proportional to the size of the repair station. (The suggested rule of thumb is that a small repair station (less than 250 employees) have four ASIs and a large repair station (1,000 or more employees) have eight ASIs. Including the team leader, four ASIs are the minimum and nine the maximum.)
3)      In cases where the number of affected ASIs exceeds the number of ASIs necessary for the team composition, the regional branch manager will select representatives from those CHDOs whose air carriers have the highest quantity and complexity of maintenance performed by the repair station.

Note:       NOTE: Air carriers should have a maintenance representative present during the final planning phase, the inspection phase, and the out briefing. This will prove invaluable should finding be uncovered. The representing ASIs should extend invitations.

6-1150       INSPECTOR RESPONSIBILITIES. In preparation, the team lead and team members should familiarize themselves with the following, as applicable:

·        The applicable part 121 air carriers’ operations specifications (OpSpecs), CAMP, General Maintenance Manual and other manual procedures that cover maintenance scope for the item or items that are going to be tracked and processed through the facility,

·        The applicable part 145, air agency OpSpecs, ratings, limited ratings, limited specialized services, and process specifications and its Capabilities List,

·        Applicable references, as listed in subparagraph 6‑1152A,

·        Applicable forms, as listed in subparagraph 6‑1152B,

·        Previous ATOS records, including completed EPI records that were performed by the air carriers utilizing this specific EMP,

·        SPAS repair station analytical model (RSAM) for past findings and flags, and

·        Completed PTRS records.

6-1151  PREREQUISITES AND COORDINATION REQUIREMENTS.

A.     Prerequisites.

·        Knowledge of each applicable air carrier’s CAMP, and

·        Knowledge of each applicable air carrier’s Continuing Analysis and Surveillance System (CASS).

B.     Team Event Organization and Coordination.

1)      The regional Flight Standards manager with oversight responsibilities of the targeted EMP will select a qualified team leader.
2)      PIs assigned to the repair station certificate are an invaluable resource. Their insight of the certificate will aid the team and the team leader. Their knowledge of the certificate can help guide the team and the leader. If the repair station PI is an advisor to the team, the PI should attend all team meetings and be an integral part of the team’s functions and discussions. The PIs should provide support, information, and counsel to the team and in addition, assist the team leader. However, to avoid conflicts of interest, the PIs’ roles will be advisory only.
3)      The Regional Flight Standards Branch Manager and/or his staff will select the team leader, determine the number of inspectors required, select team members, and provide the team leader a list of the air carriers that utilize the selected EMP. The team is to be comprised of part 121 air carrier inspectors from the assigned CHDOs that provide oversight for the air carriers that use this EMP.
4)      The team leader and team members will evaluate all necessary data (including but not limited to SAI, EPI, SPAS, and PTRS records) prior to the team event.
5)      The team leader should identify specific duties that will be required during the assessment/inspection.
6)      The team should utilize the ATOS data collection tools when reviewing the aspects of maintenance from receiving inspection to approval for return to service. This process should be accomplished in accordance with the carrier’s CAMP. (Ref. 14 CFR §§ 121.363, 121.367, and 145.205).
7)      The detailed process inspection as outlined in chapter 11, section 2 (this volume), will involve varying degrees of complexity. At times, there may be a need for coordination with other offices (e.g., AEG, ACO, CMO, CMU, FSDOs, and IFOs) for clarification of procedures and processes.
8)      If a repair station located outside the United States is selected by a regional branch manager to participate in a detailed air carrier in‑process/task inspection/team event PTRS 3082, the following areas must be considered and addressed.
a)      The repair station PIs, by policy, are advisory members to the inspecting team and are required to be on hand during the inspection. This requirement is the same for the team focused in‑depth inspection of a part 145 repair station PTRS 3614/5614.
b)      Fiscal constraints mandate the regional branch manager and IFO manager consider whether to coordinate and schedule both inspections PTRS 3082/3614/5614 at the same time. A prudent decision would be to make every effort to coordinate all inspections.

6-1152       REFERENCES, FORMS, AND JOB AIDS.

A.     References (current editions).

·        Operations specification of both the air agency and air carriers, as applicable,

·        Volume 3, Chapter 42, Evaluate Part 121/135 (10 Or More) Contract Maintenance Arrangement,

·        Volume 6, Chapter 11, Section 2, Conduct a Detailed Process/Task Inspection,

·        Volume 6, Chapter 2, Section 40, Performance/Evaluation/Inspection and Assessment of a Part 121 Air Carrier’s Contract Maintenance System,

·        Applicable air carrier’s CAMP,

·        Process specifications, if applicable,

·        FAA Advisory Circular (AC) 43‑9, Maintenance Records,

·        AC 120‑16D, Air Carrier Maintenance Programs,

·        All applicable air carrier required maintenance manuals such as fleet specific Manufacturer’s Maintenance Manuals, Engineering Orders, Standard Practices Manuals, General Procedures Manuals, and all other as required by the part 121 air carrier’s CAMP,

·        All applicable air carrier’s contract maintenance programs/processes, and

·        ATOS: EPI element 1.3.7, as applicable.

B.     Forms.

·        Applicable air carrier maintenance forms, as specified in the air carriers CAMP, such as Maintenance Logs, Turn‑over Logs, Engineering Orders, Inspection Forms, and SFAR 36 forms,

·        FAA Form 337, Major Repair and Alteration, and

·        FAA Form 8110‑3, Designated Engineering Representative Data Approval.

C.     Job Aids. None.

6-1153       AIR CARRIER IN‑PROCESS/TASK INSPECTION PROCEDURES.

A.     Prepare for the Inspection. Accomplish the following:

1)      The regional branch manager or the team leader should contact the repair station CHDO manager and PI as soon possible. The assigned PI will notify the repair station management that a team in‑depth inspection is scheduled for the air carriers having this specific repair station/EMP on their D091 OpSpec.
2)      The team leader shall provide an in brief to the repair station management before each inspection. This briefing will inform the manager how long the inspection should take and how many inspectors will be on the team. The team leader should ensure the repair station management understands that this is an inspection of the air carriers and not the repair station.
3)      Should it be necessary, the team leader should obtain FAA Office of the Chief Counsel (AGC) guidance as soon as the probability of a significant or complex enforcement action is uncovered. For all enforcement cases, the team leader will ensure that the inspection team collects sufficient items of proof to support the case and provides these materials in a useable form to the CHDO.
4)      Identify the in‑process/task.
5)      Review the inspection criteria.
6)      Review for clarity Volume 3, Chapter 42; Volume 3, Chapter 11, Section 2; and Volume 6, Chapter 2, Sections 40 and 41 for additional air carrier contract maintenance systems and procedures.
7)      Identify and review the air carrier’s contract maintenance procedures, information, guidance, methods, manuals, or documents to be utilized to verify the maintenance performed is performed without deviation to the specific air carrier’s procedures required by its CAMP. (Ref. Volume 3, Chapter 42 and air carrier’s OpSpec D091.)
8)      This air carrier team event will verify that the EMP performs each air carrier’s maintenance in accordance with the specific air carrier’s CAMP. Ensure all air carrier’s Contract Maintenance Organizational Systems contain the required methods or procedures to identify and disseminate those portions of its CAMP. (Ref. Volume 3,Chapter 42 and air carrier’s OpSpec D091.)
9)      The air carriers may accept different EMP programs or process requirements for maintenance, preventive maintenance, and alterations. However, the manner used by the air carrier to evaluate, accept, reject or authorize these process or procedures should be explained in the EMP section of the air carrier’s manual. This allows the EMP’s accepted programs, processes and procedures to become an extension of the part 121 air carrier’s CAMP.
10)  Inform the ASI team members and air carrier reps of the in‑process/tasks to be observed during the inspection.
11)  Review the EMP contracting or subcontracting procedures in lieu of the air carrier’s own programs.
12)  Verify and identify any maintenance that may be contracted out by the EMP, to another EMP either certificated or noncertificated. The team leader should review the name, the certificate number if any, and identify any contract maintenance provider that is contacted by the EMP. The team will verify whether maintenance is performed in accordance with the air carrier’s CAMP.

B.     Perform the Inspection. The following steps are to serve as a guide in performing an air carrier in‑process/task inspection. Certain steps may not be appropriate, depending on the complexity of the repair station or air carrier.

1)      Inspect and review, as applicable, air carrier contract maintenance instructions. Verify that:
a)      Each air carrier’s contract maintenance information including procedures to be used in the performance and documentation of the specific air carrier’s intended maintenance, inspection, repair, or overhaul of its aircraft, engine, component, or parts is provided by the respective air carrier to the EMP in accordance with its air carrier contract maintenance provider program. (Ref. § 121.363.)
b)      The air carrier’s maintenance instructions reflect the proper technical data for the maintenance intended, and provide all the information required for completing that maintenance in accordance with the air carrier’s CAMP. (Ref. § 121.367 and OpSpec D091.)
c)      Documentation at the EMP reveals the air carrier has reviewed, evaluated, and accepted or rejected the EMP programs, processes, and procedures as evidenced within its CAMP or other means.
d)      During the inspection, the ASI should review the current contract maintenance arrangement acceptance letters, or other means of authorization the air carrier has given the EMP for their use. The EMP should keep the letters on file at the facility.
e)      Support equipment such as, cleaning (dip) tanks, high speed balancing equipment, inspection equipment, or ovens are inspected, cleaned, maintained, and documented as required by the appropriate aircraft, aircraft engine, or component manufacturer and are maintained in accordance with the Manufacturer’s Standard Practices Manual and/or the air carrier’s CAMP. (Ref §§ 121.363, 121.367, and OpSpec D091.)
f)        The air carrier provides documentation reflecting its CASS to ensure that the EMP has complied with its CASS reporting system and the air carrier has methods for corrective actions taken on any deficiencies or inadequacies found by the EMP while performing maintenance for the carrier. This generally requires the air carrier to provide results of audits performed on this EMP, providing documentation of their findings and corrective actions taken and recorded in a log or file. (Ref. § 121.373.)
g)      All maintenance documentation procedures are in accordance with the air carrier’s CAMP unless other specific procedures for maintenance documentation are to be followed. This includes but is not limited to, the maintenance log discrepancy sheets, required maintenance cards, the inspection forms and the sign‑off sheets, shift turn‑over logs, parts receiving inspection documents and tracking forms, maintenance records, and procedures. (Ref. § 121.380; Volume 3, Chapter 42; and OpSpec D091)
h)      The EMP can provide verification the air carrier trained its personnel in a manner equivalent to the requirements of the air carrier’s CAMP. This may require that EMP personnel attend specific courses and/or maintain specific levels of proficiency. (Ref. § 121.375.)
i)        Air carrier maintenance instructions or the air carrier’s accepted EMP maintenance instructions inform, guide, and detail the functions to be performed, sequence of operations, and inspection points to ensure proper handling of articles from one station to another through all phases, and should be addressed from the time the air carrier’s article is received until it is returned to service. (Ref. § 121.369(c).)
j)        Air carrier revisions to their maintenance instructions are approved, controlled and incorporated by the air carrier for use by the EMP. If applicable, verify the EMP is following the revised maintenance instructions. (Ref. §§ 121.369(c) and 121.380.)
k)      Traceability of all maintenance, preventive maintenance, and alteration documentation is maintained until the completion of all operations and utilized in accordance with the air carrier’s CAMP. (Ref. § 121.380.)
l)        How each specific air carrier ensures its EMP subcontracted maintenance to another maintenance provider is performed in accordance with that carrier’s CAMP. (Ref. § 121.363.)
m)    In accordance with § 121.373 the air carrier has reviewed and evaluated the performance and organizational requirements of a EMP.
n)      The air carrier’s RII program, and RII training is accomplished in accordance with its CAMP.
2)      The Air Carrier’s Contract Inspection Instructions. Verify that:
a)      The EMP follows the air carrier’s Contract Maintenance Inspection procedures and the air carrier CAMP for other maintenance performed by itself or other persons within the maintenance, inspection, repair, and overhaul process as required by air carrier OpSpec D091 and § 145.205.
b)      The air carrier’s methods of performing routine and nonroutine maintenance are followed in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(1).)
c)      Air carrier Contract Maintenance Information clearly designates the items that are RII, and if this EMP is authorized for, or restricted from, the performance of such Required Inspections. (Ref. § 121.369(b)(2) and air carrier’s OpSpecs D091.)
d)      The air carrier’s method of performing RII ensures there is a listing with the designation, title of the personnel authorized to perform such inspection, their qualifications, training, and a copy of their authorization on file in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(3).)
e)      Procedures for the reinspection of a previously performed required inspection (buy‑back procedures) are followed in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(4).)
f)        Procedures, standards, and limits necessary for required inspections and the acceptance or rejection procedures are in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(5).)
g)      Required inspections are completed. Verify that prior to the final acceptance of the aircraft, airframe, aircraft engine, and component all inspections are completed. (Ref. § 121.369(b)(6).)
h)      The RII Inspector who performed the RII inspection is not the person that performed the maintenance. (Ref. 121.369(b)(7).)
i)        Instructions and procedures to prevent any decision of an inspector regarding a required inspection from being countermanded by persons other than those specified by the air carrier are followed in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(8).)
j)        Maintenance not completed by shift change or other interruptions are properly documented (turnover log) and completed before the aircraft is returned to service. (Ref. § 121.369(b)(9).)
k)      Assemblies that require inspection for conformity before closure are included on inspection cards, scheduled maintenance cards, and unscheduled maintenance cards. Verify that inspection cards are utilized in accordance with the air carrier’s CAMP. (Ref. § 121.363 and air carrier’s OpSpec D091.)
l)        Required inspection personnel, procedures, realm of responsibility, and authority are organized in a manner to separate the required inspection functions from the other maintenance functions. (Ref. § 121.365.)
m)    The air carrier performed its initial CASS audit; all findings found are corrected prior to the start of the contracted maintenance, and the air carrier’s CASS audit demonstrates the discovery of discrepancies and the corrective action.
3)      Air Carrier’s Data at the EMP. Verify that:
a)      All applicable air carriers contract maintenance documentation and guidance including but not limited to maintenance instructions, engineering orders, air carrier aircraft fleet‑specific maintenance manuals, inspection procedures, overhaul manuals, standard practices manuals, and structural repair manuals are all current with proper revisions and dates, and maintained in accordance with the air carrier’s CAMP. (Ref. § 121.367.)
b)      All inappropriate, illegible and obsolete data has been purged from the files. (Ref. § 121.363 and OpSpec D091.)
c)      Nondestructive inspection (NDI) processes are reviewed for conformance with the air carrier’s CAMP. (Ref. OpSpec D091.)
d)      All process specifications and changes are submitted to the FAA for evaluation, approval, and accepted by the air carrier’s CAMP. (Ref. OpSpecs D091.)
e)      Tags, forms, and other documents used are controlled and reviewed, evaluated, and accepted or rejected and the proper air carrier documentation is available to ensure all tags, forms, and other documents are in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)
4)      Major Repairs and Alterations. Verify that:
a)      The air carrier’s methods and/or procedures to determine if the repair is major or minor are followed. (Ref. OpSpec D091.)
b)      If the task involved a major repair or major alteration, the ASI should verify the air carrier’s approved data to accomplish the task. (Ref. OpSpec D091.)
c)      If applicable, the air carrier’s SFAR 36 data is used for major repairs and has been approved by authorized individuals referenced in the air carrier’s SFAR 36 procedures manual that is part of the air carrier’s CAMP. (Ref. OpSpec D091 and SFAR 36.)
d)      If applicable, the scope of SFAR 36 authority has not been exceeded and is incorporated in accordance with the air carrier’s CAMP. (Ref. OpSpec D091 and SFAR 36.)
e)      The Designated Engineering Representative (DER)‑approved data is on FAA Form 8110‑3, and is used in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)
f)        The responsible Aircraft Certification Office (ACO) authorized the DER. This is verifying approval of the data and that the data was used in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)
g)      All maintenance performed by the original EMP or subcontracted contract maintenance provider is performed in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)
5)      Parts and Materials. Verify that:
a)      Materials, test records, and standards used in the NDI are identified, controlled, and used in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)
b)      All material, parts, and components received, inspected, identified, shipped, handled, and/or stored in accordance with the air carrier’s CAMP prior to their use. (Ref. § 145.205 and OpSpec D091.)
c)      There is traceability of material or parts received from distributors, and the records of receiving inspection data list the name, part number, quantity, and inspection results in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)
6)      Calibrated Tools and Test Equipment. Verify that:
a)      All special tools are calibrated. Ensure test equipment is identified, maintained, and used for the operation or process required. This must be accomplished in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)
b)      Calibration records are on file for all tools and test equipment that require calibration. This is in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)
c)      The EMP personnel performing the special or calibrated tool functions, subparagraphs 6a and b above, are appropriately trained for their assignments. (Ref. § 145.205 and OpSpec D091.)

6-1154       TASK OUTCOMES.

A.     Brief the Findings. Brief the findings, concerns, and possible 14 CFR violations with:

·        The PI and office manager with certificate management responsibilities of the EMP, in person, or via telecom as required,

·        The EMP inspected, and

·        Each of the specific air carrier’s PIs separately, in person, or via telecom as required.

B.     Document the Inspection.

1)      The team leader will ensure a copy of the completed inspection report and a copy of the entire findings are forwarded to the CHDO management responsible for the EMP, and one copy to the regional branch manager. Occasionally, the Aircraft Maintenance Division (AFS‑300) and Flight Standards Certification and Surveillance Division (AFS‑900) Flight Standards Safety Analysis Information Center (FSAIC) may track the inspection outcomes looking for national implications.
2)      Team members will document their own findings in ATOS/PTRS as applicable. Each finding should be documented separately. Use the appropriate ATOS entry or PTRS activity code.
3)      Team members representing an ATOS air carrier, shall document the completion of the ATOS inspection results in the appropriate EPI 1.3.7 (Maintenance Providers). All inspection documentation shall be in accordance with the guidance in Volume 10.
4)      Team members representing a non‑ATOS air carrier shall document the completion of this inspection in PTRS using activity code 3640/5640, in accordance with section 40 of this chapter, and the NPG.
5)      The team leader on behalf of the regional branch manager shall close the PTRS 3082 “R” item. The PTRS will be closed with the following information, enter a (C) “closed” in the status box, enter an (I) “information” in the results box, and enter the PTRS designator for the repair station that has been inspected in the affiliated designator block. Please enter the following statement in comment block IV, “The Detailed In‑Process/Task Inspection/team event has been completed.”

6-1155       FUTURE ACTIVITIES. Normal surveillance.

Figure 6‑46, Tips for the Team Leader referenced in paragraph 1149

1.) Identify each team member a soon as possible.

2.) The regional branch manager should decide early in the planning process to fund the team event and the individual members.

3.) Try to keep your team in the same hotel. Insist each inspector bring a laptop computer, as the attached checklists (tools) are electronic. It will keep your job as report writer much simpler. Memory sticks are a must. Cut and paste works well.

4.) Guidance for the team composition is in this chapter. The team leader should ensure there are adequate team members to effectively complete the inspection.

5.) A recent inspection had four carriers and it took a solid four days with three teams (eight inspectors) splitting the task to complete the Team Event phase. Don’t forget about the In‑process/Task inspection that each team member must do. In all, we have 6 full days on‑site.

6.) Get the air carrier and the essential maintenance provider engaged early in the process, and include them as much as possible during planning. By including the operators and EMP early, the team hopes to have most of the findings matched up with a proposed comprehensive fix in the final report.

7.) In the process, the team can be split into three subgroups, and then divide the inspection among the groups. This splits up team members from the same certificate.

Note:       See Figures 6-47, 6-48 and 6-49 for subgroup “Team Finding Worksheets.”

8.) Start compiling your report as soon as the findings start coming in, and update nightly. This helps prevent the “mad dash” to finish the paperwork at the end.

Figure 6‑47, Team Finding Worksheet (Subgroup One)

Team Event Report

NAME__________________________________________Designator_____________

WORKSHEET INSTRUCTIONS:

1.) Please enter each finding on a separate worksheet.

2.) Please reference each finding to the Air Carrier(s) Manual Procedure(s) to which it pertains.

3.) Please return completed worksheets to the Team Leader daily.

FINDING INFORMATION:

Team Member making the findings:

Name________________________________________________________________

Air Carrier: ________________________________________________________________

Manual Reference(s): __________________________________________________________________________

__________________________________________________________________________

Finding reference from inspection checklist (i.e., (1) (h)): ________________________________________________________________

Finding: (use back if additional space is needed)

______________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

NAME__________________________________________Designator_____________

Team Finding Worksheet

Subgroup One

Subgroup Responsibilities:

·        Each Group will be assigned elements and sub‑elements,

·        Groups will satisfy themselves on each element for all the air carriers that utilize the repair station.

·        Worksheets will be provided in both electronic and manual versions (preferred method, electronic) to each subgroup to be completed for any findings.

·        Worksheets should include Elements/Subelements and the air carrier manual reference.

·        Worksheets will be collected daily by the team leader.

Team leader will complete the final report.

INSPECTION CHECKLIST.

Reference Order 8900.1, vol. 6, ch. 2, section 42, paragraph 6-1153, Air Carrier In‑Process/Task Inspection Procedures, subparagraph B, Perform The Inspection.

Evaluate the following air carrier contract maintenance work instructions, to verify:

Each carrier’s contract maintenance information including procedures to be utilized in the performance and documentation of the specific air carrier’s intended maintenance, inspection, repair or overhaul of its aircraft, engine, component, or parts is provided by the respective air carrier to the EMP in accordance with its contract maintenance provider program. (Ref. § 121.363.)

Yes No  ‑ Complete Worksheet

The air carrier’s work instructions reflects the proper technical data for the work intended, and provides all the information required to complete that work in accordance with the air carrier’s CAMP. (Ref. § 121.367 and OpSpec D091.)

Yes No  ‑ Complete Worksheet

Documentation at the EMP reveals the air carrier has reviewed evaluated and accepted or rejected the EMP programs or SOP as evidenced within its CAMP or other means described in its CAMP.

Yes No  ‑ Complete Worksheet

The inspector may request to see the current contract maintenance arrangement acceptance letter or other means from the air carrier. This authorization should also be on file at the contract maintenance provider facility specifying the contract maintenance provider’s SOPs that are acceptable, and in lieu of the air carrier’s own programs.

Yes No  ‑ Complete Worksheet

The inspector should ensure the SOP’s that were not accepted by the air carriers are not utilized, and check to insure the air carrier’s procedures or other methods is utilized as stated in the air carriers CAMP. (Ref. § 145.205, and Volume. 3, Chapter 42.)

Yes No  ‑ Complete Worksheet

The method of performing routine and nonroutine maintenance is clear and concise in the air carrier’s Contract Maintenance Procedures. (Ref. § 121.369(b)(1).)

Yes No  ‑ Complete Worksheet

Support equipment such as, cleaning (dip) tanks, high speed balancing equipment, inspection equipment, or ovens are inspected, cleaned, maintained, and documented as required by the appropriate aircraft, aircraft engine, or component manufacturer and is maintained in accordance with the Manufacturer’s Standard Practices Manual and/or the air carriers CAMP. (Ref. §§ 121.363, 121.367, and OpSpec D091.)

Yes No  ‑ Complete Worksheet

The air carrier provides documentation reflecting its Continuing Analysis and Surveillance System (CASS), ensures the EMP has complied with its CASS reporting system, and the air carrier has methods for corrective actions taken on any deficiencies or inadequacies found by the EMP while performing maintenance for the carrier. This generally requires the air carrier to provide results of audits performed on this EMP, or by the EMP, providing documentation of their findings and corrective actions taken. (Ref. § 121.373.)

Yes No  ‑ Complete Worksheet

All maintenance documentation procedures are completed in accordance with the air carrier’s CAMP unless the air carrier provides within its CAMP other specific procedures for contract maintenance. This includes but is not limited to, the maintenance log discrepancy sheets, required work cards, the inspection forms, and the sign‑off sheets, shift turn‑over logs, parts receiving inspection documents and tracking forms, maintenance records and procedures. (Ref. § 121.380, Volume 3, Chapter 42, and OpSpec D091.)

Yes No  ‑ Complete Worksheet

The EMP can provide verification the air carrier trained its personnel in a manner equivalent to the requirements of the air carrier’s CAMP. This may require that EMP personnel attend specific courses and/or maintain specific levels of proficiency. (Ref. § 121.375.)

Yes No  ‑ Complete Worksheet

Air carrier work instructions or the air carrier’s accepted EMP work instructions, inform, guide, and detail the functions to be performed, sequence of operations, and inspection points to ensure proper handling of articles from one station to another through all phases, from the time the air carrier’s article is received until it is returned to service. (Ref. §§ 121.369(c).)

Yes No  ‑ Complete Worksheet

Ensure the air carrier work instructions and revisions are approved, controlled and have been incorporated in the air carrier manual system. Verify the EMP has followed the revised work instructions in accordance with the air carrier’s CAMP. (Ref §§ 121.369(c) and 121.380)

Verify traceability of all maintenance, preventive maintenance, and alterations documentation are maintained for the duration/completion of all operations and utilized in accordance with the air carrier’s CAMP. (Ref. § 121.380.)

Yes No  ‑ Complete Worksheet

Verify how each specific air carrier ensures its EMP subcontracted work to another maintenance provider is performed in accordance with that carrier’s CAMP. (Ref. § 121.363.)

Yes No  ‑ Complete Worksheet

In accordance with § 121.373 verify that the air carrier has reviewed and evaluated the performance and organizational requirements of a EMP.

Yes No  ‑ Complete Worksheet

Verify that the operator’s CAMP clearly designates a component that remains Required Inspection Item (RII) after removal from the aircraft. Some air carriers retain the RII designation while the component is going through repair or overhaul; however, this is not the norm.

Yes No  ‑ Complete Worksheet

Review the air carrier’s receiving inspection for RII components. Review the installation procedures of an RII component and any system requirements that may be necessary during the installation.

Yes No  ‑ Complete Worksheet

Figure 6‑48, Team Finding Worksheet (Subgroup Two)

Team Finding Worksheet (Subgroup Two)

Team Event Report

NAME__________________________________________Designator_____________

Subgroup Two

Subgroup Responsibilities:

·        Each Group will be assigned elements and subelements

·        Groups will satisfy themselves on each element for all the air carriers that utilize the repair station.

·        Worksheets will be provided in both electronic and manual versions (preferred method, electronic) to each Subgroup to be completed for any findings

·        Worksheets should include Elements/Sub‑elements and the air carrier manual reference.

·        Worksheets will be collected daily by the team leader.

Team Leader will complete the final report.

INSPECTION CHECKLIST.

Reference Order 8900.1, vol. 6, ch. 2, section 42, paragraph 6‑1153, Air Carrier In‑Process/Task Inspection Procedures, subparagraph B2, The Air Carrier’s Contract Inspection Instructions.

Evaluate the air carrier’s contract inspection instructions to verify:

That the EMP follow the air carriers Contract Maintenance Inspection procedures and the air carrier CAMP for other maintenance performed by itself or other persons within the maintenance, inspection, repair and overhaul process as required by air carrier OpSpec D091 and § 145.205.

Yes No  ‑ Complete Worksheet

That the air carrier’s method of performing routine and non‑routine maintenances is followed in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(1).)

Yes No  ‑ Complete Worksheet

That the air carrier Contract Maintenance Information clearly designates RII and EMPs that are authorized for, or restricted from, the performance of such Required Inspections. (Ref. § 121.369(b)(2) and air carrier’s OpSpecs D091.)

Yes No  ‑ Complete Worksheet

That the air carrier’s method of performing RII has a designation by title of the personnel authorized to perform such inspection and are listed, qualified, trained, authorized and established in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(3).)

Yes No  ‑ Complete Worksheet

That a procedure for the reinspection of a previously performed required inspection (buy‑back procedures) are followed in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(4).)

Yes No  ‑ Complete Worksheet

Those procedures, standards, and limits necessary for required inspections and the acceptance or rejection procedures in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(5).)

Yes, No  ‑ Complete Worksheet

All required inspections that were to be performed prior to final acceptance of the completed aircraft, airframe, aircraft engine, component or part were in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(6).)

Yes, No  ‑ Complete Worksheet

The RII Inspector who performed the RII inspection is not the person that performed the work. (Ref. § 121.369(b)(7).)

Yes, No  ‑ Complete Worksheet

That instructions and procedures to prevent any decision of an inspector regarding a required inspection from being countermanded by persons other than those specified by the air carrier are followed in accordance with the air carrier’s CAMP. (Ref. § 121.369(b)(8).)

Yes, No  ‑ Complete Worksheet

That work not completed by shift change or other interruptions are properly documented (turnover log) and completed before the aircraft is returned to service. (Ref. § 121.369(b)(9).)

Yes No  ‑ Complete Worksheet

That those assemblies are inspected for conformity before closure, are listed on inspection cards, scheduled maintenance, and unscheduled maintenance cards and the cards are utilized in accordance with the air carrier’s CAMP. (Ref. § 121.363 and air carrier’s OpSpec D091.)

Yes No  ‑ Complete Worksheet

That required inspection personnel; procedures, realm of responsibility and authority in a manner to separate the required inspection functions from the other maintenance functions. (Ref. § 121.365.)

Yes No  ‑ Complete Worksheet

The air carrier has audited the EMP using their CASS program guidance. The initial audit and all finding/discrepancies must be corrected prior to the start of the event.

Yes No  ‑ Complete Worksheet

Evaluate the air carrier’s Data at the EMP to verify:

That all applicable air carrier contract maintenance documentation and guidance including but not limited to maintenance instructions, engineering orders, air carrier aircraft fleet specific maintenance manuals, inspection procedures overhaul manuals, standard practices manuals, structural repair manual are all current with proper revisions and dates, and maintained in accordance with the air carrier’s CAMP. (Ref. § 121.367.)

Yes No  ‑ Complete Worksheet

Verify the removal of all inappropriate, illegible, or obsolete data from areas of potential use. (Ref. the air carrier’s CAMP, § 121.363, and OpSpec D091.)

Yes No  ‑ Complete Worksheet

Evaluate the nondestructive inspection (NDI) processes for conformance with the air carrier’s CAMP (Ref. OpSpec D091.) to verify:

The submission of process specification changes to the FAA for evaluation and approval. Once accepted by the air carrier placed in their CAMP. (Ref. OpSpecs D091.)

Yes No  ‑ Complete Worksheet

That tags, forms, and other documents used are controlled and reviewed, evaluated, and accepted or rejected and the proper air carrier documentation is available to ensure all tags, forms, and other documents are in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

Figure 6-49, Team Finding Worksheet (Subgroup Three)

Team Event Report

NAME__________________________________________Designator_____________

Subgroup Three

Subgroup Responsibilities:

·        Each Group will be assigned elements and sub‑elements.

·        Groups will satisfy themselves on each element for all the air carriers that utilize the repair station.

·        Worksheets will be provided in both electronic and manual versions (preferred method, electronic) to each Subgroup to be completed for any findings.

·        Worksheets should include Elements/Sub‑elements and the air carrier manual reference.

·        Worksheets will be collected daily by the team leader.

Team leader will complete the final report.

INSPECTION CHECKLIST.

Reference Order 8900.1, vol. 6, ch. 2, section 42, paragraph 6‑1153, Air Carrier In‑Process/Task Inspection Procedures, subparagraph B2, Air Carrier In‑Process/Task Inspection Procedures, subparagraph B4, Major Repairs and Alterations.

Evaluate major repairs and alterations to verify:

Air carrier’s methods and procedures used to determine if a repair is major or minor in nature. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

If the task involved a major repair or major alteration, that air carrier approved data is used to accomplish the task. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

The air carrier’s SFAR 36 data for major repairs has been approved by authorized individuals referenced in the air carrier’s SFAR 36 procedures manual in the carrier’s CAMP. (Ref. OpSpec D091 and SFAR 36.)

Yes No  ‑ Complete Worksheet

The scope of the SFAR 36 authority has not been exceeded. (Ref. OpSpec D091 and SFAR 36.)

Yes, No  ‑ Complete Worksheet

The Designated Engineering Representative (DER)‑approved data on FAA Form 8110‑3 is appropriate, and is utilized in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

The DER is authorized by the Aircraft Certification Office (ACO) to approve the data and the data is utilized in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

All work performed by the original EMP or subcontracted contract maintenance provider is performed in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

Evaluate materials/parts, to ensure that:

The materials, test records, and standards used in NDI are identified, controlled, and utilized in accordance with the air carrier’s CAMP. (Ref. OpSpec D091.)

Yes No  ‑ Complete Worksheet

All materials, parts, components are received, inspected, identified, shipped, handled and/or stored in accordance with the air carrier’s CAMP prior to the materials/parts being used. (Ref. § 145.205 and OpSpec D091.)

Yes No  ‑ Complete Worksheet

There is traceability of material or parts received from distributors and that the records of receiving inspection data list the name, part number, quantity, and inspection results in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)

Yes No  ‑ Complete Worksheet

Evaluate calibrated Tools and test equipment to verify that:

All special tools, calibrated tools and test equipment are identified, maintained, calibrated and used for an operation or process when required, are utilized, calibrated and maintained in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)

Yes No  ‑ Complete Worksheet

Calibration records for all tools and test equipment‑requiring calibration in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)

Yes No  ‑ Complete Worksheet

The EMP personnel performing the above special/calibrated tool functions (6)(a) and (b) above are trained appropriately for their assignments in accordance with the air carrier’s CAMP. (Ref. § 145.205 and OpSpec D091.)

Yes No  ‑ Complete Worksheet

RESERVED. Paragraphs 6‑1156 through 6‑1170.


2/26/10                                                                                                                         8900.1 chg 0

Volume 6 Surveillance

chapter 13  ENHANCED REPAIR STATION AND AIR CARRIER CONTRACTing OVERSIGHT SYSTEM

Section 3  Contract Oversight Prioritization Tool (OPT)

6-2916       INTRODUCTION.

A.     Purpose of this Document. The purpose of this document is to provide detailed procedures for the contract Oversight Prioritization Tool (OPT). This tool is part of the Enhanced Repair Station and Air Carrier Oversight System.

B.     The OPT. The OPT is used for air carrier contract surveillance planning. It allows for prioritization among contract maintenance providers and is recommended to be utilized during the surveillance planning cycle. This tool will assist the principal inspector (PI), other assigned inspectors, supervisors, and managers in identifying areas of concern or criticality about contract providers and target resources towards the highest priority contract maintenance providers.

6-2917  CONTRACTING OVERSIGHT SURVEILLANCE PROCESS DESCRIPTION.

A. System Safety-Based Approach. This system safety-based approach identifies specific procedures that enhance air carrier contract oversight. This system is comprised of the current tools available to the air carrier certificate management offices and a new OPT.

B.     The Air Carrier Contract Prioritization Process. The overall air carrier contract prioritization process involves the following steps, which is also depicted in a flowchart below:

1)      Data packages will be generated utilizing current sources for the desired maintenance providers. This includes the results of the Repair Station Assessment Tool (RSAT) and 3650/5650 for each of the desired vendors. The PI reviews these data before completing the OPT.
2)      The OPT is completed for all desired maintenance providers, taking into consideration step 1, expertise of PI and system design, which includes operating environment, configuration and design of the air carrier and repair station.
3)      The completed OPT will enable certificate management offices to prioritize contract surveillance, enabling the FAA to target resources to providers of highest priority.
4)      During the next 12 months, the surveillance programs are completed and these data are fed back into the system.

C.     Additional Details. The next subsections provide further detail for steps 1 to 3 above.


Contract Oversight System

 

 

 

 

 

 


6-2918  REPAIR STATION DATA PACKAGE.

A.     Accessibility and Utilization. This package is accessible to all inspectors via Safety Performance Analysis System (SPAS). This data package provides an analytical review of a repair station. This report contains data available through Federal Aviation Administration (FAA) information resources including, but not limited to, surveillance and enforcement data. Inspectors will utilize this data package in conjunction with their knowledge of the repair station; system design which includes operating environment, configuration and design of repair station; and personal expertise to complete the OPT.

B.     Availability. This enhanced data package will be available for fielding in the future. Meanwhile, inspectors should use the Repair Station Profile currently available in SPAS and any other sources, including data available through the certificate holder. It should be noted that currently the data available to the FAA regarding repair stations is very limited.

6-2919  CONTRACT OVERSIGHT ASSESSMENT TOOL. The OPT is to be used for surveillance planning. This tool will assist the Title 14 of the Code of Federal Regulations (14 CFR) part 121, 121/135 and 135 (10 or more) PI, other assigned inspectors, supervisors, and managers in prioritizing maintenance provider oversight. As a result of this assessment, the PI will determine the priority of contract maintenance surveillance for the coming year.

6-2920  PRIORITIZED CONTRACT OVERSIGHT. After completing the OPT, the PI will be able to prioritize maintenance providers and target surveillance resources to contract providers with highest risk.

6-2921  ADDITIONAL CONTRACT ENHANCEMENTS. This workgroup recommends using the following:

·        Part 145 PIs and the stake holding part 121 Certificate Management Team (CMT) utilize a team approach to accomplish repair station inspections. (Refer to Volume 6, Chapter 13, Section 1, Introduction);

·        Air Transportation Oversight System (ATOS) Elements 1.3.7 (Maintenance Providers) and 1.3.11 (CASS) be used for all part 121 CMTs and interface with other chapters of this handbook, including Volume 3, Chapter 42, Section 1, Oversight of Outsourced Maintenance Providers, and Volume 3, Chapter 43, Section 1, Evaluating a CAMP Program; and

·        Enhanced Repair Station oversight training for parts 121, 135 and 145 inspectors.

NOTE: Per part 121, § 121.363(b), an air carrier may arrange with another person the performance of any maintenance, preventive maintenance, or alterations. However, this does not relieve the air carrier of its primary responsibility for all maintenance, preventive maintenance, or alterations it or another person performs.

RESERVED. Paragraphs 6‑2922 through 6‑2936.


8/2/10                                                                                                                         8900.1 CHG 25

Volume 11 FLIGHT STANDARDS PROGRAMS

chapter 10  BASIC AND ADVANCED AVIATION TRAINING DEVICE

Section 1  Approval and Authorized Use under 14 CFR Parts 61 and 141

11-485       PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODE: 1351.

11-486       OBJECTIVE. This task approves a basic aviation training device (BATD) or an advanced aviation training device (AATD) and authorizes it for use under Title 14 of the Code of Federal Regulations (14 CFR) parts 61 and 141 pilot schools. This section also provides the criteria and guidance for the approval and authorized use of a BATD and an AATD. This Aviation Training Device (ATD) criteria and guidance can also be found in Advisory Circular (AC) 61-136, FAA Approval of Basic Aviation Training Devices (BATD) and Advanced Aviation Training Devices (AATD), current edition.

11-487       OVERVIEW. The Federal Aviation Administration (FAA) categorizes the ATD into two categories: basic and advanced. Each ATD category is specifically defined and has criteria established for its approval and authorized use. All ATDs must undergo a qualification evaluation. The General Aviation and Commercial Division (AFS‑800) is responsible for FAA policy regarding BATDs and AATDs. AFS-800 is also responsible for national approval of ATDs as well as their authorized use. ATDs that are nationally approved by AFS‑800 may be used for certain pilot certificate and rating training conducted under parts 61 and 141, including certain instrument experience training conducted under part 61, § 61.57. ATDs may not be used for aircraft type specific training. (See paragraph 11‑492D for specific information regarding authorized uses.) Nationally-approved ATDs used exclusively for pilot training under part 61 do not require further FAA approval and acceptance for use. However, nationally approved and accepted ATDs used by an operator conducting pilot training under part 141 must also be approved and accepted for use by the operator’s Flight Standards District Office (FSDO).

11-488       OTHER DEVICES: GTD, PCATD, AND LEVEL 1, 2, or 3 FTD. AFS‑800 is responsible for FAA policy regarding ground training devices (GTD), personal computer-based aviation training devices (PCATD), or Level 1, 2, or 3 flight training devices (FTD). It should be noted here that the Air Transportation Division (AFS‑200) is responsible for FAA policy regarding all other flight simulation devices.

A.     The FAA is no longer issuing new GTD, PCATD, or Level 1, 2, or 3 FTD approvals. However, training device manufacturers seeking new PCATD or Level 1, 2, or 3 FTD approvals may request BATD or AATD approval for their devices. Devices previously approved and accepted as a GTD, PCATD, or Level 1, 2, or 3 FTD will retain their approval and authorized use, provided that such approval and authorizations are in accordance with their individual FAA letter of authorization (LOA) or FAA letter of approval.

B.     Training devices that have received prior FAA approval, such as a GTD, PCATD, or FTD, will not be approved as a BATD or AATD.

11-489       ATD DESIGN CRITERIA. To qualify as a BATD or an AATD, the device must meet the approval criteria prescribed in Figure 11‑22, Basic Aviation Training Device Design Criteria, or Figure 11‑23, Advanced Aviation Training Device Design Criteria, respectively, of this section or AC 61‑136. Those criteria must appear in the Qualification and Approval Guide (QAG.).

11-490       QAG. The QAG is a manufacturer’s statement and outline of the design criteria for a BATD or AATD. ATDs must meet the criteria prescribed in the appropriate figure of this section or AC 61‑136 and be approved by the FAA. In addition, the manufacturer must ensure that all ATDs manufactured in that configuration continue to meet the criteria stated in the associated QAG or in a revision to that QAG that has been approved by the FAA.

11-491       ATD APPROVAL PROCESS.

A.     Evaluation Process. National approval and authorization for use of an ATD by AFS‑800 is accomplished through an evaluation process initiated by a Consensus Evaluation Team (CET). The CET may be comprised of an AFS‑800 representative and an aviation safety inspector (ASI) based in a regional office or FSDO. The approval process is initiated when the device manufacturer submits a request for an evaluation of an ATD. The approval of the ATD is based upon a QAG (see subparagraphs B5, B6, and Figures 11‑22 and 11‑23), which is developed by the manufacturer and submitted for evaluation. Once the QAG has been found acceptable by AFS‑800, a function and subjective test (onsite) evaluation of the ATD is conducted by a member of the CET (see Figure 11‑24, Function and Subjective Test Criteria). If the ATD is approved, the QAG becomes the controlling document for the ATD approval. If a manufacturer modifies an approved ATD, a revised QAG must be submitted for approval. As a result of the modification, an operator may not use a modified ATD until such time as AFS‑800 has approved the revised QAG. Devices that meet the qualification criteria and receive approval will subsequently receive a document from the AFS‑800 division manager approving the device as either a BATD or AATD with an accompanying authorized use statement. Additional information can be found in Figure 11‑21, Requesting Approval of an Aviation Training Device.

B.     ATD Approval Process Steps.

1)      The requester (device manufacturer) sends a request for approval letter and QAG via regular mail, or as text files attached to an e-mail, to AFS‑800 (see NOTE below and Figure 11‑20, Sample Letter of Application Requesting the Federal Aviation Administration’s Evaluation and Approval of an Advanced Aviation Training Device);
2)      AFS‑800 receives request for approval letter and QAG;
3)      If the request letter for approval and QAG is found to be initially acceptable, then skip step 4 and go to step 5;
4)      If the request letter for approval or QAG is found to be initially unacceptable, then the FAA will contact the requester to discuss the needed changes to the document. Go back to step 1;
5)      AFS‑800 conducts “desk” audit of QAG. If “desk” audit results are found acceptable, then skip step 6 and go to step 7;
6)      If “desk” audit results are found unacceptable, then the FAA will contact the requester to discuss the needed changes to the QAG. Go back to step 5;
7)      CET evaluator conducts a performance-based onsite evaluation of the device;
8)      If the evaluation results are found acceptable, then skip step 9 and go to step 10;
9)      If the evaluation results are found unacceptable, then the CET evaluator will contact the requester to discuss the issues that need to be resolved. Go back to step 7.
10)  AFS-800 issues a letter of approval along with the approved QAG to requester via regular mail and/or by e-mail.

Note:       E-mail is the preferred correspondence method. Please call AFS-800 at (202) 267-8212 for e-mail instructions.

11-492       ATD AUTHORIZED USES. ATDs may be authorized for use for certain flight training activities in accordance with parts 61 and 141. For comparison purposes, a BATD has the same authorized use as a PCATD, with one exception. A BATD may also be used to satisfy the instrument experience requirements under § 61.57(c)(1). An AATD has the same authorized use as a Level 3 FTD (see subparagraphs D1 and 2 below).

A.     Part 61 Pilot Training Authorization. For pilot training conducted solely under part 61, the authorized use for a specific model of ATD will be found in the authorized use statement of the AFS‑800 approval letter. FSDOs are not required to authorize an ATD for pilot training conducted solely under part 61. However, a FSDO may conduct an inspection of any BATD or AATD used for pilot training within its geographical area.

B.     Part 141 Pilot Training Authorization. For pilot training conducted under part 141, the respective FSDO must approve how the ATD is to be used in a part 141 operator’s training curriculum. This approval also includes the physical training environment.

C.     Prohibition of Aircraft Type Specific Training. An ATD may not be authorized for aircraft type specific training. However, this should not to be confused with procedural/partial task type of training where an ATD may be used for such. For example, an ATD may be used to train certain procedural/partial tasks that are not aircraft type specific, instead of training those tasks in an aircraft type specific Level D flight simulator (SIM). This supplemental use of an ATD should provide for a more efficient and effective use of both the ATD and SIM.

D.    Specific ATD Authorized Uses. The following are the authorized uses for a BATD or an AATD.

1)      BATD.

·        Not more than 10 hours toward instrument rating flight instruction time under § 61.65(e)(2);

·        Not more than 10 hours toward instrument rating flight instruction time under part 141 appendix C;

·        Use in performing instrument recency of experience requirements of § 61.57(c)(1);

·        Not more than 2.5 hours of training permitted under § 61.109(k)(1) in the introduction to the operation of flight instruments, except as limited by part 141 appendices; and

·        The flight experience allowance for the use of a BATD and the flight experience allowance for an AATD, a FTD, or a SIM towards obtaining an instrument rating may be combined. However, that combination may not exceed that allowed under § 61.65 (20 hours maximum) and may not exceed that allowed under part 141 appendix C, paragraph 4(b)(4) (50 percent maximum) of the required training.

Note:       For comparison purposes only, a BATD has the same authorized use as a PCATD with one exception. A BATD may also be used to satisfy the instrument experience requirements under § 61.57(c)(1).

2)      AATD.

·        Logging instrument flight experience;

·        Instrument rating (maximum 20 hours);

·        Instrument rating practical test (per FAA-S-8081-4 (circling-to-land not authorized);

·        Instrument proficiency check (per FAA-S-8081-4 (circling-to-land not authorized));

·        Private pilot certificate (maximum 2.5 hours);

·        Commercial pilot certificate (maximum 50 hours);

·        Commercial pilot practical test (per FAA-S-8081-12);

·        Airline transport pilot certificate (maximum 25 hours);

·        Airline transport pilot practical test (per FAA-S-8081-5); and

·        Part 141 as limited by the applicable appendices, or under a special curriculum approved under part 141, § 141.57.

Note:       The flight experience allowance for the use of an AATD and the flight experience allowance for an FTD or a SIM towards obtaining an instrument rating may be combined. However, that combination may not exceed that allowed under § 61.65 (20 hours maximum) and may not exceed that allowed under part 141 appendix C, paragraph 4(b)(4) (50 percent maximum) of the required training.

Note:       For comparison purposes only, an AATD has the same authorized use as a Level 3 FTD.

Figure 11-20, Sample Letter of Application Requesting the Federal Aviation Administration’s Evaluation and Approval of an Advanced Aviation Training Device

Date:

Dear <NAME>:

[Name of manufacturer/developer] requests an evaluation of its [make, model, serial number] proposed advanced aviation training device (AATD) for approval by the Federal Aviation Administration (FAA) at [location where the evaluation is requested]. This device is fully described in the accompanying Qualification and Approval Guide (QAG), descriptive literature and performance attributes, and photographs. This device has been evaluated by the manufacturer and is believed to adequately meet the applicable requirements for approval as an AATD. Appropriate hardware and software configuration control procedures have been established and are listed for your review and approval.

The following [manufacturer’s/developer’s name] personnel have assessed this device:

Name_________________________________Qualification & Title_______________________

Name_________________________________Qualification & Title______________________

who attest that:

It conforms to [the generic or specific make, model, category and class of aircraft] and that the simulated systems and subsystems function equivalently to those found in that aircraft.

The performance and handling qualities have been assessed and have been determined to adequately represent the designated category and class of aircraft.

The device contains the following design features [list design features] significantly beyond those required for a basic aviation training device (BATD).

Sincerely,

[Signature of Manufacturer or Authorized Representative]

[Printed Name of Signatory]

Enclosure—QAG for [model name of device]

Figure 11-21, Requesting Approval of an Aviation Training Device

a. The Federal Aviation Administration (FAA) approves each configuration of an Aviation Training Device (ATD). Normally, the manufacturer requests this approval. The approval will be valid for all serial numbers that are part of that device model and all configurations listed in that device model’s FAA-approved Qualification and Approval Guide (QAG), provided there is no value change for a criterion in Figure 11‑22 or Figure 11‑23.

b. To request FAA approval of an ATD, manufacturers should send a request for approval:

(1) By regular mail at the address below.

FAA Flight Standards Service
General Aviation and Commercial Division
Certification and General Aviation Operations Branch, AFS‑810
800 Independence Avenue, S.W.
Washington, DC 20591

(2) By e‑mail (call (202) 267‑8212 for e-mail instructions).

Note:       E-mail, with attached text documents, is the preferred correspondence method.

c. The request for approval must include a QAG, which must:

(1) Contain a detailed description of the hardware and software components that comprise the device configuration presented for approval. A detailed description should be submitted for each device configuration if approval for more than one device configuration is desired. The description of the hardware and software components must include the manufacturer and model or version number of each component, or other such information necessary to correctly identify each component in the particular configuration.

(2) Contain a listing of each item listed in Figure 11-22 or Figure 11-23 and state the following information for each item.

·        The operation or role of the item as appropriate to the aircraft or family of aircraft being represented;

·        The value for each quantitative requirement that either meets or exceeds the minimum values required by that paragraph; and

·        If the aircraft or family of aircraft represented by the device does not have the referenced item, report it as in the following examples: “Carburetor Heat-N/A,” “Cowl Flaps-N/A,” or “Retractable Landing Gear-N/A.”

(3) Contain color photographs of the assembled unit in the intended device configuration. The photographs should be of a quality that clearly shows the overall component arrangement, features, ergonomics, and operation of each hardware control listed in Figure 11-22 or Figure 11‑23, as appropriate to the aircraft or family of aircraft being represented.

(4) Be sent at least 90 days before any intended training or use of the device begins.

(5) Provide operating instructions or manual including at least a detailed explanation of the device operating system, installation of components and/or modules, all commands and menus, system setup, operation, troubleshooting suggestions, and appropriate aircraft operating information. The device operating manual and installation materials may be sent separately.

d. The requirements to permit the FAA to tentatively determine the acceptability of a device as an ATD by conducting a comprehensive in-office evaluation (desk audit). The FAA will evaluate the proper identification, function, and location in a configuration representing a generic aircraft cockpit instrument panel and the associated flight controls for all instruments, equipment, panels, switches, systems, and controls.

e. If the desk audit is acceptable, AFS‑810 will schedule an onsite evaluation of the operational device. FAA personnel will conduct this evaluation. The FAA may conduct an onsite evaluation at the manufacturer’s facility or at another location agreeable to the manufacturer and the FAA. The onsite evaluation will stress all operational roles, verify adherence to values stated for each item required by this document, determine the acceptability of the device’s use for flight instruction in the procedural tasks listed in paragraph 11‑492 and establish the acceptability of operating instructions for the use of the device.

·        If the onsite evaluation is acceptable, the FAA will approve the QAG for the ATD configuration presented.

·        If the onsite evaluation is unacceptable, the FAA will advise the applicant of the changes or corrections necessary for the FAA’s reconsideration. If deemed necessary, the FAA will conduct a follow-up onsite evaluation.

·        If the FAA evaluates a revision to the QAG that was previously found acceptable and validated by an onsite evaluation, the FAA may conduct another onsite evaluation of the revised ATD configuration.

f. Once the FAA finds a QAG acceptable and approves the device as a BATD, the manufacturer must ensure that all ATDs manufactured in that configuration continue to meet the criteria stated in the associated QAG or in a FAA-approved revision to that QAG.

Figure 11-22, Basic Aviation Training Device Design Criteria

The Qualification and Approval Guide (QAG) is the primary means for finding a basic aviation training device (BATD) acceptable for use in Title 14 of the Code of Federal Regulations (14 CFR) part 61 pilot training or approved 14 CFR part 141 pilot training curricula. The QAG will be used to determine that an Aviation Training Device (ATD) meets or exceeds minimum Federal Aviation Administration (FAA) design criteria outlined in this figure. A BATD found acceptable for use in accordance with this figure will typically be limited to training procedural tasks only. However, they may also be used to meet instrument experience requirements when specifically authorized. Each QAG submitted to the FAA for evaluation must state the make and model of aircraft or family of aircraft being represented and used as the basis for the following criteria:

a. Controls. A BATD must provide certain physical controls and may provide some virtual controls.

(1) Physical flight and aircraft system controls should be recognizable as to their function and how they are to be manipulated solely from their appearance. Physical flight and aircraft system controls eliminate the use of interfaces such as a keyboard, mouse, or gaming joystick to control the represented aircraft model in simulated flight.

(2) For the purpose of this document, virtual control is any input device to control aspects of the simulation (such as setting aircraft configuration, location, and weather) and to program, pause, or freeze the device. Virtual controls should be primarily for the instructor’s use.

(3) Except for setup and/or fault mode entry, neither the keyboard nor the mouse may be used to set or position any feature of the BATD in the represented aircraft for the maneuvers or flight training to be accomplished. See the control requirements listed below for necessary equipment as applicable to the aircraft model represented. The pilot must operate the additional equipment needed in order to accomplish a training procedure as listed in this figure in the same manner in which it would be operated in the represented aircraft. For example: landing gear, wing flaps, cowl flaps, carburetor heat control and mixture, propeller, and throttle controls.

(4) The physical arrangement, appearance, and operation of controls, instruments, and switches required by this figure should model at least one aircraft in the family of aircraft represented as closely as practicable. Manufacturers are expected to use their best efforts to recreate the appearance, arrangement, operation, and function of realistically placed physical switches and other required controls representative of a generic aircraft instrument panel that includes at least the following:

·        Master/battery;

·        Magnetos for each engine (as applicable);

·        Alternators for each engine;

·        Fuel boost pumps for each engine;

·        Avionics master;

·        Pitot heat; and

·        Rotating beacon/strobe, navigation, taxi, and landing lights.

(5) When an FAA-approved BATD is in use, only the software package evaluated and approved by the FAA may be loaded for use to avoid negative impact on available system resources. This may require a separate user profile for ATD operation.

b. Control Requirements. Physical flight and aircraft system controls must be provided as follows:

(1) Airplane.

(a) A self-centering displacement yoke or control stick that allows continuous adjustment of pitch and bank;
(b) Self-centering rudder pedals that allow continuous adjustment of yaw;
(c) Throttle or power control(s) that allows continuous movement from idle to full power settings;
(d) Mixture/condition, propeller, and throttle/power control(s) as applicable to the aircraft or family of aircraft represented; and
(e) Controls for the following items, as applicable to the airplane or family of airplanes represented:

·        Wing flaps,

·        Pitch trim,

·        Communication and navigation radios,

·        Clock or timer,

·        Gear handle (if applicable),

·        Transponder,

·        Altimeter,

·        Microphone with push-to-talk switch,

·        Carburetor heat (if applicable), and

·        Cowl flaps (if applicable).

(2) Helicopter.

(a) A cyclic control stick that allows continuous adjustment of the horizontal movement;
(b) A collective pitch control that allows continuous adjustment of the main rotor pitch angle;
(c) Throttle/power control that allows continuous movement from idle to full power settings;
(d) Anti-torque pedals that allow continuous adjustment of the tail rotor/heading;
(e) Mixture/condition control applicable to the helicopter or family of helicopter represented; and
(f) Controls for the following items, as applicable to the helicopter or family of helicopters represented:

·        Communication and navigation radios,

·        Clock or timer,

·        Transponder,

·        Altimeter,

·        Microphone with push-to-talk switch and/or a push-to-talk switch on the yoke/stick/cyclic control, and

·        Carburetor heat (if applicable).

c. Control Inputs: Airplane and Helicopter.

(1) Time from control input to recognizable system response (transport delay) must be 300 milliseconds or less. (This is measured by the ATD manufacturer and certified in the QAG.) The manufacturer listed in the approval guide submitted for FAA approval must certify to this standard.

(2) The control inputs must be tested by the computer and software at each start-up and displayed as a confirmation message or a warning message that the transport delay time or any design parameter is out of original tolerances. This test should consider the items listed under “Display Requirements” in paragraph d below.

d. Display Requirements.

(1) Instruments and indicators as appropriate and applicable to the aircraft or family of aircraft represented:

·        Flight instruments in a standard configuration, represented either as separate traditional “round” flight instruments, or as an electronic primary flight instrument display with reversionary and back-up flight instruments.

·        A sensitive altimeter with incremental markings each 20 feet or less, operable throughout the normal operating range of the aircraft or family of aircraft represented.

·        A magnetic compass which displays incremental markings typical of that shown in the aircraft or family of aircraft represented.

·        A heading indicator with incremental markings each 5 degrees or less, displayed on a 360 degree circle. Arc segments of less than 360 degrees may be selectively displayed if desired or required, as applicable to the aircraft or family of aircraft represented.

·        An airspeed indicator with incremental markings as shown on the aircraft or family of aircraft represented; airspeed markings of less than 40 knots need not be displayed.

·        A vertical speed indicator with incremental markings each 100 feet per minute (fpm) for both climb and descent, for the first 1,000 fpm of climb and descent, and at each 500 fpm climb and descent for the remainder of a minimum ± 2,000 fpm total display, or as applicable to the aircraft or family of aircraft being represented.

·        A gyroscopic rate-of-turn indicator or equivalent with appropriate markings for a rate of 3 degrees per second turn for left and right turns. If a turn and bank indicator is used, the 3 degrees per second rate index must be inside of the maximum deflection of the indicator.

·        A slip and skid indicator with coordination information displayed in the conventional skid ball format where a coordinated flight condition is indicated with the ball in the center position. A split image triangle indication may be used if applicable to the aircraft or family of aircraft being represented.

·        An attitude indicator with incremental markings each 5 degrees of pitch or less, from 20 degree pitch up to 40 degree pitch down or as applicable to the aircraft or family of aircraft represented. Bank angles must be identified at “wings level” and at 10, 20, 30, and 60 degrees of bank (with an optional additional identification at 45 degrees) in left and right banks.

·        Engine instruments as applicable to the aircraft or family of aircraft being represented, providing markings for normal ranges and minimum and maximum limits.

·        A suction gauge or instrument pressure gauge, as applicable, with a display applicable to the aircraft or family of aircraft represented.

·        A flap setting indicator that displays the current flap setting. Setting indications should be typical of that found in an actual aircraft.

·        A pitch trim indicator with a display that shows zero trim and appropriate indices of airplane nose down and airplane nose up trim, as would be found in an aircraft.

·        Communication radio(s) with display(s) of the radio frequency in use.

·        Navigation radio(s) capable of replicating both precision and non-precision instrument, including approach procedures (each with an aural identification feature), and a marker beacon receiver. For example, an instrument landing system (ILS), non-directional radio beacon (NDB), global positioning system (GPS), Localizer (LOC), or Very high frequency Omnidirectional Range (VOR). Graduated markings as indicated below must be present on each indication as applicable. The marking should include:

·        One-half dot or less for course/glide slope deviation (i.e., VOR, LOC, or ILS);

·        Five degrees or less for bearing deviation for automatic direction finder (ADF) and radio magnetic indicator (RMI), as applicable;

·        A clock with incremental markings for each minute and second, or a timer with a display of minutes and seconds;

·        A magnetic compass with incremental markings each 10 degrees or less. The compass must display the proper lead or lag during turns;

·        A transponder panel that displays the current transponder setting; and

·        A fuel quantity indicator(s) that displays the fuel remaining, either in analog or digital format, as appropriate for the aircraft or family of aircraft represented.

(2) All instrument displays listed above must be visible during all flight operations. The update rate of all displays must provide an image of the instrument that:

·        Does not appear to be out of focus or illegible;

·        Does not appear to “jump” or “step” to a distracting degree during operation; and

·        Does not appear with distracting jagged lines or edges.

(3) Display update must be at a frequency of 10 hertz (Hz) or higher. Each display must sense a change and react at a value less than the stated. Display updates must display all changes (within the total range of the replicated instrument) that are equal to or greater than the values stated below:

·        Airspeed indicator: change of 5 knots;

·        Attitude indicator: change of 2 degrees in pitch and bank;

·        Altimeter: change of 10 feet;

·        Turn and bank: change of ¼ standard rate turn;

·        Heading indicator: change of 2 degrees;

·        Vertical speed indicator (VSI): change of 100 fpm;

·        Tachometer: change of 25 revolutions per minute (rpm) or 2 percent of turbine speed;

·        VOR/ILS: change of 1 degree for VOR or ¼ of 1 degree for ILS;

·        ADF: change of 2 degrees;

·        GPS: change as appropriate for the model of GPS-based navigator represented; and

·        Clock or timer: change of 1 second.

(4) Displays must reflect dynamic behavior of an actual aircraft display; e.g., a VSI reading of 500 fpm must reflect a corresponding movement in altimeter, and an increase in power must reflect an increase in the rpm indication or power indicator.

e. Flight Dynamics Requirements.

(1) Flight dynamics of the ATD should be comparable to the way the represented training aircraft performs and handles. However, there is no requirement for an ATD to have control loading to exactly replicate any particular aircraft. An air data-handling package is not required for determination of forces to simulate during the manufacturing process.

(2) Aircraft performance parameters (such as maximum speed, cruise speed, stall speed, maximum climb rate, hovering/sideward/forward/rearward flight) should be comparable to the aircraft or family of aircraft being represented.

(3) Aircraft vertical lift component must change as a function of bank, comparable to the way the aircraft or family of aircraft being represented performs and handles.

(4) Changes in flap setting, slat setting, gear position, collective control or cyclic control must be accompanied by changes in flight dynamics, comparable to the way the aircraft or family of aircraft represented performs and handles.

(5) The presence and intensity of wind and turbulence must be reflected in the handling and performance qualities of the simulated aircraft and should be comparable to the way the aircraft or family of aircraft represented performs and handles.

f. Instructional Management Requirements.

(1) The instructor must be able to pause/freeze the system at any point for the purpose of administering instruction regarding the task.

(2) If a training session begins with the “aircraft in the air” and ready for the performance of a particular procedural task, the instructor must be able to manipulate the following system parameters independently of the simulation:

·        Aircraft geographic location;

·        Aircraft heading;

·        Aircraft airspeed;

·        Aircraft altitude; and

·        Wind direction, speed, and turbulence.

(3) The system must be capable of recording both a horizontal and vertical track of aircraft movement for later playback and review.

(4) The instructor must be able to disable any of the instruments prior to or during a training session, and be able to simulate failure of any of the instruments without stopping or freezing the simulation to affect the failure.

(5) The ATD must have at least a navigational area database that is local to the training facility to allow reinforcement of procedures learned during actual flight in that area. All navigational data must be based on procedures as published in 14 CFR part 97.

g. Task Requirements List. An ATD having the features specified above may be approved for use in procedural training in the instrument flight tasks listed in this figure.

Figure 11-23, Advanced Aviation Training Device Design Criteria

Like the basic aviation training device (BATD), the Qualification and Approval Guide (QAG) is the primary means for finding a BATD acceptable for use in Title 14 of the Code of Federal Regulations (14 CFR) part 61 pilot training or approved 14 CFR part 141 pilot training curricula. The QAG will be used to determine that an Aviation Training Device (ATD) meets or exceeds minimum Federal Aviation Administration (FAA) design criteria outlined in this figure. The devices presented for approval as advanced aviation training devices (AATD) must first meet and appropriately exceed the requirements for BATD approval criteria contained in Figure 11‑22. Additionally, an AATD should display sufficient aircraft cockpit design, ergonomic features, and performance characteristics beyond BATD approval criteria to warrant the authorized use the FAA determines to be appropriate for AATD simulation devices. Since it is highly desirable for the pilot to immerse him/herself mentally in a realistic aircraft cockpit when using an AATD, design features significantly exceeding those of a BATD cockpit layout are critically important.

a. An AATD must include the following features and components:

(1) A realistic shrouded (enclosed) or un-shrouded (open) cockpit design and instrument panel arrangement representing either a generic or specific model aircraft cockpit;

(2) Cockpit knobs/system controls/switches/switch panels in realistic sizes and design appropriate to each intended function, in the proper position and distance from the pilot’s seated position, and representative of the category and class of aircraft being represented;

(3) Primary flight and navigation instruments approximately life sized that exhibit neither stepping nor excessive transport delay, and arranged so as to observe trends and provide a realistic scan pattern;

(4) Digital avionics panel;

(5) Global positioning system (GPS) navigator;

(6) Three axis autopilot (AP), and, as appropriate, a flight director (FD). This is not required for an ATD representing a helicopter;

(7) Pitch trim (manual or electric pitch trim) permitting indicator movement either electrically or analog in an acceptable trim ratio;

(8) A visual system that provides acceptable cues in both day and night visual flight rules (VFR) and instrument flight rules (IFR) meteorological conditions to enhance a pilot’s visual orientation in the vicinity of an airport; and

(9) A separate instructor station to permit effective interaction without interrupting the flight in overseeing the pilot’s horizontal and vertical flight profiles in real time and space. This must include the ability to:

·        Oversee tracks along airways, holding entries and patterns, and localizer and glide slope alignment/deviation (or other approaches with a horizontal and vertical track);

·        Function as ATC in providing vectors, etc., change in weather conditions, ceilings, visibilities, wind speed and direction, light/moderate/severe turbulence, and icing conditions; and

·        Invoke failures in navigation and instruments, radio receivers, landing gear and flaps, engine power (partial and total), and other aircraft systems (pitot, electric, static, etc.) by using either keyboard or mouse.

b. The following features and components are not required for the FAA’s approval of an AATD, but are encouraged:

(1) Automate ATC communications, scenario-based training, or line-oriented flight training type training which the instructor can evaluate pilot performance without having to act as ATC.

(2) Cockpit seating and ergonomics that can be adjusted up or down and in and out to accommodate the correct spatial orientation for the pilot in relation to the cockpit, instruments, and glare shield, if equipped; and

(3) Rudder pedals secured to the cockpit floor structure, or that can be physically secured to the floor beneath the device in proper relation to cockpit orientation.

Figure 11-24, Function and Subjective Test Criteria

If the desk audit conducted by AFS‑800 of the Qualification and Approval Guide (QAG) is acceptable, AFS‑800 will schedule an onsite function and subjective test evaluation of the operational device. The Federal Aviation Administration (FAA) Consensus Evaluation Team (CET) will conduct this evaluation. The CET may conduct an onsite evaluation at the manufacturer’s facility or at another location agreeable to the manufacturer and the CET. The onsite evaluation will stress all operational roles, verify adherence to values stated for each item required by this document, determine the acceptability of the device’s use for flight instruction in the procedural tasks listed in paragraph 11‑492 and establish the acceptability of operating instructions for the use of the device.

·        If the onsite evaluation is acceptable, the FAA will approve the QAG for the Aviation Training Device (ATD) configuration presented.

·        If the onsite evaluation is unacceptable, the CET will advise the applicant of the changes or corrections necessary for the FAA’s reconsideration. If deemed necessary, the CET will conduct a follow-up onsite evaluation.

·        If the FAA evaluates a revision to the QAG that was previously found acceptable and validated by an onsite evaluation, the CET may conduct another onsite evaluation of the revised ATD configuration.

In addition, devices eligible as advanced aviation training devices (AATD) for creditable use should conform to an acceptable aircraft cockpit/instrument panel arrangement. The simulated systems and subsystems should be able to perform operational functions and performance maneuvers that closely mimic the represented aircraft. Specific attention should be given to ergonomic and human factors such as those shown above. These devices must be clearly eligible to receive a consensus evaluation for consideration of approval and added creditable use based on technical merit of design and function that mentally challenges the pilot’s performance in both procedural and operational performance practical test standards (PTS) tasks as if it were a real aircraft. The criteria bulleted above and the graphical outline checklist shown below will be used to help determine whether the advanced design and performance of the simulation device merits FAA approval as an AATD under this publication. The CET will use the following checklist during the evaluation of an AATD.

ADVANCED ATD CHECKLIST

Functions and Maneuvers

Satisfactory? Yes/No

    a. Preparation for Flight

 

      (1) Preflight

 

    b. Pre-Takeoff

 

      (1) Engine start

 

      (2) Brake operation

 

    c. Takeoff

 

      (1) AIRPLANE Takeoff

           (i) Power plant checks

 

           (ii) Acceleration characteristics

 

           (iii) Nose wheel and rudder steering

 

           (iv) Effect of crosswind

 

           (v) Instrument

 

           (vi) Landing gear, wing flap operation

 

      (2) HELICOPTER Takeoff

 

           (i) Power plant checks

 

           (ii) From Hover

 

           (iii) From Ground

 

           (iv) Vertical

 

           (v) Running

 

    d. In-flight Operation

 

      (1) AIRPLANE In-flight Operation

           (i) Climb

 

                (a) Normal

 

                (b) One engine inoperative procedures

 

           (ii) Cruise

 

                (a) Performance characteristics (speed vs. power)

 

                (b) Normal and steep turns

 

                (c) Performance turns

 

                (d) Approach to stalls, i.e., stall warning (cruise, takeoff/approach, and landing configuration)

 

                (e) High angle of attack maneuvers (cruise, takeoff/approach, and landing)

 

                (f) In-flight engine shutdown

 

                (g) In-flight engine restart

 

           (iii) Descent

 

                (a) Normal

 

                (b) Maximum rate

 

      (2) HELICOPTER In-flight Operation

 

           (i) Hovering

 

                (a) Forward

 

                (b) Rearward

 

                (c) Sideward

 

                (d) Turns

 

           (ii) Climb

 

           (iii) Cruise

 

                (a) Performance characteristics

 

                (b) Turns

 

                     i. Recovery

 

                     ii. Skidding

 

                     iii. Slipping

 

                (c) In-flight engine shutdown

 

                (d) In-flight engine restart

 

           (iv) Descent

 

    e. Approaches

 

      (1) Non-precision

 

           (i) GPS-WAAS

 

           (ii) GPS-LAAS

 

           (iii) All engines operating

 

           (iv) One or more engines inoperative

 

           (v) Approach procedures (NDB, VOR, DME Arc, LOC/BC, LOC, LDA, SDF, ASR, LNAV/VNAV, GPS, & LPV, and additional approach types when developed and certified)

 

           (vi) Missed approach (all engines operational, one or more engines inoperative)

 

      (2) Precision

 

           (i) PAR – normal

 

           (ii) ILS

 

           (iii) GLS

 

           (iv) Effects of crosswind

 

           (v) With engine(s) inoperative

 

           (vi) Missed approach

 

                (A) Normal

 

                (B) With engine(s) inoperative

 

                (C) From steep glide slope

 

    f. Surface Operations (AIRPLANE-Post Landing)

 

      (1) Landing roll

 

      (2) Braking operation

 

      (3) Reverse thrust operation, if applicable

 

    g. Any Flight Phase

 

      (1) Aircraft and power plant systems

 

           (i) Electrical

 

           (ii) Flaps (AIRPLANE)

 

           (iii) Fuel and oil

 

           (iv) Landing gear (AIRPLANE)

 

      (2) Flight management and guidance systems

 

           (i) Automatic pilot

 

           (ii) Flight director/system displays

 

           (iii) Navigation systems

 

           (iv) Stall warning/avoidance (AIRPLANE)

 

           (v) Multi function displays

 

           (vi) Primary flight displays

 

      (3) Airborne procedures

 

           (i) Holding

 

      (4) Engine shutdown and parking

 

           (i) Systems operation

 

           (ii) Parking brake operation (AIRPLANE)

 

RESERVED. Paragraphs 11‑493 through 11‑567.


1/14/10                                                                                                                   8900.1 CHG 72

Volume 12 INTERNATIONAL AVIATION

chapter 2  FOREIGN AIR CARRIERS OPERATING TO THE U.S. AND FOREIGN OPERATORS OF U.S. REGISTERED AIRCRAFT ENGAGED IN COMMON CARRIAGE OUTSIDE THE U.S.

Section 3  Part 129 Part A Operations Specifications

12-125       OPERATIONS SPECIFICATION (OPSPEC) A001—ISSUANCE AND APPLICABILITY (required for all air carriers).

A.     The Intent of OpSpec A001. OpSpec A001 must identify the OpSpecs holder. The name that appears in A001 must be the legal name of the foreign air carrier as shown on its air operator certificate (AOC) issued by the State of the Operator and on its economic authority or registrant information filed with the United Sates (U.S.) Department of Transportation (DOT). Principal inspectors can verify the foreign carrier’s legal name on its economic authority by contacting DOT’s Foreign Air Carrier Licensing Division at (202) 366‑2391 or by using the DOT’s Docket Management System (DMS) available on the web at http://dms.dot.gov/. A foreign carrier who wishes to change its legal name on its Federal Aviation Administration (FAA) OpSpecs must first register any such name change with DOT following the procedures in Title 14 of the Code of Federal Regulations (14 CFR) part 215 and present evidence of its new name on an AOC issued by the State of the Operator Civil Aviation Authority (CAA). OpSpec A001 also specifies:

·        The kind of operations authorized,

·        The responsibilities of the foreign carrier in conducting its operation to the U.S.,

·        The regulatory sections or international standards that apply to the operations to be conducted, and

·        Any other business names under which the operations are being conducted.

B.     General Requirements. In addition, OpSpec A001 imposes general requirements regarding the effectiveness of the air carrier’s OpSpecs as they relate to their DOT economic authority, crewmember licensing and age requirements, and minimum fuel requirements for operations to the U.S.

C.     Summary of Required Information. The following is a summary of the information required in OpSpec A001:

1)      The foreign air carrier’s OpSpec designator/number. This will be the same number obtained from Aviation Data Systems Branch (AFS–620), (405) 954‑9723, which is entered in the foreign air carrier’s Vital Information Subsystem (VIS).
2)      The DOT order number under which the foreign air carrier permit was issued, if the foreign air carrier has been issued a foreign air carrier permit. If the foreign air carrier is operating under exemption authority issued by DOT, enter the DOT docket number. If the carrier is a Canadian Charter Air Taxi Operator registered with DOT under 14 CFR part 294, enter the word “Registrant” and the number.
3)      The DOT order or docket expiration date if applicable, or enter “NA”. Note that exemption authority will always have an expiration date.
4)      The identifying number of the foreign air carrier’s AOC as issued by the CAA of the State of the Operator. A copy of the AOC must be provided and the AOC verified with the CAA prior to issuance of 14 CFR part 129 OpSpecs.
5)      The physical address of the foreign air carrier’s place of business or residence within the State of the Operator.

Note:       NOTE: Under international law, the State of the Operator is responsible for issuing an AOC to a carrier that engages in international commercial air transport. The AOC must be issued in accordance with the standards of Annex 6 to the Convention on International Civil Aviation (the Chicago Convention). Annex 6, Operation of Aircraft—Aeroplanes, defines the State of the Operator as “the State in which the carrier’s principal place of business is located or, if there is no such place of business, the carrier’s permanent residence.”

6)      The address of the foreign air carrier within the U.S. Some foreign carriers will have an operations representative in the U.S. (for example, “Representative for North American Operations”). If the carrier does not have an address within the U.S., enter “None.”
7)      The foreign air carrier’s mailing address for international mail delivery to its principal place of business or residence within the State of the Operator.
8)      Doing business as (DBA) names authorized by DOT and the State of the Operator. See paragraph D below for a detailed explanation.

D.    DBAs. OpSpec A001 provides for the authorization to conduct operations under other business names known as “doing business as” (DBA). If DBAs are authorized, “other business names DBAs” must be listed in the foreign carrier’s OpSpecs in A001, subparagraph c. If no operations are authorized to be conducted under a DBA, the statement selected for subparagraph c will state, “The foreign air carrier shall use only the business name which appears on the operations specifications for those operations described in subparagraph b.” Before listing a DBA in a foreign air carrier’s OpSpecs or entering a DBA in a foreign air carrier VIS File, inspectors must verify that the DBA is on file with DOT by one of the following means:

1)      The carrier shows that the DBA is listed on its DOT registration for Canadian Charter Air Taxi Operators issued DOT authority under part 294 (registration and proof of insurance), or
2)      The carrier shows that the DBA is listed on the foreign air carrier permit or exemption authority issued by DOT; or
3)      Principal inspectors can verify the foreign carrier’s DBA by contacting DOT’s Foreign Air Carrier Licensing Division at (202) 366‑2391 or by using DOT’s DMS available on the web at http://dms.dot.gov/.

OPSPEC A002—DEFINITIONS AND ABBREVIATIONS (required for all air carriers).OpSpec A002 includes definitions of words or phrases used in other OpSpecs paragraphs. These definitions enhance understandings between the FAA and foreign air carriers. These definitions have been developed by the International Programs and Policy Office (AFS‑50) and shall not be changed by regional or district offices. Definitions will be added by AFS–50 when it becomes apparent that they are needed. Addition of a definition by an International Field Office (IFO) makes the whole paragraph nonstandard and must be processed as a nonstandard OpSpec request through AFS–50 for approval.

OPSPEC A003—AIRCRAFT AUTHORIZATION (required for all air carriers).

A.     The Intent of Paragraph A003. Paragraph A003 lists the aircraft that the FAA has authorized a foreign air carrier to use in its operations to the U.S. by make, model, and series (M/M/S) and registration/serial number. This paragraph also describes the following specific requirements in order for the aircraft to be listed in A003 and used by a foreign air carrier to conduct its international air transportation operations within the U.S.

1)      Aircraft Registration and Airworthiness Certificates. The aircraft must have on board a current and valid certificate of airworthiness and registration issued by the State of Registry. The Chicago Convention requires in Article 29 that aircraft engaged in international navigation carry a certificate of airworthiness and registration. Airworthiness and registration certificates are also required for foreign air carrier aircraft by 14 CFR part 91, §§ 91.203(a)(1) and (2); part 129, § 129.13; and part 375, § 375.20. If the aircraft is subject to an agreement made under Article 83 bis to the Chicago Convention, the certificate of airworthiness may be issued by the State of the Operator.
2)      Airworthiness Code. The State of Registry must have a comprehensive and detailed national airworthiness code established for the class of aircraft as required by International Civil Aviation Organization (ICAO) Annex 8—Airworthiness of Aircraft, Part II, paragraph 3.2.2. Determinations concerning the adequacy of a State’s airworthiness code are made under the FAA’s International Aviation Safety Assessment (IASA) program. If any doubt exists, contact the airworthiness staff at AFS–50 before adding the aircraft.
3)      Maintenance Programs. Each aircraft must have a maintenance program approved by the State of Registry or, for an aircraft subject to an Article 83 bis agreement, by the State of the operator. For aircraft subject to an Article 83 bis agreement, verify the agreement has been registered with ICAO and covers the applicable aircraft. The maintenance program shall conform to the international standards set forth in ICAO Annex 6, Part I—International Commercial Air Transport—Aeroplanes, Chapters 8 and 11. For each U.S. registered aircraft, the FAA must have approved the maintenance program in accordance with § 129.14(a).
4)      Minimum Equipment List (MEL). Accept as detailed in subparagraph 5 below, each aircraft listed must have a MEL that conforms to ICAO Annex 6, Part I, paragraph 6.1.2 and that is approved by the State of the Operator in accordance with ICAO Annex 6, Part I, paragraph 4.2.2.2. For each U.S. registered aircraft, the FAA in accordance with § 129.14(b) must have approved the MEL (see Chapter 3, Section 1 for approval of MEL for operations under part 129).
5)      MEL Exceptions. In some countries the CAA has not developed the Master Minimum Equipment List (MMEL) and/or approval process for development and use of an MEL by carriers operating small aircraft. Likewise, while the FAA highly encourages operators to use MELs in the U.S., 14 CFR part 135 does not require MELs for aircraft operating under part 135, provided the aircraft are not operated with equipment inoperative (part 135, § 135.179). Therefore, if the foreign air carrier does not have an MEL developed for small aircraft other than turbojets (i.e., an aircraft with a seating capacity of 30 passengers or less and/or a maximum payload of 7,500 pounds or less) that it wants to operate to the U.S., they may be authorized to operate these aircraft to the U.S. provided the following limitation is added to paragraph A003 as additional text:

“i. Ref. Aircraft MEL required in subparagraph (d) above

 

1. The following aircraft listed below do not have a MEL approved by (insert name of foreign CAA) in accordance with the requirements of ICAO Annex 6, Part 1, paragraph 6.1.2 or Part 3, paragraph 4.1.2 as applicable:

 

(Insert aircraft M/M/S, specific aircraft registration, or both)

 

2. Accordingly, all systems and equipment for the above listed aircraft shall be operative when dispatched into the U.S., and the aircraft shall not take off within the U.S. with installed instruments or equipment inoperative, when conducting an operation under 14 CFR part 129.”

6)      Airworthiness Directives (ADs). A foreign air carrier must have properly accomplished all airworthiness directives issued by the State of Registry or adopted by the State of Registry from the State of Design applicable to each aircraft listed, in accordance with ICAO Annex 6, Part I, Chapters 8 and 11. After the aircraft is on the OpSpecs, the failure to comply on an ongoing basis with all applicable airworthiness directives is justification for removing the aircraft from the OpSpecs.

Note:       NOTE: Paragraph A447 must also be issued to each carrier operating U.S. registered aircraft, which are listed in A003, to enable the FAA to notify the foreign carrier regarding emergency airworthiness directives.

7)      Flight Deck Security. Section 129.28 establishes additional flight deck security requirements to prevent unwanted persons from entering the flight deck when operating to the U.S.
8)      Reduced Vertical Separation Minimum (RVSM) Operations. Both operation in U.S. airspace designated as RVSM airspace and operations in airspace designated as RVSM airspace outside the U.S. with U.S.-registered airplanes requires authorization by the FAA in accordance with §§ 91.180 and 91.706. Additional guidance for authorizing RVSM is contained in OpSpecs B046 and D092 guidance.
a)      The foreign air carrier or foreign operator is authorized to conduct operations in U.S. airspace designated as RVSM airspace in accordance with § 91.180, the limitations and provisions of OpSpec B046, and, for U.S. registered aircraft, in accordance with the FAA approved maintenance program requirements of OpSpec D092, provided they are listed in OpSpec A003 as being authorized for RVSM.
b)      The foreign air carrier or foreign operator conducting operations with U.S. registered airplanes is authorized to conduct operations in airspace designated as RVSM airspace outside the U.S. in accordance with § 91.706, the limitations and provisions of OpSpec B046 and the FAA approved maintenance program requirements of OpSpec D092, provided they are listed in OpSpec A003 as being authorized for RVSM.
9)      Minimum Navigation Performance Specifications (MNPS) Operations. MNPS Operations with U.S. registered aircraft requires authorization by the FAA in accordance with § 91.705, this includes operations outside the U.S. Foreign carriers or foreign persons holding OpSpecs issued under part 129 or part 129, § 129.14 shall be authorized MNPS operations by operations specifications. Additional guidance for authorizing MNPS operations with U.S. registered aircraft is contained in OpSpec B039 guidance. Operations of U.S. registered aircraft within the airspace defined as the North Atlantic Tracks MNPS (NAT/MNPS) is authorized in accordance with § 91.705, the limitations and provisions of OpSpec B039 provided they are listed in OpSpec A003 as being authorized for MNPS.

B.     Information to be Entered into the automated Operations Safety System (OPSS).All aircraft information must be first entered into the automated OPSS system under the Certificate Holder, Aircraft Authorization Menu and then loaded into OpSpec A003 in the Select Data screen. All of the aircraft that the foreign air carrier owns, dry leases, or wet leases that they will operate within the U.S. must be entered in this OpSpec. Both foreign registered and U.S. registered aircraft must be entered. Aircraft that the air carrier operates but are wet leased or operated under an interchange agreement from another carrier will need to be issued OpSpec A028, Aircraft Wet Lease Arrangements, or OpSpec A029, Aircraft Interchange Arrangements. The aircraft will only be listed in OpSpec A003 of the “primary operator’s” OpSpecs in the case of an interchange operation, or the “lessor’s” OpSpecs in the case of a wet lease. (See Volume 12, Chapter 2, Section 9, Lease, Interchange, and Charter Arrangements). A job aid for adding an aircraft to part 129 OpSpecs is available in the OPSS system under paragraph guidance. The following provides direction for the information fields, which must be added to this OpSpec:

1)      M/M/S. When entering an authorized M/M/S into OpSpec A003, you should select it from the listing provided in the OPSS. If the appropriate M/M/S cannot be found in the OPSS, inspectors should immediately notify the OPSS Help Desk so that the table can be updated. On the Certificate Holder, Aircraft Authorization menu, enter data on both the general and detail tab.
2)      Aircraft serial number. Enter the manufacturer’s aircraft serial number.
3)      Aircraft Registration Number. Enter the aircraft registration marking assigned by the State of Registry. ICAO defines the State of Registry as “The State on whose register the aircraft is entered.” In accordance with Article 18 of the Chicago Convention, an aircraft cannot be validly registered in more than one State.
4)      Configuration. Select “All Cargo, Combi, Passenger, or Pax and cargo.”
5)      En route. Inspectors must enter the appropriate en route flight rule for each M/M/S. If the M/M/S is a large aircraft as defined in OpSpec A002 and/or approved for only instrument flight rules (IFR) operations by the State of the Operator CAA, enter the phrase “IFR” in the column labeled “En route.” If the M/M/S is other than a large aircraft as defined in OpSpec A002 and/or restricted to visual flight rules (VFR) only operations by the State of the Operator CAA, select the phrase “VFR”. If the M/M/S is other than a large aircraft as defined in OpSpec A002 and/or approved for both IFR and VFR operations by the State of the Operator CAA, select the phrase “IFR/VFR”.
6)      Condition. Also select the day/night condition for each M/M/S. If the State of the Operator CAA approves the M/M/S for both day and night conditions, select the phrase “Day/Night” in the block labeled “Condition.” If the State of the Operator CAA approves the M/M/S for daylight conditions only, select the phrase “Day Only.”
7)      Noise stage—Only applies to turbojet airplanes with a maximum weight of more than 75,000 pounds otherwise enter NA. Select the aircraft noise stage II or III. If the aircraft is stage II or the aircraft is a dual noise stage certificated B 747, then OpSpec A026, Restricted Operation of Certain Stage 2 Airplanes, must also be issued to the foreign air carrier. Evidence of noise stage should be from approved aircraft documentation such as a noise certificate if issued, approved Flight Manual, or other document issued by the State of Registry.
8)      Authorized RVSM. Enter “Yes” or “No” in this block as is applicable to the aircraft. You must enter this information at “Select Data” because it does not automatically load from the aircraft authorization database.
9)      Authorized MNPS. Enter “Yes” or “No” in this block as applicable to the U.S. registered aircraft. Enter “NA” for foreign registered aircraft, as the FAA does not authorize MNPS for foreign registered aircraft. MNPS operations for foreign registered aircraft are authorized by the State of the Operator or State of Registry as applicable. You must enter this information at “Select Data” because it does not automatically load from the aircraft authorization database.

C.     Adding or Deleting an Aircraft. Inspectors should instruct a foreign air carrier who wishes to add or delete an aircraft to their part 129 OpSpecs to submit a letter to their OpSpecs holding IFO. The air carrier should address the letter to its principal inspectors as listed in OpSpec A001 requesting the aircraft addition or deletion. The principal inspectors assigned to the foreign air carrier should obtain and review the following documents prior to adding an aircraft to the air carrier’s OpSpecs:

1)      Obtain and review a copy of the State of the Operator issued operation specifications/air carrier certificate or other document, reflecting that the proposed aircraft is authorized for the proposed type of operation by the State of the Operator.
2)      Obtain and review (if applicable) any aircraft lease (wet or dry) or interchange agreements. The lease or interchange agreements must address who is responsible for aircraft maintenance, operational control, flight crew and cabin crew responsibility, etc. If no lease or interchange agreement is applicable, review the copies of documents showing ownership of the aircraft. (See Volume 12, Chapter 2, Section 9, Lease, Interchange and Charter Arrangements.)
3)      Obtain and review approvals of the State of the Operator and State of Registry relating to the aircraft maintenance programs. This paragraph and ICAO Annex 6 establish the requirement that the aircraft’s airworthiness certification be in accordance with a comprehensive and detailed code of airworthiness. Therefore, if the aircraft is registered in a country (which may not be the State of the Operator) that is IASA Category 2 (or has not been assessed by the FAA), coordinate with AFS–50 airworthiness staff before adding the aircraft.
4)      Obtain and review the following aircraft specific documentation showing approval from the State of the Operator and State of Registry and/or compliance by the foreign air carrier, as applicable:
a)      The certificate of airworthiness and registration issued by the State of Registry or the State of the Operator in the case of an existing 83 bis agreement (See Volume 12, Chapter 2, Section 9).
b)      If the aircraft is subject to an 83 bis agreement, review the 83 bis agreement and ensure agreement registration with ICAO.
c)      Approval by the State of the Operator for the aircraft Minimum Equipment List (MEL) with exception noted above in subparagraph A5.
d)      Noise Stage compliance for each applicable aircraft.
e)      Documentation that flightdeck door security requirements have been met in accordance with § 129.28.
f)        Terminal Collision and Avoidance System, (TCAS) Air Carrier Analysis System (ACAS) installation approval including compliance with required software version number for aircraft equipped with TCAS II.
g)      Aircraft configuration information showing the State of Registry and/or State of the operator approved aircraft configurations such as “All Cargo, Combi, Passenger, or Pax and cargo.”
h)      The carrier has each required approval from the State of the Operator CAA for specific operations such as RVSM, Category II, Category III, instrument landing system (ILS)/precision runway monitor (PRM) land and hold short operations (LAHSO), etc., to be authorized in the OpSpecs.
i)        Verification of necessary U.S. DOT approvals—Verify that the carrier is authorized the number/type of aircraft with the addition of the new aircraft in accordance with their economic authority and the carrier has required insurance. Principal inspectors can verify the foreign carrier’s economic authority by contacting DOT’s Foreign Air Carrier Licensing Division at (202) 366–2391 or by using DOT’s Docket Management System (DMS) available on the web at http://dms.dot.gov/. Contact the Air Transportation Division, Program Management Branch, Technical Programs Branch (AFS–260), to verify that the air carriers insurance company has filed a properly completed OST form 6411, indicating that the additional aircraft have required insurance coverage. Insurance may be verified by contacting the following personnel:

·        Ms. Kathy Tatum, Program Specialist (for foreign carrier names A–D), at (202) 267–7897,

·        George Ceffalo, Program Specialist (for foreign carrier names E–N),

·        Roy Robinson, Program Specialist (for foreign carrier names O–Z), at (202) 267–7773, and

·        In the case of foreign air carriers who have been issued OpSpecs managed by the Alaskan Region, insurance verification can be completed by contacting the Alaskan Region, Flight Standards Division, (AAL–230), who monitors insurance on those carriers for the Air Transportation Technical Programs Branch, AFS–260, at (907) 271–5908.

j)        A statement from the foreign air carrier that the aircraft meets the aircraft equipment requirements of ICAO Annex 6 Part I for airplanes or Part III for helicopters as appropriate (See § 129.11(a).)

Note:       NOTE: A foreign air carrier whose aircraft does not meet the aircraft equipment requirements of ICAO Annex 6 must apply for and receive an exemption from the administrator in accordance with 14 CFR part 11 before the aircraft can be added to the air carrier’s OpSpecs.

5)      Obtain and review aircraft specific documentation for each U.S. registered aircraft to verify the following:
a)      Approval of aircraft maintenance program and MEL by the FAA in accordance with § 129.14.
b)      The air carrier has complied with supplemental inspection requirements for U.S. registered aircraft in accordance with § 129.16 as applicable.
c)      Digital flight data recorder (FDR) installation is in accordance with § 129.20.
d)      The air carrier has complied with special maintenance program requirements in accordance with § 129.32 as applicable.
e)      The air carrier has complied with aging airplane inspections and records reviews for multiengine aircraft in accordance with § 129.33 as applicable. Enter appropriate data in OpSpec D485 regarding the airplane inspections and record reviews as appropriate.

OPSPEC A004—SUMMARY OF SPECIAL AUTHORIZATIONS AND LIMITATIONS (required for all air carriers).

D.    The Intent of OpSpec A004. This OpSpec summarizes optional authorizations applicable to the foreign air carrier that have been issued by OpSpecs. This OpSpec also summarizes limitations and restrictions that apply to the foreign carrier’s operations within the U.S. Although this OpSpec is completed automatically by OPSS, principal inspectors can use this OpSpec as a checklist in selecting other optional OpSpecs for issuance in the OPSS.

E.     Selecting Additonal Optional Paragraphs. Go to the tools menu in OPSS and then select “Edit paragraph A004”. Additional optional paragraphs can then be selected by checking the blocks for the associated authorizations, limitations, or restrictions. (See Figure 12 2.) These optional paragraphs will then be generated in the workspace.

Figure 12-2, Sample Workspace

 

OPSPEC A005—EXEMPTIONS AND DEVIATIONS (optional).

A.     General. Both exemptions and deviations may be authorized for a foreign air carrier. In order for a foreign air carrier to conduct operations under the provisions of any exemption or deviation, OpSpec A005 must be issued and list the exemption or deviation. Volume 3, Chapter 2 contains the process for application and approval of exemptions or deviations.

B.     Exemptions. Enter the current exemption number and expiration date in paragraph “a” of OpSpec A005. List the exemption numbers in numerical order. In the space labeled “Remarks and/or References” (adjacent to each exemption), enter a brief description of the exemption or, if appropriate, the exempted regulations. If another paragraph of OpSpecs specifies certain conditions or limitations related to the exemption, enter the reference number of the other paragraph in this space. Coordinate all exemptions with AFS–50 prior to authorization in the foreign carriers OpSpecs.

C.     Deviations. Enter the applicable 14 CFR sections to which a deviation has been granted in paragraph “b” of OpSpec A005. List the deviations in numerical order by 14 CFR section. In the space labeled “Remarks and/or References” (adjacent to each deviation), briefly describe the provisions of the deviation or indicate a reference number for the standard OpSpecs paragraph which authorizes the deviation. Coordinate all deviations with AFS–50 prior to authorization in the foreign carriers OpSpecs.

OPSPEC A006–MANAGEMENT PERSONNEL (required for all air carriers).

A.     The Intent of OpSpec A006. A foreign air carrier’s management personnel may have titles significantly different from titles of management positions used in 14 CFR parts 121 and 135. In addition, under part 129, there is no regulatory requirement for foreign air carrier management personnel, nor is it within the FAA’s authority to approve foreign air carrier management personnel. The intent of OpSpec A006 is to clearly identify the air carrier’s key management personnel who are fulfilling management positions in accordance with the carriers own requirements as well as any that are imposed by the State of the Operator CAA.

B.     Direction for the Information Fields. The following provides direction for the information fields, which must be added to this paragraph.

1)      Paragraph “a” should include the Position Title, Name, and telephone number and other contact information such as telex, fax, and email, of the responsible foreign air carrier’s management individuals. At a minimum, the names of the Director of Maintenance, Director of Operations, Director of Quality Assurance, Director of Safety, and Chief Pilot (or foreign equivalent titles that fulfill similar responsibilities) should be entered in this paragraph.
2)      Paragraph “b” should include foreign air carrier’s point of contact in the U.S., include the Position Title, name, and telephone number and other contact information such as telex, fax, and email. Some foreign air carriers will have a management representative in the U.S. (for example, “Manager of U.S. Operations”). If the carrier does not have a management representative within the U.S., enter “None” in the name block.
3)      Paragraph “c” should include the Position Title, name, and telephone number and other contact information such as telex, fax, and email of the foreign CAA official responsible for issuing the AOC and ensuring continuing oversight of the foreign air carrier.

OPSPEC A007—OTHER DESIGNATED PERSONS (required for all air carriers).

A.     Agent for Service. An agent for service is a person or company designated by the foreign air carrier upon whom all legal notices, processes and orders, decisions, and requirements of the DOT, FAA, and the National Transportation Safety Board (NTSB) shall be served. Once any of these documents has been served upon the foreign carrier’s agent for service, the foreign air carrier cannot claim (legally) that it did not receive the documents. Title 49 of the U.S. Code (49 U.S.C.), § 46103 (a) requires foreign air carriers to designate an agent for service. Subparagraph “a” should include the Name, Position Title, and telephone number and other contact information such as telex, fax, and email of the air carrier’s agent for service.

B.     Persons Designated to Apply for and Receive OpSpecs. Subparagraph “b” should include the Name, Position, and Title of persons designated by the carrier as authorized to apply for and receive OpSpecs. Also enter the OpSpecs parts for which the designated person is responsible. Principal inspectors may determine that it is appropriate to have signatures of these designated persons recorded in this subparagraph, which may be entered as additional text.

OPSPEC A008—OPERATIONAL CONTROL (required for all air carriers).

A.     The Intent of OpSpec A008. Each foreign carrier operating to the U.S. in accordance with part 129 must have a method of control and supervision of flight operations in accordance with ICAO Annex 6 Part I, paragraph 4.2.1.3. This method of control and supervision must be contained in the manual required by ICAO Annex 6, Part I, paragraph 4.2.2 (operational control). The State of the Operator (CAA) must have accepted or approved this manual. The intent of OpSpec A008 is to promote a mutual understanding between a foreign air carrier and the FAA concerning the system and/or procedures used by that carrier. ICAO defines “Operational Control” as “The exercise of authority over the initiation, continuation, diversion or termination of a flight in the interest of the safety of the aircraft and the regularity and efficiency of the flight.”

B.     Referencing Foreign Air Carrier System and/or Procedures. OpSpec A008 must describe or reference the systems and/or procedures used by a foreign air carrier. It is preferable to complete OpSpec A008 with references to a carrier’s manual or sections of a carrier’s manual, which describe the system and/or procedures used by that carrier. It is not necessary to control these references by date. The references should be changed only when a revision to the carrier’s manual makes the reference in the OpSpecs incorrect. When a carrier’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be necessary. When a narrative description is used, it should be brief but provide sufficient information so that the FAA and the carrier have the same understanding about the system and/or procedures used by the carrier.

C.     Description of Flight Movement Systems and/or Procedures.The description of the systems and/or procedures for controlling flight movement as described in the carrier’s manual and referenced and/or described in the OpSpecs should include the following types of information, as appropriate to the kind of operation:

·        Methods and procedures for initiating, diverting, and terminating flights,

·        Persons or duty positions authorized to, and responsible for, exercise of operational control,

·        Facilities and location of facilities used by the carrier in the exercise of operational control,

·        Communication systems and procedures used by the carrier,

·        Special coordination methods and/or procedures used by the carrier to assure the aircraft is airworthy, and

·        Emergency notification procedures.

OPSPEC A009—AIRPORT AERONAUTICAL DATA (required for all air carriers).

A.     Airport Aeronautical Data. Each foreign air carrier operating to the U.S. in accordance with part 129 must include airport aeronautical data in the manual required by Annex 6, Part 1, paragraph 4.2.2. The data required in accordance with Annex 6 is at least the following types of airport aeronautical data:

1)      Current aeronautical guides and charts. Information relating to communication facilities, navigation aids, aerodromes, and other such information. (Annex 6, Part 1, paragraph 6.2.3 and Appendix 2, 7.)
2)      Minimum flight altitudes. The method for determining minimum flight altitudes. The minimum flight altitudes for each route to be flown. (Annex 6, Part 1, paragraph 4.2.6.)
3)      Aerodrome operating minima. (Annex 6, Part I, paragraph 4.2.7 and Appendix 2, 9.)
a)      The methods for determining aerodrome operating minima.
b)      Aerodrome operating minima for each of the aerodromes that are likely to be used as aerodromes of intended landing or as alternate aerodromes.
c)      The increase of aerodrome operating minima in case of degradation of approach or aerodrome facilities.
4)      Aerodrome information. To enable performance calculation in accordance with Annex 6, Chapter 5, Airport Analysis.

B.     Annex 6 Compliance. Although the regulations do not require a foreign air carrier to obtain FAA approval of the system used, OpSpec A009 provides a method of promoting the same understanding between the carrier and FAA concerning the system the air carrier uses to comply with the Annex 6 requirements pertinent to airport aeronautical data.

C.     Referencing the State of the Operator-Approved System in OpSpec A009. The system that the State of the Operator approves/accepts must be described or referenced in OpSpec A009. When possible, the OpSpec should be completed by referencing pertinent sections of the carrier’s manual or other documents, which describe the system that the air carrier uses. When an air carrier’s manual does not adequately describe the system and/or procedures the air carrier uses, a narrative description combined with references may be necessary. When a narrative description is used, it should be brief but provide sufficient information so that the FAA and the carrier have the same understanding about the system and/or procedures used by the carrier to obtain, maintain, and distribute required airport aeronautical data.

OPSPEC A010—AERONAUTICAL WEATHER DATA (required for all air carriers).

A.     The Intent of OpSpec A010. The intent of OpSpec A010 is to promote the same understanding between the foreign air carrier and the FAA concerning the system used for obtaining and disseminating required weather data. The system described or referenced in this paragraph is the system that the foreign air carrier’s CAA has accepted or approved. The foreign air carrier uses the system to obtain and disseminate aeronautical weather data for the control of flight operations within the U.S., in accordance with ICAO Annex 6, Part I, paragraph 4.3.5. The manual required by ICAO Annex 6, Part I, paragraph 4.2.2 should contain this system.

B.     Referencing the State of the Operator-Approved System in OpSpec A010. OpSpec A010 must describe or reference the system that the State of the Operator approved/accepted. When possible, the paragraph should be completed by referencing pertinent sections of the carrier’s manual or other documents, which describe the system used by the carrier. When a carrier’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be necessary. When a narrative description is used, it should be brief but provide sufficient information so that the FAA and the air carrier have the same understanding about the system and/or procedures used by the carrier to obtain and disseminate aeronautical weather data.

OPSPEC A011–A013. Reserved for future use.

OPSPEC A014—SPECIAL EN ROUTE OPERATIONS IN CLASS G U.S. AIRSPACE (Optional).

A.     Opspec A014 En Route Operations Authorization.A014 provides authorization for IFR en route operations in Class G U.S. airspace. Other IFR en route authorizations may be found in OpSpecs B031, B034 and B035 if issued.

B.     OpSpec B031 En Route Operations Restrictions. OpSpec B031, which is issued to all air carriers, prohibits IFR en route operations in Class G airspace unless the principal operations inspector (POI) approves such operations by issuing A014. IFR operations in Class G airspace are not provided any air traffic control (ATC) separation services. The foreign air carrier and the pilot in command (PIC) are responsible for avoiding obstacles and other air traffic using procedures developed by the foreign air carrier.

C.     Before Authorizing En Route IFR Operations. Before authorizing en route IFR operations in Class G airspace for foreign air carriers:

1)      The POI must confirm the foreign air carrier has a method or procedure for assuring that any facilities and services, which this type of operation depends upon, are operational during the periods in which flights are to occur.
2)      The POI must also confirm that the carrier has developed procedures and guidance for crewmember use while operating in areas of en route operations in Class G airspace. Aeronautical Information Publications (AIP) or flight information region publications (FIR) have broadcast in the blind procedures and other guidance for crewmembers to use when large areas of Class G airspace are within the area covered by the AIP or FIR.
3)      The POI must also confirm that the carrier’s CAA has approved IFR en route operations in Class G airspace for the carrier.

D.    “Reciprocating and Turbo Propeller Powered.” The reference to OpSpecs B051 and B056 in A014 subparagraph (4) is to provide for “reciprocating and turbo propeller powered” large aircraft and small non turbojet VFR operations in Class G airspace.

E.     OpSpecs C064, C080, H113, and H121 Authorizations. OpSpecs C064, C080, H113, and H121 now authorize special terminal area IFR operations in Class G airspace, and/or for airplanes, operations at airports without an operating control tower.

OPSPEC A015–A022. Reserved for future use.

OPSPEC A023—PROCEDURE FOR DETERMINING OPERATIONS DURING GROUND ICING CONDITIONS (required for all air carriers conducting IFR operations).

A.     The Intent of Paragraph A023. The intent of paragraph A023 is to promote the same understanding between the foreign air carrier and the FAA concerning the system used for operations during ground icing conditions. The foreign air carrier uses the system described or referenced in this OpSpec to determine operations during ground icing conditions in accordance with the requirements contained in ICAO Annex 6, Part I, paragraph 4.3.5.4. The carrier’s manual, as required by ICAO Annex 6, Part I, paragraph 4.2.2 and Appendix 2, 5.6, must contain the system. The air carrier’s CAA needs to have accepted or approved the system. The Manual of Aircraft Ground Deicing/Anti icing Operations (Doc 9640) contains ICAO guidance for operations in ground icing conditions.

B.     Referencing the State of the Operator-Approved System in OpSpec A023. OpSpec A023 must describe or reference the system approved/accepted by the State of the Operator for foreign air carriers. Since Annex 6 requires the system to be in the air carrier’s manual, when possible, referencing pertinent sections of the air carrier’s manual or other documents that describe the system used by the air carrier should complete the OpSpec. When a single manual or document does not describe the system, it may be appropriate to provide an additional narrative description of the system to complete OpSpec A023. When a narrative description (or outline) is used, it should be brief but provide sufficient clarifying information, describing the complete system used to operate in ground icing conditions.

C.     Operating in Ground Deicing Conditions. The FAA will not require a procedure for operating in ground deicing conditions for:

·        A foreign air carrier who is only authorized en route VFR operations within the U.S. using small airplanes and/or helicopters, and

·        A foreign air carrier that conducts VFR only operations with small airplanes and/or helicopter for part of its operation within the U.S. for those aircraft.

D.    Appropriate Standard Statement for Foreign Air Carriers Without Ground Deicing Instructions. Therefore, if the foreign air carrier does not have instructions for the conduct and control of ground deicing developed in accordance with Annex 6, Part I, Appendix 2, 5.6, for its small airplanes and/or helicopters which are operated under VFR only, the following appropriate standard statement should be entered at the “text” tab of the select data screen.

1)      Foreign carrier for which part of their operation within the U.S. is conducted VFR only with small airplanes and/or helicopters:

“(insert name of foreign air carrier) has not developed instructions for the conduct and control of ground deicing in accordance with Annex 6, Part I, Appendix 2, 5.6, for all of their small airplanes and/or helicopters. For operations with the following aircraft, (insert aircraft M/M/S), which are operated VFR only within the U.S., (insert name of foreign air carrier) shall not authorize and no (insert name of foreign air carrier) pilot may take off within the U.S. any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the airplane when conducting an operation under 14 CFR part 129. All other operations shall be conducted in accordance with the following ground icing procedures: (Enter the system used by the foreign air carrier to determine operations during ground icing conditions)”

2)      Foreign carrier for which all of their operations within the U.S. are conducted VFR only with small airplanes and/or helicopters:

“(insert name of foreign air carrier) has not developed instructions for the conduct and control of ground deicing in accordance with Annex 6, Part I, Appendix 2, 5.6. (insert name of foreign air carrier) shall not authorize and no (insert name of foreign air carrier) pilot may take off within the U.S. any time conditions are such that frost, ice, or snow may reasonably be expected to adhere to the airplane when conducting an operation under 14 CFR part 129.”

OPSPEC A024—AIR AMBULANCE OPERATIONS (optional).

A.     The Intent of OpSpec A024. The intent of OpSpec A024 is to promote the same understanding between the foreign air carrier and the FAA concerning the safe conduct of air ambulance operations within U.S. airspace.

B.     Foreign Air Carrier Air Ambulance Procedures. The foreign air carrier should have air ambulance procedures in their manual that has been approved/accepted by the foreign air carrier’s state CAA. While ICAO Annex 6 does not contain specific references to air ambulance operations, it does require that:

1)      The Operations Manual required by Annex 6, paragraph 4.2.2 and Appendix 2 contain:

·        Instructions outlining the responsibilities of operations personnel pertaining to the conduct of flight operations, and

·        Checklists of emergency and safety equipment and instructions for its use.

2)      An operator shall ensure that all operations personnel are properly instructed in their particular duties and responsibilities and the relationship of such duties to the operation as a whole as required by ICAO Annex 6, paragraph 4.2.3.1.

C.     Ensuring Crewmember Air Ambulance Training. The foreign air carrier should ensure that all crewmembers have been trained in air ambulance procedures in accordance with a training program approved by the foreign air carrier’s state CAA. While ICAO Annex 6 does not contain specific references to air ambulance training, Paragraphs 9.3.1 and 12.4 require that an operator establish and maintain a ground and flight training program, approved by the State of the Operator, which ensures that all flight and cabin crewmembers are adequately trained to perform their assigned duties. In addition, 4.2.3.1 and Appendix 2 require that all operations personnel are properly instructed in their particular duties and responsibilities and the relationship of such duties to the operation as a whole, and that instructions are contained in the operator’s manual.

D.    Prior to Issuing OpSpec AO24. Prior to issuing OpSpec A024, the Inspector should review the appropriate documentation to ensure that:

1)      The air carrier has procedures in its manual for air ambulance operations that its CAA has approved/accepted. Absent any guidance or requirements from the State of the Operator, the air carrier may use the advisory information in the current editions of FAA Advisory Circular AC 135‑15, Emergency Medical Service/Airplane (EMS/A) and/or AC 135‑14A, Emergency Medical Services/Helicopter (EMS/H). The foreign air carrier’s air ambulance procedures should be consistent with those of a U.S. air carrier authorized to conduct similar air ambulance flights.
2)      The carrier has air ambulance operations included in their approved crewmember training program. The minimum training should indicate that the PIC (and the second in command (SIC) if appropriate) is trained in the same areas as required of all pilots and supplemented by training in any additional aircraft equipment, normal operating procedures and emergency procedures specific to air ambulance operations. The inspector should also determine whether medical personnel participating in the flight are considered passengers or crewmembers in order to determine the extent of training required.
3)      The carrier is authorized by an appropriate government agency within the State of the Operator (CAA or other agency). This may be in the form of a letter, operating certificate, or other document. The inclusion of air ambulance procedures and training in required manuals may be sufficient to determine if the operator is authorized to conduct air ambulance operations since those procedures and training will have been approved/accepted by the State of the Operator.
4)      The installation of the medical equipment (or air ambulance required equipment) on the aircraft (the aircraft modification) has been approved by the State of Registry and the State of the Operator.

E.     Referencing the State of the Operator-Approved System in OpSpec A024. The system approved/accepted by the State of the Operator for the foreign air carrier must be described or referenced in OpSpec A024. Referencing pertinent sections of the air carrier’s manual or other documents that describe the system used by the air carrier should complete the paragraph. When a single manual or document does not adequately describe a system, it may be appropriate to provide an additional narrative description of the system in additional text to complete OpSpec A024. When a narrative description (or outline) is used, it should be brief but provide sufficient clarifying information, describing the complete system for air ambulance operations.

OPSPEC A025. Reserved for future use.

OPSPEC A026—RESTRICTED OPERATION OF CERTAIN STAGE 2 AIRPLANES (optional).

A.     General. The intent of OpSpec A026 is to promote the same understanding between the foreign air carrier and the FAA concerning aircraft noise requirements and ensure that a foreign air carrier who operates Stage 2 aircraft to the U.S. is in compliance with the Airport Noise and Capacity Act (ANCA) of 1990. ANCA prohibits the operation of civil subsonic turbojet Stage 2 airplanes over 75,000 pounds in the contiguous U.S. after December 31, 1999. On November 29, 1999, the President signed into law certain changes to ANCA that affect operators of Stage 2 airplanes. These changes distinguish airplanes by type of certification and operation. The prohibition on revenue operations of Stage 2 airplanes after December 31, 1999, remains in effect.

B.     Noise Requirements. The noise requirements were implemented in 14 CFR parts 36 and 91, §§ 91.801 through 91.877. In accordance with 14 CFR part 91, no foreign air carrier shall operate any aircraft to or from any airport in the contiguous U.S., unless it complies with Stage 3 noise levels. Subparagraph “a” of OpSpec A026 reiterates this requirement. There are two exceptions to this requirement as follows:

1)      Dual Certificated Boeing 747 Airplanes. At the foreign air carrier’s discretion, in order to comply with the noise requirements of § 91.853, an operator of a Boeing 747 that is currently certificated for operation in either a Stage 2 or Stage 3 configuration (per the aircraft flight manual) may choose to limit the operation of that airplane to Stage 3 configuration only, to allow operation in the contiguous U.S. These airplanes should be entered in subparagraph “b” of OpSpec A026, including M/M/S, registration number, and serial number.
2)      Other Stage 2 Airplanes. The foreign carrier may choose to restrict their operation to operations solely outside the 48 contiguous U.S. Section 91.857 requires that this restriction be included in the carrier’s operations specifications. These airplanes should be entered in subparagraph “c” of OpSpec A026, including M/M/S, registration number, and serial number.

C.     Additional Information. The law permits a range of nonrevenue Stage 2 operations. Any operator of a Stage 2 airplane over 75,000 pounds may operate in the contiguous U.S. for the following purposes:

1)      To sell, lease, or scrap the airplane.
2)      To obtain modifications to meet Stage 3 requirements. Operators moving a Stage 2 airplane to a location for Stage 3 modification must provide a copy of the modification contract to the FAA with the application for a special flight authorization.
3)      To obtain scheduled heavy maintenance or significant modifications. The FAA interprets “scheduled heavy maintenance” to mean a “C” or “D” check; “significant modifications” are those requiring special knowledge or equipment not readily available elsewhere or not practicable outside the U.S.
4)      To deliver the airplane to a lessee or return it to a lessor.
5)      To park or store the airplane.
6)      To prepare the airplane for any of these events.

D.    Special Flight Authorizations. The operator of a Stage 2 airplane that wishes to operate in the contiguous U.S. for any of the purposes listed above may apply to the FAA’s Office of Environment and Energy (AEE) for a special authorization. The applications are due 30 days in advance of the planned flight and must provide the information necessary for the FAA to determine that the planned flight is within the limits prescribed in the law.

OPSPEC A027—LAND AND HOLD SHORT OPERATIONS (Optional).

A.     General. This paragraph authorizes land-and-hold-short operations (LAHSO) for foreign air carriers operating under part 129, after requirements for operational policies, procedures, and training for LAHSO have been met. No air carrier may participate in LAHSO unless it has accomplished flight crew training. The information contained in this subparagraph is critical to the safety of LAHSO and will be used in conjunction with FAA Air Traffic Order 7110.118, Land and Hold Short Operations (LAHSO).

B.     Background. In 1997, the FAA expanded and replaced simultaneous operations on intersecting runways (SOIR) with LAHSO. SOIR, used since 1968, exclusively described simultaneous operations on two intersecting runways; either two aircraft landing simultaneously or one aircraft landing while another is taking off. LAHSO includes landing operations to hold short of an intersecting runway, taxiway, predetermined point, or an approach/departure flight path. LAHSO, just as SOIR, is an ATC tool used to increase airport capacity and maintain system efficiency and safety. In April 1999, the FAA, in coordination with industry, outlined changes in policy and procedures for conducting LAHSO. LAHSO procedures require both pilot and controller participation to balance the need for system efficiency and safety. These operations include landing and holding short of an intersecting runway, an intersecting taxiway, or some other predetermined point on the runway other than on a runway or taxiway.

C.     Requirements. Foreign air carriers may not participate in LAHSO and the FAA will not issue OpSpec A027 unless the following conditions are met:

1)      The appropriate CAA having oversight responsibility for the foreign air carrier has authorized the air carrier to conduct LAHSO.
2)      The appropriate CAA certifies as to the completion of training a