A. The Federal Aviation Administration (FAA)
is empowered, by statutory requirement, ď...to carry out the functions,
powers, and duties of the Secretary relating to aviation safety.Ē One of
the most significant duties of the FAA is to conduct surveillance in all
areas of air transportation safety. Surveillance is a continuing duty and
responsibility of all aviation safety inspectors in the flight standards
organization. The term ďsurveillance,Ē as used in this handbook, relates
to this ongoing duty and responsibility and related programs. Surveillance
programs provide the FAA with a method for the continual evaluation of operator
compliance with Title 14 of the Code of Federal Regulations (14 CFR) and
safe operating practices. Information generated from the surveillance programs
permits the FAA to act upon deficiencies, which affect or have a potential
effect on aviation safety. For surveillance programs to be effective, they
must be carefully planned and executed during the conduct of specific inspection
activity. Inspections provide specific data, which can be further evaluated;
therefore, they support and maintain ongoing surveillance programs. Inspections
are specific work activities that have the following characteristics:
A specific work activity title and PTRS code;
A definite beginning and a definite end;
Specific objectives; and
A requirement for a report of findings (either positive, negative, or both)
B. Training center program managers (TCPM)
have regulatory oversight responsibility for certificated 14 CFR, part
142 training centers and the task of determining if a certificated training
center continues to meet the requirements of their initial certification
as defined during the certification process. A comprehensive surveillance
plan will enable the TCPM to:
Determine each operatorís compliance with regulatory requirements and safe
Detect changes as they occur in the operational environment;
Detect the need for regulatory, managerial, and operational changes; and
Measure the effectiveness of previous corrective actions and focus on the
certificate holdersí ability to continue to offer the training, testing,
and checking authorized by its certificate and training specifications
A. FAA polices and procedures for surveillance
activities are detailed in Volume 6. TCPMs and their assistants should review
volume 6 for guidance on the development of a surveillance plan for assigned
Volume 6, Chapter 1, Sections 1 and 2 provides policies and procedures
for the planning and execution of surveillance programs. Volume 6, Chapter
2 contains specific surveillance guidance on various types of inspections
that will also aid with the development of an appropriate surveillance plan.
Volume 6, Sections 2 through 10 and 17 through 19 pertain to centers that
conduct actual aircraft training. Volume 6, Section 11 deals with base inspections,
which contains information applicable to all centers, associated satellites,
and remote sites.
B. The information in this section is meant
to supplement the surveillance guidelines in
FAA Order 8900.1 , Volume 6 and will concentrate on specific areas relating
to the inspection of part
142 training centers, their satellites, and or remote sets.
6-1603 SURVEILLANCE PLAN.
A. Four-Phase Surveillance Programs. When developing
a surveillance plan, be sure to follow the four phases for planning and
executing surveillance programs located in Volume 6, Chapter 1 of this order.
Specific guidance for each phase is also located in volume 6, chapter 1.
B. Frequency and Timing. Although unannounced
inspections may be appropriate under some conditions, inspectors should
consider conducting inspections at a time agreed and coordinated with the
training centers management. Whenever practicable, the more encompassing
formal inspections should be conducted during normal working hours (0800-1700).
Routine daily or weekly inspections and/or observations should be conducted
randomly and at times and places to ensure compliance with the certificate-holding
district officeís (CHDO) surveillance plan. Surveillance plans for centers
that operate around or nearly around the clock should include inspections
throughout the centerís operating hours.
C. CHDO, Flight Standards District Office (FSDO),
International Field Office (IFO) Responsibilities. Surveillance and
inspection of satellite training centers and remote training sites will
normally be conducted by the FSDO/IFO holding geographic responsibility
for the particular center or site after coordination with the CHDO. Consult
FAA Notice 8000.363, Flight Standards Geographic Program, for guidance on
geographic responsibility. (PTRS code 1559.)
NOTE: The surveillance coordination between a certificate-holding
district office (CHDO) and related FSDO/IFO satellite district office(s)
(SDO) for the surveillance of satellite center(s) or remote sites is outlined
in subparagraph 6-1603H of this section.
D. Developing a Surveillance Plan. The basis
for a good surveillance plan begins with an evaluation of the centers; original
certification documentation, training specifications, and the centers compliance
statement (if available). Secondly, inspectors should evaluate the requirements
for initial certification, outlined in section 6 of this chapter, on a recurring
basis as part of any comprehensive inspection process.
E. Job Aids. Inspectors can find job aids to
assist with their inspection functions on AFS-210ís
Part 142 Web
site. Inspection areas that do not have a job aid available should use the
detailed guidance for that subject located within this chapter. (PTRS codes
1603, 1607, 1612, 1621, 1626, 1629, 1630, 1640, 1641, 1642, 1643, 1644,
1645, 1646, 1647, 1649, 1650, 1652, 1653, 1654, 1662 1668, 1672, and 1673.)
F. Policies and Procedures. Volume 6 outlines
the agencies policies and procedures for the development of surveillance
plans and remains the primary guidance. The following subparagraphs are
provided as a supplement to the guidance provided in volume 6 and not meant
to replace or supersede that guidance.
1) Aircraft and Ramp Checks. Ramp checks may include
foreign aircraft, aircraft not yet registered, and aircraft furnished by
clients or applicants.
2) Observation of Training Programs. TCPMs will schedule
periodic observations of approved curricula and/or courses to ensure that
each curriculum is being conducted in accordance with its current approval
and to ensure the courseware originally or subsequently approved for the
specific curriculum is being appropriately utilized.
3) Advertising. Training center certificate holders
that conduct public advertising must adhere to the following:
a) Distinguishing Types of Training. A training center
certificate holder may not advertise to conduct any training that is not
approved by the FAA if that training is designed to satisfy any requirement
of 14 CFR, chapter 1. However, training that is not related to, or designed
to satisfy a 14 CFR, chapter 1 requirement may be advertised by a training
center providing such advertising is clearly distinguished as not being
FAA-approved or part of the training centerís approved curricula.
b) Accuracy of Statements. A training center may not
make any statement relating to its certification that are false or designed
to mislead any person contemplating enrollment. The training center must
clearly differentiate between courses that have been approved and those
that have not.
c) Curricula or course naming conventions.
142 training centers may not advertise or hold out to the public that
they have an approved curriculum that meets a certificated air operatorís
requirementís, such as 14 CFR parts
135 . For example, centers may not advertise that they have an
pilot training curriculum, course, or program.
142 training centers do not hold a certificate authorizing part
125, or part
135 operations, and may not have its training programs approved in accordance
with those parts. Training center curricula are approved under part
142 and as such, the approved curricula must meet the requirements of
3. The fact that a part
135 operator adopts the training centerís curriculum as its own, does
not give the training center the authority to advertise or promote itself
as having a part
135 training program. Rather, the training center is limited to the
authority granted in part
142, and may only describe its training programs as having been approved
for use in some part
4. Training centers may
advertise that they have courses designed to meet other regulatory
requirements, but they cannot advertise that that they have FAA-approved
courses that meet the regulatory requirements outside of those authorized
by their part
d) Surrender of Certificate. When a training center
certificate has been surrendered, suspended, revoked, or has expired (foreign
certificate holders only), the center must remove all indications of FAA
approval and cease advertising that the training center is certificated
by the FAA. The center must remove all advertising signs and cancel radio,
television, newspaper, magazine, billboard, and other associated advertisements
for the training center.
e) Suspending or ceasing operations at a particular
facility. A training center, satellite, or remote site that suspends or
ceases operations at a particular facility must promptly remove all signs
indicating that an FAA-approved center is located at that facility.
f) Flight Simulators and Flight Training Devices (FTDs).
Evaluate the following areas for compliance with program approval and training
specifications authorizations: (PTRS codes 1630 and 1654.)
Accurate replication of the aircraft type for the curriculum in which used.
Logbook or other use records.
Simulator component inoperative guide (SCIG), if developed.
Discrepancy and/or maintenance logbooks to determine if any recorded item
would or would not have affected the training, checking, or testing conducted.
Records of daily preflight to determine if discrepancies are being recorded
and if maintenance is deferred on any discrepancies that would affect training,
checking, or testing.
Training specifications to ensure all flight simulators and FTDs have been
properly authorized and approved.
When installed, inspect oxygen masks, smoke goggles, and audio control panels
to ensure proper operation.
Randomly select operational functions of authorized FTDs and simulators
to ensure their initial qualification standards are being maintained.
NOTE: When the CHDO is a Certificate Management Office (CMO)
or a Certificate Management Unit (CMU) operational responsibility and surveillance
of all Satellite Training Centers will be through the CMO/CMU. Aviation
safety inspectors assigned to the CMO/CMU will ensure operational responsibility
and conduct the surveillance at all satellite locations.
g) Facilities. Ensure that the centerís training specifications
list all satellite training centers and their remote training sites. (PTRS
codes 1640 and 1647)
h) Center Training Records. The centerís record keeping
processes must contain a quality program that enables responsible managers
and/or personnel to evaluate the accuracy and adequacy of the record keeping
system. This process must include at least the following elements/procedures:
1. A review to determine
compliance with the approved training program. Each record must show a chronological
record of the studentsí participation in the training program, as required
by the part
142 , ß
142.73(a) recordkeeping requirements. (PTRS code 1649.)
2. An evaluation to ensure
that the student prerequisites for entry into training were verified and
3. A review of the instructor
and evaluator records to determine compliance with the requirements of ß
142.73(b) . (PTRS code 1650.)
4. A review of the centers
training specifications to determine the approved location for maintaining
required center and student records as well as the approved method(s) for
keeping such records.
NOTE: A checklists to assist inspectors with their inspection
requirements of training center records may be found on AFS-210ís
Part 142 Web site.
Center Evaluators (TCE). Ensure that each evaluator is observed
annually by a qualified FAA inspector. The surveillance (which may be unannounced)
will consist of the following: (PTRS codes 1641, 1642, 1643, 1668, and 1673.)
a) Observation of the conduct of an oral evaluation.
b) Observation of the flight simulator portion of
a practical test, which should include the observation of the evaluator
operating the simulator control panel during a certification practical test
c) Observation of the aircraft portion of a practical
test, if appropriate.
d) Compare the centers training specifications or
individual TCE listing against the centerís copy of each TCEís LOA for consistency,
and to ensure each authorized TCE has received training appropriate to their
5) Advanced Qualification Program (AQP) Curricula.
Survey and inspect approved AQP curricula in accordance with the guidance
provided by Volume 3, Chapter 4, Section 4, and Volume 6.
a) Record all activity connected with an AQP by using
the existing PTRS activity codes and 14 CFR combinations. When reporting
certification, surveillance, or other activities associated with an AQP
curriculum, ensure that the letters AQP are annotated in the National Use
field of the PTRS. No other changes to PTRS reporting procedures are entailed.
b) The PTRS form may be overprinted or modified to
provide the TCE or AQP evaluator with additional guidance and aid in standardization
of data entry.
c) PTRS Activity Codes. All of the operations activity
codes that are defined in FAA Order
1380.51 continue to apply under AQP. Some unique AQP tracking requirements
may be necessary in the future, and recording procedures will be provided
at that time.
d) Ensure that AQP curricula being used are authorized
in the training specifications.
6) Training Programs, Curricula, and Courses.
a) Evaluate the courseware, syllabuses, equipment,
and personnel to ensure that they continue to meet part
142 regulatory requirements. A checklist to assist with the internal
evaluation of training centers can be found on AFS-210ís
Part 142 Web site.
(PTRS codes 1626 and 1646.)
b) Ensure that the training specifications include
all approved curricula/courses.
7) Quality Assurance Programs.
a) During surveillance of the training centers, the
inspector will be able to observe the effectiveness and adequacy of quality
b) TCPMs should consider the following when reviewing
the centerís proposed quality control measures:
1. Number of Inspections.
2. Effectiveness. The effectiveness
of the training centerís quality assurance audits may be measured by examining
past quality assurance audits.
Whether these audits identified any deficiencies or appear to be a routine
fulfillment of a regulatory requirement; and
Whether the training centerís auditors appear to have an in depth knowledge
of the centerís objectives and regulatory requirements and responsibilities.
Review the reports prepared by the training centerís quality assurance department
to determine if they are complete and thorough;
Ensure that the reports reveal what was reviewed and inspected and have
in-depth analyses into the deficiencies found and recommended corrective
Ensure the reports were reviewed by the training centerís quality assurance
department, how responsible supervisors or managers responded to the report,
and the corrective action taken.
c) Determine if the program provides a realistic means
to address problem areas.
d) Determine if the program describes how training
of auditors will be conducted.
e) Determine whether all personnel understand their
obligations under the quality assurance program.
f) Does the centerís top management fully support
the program and provide meaningful feed back to the employees?
G. Inspection Results. The completion of a
particular inspection will always result in one of the following:
1) Issuing a finding of satisfactory;
2) Issuing a list of observations; or
3) Issuing a finding of unsatisfactory and indicating
expected corrective action or other ramifications of the unsatisfactory
H. Future Activities.
1) Schedule follow-up inspections for any deficiencies.
2) Possible enforcement investigation on items not
3) Continuation of routine surveillance and interaction.
I. Surveillance of a Principal Training Center
With Satellite Center(s). This subparagraph discusses the coordination
required when a training center organization has one or more satellites
attached to the principal center which are located outside of the principal
CHDO geographical area of responsibility. While the CHDO of the principal
training center retains the final authority for overall management of the
centerís certificate, the FSDO/IFO with geographical responsibility for
associated satellite(s) and occasionally remote sites will normally conduct
required surveillance activities of those sites on behalf of the CHDO.
NOTE: Satellite training centers under the supervision of
a CMU or CMO will have their surveillance conducted under the supervision
of the principal centers TCPM instead of geographically assigned inspectors.
The following discussion assumes the subject satellite/remote centers are
not under the supervision of a CMU or CMO. However, many of the responsibilities
and procedures discussed below are applicable to satellites under the supervision
of a CMU/CMO and may be used as a guide during the development of their
1) Location. The principal training centerís CHDO
is normally determined by its geographic location. The location of the principal
training centerís satellite(s) or remote site(s) normally determines the
district office with geographical responsibility for those facilities. The
FAA office with geographical responsibility for a principal centerís satellite(s)
is normally referred to as the satellite district office (SDO). Oversight
of international satellites is also determined by the satelliteís geographic
location and normally carried out by the responsible IFO.
2) Operational Responsibility.
a) The principal training centerís CHDO through the
assigned TCPM has the surveillance and oversight authority and responsibility
for the principal centerís certificate and associated training specifications.
SDOs in collaboration with the principal centerís TCPM provide surveillance,
oversight, and management of satellites or remote sites within their geographic
area. If assigned by the SDO, a satellite TCPM (STCPM) may be assigned to
assist the TCPM with surveillance activities. TCPMs and STCPMs report to
their respective office managers and are jointly linked through the FAAís
Vital Information Subsystem (VIS).
b) The surveillance and periodic review of a facilities
curriculum, courseware, and personnel are the responsibility of the FAA
office having geographic responsibility for the site. Final approval of
the curricula, courseware, training devices, and TCEs used at a satellite
or remote site are the responsibility of the principal training centers
3) CHDO and SDO coordination and oversight Responsibilities.
a) The Principal
Centerís CHDO will:
Conduct/coordinate initial certification and on going certificate renewals,
Authorize satellite and remote site locations.
Obtain satellite training center designator numbers.
Select the principal training center TCPM, assistant TCPM (ATCPM), and PPMs.
Provide TCPM, ATCPM and PPMs administrative support.
Approve all center and satellite site TCE Letter(s) of Authorization (LOA).
Conduct all principal center surveillance.
Coordinate Memorandums of Understanding (MOU) agreements between the FAA
and the principal training center. (This MOU will include all authorized
satellites and if appropriate remote sites.)
Coordinate satellite/remote training center oversight and work functions
with the SDO.
Respond to local questions, inquiries, and complaints.
b) The SDO will:
Select the STCPM and Partial Program Managers (PPM), required to provide
surveillance of subject satellites/remote sites, if required.
Provide administrative support for the STCPM and PPMs , if required.
Conduct evaluations of satellite center TCE(s) in accordance with their
Coordinate satellite/remote training center oversight and work functions
with the CHDO.
Respond to local questions, inquiries, and complaints.
4) TCPM Duties and Coordination Responsibilities.
TCPMs are responsible for the following:
a) The review and approval of center curricula, courseware,
and syllabuses. If a STCPM, ATCPM or PPM(s) has been assigned, these individuals
will provide assistance with the review of the curricula authorized or to
be authorized for use at their particular site.
b) Conducting and/or coordinating TCE FAA-conducted
ground school, and required surveillance.
c) Conducting and/or coordinate TCE renewal evaluations.
d) Approving principal training center aircraft, simulators,
flight training devices (FTD), to be used in the delivery of approved training
e) Inspecting principal training center student, personnel,
and simulator daily inspection records.
f) Supporting the National Simulator Evaluation Team
on the principal training center initial and recurrent equipment inspections.
g) Maintaining principal training center
VIS and TCE files.
h) Processing principal training center enforcement
and investigative records (EIR), self-disclosures, and pilot application
i) Approving principal and satellite FTDs , simulators,
and aircraft through the issuance of operations specifications (OpSpecs).
j) Coordinating satellite training center oversight
with the STCPM.
k) Assigning work to the principal training center
l) Responding to local questions, inquiries, and complaints
and keeping ATCPM, PPMs and STCPMs advised.
m) Issuing/updating the certificate holderís training
specifications and advising ATCPMs, FTPMs, PPMs, and STCPMs.
n) Reviewing principal training center and satellite
training center PTRS surveillance records.
o) Conduct principal training center surveillance
of instructors, TCEs, and curricula delivery.
p) Reviewing and enter principal training center TCE
5) STCPM Duties and Coordination Responsibilities
Relating to Satellite and Remote Sites. STCPMs are responsible for the following:
a) Assisting the TCPM with the review of center curricula,
courseware, and syllabuses.
b) Conducting FAA initial and recurrent training and
observations for satellite TCEs and recommend approval or disapproved to
c) Evaluating satellite training center aircraft,
simulators, and FTDs.
d) Conducting satellite training center surveillance
curricula and instructors.
e) Inspecting required satellite training center student
and personnel records and simulator daily inspection logs.
f) Supporting the National Simulator Evaluation Team
on the satellite training center initial and recurrent equipment inspections.
g) Maintaining satellite training center
VIS and TCE files.
h) Processing satellite training center EIR self-disclosures
and pilot application files and support findings to TCPM.
i) Coordinating satellite training center oversight
with the TCPM.
j) Determining the assignment of the satellite training
center ATCPMsí work functions.
k) Responding to local questions, inquiries, and complaints
and keep TCPM advised.
l) Reviewing satellite training center PTRS surveillance
m) Reviewing and updating TCE activity files.
RESERVED. Paragraphs 6-1604 through 6-1625.