7/26/17

 

8900.1 CHG 422

VOLUME 14  COMPLIANCE AND ENFORCEMENT

CHAPTER 3  SPECIAL CONSIDERATIONS

Section 2  Additional Training Supplemental Information

14-3-2-1    GENERAL. This section clarifies the use and applicability of various airman training options available within Flight Standards (AFS) policy to address safety concerns and apparent deviations.

14-3-2-3    APPLICABILITY. This section applies to AFS personnel involved in making decisions about requiring additional training for all certificated individuals, and for uncertificated individuals employed at certificated organizations. This section supplements the information found in Volume 14, Chapter 1, Section 2, Flight Standards Service Compliance Action Decision Procedure, and clarifies the applicability of the various types of additional training for individuals which AFS personnel may recommend or require per Federal Aviation Administration (FAA) Order 8900.1.

A.    Additional Training Required. AFS should only require individual airmen to complete additional training in response to an actual or apparent regulatory or statutory deviation.

B.    Additional Training or Education Recommended. Without an actual or apparent regulatory or statutory deviation, AFS should only recommend additional training or education for the non-regulatory area of concern or deficiency. Such recommendations must be documented in the Safety Assurance System (SAS) or Program Tracking and Reporting Subsystem (PTRS) and any airman correspondence as separately identified non-regulatory recommendations as described in Volume 14, Chapter 1, Section 2, subparagraphs 14-1-2-7C1), 14-1-2-9C3), and 14-1-2-9B. Recommendations to airmen may be made verbally, via email, or by letter, at the inspector’s discretion per local office procedures. In all cases, they must be documented in SAS/PTRS comments.

Indicates new/changed information.

14-3-2-5    REMEDIAL TRAINING (RT). Remedial Training, when capitalized or abbreviated as RT, is an AFS term of art which applies only to training conducted in accordance with Volume 15, Chapter 6, administered by the FAA Safety Team (FAASTeam). RT is available to all eligible airmen as defined in paragraph 14-3-2-7, except when the airman certificate was being used in operations where the airman was subject to an approved training program at the time of the apparent deviation (with some exceptions). RT is defined in Volume 14, Chapter 1, Section 2, subparagraph 14-1-2-3D.

14-3-2-7    RT AUTHORITY, SCOPE, AND ELIGIBILITY.

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A.    Authority. RT was formerly within the Administrative Enforcement Action process, which required an Enforcement Investigative Report (EIR) to be opened for RT. On September 3, 2015, FAA Order 2150.3, FAA Compliance and Enforcement Program, was revised to remove RT from the enforcement process. RT criteria and procedures in Volume 14, Chapter 1, Section 2; Volume 15, Chapter 6; and in this section must be followed until incorrect RT policy elsewhere in this order is revised.

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B.    Scope. For the purpose of FAASTeam-administered RT eligibility, “airman” as used in this section refers to any individual certificated under Title 14 of the Code of Federal Regulations (14 CFR) part 61, 63, 65, 107, or 145 (except for part 65 subpart B air traffic control (ATC) tower operators). This section provides guidance to the referring office on determining eligibility for RT, offering RT to the airman, and referring the airman to the FAASTeam through the office manager.

C.    Eligibility Criteria. RT applies to unintentional deviations from statutory or regulatory standards committed by certain airmen. This program applies to individual airman certificate holders, excluding those who were: 1) using their certificate in operations conducted under 14 CFR part 91 subpart K (91K), 121, 129, or 135; and 2) covered by an approved training program at the time of the deviation (with some exceptions, as described in the subparagraphs below). These excluded airmen should be remediated under their operator’s training program at the discretion of the principal inspector (PI). The PI may use the general guidelines in this section and/or the operator’s training program to determine appropriate additional training with input from the referring aviation safety inspector (ASI) and the operator. FAASTeam resources should not be used.

NOTE:  Airmen who are no longer employed where they committed an apparent deviation while covered by an employer’s training program may be eligible for RT.

1)    Part 135 single pilot operators (which have no training programs) are eligible for RT.
2)    Pilots for part 135 basic operators should generally be remediated under the operator’s training program or by the training organization with whom the basic operator has an agreement. However, pilots serving in operations for a part 135 basic operator or a part 91K or part 135 single pilot-in-command (PIC) operator may be eligible if approved deviations from required management positions or other factors result in no appropriate company trainer with oversight of the trainee candidate. In such instances, other air carrier/operator check pilots, Designated Pilot Examiners (DPE), or other appropriate FAA designees should be considered as training providers. The designee’s experience should be considered when determining whether the designee has the appropriate knowledge and skill to remediate the airman considering the airman’s deviation from statutory or regulatory standards. When in doubt as to the eligibility of an airman for RT, the responsible PI’s field office manager will make the determination with input from the investigating ASI, PI, and their Front Line Managers (FLM) based on the facts and circumstances of each case, Volumes 14 and 15 policy, and available FAA resources.
3)    Part 145 airmen may be excluded from RT. If the investigating ASI and PI determine that the airman’s deficient areas are within the scope of the training programs or manuals required by part 145, § 145.163, § 145.165, § 145.207, or § 145.211, the airman is normally excluded from eligibility for RT. These excluded airmen should be remediated under their repair station’s training program at the discretion of the PI. The PI may use the general guidelines in this section and/or the repair station’s training program to determine appropriate additional training with input from the investigating ASI and the repair station. FAASTeam resources should not be used.
Indicates new/changed information.
4)    Part 145 airmen may be eligible for FAASTeam RT if approved deviations from required management positions or other factors result in no appropriate company trainer with oversight of the trainee candidate. In such instances, Designated Mechanic Examiners (DME) or other appropriate FAA designees should be strongly considered as training providers for part 145 trainees. When in doubt as to the eligibility of an airman for RT, the responsible PI’s field office manager will make the determination with input from the investigating ASI, PI, and their FLMs based on the facts and circumstances of each case, Volumes 14 and 15 policy, and available FAA resources.
5)    RT will not be conducted by the investigating or referring inspector, FAASTeam Program Manager (FPM)/Regional FAASTeam Point of Contact (RFPOC), the PI, or any other FAA personnel. This does not prevent attendance in any scheduled FAASTeam-sponsored safety event as part of an RT agreement. The investigating inspector, based on the facts of the case, recommends that the airman may be eligible for RT.

14-3-2-9    RT PROCEDURES.

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A.    ASI. Using Volume 14, Chapter 1, Section 2, the inspector determines whether Compliance Action (CA) is appropriate, and whether RT should be offered. Additional RT guidance and applicability is found in Volume 15, Chapter 6.

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1)    It is permissible for the ASI to contact the airman informally to offer participation in RT. However, in all cases, the ASI must send the formal RT offer letter (see Figure 14-3-2A, Sample Compliance Action Remedial Training Offer), with the Pilot’s Bill of Rights (PBR) notification,1 as this will serve as documentation that the airman was given the offer to participate in RT.
2)    Student pilots and their instructors are both eligible for CA, including RT. When evaluating a student pilot for CA, careful consideration must also be given to the student’s flight instructor, and whether both require action of some kind for a student’s deviation.
a)    A student flying solo is still under the supervision of an instructor. Action may be required with one or both airmen.
b)    A student may be offered RT for areas in which the student either had or had not received training prior to the event. Reexamination of a student’s knowledge or skill is not appropriate because the student was not examined and certificated in these areas. However, reexamination of a student’s qualifications to hold a medical certificate is appropriate.
c)    An instructor may be offered RT for areas in which instruction given was inadequate and/or an endorsement given was inappropriate to the point of regulatory deviation. If it is determined that the instructor deviated from regulatory standards (e.g., part 61, § 61.195(d), Limitations on Endorsements), then a CA (RT or otherwise) may be appropriate to correct the problem.
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3)    The inspector investigating the apparent deviation determines an airman’s eligibility for the RT program based on an assessment of the specific facts and circumstances and the airman’s observable behaviors and record (see Volume 14, Chapter 1, Section 2). If appropriate, the ASI makes an initial informal offer of RT (verbally or via email).
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4)    If the airman agrees to proceed with the RT, the ASI informs the airman that a member of the FAASTeam will contact the airman to discuss their RT course. The airman should be instructed to notify the ASI if the FAASTeam has not contacted them within the following 7 calendar-days. The ASI must document the airman’s agreement to participate in RT with a signed letter from the airman and in the *749 (Additional Training) activity CA PTRS record comments.
5)    When the airman agrees to participate in the RT program, the referring inspector (ASI) will send a formal written offer for the participation in RT. A sample letter to be sent by the ASI is in Figure 14-3-2A, which must include the PBR notification content.2 If the airman does not return the acceptance letter within 10 calendar-days of the receipt of the RT offer, the ASI will consider the airman ineligible for RT. The ASI should use other enforcement tools such as administrative or legal enforcement actions to address the apparent deviation.
6)    If the airman agrees to participate in the RT program and has a similar deviation prior to signing the RT agreement (developed by the FPM/RFPOC), the ASI should review the specifics of both deviations. The ASI should exercise critical thinking and interdependence in determining whether the subsequent deviation is an indication of being either unable or unwilling to comply with the regulations.
a)    If it is determined that the person is unable or unwilling to comply with the regulations, then the ASI should withdraw the airman from the RT program and initiate an enforcement action.
b)    Note that once the airman has signed the RT agreement, the specific task and/or knowledge areas of deficiency will have been identified, explained to, and agreed upon by the airman, thus increasing the expectation to avoid similar deviations.
7)    The ASI will open the appropriate CA PTRS record and record appropriate information in accordance with Volume 14, Chapter 1, Section 2.
a)    Operations: 1749.
b)    Maintenance: 3749.
c)    Avionics: 5749.
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8)    The ASI will notify his or her office manager of the RT acceptance by the airman. An email notification from the referring ASI to their office manager will contain the following information:
a)    Airman contact information and the responsible office for the airman’s domicile, if different from the referring ASI’s office.
b)    A copy of the signed RT offer indicating acceptance to participate.
c)    A summary of the facts surrounding the case.
d)    Recommended number of knowledge and/or practical hours of training.
e)    Recommended topics to be covered in training.
f)    The date the RT agreement needs to be satisfactorily accomplished by the airman.
g)    The referring ASI’s *749 Additional Training PTRS record ID number.
9)    RT will not be conducted by the referring inspector, an FPM, a PI, or any other FAA personnel. This does not prevent airman attendance in any scheduled FAASTeam-sponsored safety event as part of an RT agreement, even if the referring inspector is present.
10)    Once the RT is assigned to an FPM or RFPOC, the ASI will forward any information that they believe will be necessary for the drafting of an RT course. ASIs may use local and regional FPM/RFPOC resources as necessary to develop the required information package. The ASI will provide the FPM/RFPOC the record ID for the triggered *950 PTRS record, if applicable. If not, the ASI will provide their *749 PTRS number to the FPM/RFPOC and obtain their record ID for insertion in the comment section of the CA PTRS record.
11)    If notified by the FPM/RFPOC that the airman elects to contest RT and that a Letter of Rescission was sent to the airman, in accordance with Volume 15, Chapter 6, Section 1, subparagraph 15‑6‑1‑11E, the ASI will then pursue another appropriate CA, FAA reexamination, or administrative or legal enforcement action.
12)    If notified by the FPM/RFPOC that there are new areas of concern or deficiency, the ASI may investigate further and must make a new determination of whether CA and additional RT is appropriate. The ASI may make a new RT offer and begin the process again or take other appropriate action.
13)    Upon notification that the training and receipt of all original RT documentation is complete, the referring/investigating inspector will send a Letter of Completion to the airman. (See Figure 14-3-2B, Sample Letter of Completion, for an example of a Letter of Completion.) The inspector will file the RT with the original documentation in accordance with the applicable office file plan.
Indicates new/changed information.

B.    Office Manager.3 Once notified by the referring ASI via email of an airman’s acceptance of RT, the manager will assign the RT activity to the local FPM or notify the office manager who has AFS work assignment jurisdiction over the airman’s domicile to coordinate assignment of FAASTeam resources. The office manager will forward the referring ASI’s notification email with a copy to the RFPOC and referring ASI. If there is no local FPM, the manager will forward the referral to the RFPOC.

C.    RT as Part of a Legal Settlement. If RT is incorporated into a settlement agreement or consent order by the Office of the Chief Counsel, Enforcement Division (AGC-300), the referring or investigating ASI shall obtain a copy of the airman’s signed agreement/consent order from AGC-300. The ASI should forward a copy of the enforcement agreement/order to the office manager in place of the signed RT offer letter referenced in subparagraph 14-3-2-9A1). The RT process is administered in the normal way by the FPM/RFPOC involved. On successful completion of the RT, the ASI will work with AGC-300 to modify the RT Letter of Completion (see Figure 14-3-2B) to accurately reflect the facts and circumstances of AGC-300’s agreement/order with the airman. The ASI will provide final copies of RT-related documentation and any other correspondence with the airman to AGC-300 for addition to the case file.

D.    Additional Procedures. See Volume 15, Chapter 6, Section 1 for additional RT procedures.

14-3-2-11    OTHER TYPES OF ADDITIONAL TRAINING. The additional training for applicable airmen listed in this paragraph may be documented using CA “Additional Training” PTRS activity number *749. No signed training agreement with the airman is needed. When airman training is determined to be the most efficient and effective solution per Volume 14, Chapter 1, Section 2, PIs must work with operators, carriers, and agencies with approved training programs to ensure they employ the appropriate remedial actions for deviations by their employees. AFS expects employers to take the lead in addressing employee deficiencies under their approved training programs. If the airman is not being trained or scheduled for training to the PI’s satisfaction, or if the airman is separated from employment, the PI will work interdependently with his or her FLM and office management to determine an appropriate and timely FAA response. Decisions on enforcement actions and reexamination must be made timely to comply with the stale complaint rule.4

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NOTE:  To correct an airman’s knowledge and/or skill deficiency that led to statutory/regulatory noncompliance, ASIs may recommend training in a legal enforcement case against the airman (suspension pending compliance) and/or the employer (to compel their action to retrain an employee).

A.    Taxiing/Towing. Volume 7, Chapter 2, Section 1 covers training for both certificated and uncertificated mechanics and repairmen involved in a Vehicle/Pedestrian Deviation (V/PD) while taxiing/towing, which may include carrier-required taxi and tow training, or airport-required movement area driver training. AFS specifies the corrective actions of “training” (if the airman was previously untrained) or “retraining” (if the airman was previously trained) for these events. FAASTeam personnel are not involved with this training. The policy is under review for possible changes to terminology, documentation requirements, and revision of the AFS agreement with FAA Airports (ARP). These training/retraining events may be recorded as CAs in the PTRS record using the ASI’s appropriate specialty activity code of *749.

B.    Part 121 Pilot RT. Volume 3, Chapter 19, Section 14, Safety Assurance System: Remedial Training and Tracking—Part 121 Pilots (and Advisory Circular (AC) 121-39, Air Carrier Pilot Remedial Training and Tracking Program), covers “the review and approval of pilot remedial training and tracking for certificate holders conducting operations under Title 14 of the Code of Federal Regulations (14 CFR) part 121.” The “remedial training” in Volume 3 is a requirement of the air carrier’s approved training program and part of checking its flightcrews. Also see Volume 11, Chapter 2, Section 1, Safety Assurance System: Aviation Safety Action Program, and AC 120-66, Aviation Safety Action Program (ASAP), for additional information regarding training information protection. These functions are outside the scope of the Volume 15, Chapter 6 RT process. Part 121 pilots must be remediated under the carrier’s approved training program.

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C.    Other Airmen Subject to Part 91 Subpart K (91K), 121, 135, or 145 Training Programs. See subparagraph 14-3-2-7C above for specific applicability, eligibility, and exclusions.

D.    Order 2150.3. FAA Legal Counsel describes taking a variety of enforcement and non-enforcement FAA actions as being for “remedial purposes” in Order 2150.3, chapters 2 and 7. Inspectors are advised to clarify the meaning of the terms “education,” “additional training,” and “remedial training” as defined in Volume 14, Chapter 1, Section 2 and the appropriate AFS policy which applies when communicating with airmen or other regulated entities and legal counsel.

14-3-2-13    REPEATED TRAINING AND/OR REEXAMINATION. Additional training, including RT, may be offered again in a new subject area to an airman currently involved in additional training or reexamination when the FAA or training provider identifies a new area of concern or deficiency which was not part of the original training agreement (whether formal under Volume 15 or informal between the PI and operator/agency) or request for reexamination.

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A.    Airmen Undergoing RT. See Volume 15, Chapter 6, Section 1, subparagraph 15-6-1-11E2) for details.

B.    Certificated or Non-Certificated Airmen Currently Training Under an Approved Training Program as Agreed to for Remedial Purposes Between the PI and Training Program Approval Holder (TPAH). The newly identified concern or deficiency must be independently evaluated under Volume 14, Chapter 1, Section 2 as appropriate for CA. If appropriate, a new training agreement may be reached between the PI and the TPAH, within applicable policy.

C.    Airmen Being Reexamined Under Title 49 of the United States Code (49 U.S.C.) § 44709. The newly identified concern or deficiency must be independently evaluated under Volume 14, Chapter 1, Section 2 as appropriate for CA. If appropriate, a new RT offer may be made by the investigating ASI, or a new training agreement may be considered by the PI and the TPAH, based on policy in this section and eligibility criteria in Volume 15, Chapter 6, Section 1, subparagraph 15-6-1-1B.

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14-3-2-15    REEXAMINATION POLICY. Volume 5, Chapter 7, Reexamination of an Airman, has not yet been aligned with the FAA Compliance Philosophy (CP). Policy in Volumes 14 and 15 take precedence for the applicability of CA. See Volume 14, Chapter 1, Section 1, subparagraph 14-1-1-1B. Contact the CP Focus Team to resolve policy questions using the contact information at http://fsims.faa.gov/PICDetail.aspx?docId=AFS-FTCE.

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Figure 14-3-2A.  Sample Compliance Action Remedial Training Offer

[DATE]                                                                                                                     [Place letter on office letterhead]

[NAME]

[ADDRESS]

[CITY, STATE ZIP]

Subject: Remedial Training Offer

[Title] [Name]:

Personnel of this office are investigating an apparent deviation that involved [insert brief description]. In reviewing your apparent deviation, we have considered all available facts and concluded that you are eligible to participate in the FAA remedial training (RT) program. This letter is to formally offer you RT. If you would like to participate in RT in place of other FAA actions, you must sign and return the response below with a copy of this letter within 10 calendar-days. The final determination on your eligibility for the RT program is an FAA decision, not subject to appeal.

To successfully complete this RT course, you must comply with the following terms:

1.  You must obtain the required training from a source approved by the responsible Flight Standards office/FAA Safety Team (FAASTeam) Program Manager (FPM)/Regional FAASTeam Point of Contact (RFPOC). Guidance in selecting an approved source of training will be provided.

2.  Once RT begins, you must make periodic progress reports to the FPM/RFPOC.

3.  If you continue to conduct operations and have a similar deviation, this may be deemed as unwillingness to comply and could result in the RT offer being withdrawn.

4.  You must complete all elements of the RT syllabus and meet the completion standards within 30 calendar-days of signing the training agreement. The training agreement and any additional requirements will be coordinated in an upcoming meeting with the FPM/RFPOC if you accept this offer.

5.  All expenses incurred for the prescribed training will be borne by you. When the assigned RT has been successfully completed, we will consider this matter closed.

Should you have any further questions, please feel free to contact me.

Sincerely,

[Signature]

[Typed Name]

Aviation Safety Inspector

[Contact information (phone/email)]

I [ ] accept the offer for me to participate in remedial training.

I [ ] decline the offer for me to participate in remedial training.

Date:                                                                                     Signature:

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Figure 14-3-2B.  Sample Letter of Completion

[Date]

[Name]

[Address]

Dear [Name]:

This letter is in regard to [enter brief description]. As a result of our discussion with you on [insert date], you agreed to complete a program of remedial training (RT) as an appropriate corrective action. You have submitted evidence showing satisfactory completion of [enter training agreement requirements, such as “6 hours of ground instruction and 3 hours of flight instruction”] in the subjects and procedures specified in your training agreement.

Based on your satisfactory completion of the RT program, additional FAA action will not be pursued. In place of such action, we are issuing this Letter of Completion. This letter constitutes neither an admission nor an adjudication of a violation.

We appreciate your cooperation in this matter and expect your full compliance with the regulations in the future.

Sincerely,

[Name], Aviation Safety Inspector

[Contact information (phone/email)]

14-3-2-17 through 14-3-2-31 RESERVED.



1 See Volume 14, Chapter 1, Section 3 for PBR notification policy and use of the Compliance Philosophy and Pilot’s Bill of Rights Brochure for PBR notification.

2 See Volume 14, Chapter 1, Section 3 for PBR notification policy and use of the Compliance Philosophy and Pilot’s Bill of Rights Brochure for PBR notification.

3 The office manager with authority to assign work to the referring ASI and local FAASTeam resources. Historically this has been the Flight Standards District Office (FSDO) manager.

4 Refer to Title 49 of the Code of Federal Regulations (49 CFR) part 821, § 821.33.