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U.S. Department of Transportation

Federal Aviation Administration

National Policy

ORDER 1800.56S

 

 

Effective Date:

8/17/18

SUBJ:

National Flight Standards Work Program Guidelines

1.    Purpose of This Order. This order:

a.    Restates current Flight Standards Service (FS) policy for personnel to use as they:

    Develop annual surveillance work programs, and

    Execute annual surveillance work programs.

b.    Updates previous guidance regarding work activities.

c.    Incorporates organizational changes.

d.    Identifies specific work functions that FS personnel must accomplish.

e.    Provides a baseline of surveillance information, and appropriate assurances to assess the soundness of the aviation system.

f.    Assists FS personnel as they plan their annual work program.

g.    Prioritizes surveillance activities based on data analysis and inspector expertise with respect to certificate holder operations.

2.    Audience. This order pertains to FS personnel who use annual surveillance work programs. This order excludes surveillance conducted under the Safety Assurance System (SAS).

3.    Where You Can Find This Order. You can find this order on the MyFAA employee website at https://employees.faa.gov/tools_resources/orders_notices. Inspectors can access this order through the Flight Standards Information Management System (FSIMS) at http://fsims.avs.faa.gov. Air carriers (operators) can find this order on the Federal Aviation Administration’s (FAA) website at http://fsims.faa.gov. This order is available to the public at http://www.faa.gov/regulations_policies/orders_notices.

4.    Effective Date. This order becomes effective on October 1, 2018.

5.    What This Order Cancels. This revision cancels FAA Order 1800.56R, National Flight Standards Work Program Guidelines, dated July 25, 2017.

6.    Explanation of Policy Changes.

a.    Editorial Changes:

    Updated FS office identifications to reflect the Future of Flight Standards reorganization.

    Updated the wording of subparagraph 10h(3) on public aircraft operations (PAO).

    Updated the Appendix C acronym list.

b.    New Surveillance Requirements.

(1)    Added Appendix A, subparagraph 5a(2)(j). Added Title 14 of the Code of Federal Regulations (14 CFR) part 125 Manual Procedures (5626) to verify compliance with Aircraft Network Security Program (ANSP). Incorporates Order 8900.1, Volume 3, Chapter 61, Aircraft Network Security Program, requirements.
(2)    Added Appendix A, subparagraph 5a(4)(f). For International Field Offices (IFO) issuing 14 CFR part 129, § 129.14 approvals, added a desk audit of each operator’s ANSP procedures (5626), including the annual security risk assessment. Incorporates Order 8900.1, Volume 3, Chapter 61 requirements.

c.    Appendix A Changes:

(1)    Subparagraph 3f(1). Removed requirement to communicate resource issues with Regional Automated Modular Planning Software (RAMPS) coordinators. Reworded to indicate that managers and Front Line Managers (FLM) may seek additional resources within FS.
(2)    Subparagraph 5a(4)(a)4. Added a Note that principal inspectors (PI) for part 129 scheduled air carriers must determine if geographic surveillance is necessary when the part 129 scheduled air carrier performs a nonscheduled operation.
(3)    Subparagraph 5a(5)(a). Added a Note to ensure human external cargo (HEC) operators are selected when offices choose 10 percent of 14 CFR part 133 certificated operators. The site (1623) and manual procedures (1621) are included for HEC operators.
(4)    Subparagraph 5a(8)(a)6. Revised to include full flight simulator (FFS) and Aviation Training Device (ATD).
(5)    Subparagraph 5a(11). Added a Note that 14 CFR part 91 subpart K (part 91K) Required Surveillance Work Activities (R-item) may be terminated when the fractional ownership operator is also a 14 CFR part 135 air carrier.
(6)    Subparagraph 5a(12). Added a Note that part 91K R-items may be terminated when the fractional ownership operator is also a part 135 air carrier.
(7)    Subparagraph 5a(13). Added a Note that part 91K R-items may be terminated when the fractional ownership operator is also a part 135 air carrier.
(8)    Subparagraph 5a(14). Removed requirement to generate R-items locally for part 91 air tour operators. RAMPS algorithms have been revised to include part 91 air tour operators.
(9)    Subparagraph 5a(15). Removed requirement to generate R-items locally for part 91 parachute operations. RAMPS algorithms have been revised to include part 91 parachute operations.
(10)    Subparagraph 5a(16). Removed requirement to generate R-items locally for part 91 banner tow operations. RAMPS algorithms have been revised to include part 91 banner tow operations.
(11)    Subparagraph 5a(18)(c). Removed Special Emphasis Evaluation Designees (SEED).
(12)    Subparagraph 5a(19)(d). Removed SEEDs.
(13)    Subparagraph 5a(20). Removed third Note regarding the Designee Management System (DMS).
(14)    Subparagraph 5a(21). Revised Note to clarify the situation where pilot examiner R-items are created by RAMPS automation per subparagraph 5a(18)(b) and 5a(21). Only one observation is required unless other FS policy applies.
(15)    Subparagraph 5b(1). Removed requirement to consider field office resources when planning risk‑based surveillance and align with R-item cancellation policy due to Resources Not Available (RNA).
(16)    Subparagraph 5b(2). Removed regional office coordination for geographic surveillance and included reference to current FS RNA policy.
(17)    Subparagraph 5c(1)(b). Removed RAMPS coordinator from process for inspections that require transfer to another appropriate FS office. FS office FLMs will work together to resolve any needed transfer of inspections.
(18)    Subparagraph 5c(1)(g). Added information for part 91K terminated R-item or Planned Surveillance Work Activities (P-item) surveillance records. Part 91K R-items and P-items may be terminated when the fractional ownership operator is also a part 135 air carrier.
(19)    Subparagraph 5c(1)(h). Added information for 14 CFR part 183 R-item or P-item surveillance records. Part 183 R-items and P-items may be terminated when the office transitions to the DMS.
(20)    Subparagraph 5c(2). Removed regional office from R-item and P-item cancellation process. Revised paragraph to clarify cancellation of R-items and P-items. FLMs will approve cancellations and ensure resource shortfalls are documented in the Program Tracking and Reporting Subsystem (PTRS) record. FS office managers will monitor PTRS records for appropriate cancellation activity.
(21)    Subparagraph 5d(5). Added information on PAO.

d.    Appendix B Changes:

(1)    Subparagraph 3a(3). Removed regional offices from geographic surveillance request process. Communication methods between IFOs, FS offices, and the International Field Management Branch (AFS‑54) remain.
(2)    Subparagraph 3a(4). Removed regional divisional manager from geographic surveillance request process. The receiving FS office manager determines if resources are available to support geographic surveillance requests.
(3)    Subparagraph 3a(5). Removed regional divisional manager from geographic surveillance request process. The requesting IFO will seek additional resources or indicate RNA when geographic requests are not accomplished.
(4)    Subparagraph 3a(8). Removed regional offices from review and evaluation of geographic needs. IFOs and AFS-54 regularly review part 129 surveillance activity to evaluate geographic surveillance needs.

7.    FS Work Functions.

a.    Safety Areas. There are four critical safety areas to ensure an overall level of safety within the aviation system. Listed in order by priority, the safety areas are: surveillance, investigation, certification, and aviation education. FS offices must retain the flexibility to allocate resources to accomplish these tasks, while they consider specific geographic and environmental factors, staffing, and budgetary constraints.

b.    Accomplishment of Work Functions. Each safety area has work functions that FS personnel complete. FS offices use available resources as they plan and perform these tasks to accomplish the FAA’s mission. FS offices may use existing directives and guidance to implement the program. These completed work functions are essential to ensure that:

(1)    The aviation community complies with regulations, standards, and safe operating practices.
(2)    The FAA fulfills its oversight responsibilities.
(3)    The National Work Program Guidelines (NPG) represent a system-wide identification of areas that have proven safety risks. A local analysis of certificate holders will also identify additional safety risks. PIs, Training Center Program Managers (TCPM), and FLMs must assess risks when developing work programs. FS offices should create work programs based on the highest areas of risk and document decisions that may cause them to deviate from keeping the R-items as the highest priority.

Note:  The FAA defines risk management (RM) as controlling risk to the lowest acceptable level. Do not confuse controlling risk with eliminating risk. Design work programs to control risk to this acceptable level. Designing work programs to eliminate risk will result in an unrealistic program.

8.    Surveillance Overview. The U.S. public is the primary stakeholder in and beneficiary of the surveillance that FAA inspectors conduct. The FAA carries out its safety mission with due regard to its accountability to the public. The high level of safety required by the statute is in the interest of the public. FAA employees involved in surveillance activities are responsible to determine, on behalf of the public, that air operators and air agencies can provide service with the highest possible degree of safety. With safety in mind, FS personnel:

    Develop programs based on risk, not resources.

    If resources are not available to complete risk-based surveillance, follow approved cancellation procedures.

    Avoid distorted data, which inhibits senior management’s ability to obtain additional resources for risk‑based surveillance plans.

    Managers must support risk-based, not resource-based, surveillance programs.

    Management, at all levels, must communicate the philosophy of risk-based surveillance.

9.    Statutory Authorization. The U.S. Congress has authorized the Secretary of the Department of Transportation (DOT) to inspect air carriers, air operators, air agencies, and air personnel. Statutory requirements empower the FAA “to carry out the functions, powers, and duties of the Secretary of Transportation relating to aviation safety.” A significant duty of the FAA is to conduct surveillance in all areas of air commerce. This surveillance provides the FAA with accurate, real-time, and comprehensive information for evaluating the safety status of the air commerce system.

10.    Conducting Surveillance.

a.    The FS Surveillance Program. This order reaffirms the importance of the FS surveillance program to ensure maintenance of the highest level of safety within the aviation community. Each FS office, as it accomplishes its required surveillance program, receives support from FS. Appendix A contains a description of specific surveillance activities an FS office must accomplish. The Safety Analysis and Promotion Division (AFS‑900) will revise the surveillance requirements in Appendix A as necessary to ensure that FS maintains a dynamic and appropriate surveillance program to address emerging issues across all areas of the aviation environment and community.

b.    R-Items. The R-items found in Appendix A are essential. FS personnel must regularly accomplish these work activities to fulfill the statutory and regulatory oversight responsibilities of the FAA. FS considers the level of surveillance activities this order requires as a minimum. Accomplishment of these work functions provides reasonable assurance of continued compliance with regulations, standards, and safe operating practices. Database and automation errors may result in required work activities that prevent generation through RAMPS automation. If R-item generation does not occur due to a database or automation error, the required surveillance and work activities specified in this order still apply. In those cases, generate PTRS records locally.

Note:  The legacy RAMPS automation does not reflect current FS organization terminology. RAMPS is scheduled to sunset once SAS Phase III is deployed.

c.    The Annual Work Cycle. Inspectors must address and close R-items within the annual work cycle because they are a top priority for FS. Inspectors must consider all risk as they conduct surveillance.

Note:  Offices and inspectors must focus on the highest risk as they conduct surveillance. If resource shortfalls prevent the completion of the items in this order, FS personnel must document the reasons and follow the cancellation process. Inspectors must not ignore higher-risk surveillance simply to complete R-items.

d.    Surveillance Program Planning. Offices should carefully plan surveillance activities, but when necessary, may reschedule accomplishment of these activities to accommodate urgent situations associated with other safety-related functions. FS encourages you to plan your surveillance activities systematically throughout the year to avoid extraordinary effort at the end-of-year closeout. FS offices plan the performance of these surveillance tasks using available resources to accomplish the FAA’s mission. FS offices may use existing directives and policy guidance to implement the program.

Note:  Offices may cancel R-items and P-items if resources are not available to accomplish the work, as explained in Appendix A, subparagraph 5c(2).

e.    Surveillance Scope. Quality and thoroughness are essential in performing all surveillance activities. The accomplishment of these critical work functions ensures compliance with the regulations and standards and examines safe operating practices within the aviation industry. Do not sacrifice quality for quantity of inspections.

f.    Validation. Under a system safety concept of oversight, the FAA must validate a certificate holder’s active systems to show they continue to meet their intended regulatory and safety objectives. Validation is the oversight function that ensures continuing operational safety. The Performance Assessments (PA) provided in the required inspection program confirms that certificate holders maintain their approved or accepted system design. Such assessments also validate that a certificate holder’s operating systems produce intended results, which include control of hazards and associated risk. Surveillance is a tool to provide information for PAs and RM. The emphasis on completing required inspection items allows for the assessment of system status rather than simple tabulation of observed deficiencies. Documenting that a process is performing as intended is as important as documenting deficiencies. The FAA cannot regard the absence of negative observations as a substitute for assertive evidence that the process performs as intended. Audit data should supply objective evidence of the adequacy or inadequacy of a system.

g.    Risk and Safety Assessment. In continuing support of the FAA’s overall safety objectives and goal to reduce accidents, FS requires all PIs to target their safety surveillance on risk and/or safety assessment.

(1)    This order outlines a baseline, periodic audit that requires PIs to validate critical certificate holder programs and systems. This baseline is only the initial part of a comprehensive oversight program. The baseline is to control the risk of undetected failure within critical systems and account for possible latent risks. In addition to this baseline, PIs must conduct a safety assessment (using the Work Program Management Process (WPMP) or any other RM process) of their assigned certificate holders. This safety assessment analyzes many factors, which include the results of prior inspections and significant events.
(2)    This order emphasizes the requirement to appropriately use the Safety Performance Analysis System (SPAS) for safety assessment, surveillance planning, decision making, certification, and investigation. SPAS is a major tool for managing a risk-based work program and it is the foundation for a data-driven approach to safety. SPAS performance measures help the FAA identify trends to focus resources.
(3)    Using the results of this assessment, PIs will create their annual work programs and conduct regular safety reassessments or reviews of their annual work programs. PIs must act upon emerging trends, safety concerns, and changes in the aviation environment as they develop.

Note:  You must base annual work programs solely on risk, and not on staffing or budget. FS office personnel must meet quarterly to review work programs to identify any R-items or P-items that require cancellation due to a lack of resources as explained in Appendix A, subparagraph 5c(2).

h.    Public Aircraft Operations (PAO). PAO include certain government operations within U.S. airspace. Although these operations must comply with certain general operating rules (i.e., those applicable to all aircraft in the National Airspace System (NAS)), FAA certification is not required. The FAA is not obligated to perform the safety oversight, systems/equipment certification, and issuance of operational standards that are required for civil aircraft operations.

(1)    Public aircraft status is not an “automatic” status granted by the existence of a contract between a civil operator and a government agency (whether local, State, or Federal). Public aircraft eligibility determinations are made on a flight-by-flight basis under the terms of the statute (Title 49 of the United States Code (49 U.S.C.) §§ 40102 and 40125). During contracted operations, it is the responsibility of the civil operator and the contracting government agency to verify that each flight conducted as a PAO is eligible under the terms of the statute.
(2)    The FAA requires a written declaration of public aircraft status (from the contracting government official or higher-level official) prior to any contracted public aircraft flights. The declaration should explain how the flights conducted under that contract are eligible PAO under the terms of the statute. While a public aircraft eligibility determination must be made before each flight, the declaration of status is submitted to the FAA only once for each government contract. If the FAA does not have a declaration on file, the FAA will consider all contracted operations to be civil aircraft operations. The FAA retains the authority to determine whether a government-contracted flight was, in fact, a legitimate PAO under the terms of the statute. For more information on PAO and the process for declarations, refer to Order 8900.1.
(3)    Government aircraft operators that hold any type of FAA certification are included in the normal surveillance activities, such as spot inspections of the aircraft and aircraft records. This includes any aircraft exclusively leased to the Federal Government. Any aircraft or operation certificated by the FAA is subject to this surveillance, regardless of whether they are operating as public or civil. Government-owned aircraft operators who are conducting PAO must be included in the FS office’s annual planned surveillance activities to verify their PAO status remains unchanged.

11.    Investigations. The FAA generates these work activities on an as-required or as-discovered basis. Surveillance work activities generate many of the compliance and enforcement investigations. The FAA uses investigations to determine causal factors of potential or actual problem areas. Investigations are the vehicles to effect appropriate corrective action. We must emphasize the investigations that have the greatest potential for identifying and targeting significant adverse safety trends that may result in safety recommendations.

12.    Certification. The certification work activities validate the competency of an air carrier, air operator, air agency, or airman. Certification validates compliance with appropriate statutory and regulatory requirements before authorizing work in the commercial aviation industry. For work program purposes, inspections that must support the continued holding of a certificate use X6XX surveillance-series PTRS activity codes. Certification work activities must be thorough to ensure the competency that the safety regulations require. There are unique complexities and safety implications for air carrier certification. The FAA appoints designees, as representatives of the Administrator, under part 183 to issue airman and aircraft certificates, and to examine, inspect, or test aircraft and persons.

13.    Aviation Education. As an integral part of meeting the FAA’s statutory obligation to promote aviation safety, FS provides aviation education and guidance to all segments of the aviation community. Aviation education targets the General Aviation (GA) community and plays an important human factors role in the relationship that the FAA has with the flying public.

14.    Reporting Procedures and Data Collection.

a.    Enhanced Vital Information Database (eVID). The FAA maintains data in the eVID regarding air carriers, air operators, air agencies, and air personnel. The FAA frequently uses the eVID to report statistical information about FS to internal and external organizations. The FAA also uses this data for work program planning, for the follow-on analysis of work activities, and for defining the environmental complexity at all levels within FS.

b.    Analysis of Data. The primary purpose in requiring surveillance, investigation, and certification work functions is to obtain sufficient amounts of accurate data. The basis for risk assessment is the data gathered about the operating procedures, oversight process, and inspection results for air carriers, air operators, air agencies, and airmen. Analysis and evaluation of the data is necessary to identify trends that may negatively affect aviation safety. In addition, appropriate corrective actions and followup activities are essential to ensure the success of the annual surveillance work program. Quality data facilitates accurate risk assessment, which results from data analysis.

c.    Identification of Surveillance Work Functions. The FAA identifies FS surveillance work functions by four-digit activity numbers and the associated 14 CFR part, to allow data entry into the PTRS. FS office managers and FLMs must establish procedures to review data for quality to ensure that PTRS data is complete, consistent, valid, and correct according to the guidance in the PTRS Procedures Manual (PPM). FS office managers and FLMs must ensure prioritization of surveillance activities based on risk.

d.    Followup Action. Inspectors should correctly record followup actions in the PTRS to monitor corrective actions by an aviation organization. Aviation safety inspector (ASI) opinion codes that require a comment should reflect factual data, and inspectors should accurately record them as “I,” information; “P,” potential; or “U,” unacceptable. Correctly recording U’s and P’s provides valuable information from the ASI about the certificate holder, authorized fractional ownership program, or air agency.

15.    Distribution. The FAA will distribute this order to the Associate Administrator for Aviation Safety (AVS-1), the program director, FAA Academy, the Regulatory Standards Division (AMA-200) at the Mike Monroney Aeronautical Center (MMAC), and all FS branches and offices.

16.    Directive Feedback Information. For your convenience, FAA Form 1320-19, Directive Feedback Information, is the last page of this order. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this order on FAA Form 1320-19.

ORIGINAL SIGNED by

/s/ Rick Domingo

Executive Director, Flight Standards Service

Appendix A.  Work Program Activities

1.    Purpose. This appendix provides a structure for the development of annual work programs and requirements for specific surveillance activities performed each fiscal year (FY) by the Flight Standards Service (FS). This appendix also contains recommendations for additional Planned Surveillance Work Activities (P-item) that aviation safety inspectors (ASI) should consider when preparing a total surveillance work program.

2.    General. The FS work program consists of Required Surveillance Work Activities (R-items) and P-items.

a.    R-Items. R-items comprise the mandatory core inspection program based on critical oversight issues, which the FAA identifies at a national level. The required inspection program provides an essential level of surveillance activity for certificate holders.

Note:  R-items represent risk identified by the policy divisions, National Transportation Safety Board (NTSB) recommendations, Inspector General (IG) recommendations, congressional mandates, and other sources. These risk assessments represent national risk, which may differ from local risk assessments. Offices must consider these items as a priority. However, if critical risk events occur during the year, offices must address these new risks. If reallocation of resources prevents completion of R-items, offices must provide comprehensive documentation on their decision in the cancellation request.

b.    P-Items. P-items provide comprehensive targeted inspections that meet special surveillance requirements for each certificate holder. P-items make up the depth and substance of each office’s annual work program. P-items allow flexible work programs to account for changes in the aviation environment.

c.    Exclusions from the National Work Program. This appendix excludes certificate holders that have surveillance work programs developed under the Safety Assurance System (SAS). Principal inspectors (PI) develop SAS work programs, as defined by FAA Order 8900.1, Volume 10, Safety Assurance System Policy and Procedures. This order establishes oversight of part 183 airmen (e.g., aircrew program designees (APD) and designated flight engineer examiners (DFEE)) used by certificate holders.

d.    Annual Work Program Closeout Procedures.

(1)    The Work Program Management Process (WPMP) is continuous throughout the year. FS offices must complete, terminate, or cancel work program items by September 30 each year.
(2)    If an ASI identifies an area of risk that a certificate holder must address during the fourth quarter, the ASI should initiate corrective actions with the certificate holder. The ASI should then plan surveillance activities to ensure that the certificate holder has successfully implemented any corrective actions. The ASI will incorporate additional surveillance activities on that certificate holder into the new FY planning cycle.

3.    Surveillance Work Program Planning and Resources. Inspectors must complete R-items because they are mandatory unless you terminate or cancel the items. Offices should carefully schedule them to maximize efficiency and cost-effectiveness. If higher-risk surveillance occurs, shortfalls in available resources may result in inadequate resources to complete these mandatory items. If that happens, follow the cancellation procedures in this order. Provide adequate justification when you cancel these mandatory items. Surveillance is a vital function that FS office personnel perform. Accurate planning, high-quality inspections, and precise reporting are essential.

a.    Planning and Reporting Work Functions. Offices must plan work functions and report them in accordance with the guidance in the following:

    FAA Order 1800.56, National Flight Standards Work Program Guidelines.

    Applicable volumes and chapters of Order 8900.1.

    Program Tracking and Reporting Subsystem (PTRS) Procedures Manual (PPM).

    Safety Performance Analysis System (SPAS) WPMP.

    Enhanced Flight Standards Automation System (eFSAS) User Manual.

b.    Planning Required Surveillance. FS plans the required surveillance program on a national and international level, and assigns its accomplishment to individual FS offices.

(1)    Each ASI who has surveillance responsibilities will carefully plan for the accomplishment of surveillance using data analysis and personal subject matter expertise concerning the certificate holder’s operations.
(2)    Do not leave required inspections of certificate holders that have seasonal, irregular, or infrequent operations until the end of the FY when the lack of ASI resources or the business operations of the certificate holder make an inspection impossible.

c.    Surveillance Planning Tools. The following tool is available for inspectors for a risk-based assessment of the operation(s) of part 129.

Note:  SPAS also contains risk assessment tools for other regulatory parts.

(1)    Geographic Airport Data Display (GeoADD) Tool. This paragraph applies to PIs who have oversight responsibilities for certificate holders that have been included in the Geographic Surveillance Program. PIs must accomplish a geographic surveillance needs review at least annually and are encouraged to update their review as many times as necessary during the year based on changes in risk. PIs will use the GeoADD tool to aid them as they determine the type and location of geographic surveillance that is necessary. The GeoADD tool is available at http://aipo.avs.faa.gov/app/GeoADD/.
(2)    Use of the Geographic Surveillance Program and GeoADD Tool. Detailed use of the Geographic Surveillance Program and GeoADD tool is available in Appendix B, Flight Standards Service Geographic Surveillance Program for Part 129.

d.    Validating National Enhanced Vital Information Database (eVID) Records. FS requires that all national eVID records be current and accurate, because the FAA generates FS National Work Program Guidelines (NPG) work programs using this data. This order reaffirms the requirement to validate these files at least once every 12 months, or sooner if information changes. In an effort to obtain the most accurate information possible for the annual surveillance work program, this validation should be as close as possible to the annual eVID snapshot. The eVID snapshot typically occurs on the last Saturday of July.

e.    Regional Automated Modular Planning Software (RAMPS).

(1)    The RAMPS coordinator assigns all R-items except those R-items that require creation by the appropriate FS office. Managers will ensure that qualified and trained ASIs accomplish the inspection work activities. Front Line Managers (FLM) should consider the quality of work performed as a performance appraisal item.
(2)    If the subject of the required inspection item (e.g., operator, airman, or aircraft) changes or is no longer active within the district, FS offices will advise the RAMPS coordinator. The RAMPS coordinator will advise the appropriate FS office of the disposition of the inspection. RAMPS coordinators will work together to resolve inspection transfers.
(3)    Do not change an R-item, designator code, 14 CFR part, or activity number field to accomplish the inspection. Inspectors may change all other fields in a national R-item, including airman name, make and model (M/M), and airport location.

f.    FS Office Responsibilities. FS office managers will monitor the staffing and fiscal resources necessary to address their national surveillance work programs on a monthly basis.

(1)    Managers and FLMs should identify projections of resource shortfalls as early in the FY as possible and communicate resource needs as they determine appropriate.
(2)    FS office personnel must meet quarterly to review their work programs to identify any R-items or P-items that require cancellation due to lack of resources. Cancel and terminate R-items and P-items only under the provisions in subparagraph 5c of this Appendix.

4.    Changes to This Appendix. To maintain the highest level of safety within the aviation system, the Safety Analysis and Promotion Division (AFS-900) will continue to review work program requirements for changes. Future changes to surveillance requirements outlined in this appendix will occur through a revision to this order.

5.    Required Surveillance. This paragraph lists surveillance activities for air carriers, air operators, air agencies, and air personnel operating under 14 CFR. The surveillance this paragraph requires has priority over other work activities. You can only amend these work activities using the work program revision and deviation authority procedures in subparagraph 5c. ASIs must prepare a PTRS record for each specific surveillance activity performed and include information on all findings observed in FAA Form 8000-36, Program Tracking and Reporting Subsystem Data Sheet, Section IV, Comment, of the record.

a.    Required Work Activities.

(1)    Part 125—Operations.
(a)    Main Base Inspection (1616). Conduct one inspection on each FAA-certificated operator (appropriate FS office).
(b)    Ramp Inspection (1622). Conduct one inspection on each FAA-certificated operator (appropriate FS office).
(c)    Manual Procedures (1621). Conduct one inspection on each FAA-certificated operator (appropriate FS office).
(2)    Part 125—Airworthiness. Conduct one of each of the following inspections on each make and basic model aircraft for each FAA-certificated operator (appropriate FS office):
(a)    Ramp (one 3627 or one 5627).
(b)    Spot (one 3628 or one 5628).
(c)    Aircraft Records (one 3634 or one 5634).
(d)    Inspection Program (one 3637 and one 5637).
(e)    Airworthiness Directive (AD) Compliance Inspection (one 3649 and one 5649).
(f)    Approved Weight and Balance (W&B) (one 3639).
(g)    Ramp Cargo Check (two 3623).
(h)    Suspected Unapproved Parts (SUP) Procedures (one 3622 or one 5622). Conduct one inspection on each operator certificated (appropriate FS office).
(i)    Conduct one of each surveillance activity of the operator’s Fuel Tank Flammability Reduction (FTFR) program requirements (4635 and 6635) (appropriate FS office). Enter the acronym “FTFR” (without quotation marks) into the “National Use” field.
(j)    Conduct a Manual Procedure (5626) to verify compliance with Aircraft Network Security Program (ANSP). The appropriate FS office will generate these activities locally.
(3)    Part 125 Deviation Holder—Operations. Conduct one surveillance activity, Part 125 Deviation Holder (1683), on each certificated operator (appropriate FS office).
(4)    Part 129 Foreign Air Carriers—Operations and Airworthiness.

Note:  Inspectors should refer to the appropriate chapter and section of Order 8900.1, Volume 12, International Aviation, for information prior to conducting the surveillance required by this paragraph.

Note:  Refer to Order 8900.1, Volume 12, Chapter 3, Section 3, Ramp Inspections for Part 129 Foreign Air Carriers, for inspector training requirements.

(a)    This requirement applies to foreign air carriers engaged in common carriage operations within the United States to whom the FAA issues part 129 operations specifications (OpSpecs).

1.    Conduct at least one of each of the following inspections on each scheduled passenger and/or cargo part 129 foreign air carrier at each airport of operation:

    Ramp 1622.

    Ramp 3627.

    Ramp 5627.

2.    Conduct at least one of each of the following inspections on each nonscheduled foreign air carrier utilizing aircraft type certificated (TC) for 10 or more seats that operates within the geographical area approved by OpSpec A001, Issuance and Applicability. The appropriate International Field Office (IFO) will generate these activities:

    Ramp 1622.

    Ramp 3627.

    Ramp 5627.

3.    Conduct at least one of each of the following inspections on each nonscheduled foreign air carrier utilizing aircraft TC’d for 9 or fewer seats at least once every 3 years within the geographical area approved by OpSpec A001. The appropriate IFO will generate these activities:

    Ramp 1622.

    Ramp 3627.

    Ramp 5627.

4.    When the appropriate IFO receives notification on nonscheduled flight operations, as required by foreign OpSpec A001, and the operation occurs outside its geographic boundaries, see Appendix B, subparagraph 3a(3) to process a geographic request.

Note:  For those scheduled air carriers also performing nonscheduled operations, PIs are responsible for reviewing and assessing the proposed nonscheduled operation to determine if a geographic surveillance request is necessary.

(b)    For IFOs issuing part 129, § 129.14 approvals, conduct a desk audit annually of each operator’s inspection program (3637 and 5637) (appropriate IFO).
(c)    Heightened Surveillance List (HSL). For additional guidance, refer to Order 8900.1, Volume 12, Chapter 12, Section 1, Heightened Surveillance List, and the HSL.

1.    PIs responsible for part 129 operators must review the HSL for part 129 operators on a quarterly basis. You can find this list at https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/afx/divisions/afs50.html.

2.    Operators appearing on the HSL will receive two additional ramp inspections. Conduct one operations ramp inspection (1622) and one airworthiness ramp inspection (3627 or 5627) quarterly at each airport of operation until the FAA removes them from the HSL. Generate these required inspections locally. Enter the inspection into the PTRS, and enter the acronym “HSL” (without quotation marks) into the “National Use” field.

(d)    IFOs have overall responsibility for regulatory activities pertaining to all part 129 operators within the United States. IFOs that issue OpSpecs for a subject part 129 operator are responsible for maintaining environmental data in the eVID for scheduled part 129 air carriers operating to domestic airports. The office with geographic responsibility for the airport to which the part 129 carrier operates has the responsibility for inspector assignment and conducting geographic inspections in accordance with Order 8900.1, Volume 12, Chapter 3, Section 3 and Volume 12, Chapter 2, Section 2, Part 129 Operations Specifications Overview and Issuance. Geographic offices, assigned in eVID, have the primary responsibility for conducting part 129 ramp inspections. Offices must make inspector assignments, in the environmental record, to comply with this requirement.
(e)    Conduct one of each surveillance activity on each § 129.14 operator’s FTFR program requirements (4635 and 6635) (appropriate IFO). Enter the acronym “FTFR” (without quotation marks) into the “National Use” field.
(f)    For IFOs issuing § 129.14 approvals, conduct a desk audit annually of each operator’s ANSP procedures (5626) including the annual security risk assessment. The appropriate IFO will generate these activities locally.
(5)    Part 133 Operator.
(a)    Operations. Conduct a ramp (1622) or a site (1623) inspection and an operator main base (1616) or manual procedures (1621) inspection on a minimum of 10 percent of the certificated operators (appropriate FS office). Rotate surveillance of these operators year to year.

Note:  Always include operators that perform human external cargo (HEC) when selecting the 10 percent of certificated operators. Include the site (1623) and manual procedures (1621) for these selected HEC operators.

(b)    Airworthiness. Conduct a ramp (3627 or 5627) or spot (3628 or 5628) inspection and aircraft records inspection (one 3634 and one 5634) on a minimum of 10 percent of certificated operators (appropriate FS office). Rotate surveillance of these operators year to year.
(6)    Title 14 CFR Part 137 Operator—Operations. Conduct one of the following inspections on at least 20 percent of the certificated operators (appropriate FS office). Rotate surveillance of these operators from year to year.
(a)    Main Base (1616).
(b)    Ramp (1622).
(c)    Site (1623).
(d)    Facility (1635).
(7)    Part 137 Operator—Airworthiness/Avionics. Conduct one of the following inspections on at least 20 percent of the certificated operators (appropriate FS office). Rotate surveillance of these operators from year to year.
(a)    Ramp (3627 or 5627).
(b)    Spot (3628 or 5628).
(c)    Aircraft Records (3634 or 5634).
(8)    Title 14 CFR Part 141 Air Agency—Pilot Schools.
(a)    Operations. Conduct one of each of the six following inspections for each certificated air agency and satellite school (appropriate FS office):

1.    Air Agency Facility Inspection (1640).

2.    Student Records (1649).

3.    Personnel Records (1650).

4.    Ramp Inspection (1652), if conducting flight training.

5.    Airman/Certificated Flight Instructor (CFI) (1662).

6.    Full Flight Simulator (FFS), Flight Simulation Training Device (FSTD), or Aviation Training Device (ATD) (1630) if approved for use.

(b)    Airworthiness. Conduct one of each of the seven following inspections for each certificated air agency and satellite school that conducts flight training (appropriate FS office):

1.    Pilot School Facility (3650).

2.    AD Compliance (3667 or 5667).

3.    Part 141 Ramp (3664).

4.    Part 141 Ramp (5664).

5.    Equipment/Manuals/Tools (3658).

6.    Spot Inspection (3665).

7.    Aircraft Records (3666 or 5666).

(9)    Title 14 CFR Part 142 Air Agency—Training Center. Conduct one of each of the following inspections on each certificated training center (appropriate FS office). Conduct the 1630, 1640, and 1654 inspections on each training center and satellite.
(a)    FSTD—1630 (Training Center and Satellite).
(b)    Facility—1640 (Training Center and Satellite).
(c)    Training Curriculum—1646 (Training Center).
(d)    Student Records—1649 (Training Center).
(e)    Personnel Records—1650 (Training Center).
(f)    FSTD Document—1654 (Training Center and Satellite).
(10)    Title 14 CFR Part 147 Air Agency—Conduct the following inspections at each certificated Aviation Maintenance Technical School (AMTS) (appropriate FS office):
(a)    Facility—3650.
(b)    Curriculum—3661.
(c)    Facility—5650.
(d)    Personnel Records (5659) or Curriculum (5661).

Note:  Refer to Order 8900.1, Volume 6, Chapter 10, Section 1, General, for information on scheduling and performing AMTS surveillance.

(11)    Part 91 Subpart K (Part 91K)—Fractional Ownership Operations (Airworthiness and Operations). These requirements apply to fractional ownership program managers designated as such by management specification (MSpec) A001, subparagraph a.

Note:  Part 91K R-items and P-items may be terminated when the fractional ownership operator is also a part 135 air carrier. Do not terminate part 91K R-items and P-items unless all the part 91K aircraft and flightcrews are included in the part 135 air carrier certificate. Follow the subparagraph 5c(1)(g) termination of work program items (R-items or P-items) procedures.

(a)    1.0 Aircraft Configuration Control.

1.    Ramp (1622). Conduct one inspection on a minimum of 10 percent of the program aircraft for each fractional ownership program manager authorized via MSpecs (appropriate FS office).

2.    Ramp (3627 or 5627). Conduct one inspection on each make and basic model aircraft for each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).

(b)    2.0 Manuals—Manual/Procedures (1621). Conduct one inspection on each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).
(c)    3.0 Flight Operations.

1.    Crew Records (1627). Conduct one inspection on each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).

2.    Flight Following/Scheduling/Flight Locating (1636). Conduct one inspection on each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).

(d)    4.0 Personnel Training and Qualifications.

1.    Training Program (1626). Conduct one pilot ground or pilot flight inspection on each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).

2.    Training Program (1626). Conduct one flight attendant (F/A) inspection on each fractional ownership program manager that has authorization via MSpecs if applicable (appropriate FS office).

(e)    5.0 Route Structures.

1.    Main Base Inspection (1616). Conduct one inspection on each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).

2.    Maintenance Facility Inspection (one 3619 or one 5619). Conduct one inspection on each fractional ownership program manager that has authorization via MSpecs (appropriate FS office).

(f)    6.0–8.0 Reserved.
(12)    Part 91K—Airworthiness. The requirements apply to any fractional ownership program manager that maintains his or her aircraft under the Continuous Airworthiness Maintenance Program (CAMP).

Note:  Part 91K R-items and P-items may be terminated when the fractional ownership operator is also a part 135 air carrier. Do not terminate part 91K R-items and P-items unless all the part 91K aircraft and flightcrews are included in the part 135 Air Carrier Certificate. Follow subparagraph 5c(1)(g) termination of work program items (R-items or P-items) procedures.

(a)    1.0 Aircraft Configuration Control.

1.    SUP Detection Procedures (one 3622 and one 5622). Conduct one inspection for each fractional ownership program manager’s CAMP (appropriate FS office).

2.    Ramp (3627 or 5627) or Spot (3628 or 5628) Inspections. Conduct two, in any combination, on each make and basic model aircraft for each fractional ownership program manager authorized via MSpecs (appropriate FS office). Choose these two inspections from any combination of the following PTRS activities: 3627, 5627, 3628, or 5628 (appropriate FS office).

3.    Aircraft Records (one 3634 and one 5634). Conduct one inspection on each make and basic model aircraft for each fractional ownership program manager, who maintains these records (appropriate FS office).

4.    Continuing Analysis and Surveillance System (CASS) (one 3635 and one 5635). Conduct one inspection on each fractional ownership program manager’s CAMP (appropriate FS office).

5.    Inspection Program (one 3637 and one 5637). Conduct one inspection on each make and basic model aircraft for each fractional ownership program manager’s CAMP (appropriate FS office).

6.    Structural Spot (3647). Conduct two inspections on each make and basic model aircraft for each fractional ownership program manager who performs structural inspections of that basic M/M (appropriate FS office).

7.    AD Compliance Inspection (one 3649 or one 5649). Conduct one inspection on each make and basic model aircraft. Conduct one inspection for each fractional ownership program manager (appropriate FS office).

(b)    2.0 Manuals—Manual/Procedures (one 3626 and one 5626). Conduct one inspection on each fractional ownership program manager (appropriate FS office).
(c)    3.0 Personnel Training and Qualifications. Training Program Records (one 3633 and one 5633). Conduct one inspection on each fractional ownership program manager’s CAMP (appropriate FS office).
(d)    4.0 Route Structures—Maintenance Facility Inspection (one 3619 and one 5619). Conduct one of each activity on each fractional ownership program manager’s maintenance facilities (appropriate FS office).
(e)    5.0–8.0 Reserved.
(13)    Part 91K—Airworthiness. These requirements apply to any fractional ownership program manager who does not maintain aircraft under a CAMP.

Note:  Part 91K R-items and P-items may be terminated when the fractional ownership operator is also a part 135 air carrier. Do not terminate part 91K R-items and P-items unless all the part 91K aircraft and flightcrews are included in the part 135 air carrier certificate. Follow the subparagraph 5c(1)(g) termination of work program items (R-items or P-items) procedures.

(a)    1.0 Aircraft Configuration Control. Conduct 2 of the following 12 inspections (subparagraphs 1 through 6 below) on each fractional ownership program manager that is authorized via MSpecs (appropriate FS office). One inspection must be a maintenance inspection and the other must be an avionics inspection. The inspections may be different types (e.g., one maintenance ramp inspection and one avionics spot inspection).

1.    Maintenance Facility Inspection (3619 or 5619).

2.    SUP Detection Procedures (3622 or 5622).

3.    Ramp (3627 or 5627).

4.    Spot (3628 or 5628).

5.    Aircraft Records (3634 or 5634).

6.    Inspection Program (3637 or 5637).

(b)    2.0 Manuals—Manual/Procedures (one 3626 and one 5626). Conduct one inspection on each fractional ownership program manager (appropriate FS office).
(c)    3.0 Personnel Training and Qualifications. Training Program Records (one 3633 and one 5633). Conduct one inspection on each fractional ownership program manager (appropriate FS office).
(d)    4.0–8.0 Reserved.
(14)    Part 91 Air Tour—Operations and Airworthiness. These requirements apply to any operator conducting air tour operations under part 91, § 91.147. Conduct each of the following inspections on 10 percent of the air tour operators that have authorization via a letter of authorization (LOA) (appropriate FS office).
(a)    Ramp (1661).
(b)    Ramp (3627 or 5627).
(c)    Spot (3628 or 5628).
(d)    Aircraft Records (3694 or 5694).
(e)    AD Compliance Inspection (one 3696 or one 5696).

Note:  ASIs will use the part 91 LOA identification number in the “National Use” field of the PTRS records and list the name of the operator in the “Non-Cert Activity Name/Company” block.

(15)    Part 91 Parachute Operations—Operations and Airworthiness. These requirements apply to part 91 parachute operations conducted in accordance with 14 CFR part 105. Conduct each of the following inspections (subparagraphs (a) through (f)) per year on each parachute operation/Drop Zone (DZ) located within the appropriate FS office’s jurisdiction.
(a)    Ramp (1661).
(b)    Ramp (3627 or 5627).
(c)    Parachute Jumps (1696).
(d)    Spot (3681 or 5681).
(e)    Aircraft Records (3694 or 5694).
(f)    Title 14 CFR Part 65 Rigger (senior or master) (3678).

Note:  Parachute operation surveillance at aviation events should be recorded separately.

Note:  Inspector comments in the applicable PTRS report should cover, as applicable, pilot certification and medical certificate, aircraft maintenance/inspection, aircraft fueling procedures, and aircraft configuration for sport skydiving operations. When performing parachute harness and reserve pack inspections, verify Technical Standard Order (TSO)-C23, Personnel Parachute Assemblies and Components, harness and reserve parachute marking compliance.

Note:  Inspectors will identify any surveillance associated with this activity by entering “SPORTJUMP” (without quotation marks) in the “National Use” field of the PTRS record.

(16)    Part 91 Banner Tow Operations—Operations and Airworthiness. These requirements apply to any towing operation conducted under § 91.311. Conduct two of the following three inspections per year on each tow operator located within the appropriate FS office’s jurisdiction. One inspection must be an airworthiness inspection and the other must be an operations inspection.
(a)    Ramp (3627) or Spot (3681).
(b)    Surveillance (1684).

Note:  Inspectors will identify any surveillance associated with this activity by entering “BannerTow” (without quotation marks or space) in the “National Use” field of the PTRS record.

(17)    Title 14 CFR Part 61 Flight Schools. Conduct one inspection for each flight training device (FTD) located at each flight school and satellite school (appropriate FS office) that uses a Level 4 or 5 FTD in its flight training. Generate this inspection locally: FTD (Level 4 or 5) (1630) if approved for use.
(18)    Part 183 Airmen—Operations.

Note:  Inspectors should refer to the appropriate chapter and section of Order 8900.1, Volume 13, Flight Standards Designees, for information prior to conducting the surveillance required by this paragraph. Pre-inspection activities may require interviews of recently certificated airmen, and designee surveillance may be required every 12 calendar-months.

Note:  Perform at least one additional R-item surveillance for high-activity designees when required by Order 8900.1, Volume 13. Create this R-item locally.

Note:  Designee oversight is scheduled to be implemented into the new Designee Management System (DMS) in phases for the different lines of business (LOB). When this occurs for FS, you must record all surveillance and oversight activities in the DMS software in accordance with FAA Order 8000.95, Designee Management Policy. You may terminate any remaining planned designee R-item activities per subparagraph 5c(1)(h).

(a)    Conduct one of each of the following inspections on each Designated Examiner (DE) (appropriate FS office).

Note:  Because 1668 or 1672 is a part 183 inspection of the airman and not a 14 CFR part 121, 135, or 121/135 inspection of the air carrier, RAMPS will generate these inspections for all active APDs and DFEEs.

1.    Flight Engineer Examiner (FEE) (1668).

2.    APD (1672).

3.    Designated Aircraft Dispatcher Examiner (DADE) (1669).

4.    Training Center Evaluator (TCE) (1673).

5.    Airman Certification Representative (ACR) (1671).

(b)    Conduct one of the following inspections on each DE (appropriate FS office). This inspection must be an onsite surveillance of a complete practical test.

1.    Designated Pilot Examiner (DPE)—Large/Turbojet (1664).

2.    Sport Pilot Examiner (SPE) (1660).

3.    Pilot Proficiency Examiner (PPE) (1666).

4.    DPE—Other (1665).

Note:  RAMPS assigns activity number 1660, 1664, or 1666 to any examiner not assigned activity 1665.

(19)    Part 183 Airmen—Airworthiness.

Note:  Inspectors should refer to the appropriate chapter and section of Order 8900.1, Volume 13, for information prior to conducting the surveillance required by this paragraph. Pre-inspection activities may require interviews of recently certificated airmen, and designee surveillance may be required every 12 calendar-months.

Note:  Perform at least one additional R-item surveillance for high-activity designees when required by Order 8900.1, Volume 13. Create this R-item locally.

Note:  Designee oversight is scheduled to be implemented into the new DMS in phases for the different LOBs. When this occurs, you must record all surveillance and oversight activities in the DMS software in accordance with ou may terminate any remaining planned designee R-item activities per subparagraph 5c(1)(h). If the designee has not been implemented into the DMS, continue to document designee surveillance activities in PTRS in accordance with Order 1800.56.

(a)    Conduct one Designated Mechanic Examiner (DME) inspection (3675) on each DME (appropriate FS office). This inspection must be an onsite surveillance of a complete test.
(b)    Conduct one inspection on each Designated Parachute Rigger Examiner (DPRE) (3676).
(c)    Conduct two Designated Airworthiness Representative (DAR) inspections (3677 or 5676) on each DAR (appropriate FS office). At least one inspection must include an onsite observation.

Note:  ASIs will use the “Affiliated Designator” field as appropriate when completing PTRS records.

(20)    Part 183—Airworthiness. Conduct one onsite surveillance activity (4677 or 6677) for each Organization Designation Authorization (ODA) that has an FAA Organization Management Team (OMT) member assigned to it (appropriate FS office).

Note:  ASIs will record “SUPV” in the “National Use” field of the PTRS record when they comply with annual supervision procedures found in FAA Order 8100.15, Organization Designation Authorization Procedures, chapter 5, paragraph 5-4. ASIs will record “DOIP” (without quotation marks) in the “National Use” field of the PTRS record when they comply with 24-month delegated organization inspection program procedures found in Order 8100.15, chapter 6.

Note:  Do not use PTRS codes 4677 and 6677 for aircraft certification package reviews. Use PTRS code 4520 or 6520 to record these reviews.

(21)    Part 183—Other General Aviation (GA) Administrative Examiner/Designee. Conduct one surveillance activity (1665) on each of the following identified in eVID:

Note:  Inspectors should refer to the appropriate chapter and section of Order 8900.1, Volume 13, for information prior to conducting the surveillance required by this paragraph. Pre-inspection activities may require interviews of recently certificated airmen, and designee surveillance may be required every 12 calendar-months.

Note:  Perform at least one additional R-item surveillance for high-activity designees when required by Order 8900.1, Volume 13. Create this R-item locally.

Note:  Designee oversight is scheduled to be implemented into the new DMS in phases for the different LOBs. When this occurs for FS, you must record all surveillance and oversight activities in the DMS software in accordance with Order 8000.95. You may terminate any remaining planned designee R-item activities per subparagraph 5c(1)(h).

(a)    Flight Instructor Renewal Examiner (FIRE).
(b)    Military Competency Examiner (MCE).
(c)    Foreign Pilot Examiner (FPE).
(d)    Ground Instructor Examiner (GIE).

Note:  RAMPS automation may create pilot examiner R-Items per subparagraphs 5a(18)(b) and 5a(21). Only one observation is required unless other FS policy applies (i.e., high-activity designee) and the second R-Item may be terminated per subparagraph 5c(1)(f) if other FS policy does not apply.

(22)    Part 65 Airmen—Operations. Conduct one onsite surveillance activity (1667) for each approved aircraft dispatcher certification course (appropriate FS office).

b.    Geographic Program Requirements.

(1)    The geographic program found in Order 8900.1 and Appendix B requires FS offices to incorporate PI work program requirements into the development of the geographic work program to ensure it meets overall certificate management goals. These orders also require flexibility as the local qualified inspectors develop the surveillance plan to allow for the incorporation of ongoing changes to inspection requirements forwarded from the FS office/IFO.
(2)    FS offices will accept geographic R-items transferred from other FS offices. Transferred R-items are either accomplished or cancelled due to Resources Not Available (RNA) per subparagraph 5c(2).
(a)    The appropriate FS office/IFO uses the surveillance needs of the certificate holder to help determine where to target geographic R-items. The targeted FS office location for the surveillance may be unrelated to the eFSAS environmental file that generated the R-item.
(b)    Coordination is required to ensure that targeted geographic R-items meet the requirements of the FS office/IFO.
(c)    FS office/IFO FLMs must consider the risk of geographic surveillance requests when developing office surveillance plans. The highest risk surveillance, regardless of the source, must be accomplished with due regard to office resource limitations.
(3)    FS office managers will address resource shortfalls, which may result from the assignment of geographic R-items, using the cancellation process described in subparagraph 5c.
(4)    Coordinate nonscheduled air carrier inspections across FS office geographic boundaries. PIs must inform other FS offices of any certificate holder operating in that FS office’s geographic area and the nature of the certificate holder’s operation (scheduled or nonscheduled).

c.    Work Program Revisions and Deviation Authority. Only the specific authority in this paragraph may change the work program items (R-items and P-items) in this order. This order provides limited authority to change R-items and P-items to allow additional flexibility and enhance the overall effectiveness of the work program. R-items comprise a small part of the overall work program (less than 20 percent). P-items make up the depth and substance of the annual work program. All work program items (R-items or P-items) are risk‑based. The FAA uses R-items to target surveillance based on specific national surveillance requirements. ASIs should understand the difference between canceling and terminating R-items and P-items. The FAA cancels work program items when there are no available resources to accomplish the activity. Subparagraph 5c(1) contains the criteria for terminating R-items. The FAA discourages widespread termination of risk-based work program items because it may lead to an ineffective work program.

(1)    Termination of Work Program Items (R-items or P-items). You may terminate work program items using a “T” in the “Results” field of the PTRS record for the following reasons:

Note:  Document the reason you terminated work program items in Section IV of FAA Form 8000-36. The comments section of terminated items per subparagraphs 5c(1)(a)–(g) must include a statement that the RAMPS coordinator has concurred with the action.

Note:  Risk is the basis of all R-items and P-items. Plan the annual P-items based on risk. Continue to generate additional inspections (ad hoc), as needed, based on local conditions.

Note:  Termination of planned items (P-items) will use the same process used for the termination of R-items.

Note:  Use the WPMP risk analysis to assign inspector resources. Assign resources to the highest‑risk surveillance items. Cancel assignments if a resource shortfall occurs, in accordance with the guidance contained in this order for RNA.

(a)    AFS-900. AFS-900 may adjust the required items in this order based on analysis. This will enable FS to target surveillance activities and make adjustments based on assessments. AFS-900 will notify FS offices of changes to required items, recommended planned surveillance, or termination instructions.
(b)    Changed Certificate. If the subject of the surveillance (e.g., operator or aircraft) has changed or is no longer active, FS office FLMs will work together to resolve any needed transfer of inspections. Use keyword code 971 to indicate terminated NPG surveillance.
(c)    Surrendered or Revoked Certificate. If a certificate holder surrenders a certificate or you revoke the certificate, then terminate the work program item. The PTRS record should indicate the date of the surrender or revocation. Use keyword code 971 to indicate terminated NPG surveillance.
(d)    Incorrect eVID. If incorrect information in the eVID generates R-items, the required PTRS comment should indicate that the PI has corrected the eVID. In the event of an R-item generated in error for a check airman listed by name, change the name of the check airman to a different check airman and accomplish the R-item. Use keyword code 971.
(e)    Change of Operating Regulation. For certificate holders that change their operating regulation (e.g., from part 91K to part 125), the FAA will terminate the required inspections generated under the existing 14 CFR part. The appropriate FS office will reenter these required inspections using PTRS record software. The required PTRS comment should include the change of operating 14 CFR part and the date the change occurred. Use keyword code 971.
(f)    R-Items Created in Error. If an R-item is created in error (e.g., a duplicate R-item), the PTRS‑required comment should describe the error and reference the correct PTRS record identification (if applicable).
(g)    Part 91K. Part 91K R-items and P-items may be terminated when the fractional ownership operator is also a part 135 air carrier. The comments section of the terminated part 91K record must include the part 135 air carrier’s name and four-letter designator and state that equivalent surveillance is already included in the part 135 air carrier’s SAS oversight. Use keyword code 971. Do not terminate part 91K R-items and P-items unless all the part 91K aircraft and flightcrews are included in the part 135 air carrier certificate.
(h)    DMS. Special R-item and P-item termination instructions apply when an FS office transitions to the DMS. Terminate your office’s remaining part 183 work program items (R-items and P-items) if your office is the certificate-holding district office (CHDO) for those remaining items. Enter “DMS” (without quotations) in the “National Use” field of the PTRS record. Use keyword code 971 to indicate terminated NPG surveillance and enter the following comment “Surveillance of this certificate transferred to DMS on [date].” It is not necessary to include a statement that the RAMPS coordinator has concurred with this action for terminations performed per this paragraph.
(2)    Cancellation of Work Program Items (R-items or P-items) Due to RNA. Under certain circumstances, you may cancel R-items and P-items using “X” in the “Results” field of the PTRS record when resources are not available to accomplish the work.

Note:  The NPG represents a system-wide identification of areas that have proven safety risks. A local analysis of certificate holders will likewise identify other areas where there are safety risks. It is the responsibility of the PI and the FLM to assess all of these risks as they develop their work programs. The office should create work programs based on the highest areas of risk and document decisions to deviate from keeping the R-items as the highest priority.

(a)    All R-items and P-items must either be resourced or, if resources are not available, captured with a shortfall and justification. If resources are not available, whether it is due to a lack of funding or personnel, the FLM must select a reason and justification for the shortfall. This information is provided to the PIs for future planning. Enter one of the following abbreviations in the PTRS “Local” field:

PTRS Local Field Entry/Code

RNA Reason Code Definition

RNAP

Resource Not Available - Personnel Shortages

RNAQ

Resource Not Available - Personnel Qualifications

RNAF

Resource Not Available - Funds Unavailable

RNAS

Resource Not Available - Security Restricted

(b)    Document the reason for cancelling the R-items or P-items in the comments section of the PTRS record. The documentation should be clear and detailed, so that someone unfamiliar with the cancellation can easily understand the rationale behind the cancellation.

Note:  R-items and P-items identified for possible cancellation may remain open from quarter to quarter, but do not leave them open until the end of the FY.

(c)    FS office managers must monitor PTRS records for appropriate cancellation activity and provide their division managers cancellation reports upon request.

d.    Planned Surveillance.

(1)    FS offices base the annual work program solely on risk. Developing P-items based on risk is the primary driver of the program, rather than staffing or budget. The P-items provide a comprehensive inspection review of foreign and domestic air carriers, air operators, air agencies, and airmen that make up each office’s work program. The P-items also provide an indepth, targeted oversight program that meets special surveillance requirements for each specific certificate holder.
(2)    In order to identify safety issues and target resources effectively, PIs must consider various safety data when they develop planned surveillance programs. This data includes accident/incident trends, patterns, and causal factors, as well as other types of safety data that may signal a need for additional surveillance. Use the safety analysis tools found in SPAS to develop a comprehensive risk assessment.
(3)    Offices should complete the P-item work program for each certificate holder. P-items are risk-based and mitigation of risk is essential to meet the FAA’s safety goals. FS offices must meet quarterly to review their work programs to identify any R-items or P-items that require cancellation. FS office/IFO managers are accountable for balancing surveillance, certification, and investigation priorities.
(4)    Title 14 CFR Part 107 Small Unmanned Aircraft Systems (UAS)—Operations. Part 107 has specific risk mitigation and hazard reduction provisions that facilitate integration of small UAS into the National Airspace System (NAS). Since part 107 was implemented in FY 2016, accident/incident trends, patterns, causal factors, and safety data have not matured sufficiently to develop a fully informed surveillance program based on risk. Even though small UAS operations have the potential to pose a lower level of public risk in certain types of operations relative to manned aircraft operations, the unmanned nature of small UAS operations raises safety concerns that warrant planned surveillance. Therefore, each appropriate FS office adds at least one planned surveillance item to conduct a site visit (1623) on one small UAS operator with the focus on aviation education and compliance (refer to Order 8900.1, Volume 16, Chapter 5, Section 2, Site Visits of UAS Operations). When practical, the site visit should be conducted on a small UAS operator conducting operations under a part 107 waiver. Current waivers issued under part 107 may be found at https://www.faa.gov/uas.
(5)    Government-owned aircraft operators who are conducting public aircraft operations (PAO) must be included in the FS office’s annual planned surveillance activities to verify their PAO status remains unchanged. (Refer to Order 8900.1, Volume 3, Chapter 14, Section 2, Public Aircraft Operations and Surveillance Government Aircraft Operations Versus Civil Aircraft Operations, for specific PTRS activity codes and procedures.) Additional information can be found in subparagraph 10h of this order.

6.    Surveillance of FAA Aircraft. In accordance with FAA Order 4040.9, FAA Aircraft Management Program, the FAA must provide regulatory oversight, to include a surveillance and inspection program, for all FAA flight program operations conducted in FAA aircraft (owned, leased, and rented). The FAA has assigned a flight program certificate management unit (CMU) to provide regulatory oversight of FAA flight programs and FAA flight program participants. The CMU will maintain accurate information in the eVID for the development of a required annual work program. The surveillance and inspection program must be consistent with applicable regulatory requirements and agency directives that set forth standards for FAA flight programs. The surveillance and inspection program should also be equal in scope and detail to an operator of similar size, scope, and complexity.

7.    After Normal Duty Hours and Weekend Surveillance. Offices should accomplish at least 10 percent of the surveillance after normal duty hours, to include weekends. This surveillance would include both required and planned surveillance activities. Inspectors must enter “OFFHOUR” (without quotation marks) in the “National Use” field of the PTRS record. If other guidance requires the use of the “National Use” field, place “OFFHOUR” (without quotation marks) in the “Miscellaneous Use” field.

Note:  Off-hour activities are activities that occur outside of normal FAA duty hours, which includes weekends. The appropriate FS office and national guidance determine off-hour activities and the hours that comprise off hours.

8.    Other Required Work Activities. Reserved.

Appendix B.  Flight Standards Service Geographic Surveillance Program for Part 129

1.    Purpose. This appendix provides information and guidance about the Flight Standards Service (FS) Geographic Surveillance Program for foreign air carriers operating in accordance with Title 14 of the Code of Federal Regulations (14 CFR) part 129. This appendix applies to principal inspectors (PI) for part 129 certificates.

2.    Geographic Surveillance Program.

a.    Data Collection. Inspections carried out via the Geographic Surveillance Program occur at an increasing number of air carriers’ operating locations as this program has progressed through a series of implementation phases. Data collection from a wider range of operating locations will add to the overall quality of the data collection process, as well as identify hazards and associated risks not previously identified at some locations. Identification of previously unobserved hazards and associated risks is critical to ensure corrective action and risk mitigation.

b.    Foreign Air Carriers.

(1)    In March 2008, the International Civil Aviation Organization (ICAO) Secretariat adopted amendment 32 to ICAO Annex 6, Operation of Aircraft, which strengthened the oversight of and requirements for foreign operators. This amendment became effective later that year and applicable on January 1, 2010. Annex 6, Part I, chapter 4, paragraph 4.2.2 contains the new standard. Specifically, paragraph 4.2.2.2 requires that “States shall establish a program with procedures for the surveillance of operations in their territory by a foreign operator and for taking appropriate action when necessary to preserve safety.” ICAO Doc 8335, Manual of Procedures for Operations, Inspection, Certification and Continued Surveillance, part VI, discusses State responsibilities regarding commercial air transport operations by foreign operators. Part VI, chapter 1 addresses the principles of surveillance of foreign operators, and part VI, chapter 5 discusses continued surveillance of operators from other States.
(2)    The Federal Aviation Administration (FAA) office with oversight authority of the airports located within its geographic district has the responsibility for the required ramp inspection. Assign and conduct geographic inspections in accordance with Appendix A, subparagraph 5b, and FAA Order 8900.1, Volume 12, Chapter 2, Section 8, Compliance, Surveillance, and Operations Specifications (OpSpecs) Enforcement. The office with geographic authority over the airport where scheduled operations occur must complete all Required Surveillance Work Activities (R-item).
(3)    International Field Office (IFO) managers may send inspectors outside their geographic area to conduct inspections. However, IFOs may not send inspectors outside the United States to conduct ramp inspections of part 129 foreign air carriers.

3.    Action. PIs perform the actions outlined below for part 129 foreign air carriers.

a.    Part 129 Geographic Surveillance Procedures.

(1)    PIs will accomplish a Geographic Surveillance Program review within 12 months from the last review, and at least annually, by the end of the fiscal year (FY). They are encouraged to update their review as many times as necessary during the year based on changes in risk. Use the Geographic Airport Data Display (GeoADD) and the Safety Performance Analysis System (SPAS) tools as aids to determine the type and location of geographic surveillance that you need. The GeoADD tool is located at http://aipo.avs.faa.gov/app/GeoADD/.
(2)    Document the accomplishment of the review by entering one of the following activity codes in the Program Tracking and Reporting Subsystem (PTRS): 1045, 3045, or 5045. A PI team review requires only one PTRS activity. Make a comment in the comments section of the PTRS record that states, “accomplished as a PI team” (without quotation marks). Use one record ID for all part 129 operators assigned to a single PI. When you make a team record ID, add the following comment in the comments section of the PTRS record: “One record for all part 129 assigned” (without quotation marks). If doing the review individually, all three PTRS activities are necessary. Enter “GEOADD” (without quotation marks or spaces), in capital letters, into the “National Use” field of each record.
(3)    PIs at IFOs shall provide risk-based geographic surveillance requests for part 129 ramp inspections to their managers. If IFO management concurs, they will forward the geographic surveillance request to the appropriate FS office manager. IFO managers shall copy the International Field Management Branch (AFS-54) to facilitate tracking. Communication methods between the IFO, FS office, and AFS-54 include email and memoranda. Choices for geographic surveillance include the following PTRS codes: 1622, 3627, and 5627.

Note:  Do not use the geographic surveillance procedures made through subparagraph (3) in lieu of transferring PTRS records through the enhanced Vital Information Database (eVID).

(4)    If the receiving FS office manager determines that resources are available, the responsible Front Line Manager (FLM) will assign an inspector to accomplish the risk-based surveillance, including any specific PI instructions.
(5)    If the receiving FS office manager determines that resources are not available, he or she will notify the requesting IFO. The requesting IFO must either respond “Resources Not Available (RNA)” to the surveillance in PTRS or seek additional resources through AFS-54. AFS-54 will facilitate possible resources from one of the four IFOs.

Note:  In the event of resource requests requiring temporary duty travel (TDY), the IFO with oversight authority (initiating the resource request) will provide accounting data to cover TDY costs.

(6)    Any inspector who has completed the electronic Learning Management System (eLMS) course “How to Conduct a 14 CFR Part 129 Ramp Inspection” and all required on-the-job training (OJT) may, based on work assignment, accomplish the surveillance.
(7)    Upon completion of the surveillance, enter “GEOADD” without quotes or spaces, in capital letters, into the “National Use” field of each record.
(8)    PIs will monitor and evaluate geographic surveillance results and will take followup actions as necessary. IFOs and AFS-54 regularly review part 129 surveillance activity to evaluate geographic surveillance needs.

Appendix C.  Acronyms and Abbreviations

ACR

Airman Certification Representative

AD

Airworthiness Directive

AMTS

Aviation Maintenance Technical School

ANSP

Aircraft Network Security Program

APD

Aircrew Program Designee

ASI

Aviation Safety Inspector

ATD

Aviation Training Device

CAMP

Continuous Airworthiness Maintenance Program

CASS

Continuing Analysis and Surveillance System

CFI

Certificated Flight Instructor

CMU

Certificate Management Unit

DADE

Designated Aircraft Dispatcher Examiner

DAR

Designated Airworthiness Representative

DE

Designated Examiner

DFEE

Designated Flight Engineer Examiner

DME

Designated Mechanic Examiner

DMS

Designee Management System

DOT

Department of Transportation

DPE

Designated Pilot Examiner

DPRE

Designated Parachute Rigger Examiner

eFSAS

Enhanced Flight Standards Automation System

eLMS

Electronic Learning Management System

eVID

Enhanced Vital Information Database

F/A

Flight Attendant

FAA

Federal Aviation Administration

FEE

Flight Engineer Examiner

FFS

Full Flight Simulator

FIRE

Flight Instructor Renewal Examiner

FLM

Front Line Manager

FPE

Foreign Pilot Examiner

FS

Flight Standards Service

FSIMS

Flight Standards Information Management System

FSTD

Flight Simulation Training Device

FTFR

Fuel Tank Flammability Reduction

FY

Fiscal Year

GA

General Aviation

GeoADD

Geographic Airport Data Display

GIE

Ground Instructor Examiner

HEC

Human External Cargo

HSL

Heightened Surveillance List

ICAO

International Civil Aviation Organization

IFO

International Field Office

IG

Inspector General

LOA

Letter of Authorization

LOB

Line of Business

MCE

Military Competency Examiner

M/M

Make and Model

MSpecs

Management Specifications

NAS

National Airspace System

NPG

National Work Program Guidelines

NTSB

National Transportation Safety Board

ODA

Organization Designation Authorization

OJT

On-the-Job Training

OMT

Organization Management Team

OpSpecs

Operations Specifications

P-item

Planned Surveillance Work Activity

PA

Performance Assessment

PAO

Public Aircraft Operations

Part 91K

Part 91 Subpart K

PI

Principal Inspector

PPE

Pilot Proficiency Examiner

PPM

PTRS Procedures Manual

PTRS

Program Tracking and Reporting Subsystem

R-item

Required Surveillance Work Activity

RAMPS

Regional Automated Modular Planning Software

RM

Risk Management

RNA

Resources Not Available

SAS

Safety Assurance System

SPAS

Safety Performance Analysis System

SPE

Sport Pilot Examiner

SUP

Suspected Unapproved Parts

TC

Type Certificate

TCE

Training Center Evaluator

TCPM

Training Center Program Manager

TDY

Temporary Duty Travel

TSO

Technical Standard Order

UAS

Unmanned Aircraft System

W&B

Weight and Balance

WPMP

Work Program Management Process

DOT logo

U.S. Department

of Transportation

Federal Aviation

Administration

FAA Form 1320-19, Directive Feedback Information

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