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U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

National Policy

ORDER
8000.4K

 

 

 

Effective Date:

7/9/12

SUBJ:

Coordination with the Air Mobility Command’s Department of Defense Commercial Airlift Division and the United States Transportation Command

           

1.    Purpose of This Order. This order establishes a shared Federal Aviation Administration (FAA) liaison position assigned by the Air Transportation Division (AFS‑200) to the Air Mobility Command’s (AMC) Department of Defense (DOD) Commercial Airlift Division and the United States Transportation Command (USTRANSCOM). This order also provides coordination procedures between the FAA and the DOD Commercial Airlift Division’s mission of evaluating air carriers conducting contractual business with the DOD. Both the DOD Commercial Airlift Division and USTRANSCOM are located at Scott Air Force Base (AFB), IL.

2.    Audience. The primary audience for this order is the Flight Standards Service (AFS) branches and divisions in headquarters (HQ), regions, certificate-holding district offices (CHDO), certificate management offices (CMO), Certificate Management Teams (CMT), and International Field Offices (IFO).

3.    Where You Can Find This Order. You can find this order on the MyFAA employee Web site 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. Operators can find this order on the FAA’s Web site at http://fsims.faa.gov. This order is available to the public at http://www.faa.gov/regulations_policies/orders_notices.

4.    Cancellation. This order cancels FAA Order 8000.4J, Coordination with the Department of Defense, Commercial Airlift Division, dated July 26, 2010.

5.    Explanation of Changes. This order:

·    Changes references from the Analysis and Information Staff (AFS-20) to the Air Transportation Division (AFS‑200).

·    Includes additional references to the “Commercial Aircraft Review Board (CARB).”

·    Replaces “Flight Standards District Office (FSDO)” with “CHDO.”

·    Includes references to the CMT.

·    Includes references to USTRANSCOM.

·    Includes the actual law (Title 10 of the United States Code (10 U.S.C.) § 2640) in paragraph 7.

6.    Distribution. The FAA distributes this order to AFS at the branch level, all regional Flight Standards divisions (RFSD) at the branch level, all CHDOs/CMOs/CMTs, and all IFOs.

7.    Background. The DOD contracts for passenger and air cargo movements from air carriers certificated by the FAA. The DOD is required by law (10 U.S.C. § 2640) to conduct capability evaluations of these carriers to ensure that each is able to satisfy the unique requirements of the military contract and adhere to the DOD Air Transportation Quality and Safety Requirements published in Title 32 of the Code of Federal Regulations (32 CFR) part 861. Generally, DOD surveillance requirements include an initial onsite capability survey with a recurring onsite survey every 2 years thereafter, a performance evaluation every 6 months, and periodic aircraft ramp inspections and cockpit observations on selected air carriers.

8.    Data Sharing. The DOD and FAA have agreed to share aviation safety data. The DOD will provide survey reports, letters of concern, DOD CARB actions, etc., to the FAA. The FAA will provide FAA investigative reports such as regional or CHDO air carrier evaluations, national Air Carrier Evaluation Program (ACEP) results, etc., to the DOD. The exchange of air carrier and safety information should occur on a routine and timely basis. In accordance with existing Memorandums of Understanding (MOU), each agency is responsible for understanding and safeguarding the sensitivity of the data exchanged.

9.    DOD Responsibilities. The DOD Commercial Airlift Division is expected to follow these procedures:

a.    Pre-Survey Notification. The survey team will notify the FAA CHDO/CMO/CMT before embarking on capability surveys and will outline their inspection requirements.

b.    Request for Information. Contact by DOD personnel with FAA offices while conducting onsite surveys and performance evaluations may include requests for information that pertain to:

·    Aircraft accidents;

·    Incidents;

·    Enforcement actions;

·    Hazardous materials (hazmat) authorizations and security issues;

·    National ACEP information/results;

·    Regional Office (RO) and district office safety inspection results;

·    Operations specifications (OpSpecs) changes; and

·    Any other changes in the air carrier’s operation that could affect its CFR compliance/safety posture.

c.    Desktop Audits. Semiannual performance evaluations conducted by DOD will normally be desktop audits. These evaluations will include communications with appropriate FAA principal inspectors (PI) via telephone.

d.    Aircraft Ramp Inspection Notification. Normally, the DOD does not notify the CHDO/CMO/CMT PIs that a no-notice aircraft ramp inspection has occurred unless the inspection reveals a potential problem or concern involving the FAA’s area of responsibility.

e.    Cockpit Observation. DOD commercial air carrier operations evaluators possess FAA cockpit authority (Survey and Analysis (S&A) Form 110B, DOD Commercial Air Carrier Evaluator’s Credential) and will frequently conduct cockpit observations of commercial aircrews. These observations may or may not coincide with scheduled onsite surveys. The evaluators will notify the appropriate FAA RFSD and CHDO/CMO/CMT PI if they observed suspected violations of FAA regulations.

f.    Debriefing. After completing a survey, the survey team will debrief the appropriate CHDO/CMO/CMT personnel. In accordance with DOD procedures, the team will not reach conclusions at this time, but will discuss its factual findings. The debriefing may occur via telephone if a face-to-face debriefing is impractical due to location, time, or non-availability of FAA personnel.

g.    Formal Survey Report. The survey team will prepare a formal report for all surveys that the Chief of the DOD Commercial Airlift Division normally approves. If necessary, the survey team will also prepare a report for consideration by the CARB at AMC, Scott AFB, IL. The CARB reviews and evaluates a commercial air carrier’s eligibility and capability to provide or continue airlift services to the DOD. The DOD provides copies of all survey reports to the FAA liaison at HQ AMC for further FAA distribution, as required. The FAA RFSD/CHDO/CMO/CMT can expect to receive a copy of the DOD survey report within 30 to 60 days from completion of the onsite survey. Additionally, copies of foreign air carrier surveys are provided to the International Programs and Policy Division (AFS‑50) for their information and use.

h.    FAA Representation. The FAA liaison to HQ AMC will represent the FAA as a non-voting advisor to the DOD CARB.

i.    Survey Team Visit Schedule. Each FAA region and Air Transportation Oversight System (ATOS) point of contact (POC) will receive a proposed monthly schedule of DOD survey team visits from the FAA liaison. Additionally, the ATOS program manager, or their POC, will provide a monthly schedule of national ACEP evaluations to AFS-200 for distribution to the DOD through the FAA liaison.

10.    FAA Regional Responsibilities. Each region will take the following actions:

·    Ensure cooperation with the DOD survey team, especially at the CHDO/CMO/CMT level;

·    Appoint an FAA aviation safety inspector (ASI) (occupational code 1825) as the RFSD focal point for DOD survey activities, whose primary purpose is to maintain a cooperative working relationship with the applicable CHDO/CMO/CMT and the FAA liaison as the DOD coordinator; and

·    Provide notification to the Air Carrier Operations Branch (AFS-220) of the appointment.

11.    FAA CHDO/CMO/CMT Responsibilities. Through the MOU, the FAA and DOD have agreed to share information on air carriers. Each CHDO/CMO/CMT contacted by the DOD Commercial Airlift Division will provide the following support:

a.    Cooperation. Ensure full cooperation with all DOD Commercial Airlift Division team members. Provide all available requested information pertaining to the air carrier undergoing evaluation. The DOD has access to FAA databases, including the enhanced Vital Information Database (eVID), Enforcement Information System (EIS), Accident Incident Data System (AIDS), OpSpecs, Program Tracking and Reporting Subsystem (PTRS), ATOS, and Safety Performance Analysis System (SPAS). FAA PIs or their representatives will attend DOD survey team briefings and debriefings, and be available during the inspection for consultation, whenever practical, to answer any questions that may arise.

b.    Respond to Requests. The CHDO/CMO/CMT will also respond to all survey team requests for information after the survey is complete. The air carrier responds directly to the DOD regarding specific findings. If a finding is a violation of the CFR or violates operations or airworthiness manual requirements, the CHDO/CMO/CMT will provide verification of FAA approval/acceptance of carrier solutions to the DOD, when requested.

c.    Liaison, Investigation, and Notification. On all surveys, maintain close liaison with the RFSD DOD coordinator. Immediately investigate any survey team findings that contain possible violations of Title 14 of the Code of Federal Regulations (14 CFR). The CHDO/CMO/CMT will notify the RFSD DOD coordinator of validated DOD findings and the proposed followup plan of action by the CHDO/CMO/CMT as soon as practical, no later than 15 working-days from the DOD debrief. The RFSD DOD coordinator will keep the FAA AFS-200 liaison informed of such events and followup plans of action.

d.    Followup. The DOD relationship with the air carriers is one of a contractual nature where the DOD can make demands beyond those required by FAA regulations. For this reason, the CHDO/CMO/CMT is primarily responsible for following up on findings that meet the criteria of subparagraph 11c.

12.    CHDO/CMO/CMT PTRS Procedures.

a.    Timely Closeout Action. Entering the DOD survey report/letter of concern/CARB findings or remarks into the PTRS provides HQ and regional personnel with a method to ensure timely closeout action on each finding and/or eliminates the need to generate manual reports.

b.    Forward DOD Survey Report/Letter of Concern/CARB Letter. The FAA liaison to HQ AMC will forward an electronic copy of the letter of concern, or CARB letter when appropriate, and all DOD survey reports to the CHDO/CMO/CMT; the appropriate RFSD DOD coordinator; and AFS-200 and AFS-5 (HQ AMC Liaisons to FAA HQ).

c.    Review Findings. The RFSD DOD coordinator will ensure contact is made with the CHDO/CMO/CMT within 15 working-days of the email date to discuss the DOD survey report, letter of concern, or CARB letter. Together, they will review the DOD survey report, letter of concern, or CARB letter to determine whether any of the findings contain FAA regulatory concerns that will require corrective action by the carrier and further followup by the FAA.

Note:  FAA CHDO/CMO/CMT personnel that have received a verbal debrief by the DOD survey team should not wait for receipt of the DOD survey report, letter of concern, or the CARB letter before beginning corrective action followup on any FAA regulatory concerns. The CHDO/CMO/CMT should make a PTRS entry for each FAA regulatory discrepancy identified and begin followup action to resolve the discrepancy. The CHDO/CMO/CMT must communicate the results of the debriefing to the FAA regional DOD coordinator as soon as practical, no later than 15 working-days from the DOD survey team debrief. This communication should identify whether or not there are any FAA regulatory issues, as well as any followup plan of action by the CHDO/CMO/CMT to resolve FAA concerns.

d.    Enter Findings into PTRS. The CHDO/CMO/CMT will enter all findings on the DOD survey report, letter of concern, or CARB letter, including those findings that were previously corrected onsite, into the PTRS under the applicable activity code of 1086, 3086, or 5086 and using the “Primary/Key” entry of “A919” and the opinion of “I.” The CHDO/CMO/CMT should also enter any additional findings from the body of the report, if applicable. The CHDO/CMO/CMT should enter each finding that is of regulatory concern under its individual record identification (ID) number.

(1)    If the DOD survey report, letter of concern, or CARB letter contains more than one finding that does not qualify as an FAA regulatory concern, then the CHDO/CMO/CMT may enter and close all of the nonregulatory findings under one finding number. Be sure to include the date of the DOD survey report, letter of concern, or the CARB letter date (or the actual finding date) for each entry to preclude confusion when the DOD accomplishes more than one survey on the air carrier during that fiscal year.
(2)    If there are FAA regulatory findings that meet the criteria outlined in subparagraph 11c that involve systemic problems, the CHDO/CMO/CMT will make entries into PTRS explaining what specific actions the air carrier took to correct the root cause of the discrepancy, such as, “ACTION 10/1/2010: XYZ Airlines has submitted revision 33 to the General Maintenance Manual (GMM), which formalizes new improved Continuing Analysis and Surveillance (CAS) procedures. ACTION 10/23/2010: Revision 33 to the GMM has been reviewed and accepted by the FAA. This finding is closed.” Be sure to keep the finding open in the PTRS until the carrier has completed all of the required corrective actions to fully resolve the discrepancy.
(3)    If the determination is made that a finding does not meet the criteria of subparagraph 11c, the CHDO/CMO/CMT will make the following entry in PTRS for that finding: “This finding was found to contain no FAA regulatory concerns and is hereby closed.”
(4)    If there are no findings in the entire survey report, letter of concern, or CARB letter that concern the FAA, the CHDO/CMO/CMT should make one PTRS entry stating, for example: “The 10/12/2010 (date of survey) DOD survey report was reviewed and found to contain no FAA regulatory concerns, and is hereby closed.” Any PTRS entry originating from a letter of concern or CARB letter in which there are no findings that meet the criteria outlined in subparagraph 11c should remain open until the CHDO/CMO/CMT has received and reviewed the DOD survey report, letter of concern, or CARB letter for any additional findings or corrections that the air carrier or FAA may need to address before final closeout.
(5)    The CHDO/CMO/CMT should make the initial PTRS entries within 15 working-days of receipt of the DOD survey report, letter of concern, or CARB letter, whichever it received first. Any finding that is duplicated in the letter of concern, CARB letter, or DOD survey report should only be entered once in the PTRS.

e.    Provide Support for Concern Resolution. When the CHDO/CMO/CMT determines that a finding is not regulatory in nature, but would increase the operational safety posture of a carrier, it is highly recommended that the region and CHDO/CMO/CMT provide support to satisfactorily resolve the DOD concerns.

f.    Enter Relevant Portion of DOD Survey Report, Letter of Concern, or CARB Letter. The CHDO/CMO/CMT should refrain from entering the entire DOD survey report, letter of concern, or CARB letter into the PTRS as this serves no useful purpose and needlessly clutters the PTRS.

g.    CHDO/CMO/CMT Action Monitoring. Along with the host FAA region, the FAA liaison will monitor any required CHDO/CMO/CMT actions to ensure the entry of all findings within 15 working-days and proper closure of the findings within 120 days of the email date of the DOD survey report, letter of concern, or CARB letter. Findings that are not recorded on a PTRS record within 15 working-days or that remain open beyond 120 days may be brought to the attention of the respective FAA division manager through AFS-200.

13.    DOD Web Page. The DOD Commercial Airlift Division maintains a Web site where the following information is available: office background, DOD commercial air transportation quality and safety requirements, DOD model programs, DOD survey checklists, and newsletters. This Web site is at http://www.amc.af.mil/library/businesscustomers.asp.

14.    Contacts. Contact the FAA liaison to HQ AMC for all matters concerning this order at the following address:

HQ AMC/A3B

Attn: FAA Liaison

402 Scott Drive, Unit 3A1

Scott AFB, IL 62225-5302

618-229-2105

618-256-5937 (fax)

15.    Directive Feedback Information. Any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this order should be forwarded to the originating office (AFS-200) in addition to the Directives Management Officer, AFS-140. For your convenience, FAA Form 1320-19, Directive Feedback Information, is the last page of this order. If an immediate interpretation is necessary, please call the originating office for guidance. However, you should also use Form 1320-19 to follow up on your verbal conversation.

ORIGINAL SIGNED by

/s/ John M. Allen

Director, Flight Standards Service


DOT logo

U.S. Department

of Transportation

Federal Aviation

Administration

FAA Form 1320-19, Directive Feedback Information

Please submit any written comments or recommendations for improving this directive, or suggest new items or subjects to be added to it. Also, if you find an error, please tell us about it.

Subject: Order 8000.4K, Coordination with the Air Mobility Command’s Department of Defense Commercial Airlift Division and the United States Transportation Command

To: Directive Management Officer, _________________________________

(Please check all appropriate line items)

An error (procedural or typographical) has been noted in paragraph ____________________ on
page _________ .

Recommend paragraph _______ on page ___________ be changed as follows: (attach separate sheet if necessary)

In a future change to this directive, please include coverage on the following subject (briefly describe what you want added):

Other comments:

I would like to discuss the above. Please contact me.

Submitted by: ____________________________________________ Date: ________________

FTS Telephone Number: _______________________ Routing Symbol: _____________________

FAA Form 1320-19 (8-89)