CHANGE

U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

8000.95 CHG 3

 

 

National Policy

Effective Date: 6/30/17

 

SUBJ:

Designee Management Policy

1.    Purpose of This Order. This order is a comprehensive publication establishing policy and procedures for managing all aspects of certain representatives of the Administrator including selection, appointment, orientation, training, oversight, suspension, and termination.

2.    Audience. The primary audience for this order is Office of Aviation Safety (AVS) designees, Federal Aviation Administration (FAA) managing specialists, and FAA personnel who may interact with designees or designee programs, including FAA management, operational, and administrative employees as appropriate.

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 FAA’s website at http://fsims.faa.gov. This order is available to the public at http://www.faa.gov/regulations_policies/orders_notices.

4.    Explanation of Policy Changes. This change redefines some of the requirements and adds language to support Designee Management System (DMS) implementation for the following Flight Standards Service (AFS) designee types: Designated Airworthiness Representative—Maintenance (DAR-T)/Designated Mechanic Examiner (DME)/Designated Parachute Rigger Examiner (DPRE), Designated Manufacturing Inspection Representative (DMIR)/Designated Airworthiness Representative—Manufacturing (DAR-F), and Designated Pilot Examiner (DPE). Other minor changes have been made to the order.

5.    Disposition of Transmittal Paragraph. This change will remain in FSIMS until superseded by a revision to this order.

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ORIGINAL SIGNED by

/s/ John J. Hickey

Acting Associate Administrator for Aviation Safety, AVS-1

FAA logo

U.S. DEPARTMENT OF TRANSPORTATION

FEDERAL AVIATION ADMINISTRATION

National Policy

ORDER

8000.95

 

 

Effective Date:

4/11/14

SUBJ:

Designee Management Policy

This order is a comprehensive publication establishing policy and procedures for managing all aspects of certain representatives of the Administrator including selection, appointment, orientation, training, oversight, suspension, and termination. This order represents a consolidation of existing policies across the following Office of Aviation Safety (AVS) lines of business: Aircraft Certification Service (AIR), Flight Standards Service (AFS), and the Office of Aerospace Medicine (AAM). This order also establishes the Designee Management System (DMS), which is a Web-based tool designed to standardize the management of designees.

Table of Contents

Chapter                                                                                                                                         Page

Volume 1. Common Designee Policy................................................................................................... 1-1

Indicates new/changed information.

Chapter 1. General Information........................................................................................................ 1-1

Chapter 2. Application Process......................................................................................................... 1-7

Chapter 3. Selection and Evaluation of a Designee Applicant....................................................... 1-10

Chapter 4. Designee Appointment.................................................................................................. 1-12

Chapter 5. Responsibilities and Obligations of a Designee............................................................ 1-13

Chapter 6. Oversight and Management of a Designee ................................................................... 1-15

Chapter 7. Training ......................................................................................................................... 1-21

Chapter 8. Renewal of Designee Appointment .............................................................................. 1-22

Chapter 9. Termination of a Designation ....................................................................................... 1-24

Indicates new/changed information.

Chapter 10. Suspension of a Designation ....................................................................................... 1-28

Chapter 11. Appealing a Ban or Termination for Cause ................................................................ 1-30

Chapter 12. Other Designee Management Functions ..................................................................... 1-32

Chapter 13. Administrative Information......................................................................................... 1-34

Volume 2. AME Designee Policy.......................................................................................................... 2-1

Chapter 1. Introduction...................................................................................................................... 2-1

Chapter 2. Application Process.......................................................................................................... 2-2

Chapter 3. Selection and Evaluation of a Designee Applicant.......................................................... 2-5

Chapter 4. Designee Appointment..................................................................................................... 2-7

Chapter 5. Responsibilities and Obligations of a Designee ............................................................ 2-10

Chapter 6. Oversight and Management of a Designee.................................................................... 2-14

Chapter 7. Training ......................................................................................................................... 2-20

Chapter 8. Renewal of Designee Appointment ............................................................................... 2-22

Chapter 9. Termination of a Designation ........................................................................................ 2-23

Chapter 10. Suspension of a Designation........................................................................................ 2-26

Chapter 11. Appealing A Ban or Termination for Cause................................................................ 2-27

Chapter 12. Other Designee Management Functions...................................................................... 2-28

Volume 3. DPE, ADMIN PE, and SAE Designee Policy..................................................................... 3-1

Indicates new/changed information.

Chapter 1. General Information.......................................................................................................... 3-1

Chapter 2. Application Process .......................................................................................................... 3-6

Chapter 3. Selection and Evaluation of a Designee Applicant........................................................ 3-19

Chapter 4. Designee Appointment .................................................................................................. 3-23

Indicates new/changed information.

Chapter 5. Responsibilities and Obligations of a Designee ............................................................ 3-24

Chapter 6. Oversight and Management of a Designee.................................................................... 3-28

Chapter 7. Training.......................................................................................................................... 3-45

Chapter 8. Renewal of Designee Appointment ............................................................................... 3-48

Chapter 9. Termination of a Designation ........................................................................................ 3-50

Chapter 10. Suspension of a Designation........................................................................................ 3-51

Indicates new/changed information.

Chapter 11. Appealing A Ban or Termination for Cause................................................................ 3-52

Chapter 12. Other Designee Management Functions...................................................................... 3-53

Volume 4. DADE Designee Policy ....................................................................................................... 4-1

Chapter 1. General Information......................................................................................................... 4-1

Chapter 2. Application Process.......................................................................................................... 4-3

Chapter 3. Selection and Evaluation of a Designee Applicant.......................................................... 4-6

Chapter 4. Designee Appointment..................................................................................................... 4-9

Chapter 5. Responsibilities and Obligations of a Designee............................................................. 4-11

Chapter 6. Oversight and Management of a Designee .................................................................... 4-15

Chapter 7. Training.......................................................................................................................... 4-27

Chapter 8. Renewal of Designee Appointment ............................................................................... 4-30

Chapter 9. Termination of a Designation ........................................................................................ 4-31

Chapter 10. Suspension of a Designation ........................................................................................ 4-33

Chapter 11. Appealing A Ban or Termination for Cause ................................................................ 4-34

Chapter 12. Other Designee Management Functions ...................................................................... 4-35

Volume 5. DME, DPRE, and DAR-T Designee Policy......................................................................... 5-1

Indicates new/changed information.

Chapter 1. General Information ......................................................................................................... 5-1

Chapter 2. Application Process ........................................................................................................ 5-11

Chapter 3. Selection and Evaluation of a Designee Applicant ........................................................ 5-20

Chapter 4. Designee Appointment................................................................................................... 5-23

Chapter 5. Responsibilities and Obligations of a Designee............................................................. 5-26

Chapter 6. Oversight and Management of a Designee..................................................................... 5-32

Chapter 7. Training........................................................................................................................... 5-51

Chapter 8. Renewal of Designee Appointment................................................................................ 5-54

Chapter 9. Termination of a Designation......................................................................................... 5-55

Chapter 10. Suspension of a Designation......................................................................................... 5-56

Indicates new/changed information.

Chapter 11. Appealing a Ban or Termination for Cause.................................................................. 5-57

Chapter 12. Other Designee Management Functions....................................................................... 5-58

Volume 6. APD and DFEE Designee Policy......................................................................................... 6-1

Chapter 1. General Information......................................................................................................... 6-1

Chapter 2. Application Process.......................................................................................................... 6-3

Chapter 3. Selection and Evaluation of a Designee Applicant.......................................................... 6-5

Chapter 4. Designee Appointment................................................................................................... 6-12

Chapter 5. Responsibilities and Obligations of a Designee............................................................. 6-14

Chapter 6. Oversight and Management of a Designee .................................................................... 6-18

Chapter 7. Training.......................................................................................................................... 6-32

Chapter 8. Renewal of Designee Appointment ............................................................................... 6-36

Chapter 9. Termination of a Designation ........................................................................................ 6-37

Chapter 10. Suspension of a Designation........................................................................................ 6-39

Chapter 11. Appealing a Ban or Termination for Cause................................................................. 6-40

Chapter 12. Other Designee Management Functions...................................................................... 6-41

Volume 7. TCE Designee Policy........................................................................................................... 7-1

Chapter 1. General Information......................................................................................................... 7-1

Chapter 2. Application Process.......................................................................................................... 7-4

Chapter 3. Selection and Evaluation of a Designee Applicant.......................................................... 7-8

Chapter 4. Designee Appointment................................................................................................... 7-16

Chapter 5. Responsibilities and Obligations of a Designee............................................................. 7-18

Chapter 6. Oversight and Management of a Designee .................................................................... 7-22

Chapter 7. Training.......................................................................................................................... 7-39

Chapter 8. Renewal of Designee Appointment............................................................................... 7-44

Chapter 9. Termination of a Designation........................................................................................ 7-45

Chapter 10. Suspension of a Designation........................................................................................ 7-47

Chapter 11. Appealing a Ban or Termination for Cause................................................................. 7-48

Chapter 12. Other Designee Management Functions...................................................................... 7-49

Volume 8. DMIR and DAR-F Designee Policy..................................................................................... 8-1

Chapter 1. General Information.......................................................................................................... 8-1

Indicates new/changed information.

Chapter 2. Application Process.......................................................................................................... 8-2

Chapter 3. Selection and Evaluation of a Designee Applicant ........................................................ 8-17

Chapter 4. Designee Appointment................................................................................................... 8-20

Chapter 5. Responsibilities and Obligations of a Designee............................................................. 8-24

Chapter 6. Oversight and Management of a Designee .................................................................... 8-26

Chapter 7. Training .......................................................................................................................... 8-33

Chapter 8. Renewal of Designee Appointment ............................................................................... 8-35

Chapter 9. Termination of a Designation ........................................................................................ 8-36

Chapter 10. Suspension of a Designation........................................................................................ 8-38

Chapter 11. Appealing a Ban or Termination for Cause ................................................................. 8-40

Chapter 12. Other Designee Management Functions ...................................................................... 8-41

Volume 9. DER Designee Policy........................................................................................................... 9-1

Chapter 1. General Information ......................................................................................................... 9-1

Chapter 2. Application Process........................................................................................................ 9-11

Chapter 3. Selection and Evaluation of a Designee Applicant........................................................ 9-25

Chapter 4. Designee Appointment................................................................................................... 9-27

Chapter 5. Responsibilities and Obligations of a Designee............................................................. 9-30

Chapter 6. Oversight and Management of a Designee..................................................................... 9-31

Chapter 7. Training .......................................................................................................................... 9-38

Chapter 8. Renewal of Designee Appointment................................................................................ 9-40

Chapter 9. Termination of a Designation......................................................................................... 9-41

Chapter 10. Suspension of a Designation......................................................................................... 9-42

Chapter 11. Appealing A Ban or Termination for Cause................................................................. 9-43

Chapter 12. Other Designee Management Functions....................................................................... 9-44

Indicates new/changed information.

Appendix A. Definitions........................................................................................................................ A-1

Appendix B. Acronym List.................................................................................................................... B-1

Appendix C. Directive Feedback Information....................................................................................... C-1

List of Tables

Table                                                                                                                                              Page

Table 1-1. Offices Responsible for Designee Policy......................................................................... 1-2

Table 1-2. Overall Performance Result............................................................................................ 1-18

Table 3-1. Specific Eligibility Requirements for Designation as a PE and/or a CE........................ 3-11

Table 3-2. Specific Eligibility Requirements for Designation as a CIRE, an ATPE, and/or a PPE.3-12

Table 3-3. Specific Eligibility Requirements for Designation as an SPE........................................ 3-14

Table 3-4. Specific Eligibility Requirements for Designation as a VAE, NFEE, and EAE............ 3-15

Indicates new/changed information.

Table 3-5. Performance Categories for Performance Evaluation .................................................... 3-40

Table 3-6. Overall Performance Evaluation Result and Action....................................................... 3-41

Table 3-7. PIC Experience Requirements........................................................................................ 3-48

Table 4-1. Performance Categories for Performance Evaluation..................................................... 4-23

Table 4-2. Overall Performance Evaluation Result and Action....................................................... 4-24

Table 5-1. Standard Airworthiness Certification Function Codes ..................................................... 5-2

Table 5-2. Standard Airworthiness Certification Function Codes—Primary and
Restricted Categories ........................................................................................................ 5-3

Table 5-3. Limited Category Function Codes .................................................................................... 5-4

Table 5-4. Experimental Category for the Purposes of Market Survey, R&D, or Crew
Training Function Codes................................................................................................... 5-4

Table 5-5. Experimental Category for the Purposes of Exhibition and/or Air Racing
Function Codes.................................................................................................................. 5-5

Table 5-6. Experimental Category for the Purposes of Operating Amateur-Built
Aircraft Function Codes .................................................................................................... 5-6

Table 5-7. Light-Sport Category and Experimental Category for the Purpose of Operating
Light-Sport Aircraft Function Codes................................................................................. 5-7

Table 5-8. Export Approvals Function Codes..................................................................................... 5-8

Table 5-9. Domestic Approval of Engines, Propellers, and Articles Function Codes........................ 5-8

Table 5-10. Other Authorizations Function Codes............................................................................. 5-9

Table 5-11. Performance Categories for Performance Evaluation................................................... 5-44

Table 5-12. Overall Performance Evaluation Result and Action...................................................... 5-45

Table 6-1. Performance Categories for Performance Evaluation..................................................... 6-28

Table 6-2. Overall Performance Evaluation Result and Action........................................................ 6-29

Table 6-3. Training and Meeting Requirements............................................................................... 6-34

Table 7-1. Performance Categories for Performance Evaluation..................................................... 7-33

Table 7-2. Overall Performance Evaluation Result and Action....................................................... 7-34

Table 7-3. TCE Training Requirements........................................................................................... 7-40

Table 7-4. FAA-Conducted Training and Meeting Requirements................................................... 7-42

Table 8-1. DMIR Authorized Functions........................................................................................... 8-12

Table 8-2. DAR-F Authorized Functions......................................................................................... 8-14

Table A-1. Designee Management Definitions—Common .............................................................. A-1

Table A-2. Designee Management Definitions—AME .................................................................... A-3

Table A-3. Designee Management Definitions—DPE, Admin PE, and SAE .................................. A-4

Table A-4. Designee Management Definitions—DADE.................................................................. A-5

Table A-5. Designee Management Definitions—DME, DPRE, and DAR-T................................... A-6

Table A-6. Designee Management Definitions—APD and DFEE ................................................... A-7

Table A-7. Designee Management Definitions—TCE and TCE-FE ................................................ A-8

Table A-8. Designee Management Definitions—DMIR and DAR-F .............................................. A-9

Table A-9. Designee Management Definitions—DER................................................................... A-12

List of Figures

Figure                                                                                                                                            Page

Figure 3-1. High-Level Selection Process Flow.............................................................................. 3-19

Figure 3-2. High-Level Appointment Process Flow........................................................................ 3-23

Figure 3-3. High-Level Performance Evaluation Process Flow...................................................... 3-39

Figure 4-1. High-Level Selection Process Flow................................................................................ 4-6

Figure 4-2. High-Level Appointment Process Flow.......................................................................... 4-9

Figure 4-3. Oversight Outcome Determination Process.................................................................. 4-17

Figure 4-4. High-Level Performance Flow...................................................................................... 4-22

Indicates new/changed information.

Figure 5-1. High-Level Selection Process Flow.............................................................................. 5-20

Figure 5-2. High-Level Appointment Process Flow........................................................................ 5-23

Figure 5-3. High-Level Performance Evaluation Process Flow ...................................................... 5-43

Figure 6-1. High-Level Selection Process Flow................................................................................. 6-5

Figure 6-2. High-Level Appointment Process Flow ........................................................................ 6-12

Figure 6-3. Performance Measures and Oversight Activities Results.............................................. 6-20

Figure 6-4. High-Level Performance Evaluation Process Flow....................................................... 6-27

Figure 7-1. High-Level Selection Process Flow................................................................................. 7-8

Figure 7-2. High-Level Appointment Process Flow ........................................................................ 7-16

Figure 7-3. Performance Measures and Oversight Activity Results................................................ 7-24

Figure 7-4. High-Level Performance Evaluation Process Flow....................................................... 7-32

Volume 1.  Common Designee Policy

Chapter 1.  General Information

Section 1.  Introduction

1.    Purpose of This Order. This order establishes policy for integrated designee management and the use of the Designee Management System (DMS), which is a Web-based tool designed to standardize the management of designees.

a.    This order consolidates orders across the Office of Aviation Safety (AVS) lines of business and establishes a common policy section for all designees and provides respective volumes for the specific designee types. These policy changes are global in nature and, therefore, are not listed individually.
b.    All users of this order must familiarize themselves with its contents and comply with the instructions and guidance contained herein. Many of the procedural functions are not included in the order since they are now incorporated into the functionality of the DMS.

2.    Audience. The primary audience for this order is AVS designees, Federal Aviation Administration (FAA) managing specialists, and FAA personnel who may interact with designees or designee programs, including FAA management, operational, and administrative employees as appropriate.

3.    Where to 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 FAA website at http://fsims.faa.gov. This order is available to the public at http://www.faa.gov/regulations_policies/orders_notices.

4.    How This Order is Organized. This order contains nine volumes. Volume 1 contains common policy applicable to all AVS designee types. Volumes 2 through 9 contain policy applicable to specific designee types. Together, these volumes represent the designee management policy for AVS designees, excluding holders of Organization Designation Authorization (ODA).

5.    Implementation. Compliance with this order will be achieved in accordance with the implementation plans established by each service/office for their respective designee types. Implementation will involve transition from existing management and information systems and designee management polices to the DMS IT tool and policy. Affected employees and designees will be notified through directive/memo when each implementation will begin and end, as well as when full compliance with this policy is required. FAA employee and designee login credentials and instructions will be provided at the beginning of each implementation. Timing for release and completion of each implementation plan will depend upon:

a.    Availability of the DMS IT tool for the respective designee type.
b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials.

6.    Authority to Change This Order. The Office of Aerospace Medicine (AAM), Aircraft Certification Service (AIR), and Flight Standards Service (AFS) have the authority to revise material in this order. Depending on the change, the appropriate office (AAM, AIR, or AFS) will initiate the change and coordinate with the other offices.

7.    Responsible Offices for Designee Policy.

Table 1-1.  Offices Responsible for Designee Policy

Designee Type

Office

Aviation Medical Examiner (AME)

AAM–400

Aircrew Program Designee (APD)/Designated Flight Engineer Examiner (DFEE)

AFS–600

Designated Aircraft Dispatcher Examiner (DADE)

AFS–600

Training Center Evaluator—Pilot (TCE)

AFS–600

Designated Mechanic Examiner (DME), Designated Parachute Rigger Examiner (DPRE), and Designated Airworthiness Representative—Maintenance (DAR–T)

AFS–600

Designated Pilot Examiner (DPE)/Administrative Pilot Examiner (Admin PE)/Specialty Aircraft Examiner (SAE)

AFS–600

Designated Engineering Representatives (DER)

AIR–100

Designated Airworthiness Representative—Manufacturing (DAR-F)/Designated Manufacturing Inspection Representative (DMIR)

AIR–100

8.    Directive and Guidance Information.

a.    Directive Information.
(1)    This type of information is directive in nature and contains terms such as “shall,” “will,” or “must.” These words indicate that the actions are mandatory. “Shall not” prohibits the action.
(2)    The use of these terms does not allow for flexibility.
b.    Guidance Information.
(1)    This type of information is considered guidance and contains terms such as “should,” “can,” or “may.”
(2)    These terms indicate actions that may not be mandatory; however, they are strongly encouraged, permissive, and allow flexibility.

9.    Designation of a Designee Authorization. Title 49 of the United States Code (49 U.S.C.) § 44702 empowers the Administrator to “...delegate to a qualified private person, or to an employee under the supervision of that person, a matter related to the examination, testing, and inspection necessary to issue a certificate under this chapter; and issuing the certificate.”

a.    Designation Authority. Title 14 of the Code of Federal Regulations (14 CFR) Part 183, Representatives of the Administrator, prescribes the requirements for designating private individuals to act as representatives of the Administrator.
b.    Regulation. Title 14 CFR Part 61, Certification: Pilots, Flight Instructors, and Ground Instructors, and 14 CFR Part 142, Training Centers, provides for individuals authorized by the Administrator to conduct functions for the continued qualification and initial competency validation.

10.    Employee Status. A designee is not considered an employee of the U.S. Government and is not federally protected for the work performed or the decisions made as a designee.

11.    Role of DMS. DMS will collect, store and process data and information associated with designees and the designee management processes in accordance with FAA recordkeeping requirements. DMS may utilize information from other FAA systems where appropriate and other FAA systems may utilize information from DMS where appropriate.

12.    DMS User Guide. A user guide is available via the help menu in the DMS tool and available at www.faa.gov.

Indicates new/changed information.

13.    Technical Support. For questions regarding the operation of DMS, contact the National IT Service Desk at (844) 322-6948 or via email at 9-NATL-AVS-IT-ServiceDesk@faa.gov.

Section 2. Designee Overview

1.    Legal Authority. Title 49 U.S.C., subtitle VII, chapter 447, provides the statutory authority to delegate private persons to perform certain authorized functions on behalf of the FAA. These persons are called designees. The designee’s function is vital to enhancing the FAA’s public service role and improving overall safety in the National Airspace System (NAS). The FAA appoints designees to provide airman and aircraft certifications and other services to the public in accordance with FAA policy, guidance, and regulations.

2.    Vision of Delegation Management Programs. The FAA delegation programs leverage agency resources; respond to changes in workloads and aviation industry needs; demand the highest technical and ethical standards from designees; and ensure public, governmental, and industry confidence in aviation safety through strict compliance with certification policies and regulations.

3.    Designation Principles. The FAA bases the designation programs on the following principles, which are implicit in the day-to-day management of these programs:

a.    Privilege. Designation is a privilege, not a right.
b.    Knowledgeable. Designees must be knowledgeable, qualified, and competent.
c.    Risk-Based Approach. Management of designation programs must employ a risk-based approach.
d.    Essential. Designation programs are essential.
e.    Need and Ability. A need for and ability to manage a designee must exist for all designees.

4.    Designee Types Covered by This Order. Specific designee types covered by this order include:

a.    AAM.
(1)    Aviation Medical Examiner (AME).

(a)    Civilian.

(b)    Military.

(c)    Federal.

(d)    Official.

b.    AFS.
(1)    Air Transportation Designee.

(a)    Aircrew Program Designee (APD).

(b)    Designated Aircraft Dispatcher Examiner (DADE).

(c)    Designated Flight Engineer Examiner (DFEE).

(d)    Training Center Evaluator (Pilot) (TCE).

(e)    Training Center Evaluator (Flight Engineer) (TCE-FE).

(2)    Administrative Pilot Examiners (Admin PE).

(a)    ACR for a Part 141 Pilot School with Examining Authority (ACR-141).

(b)    ACR with Flight Instructor Refresher Course (ACR-FIRC).

(3)    Designated Pilot Examiner (DPE).

(a)    Private Examiner (PE).

(b)    Commercial Pilot Examiner (CE).

(c)    Commercial and Instrument Rating Examiner (CIRE).

(d)    Flight Instructor Examiner (FIE).

(e)    Pilot Proficiency Examiner (PPE).

(4)    Specialty Aircraft Examiners (SAE).

(a)    Sport Pilot Examiner (SPE).

(b)    Sport Pilot Flight Instructor Examiner (SFIE).

(c)    Experimental Aircraft Examiner (EAE).

(d)    National Flight Engineer Examiner (NFEE).

(e)    Vintage Aircraft Examiner (VAE).

(5)    Designated Airworthiness Representative (DAR)—Maintenance (DAR-T).
(6)    Designated Mechanic Examiner (DME).
(7)    Designated Parachute Rigger Examiner (DPRE).
c.    AIR.
(1)    Designated Engineering Representatives (DER).

(a)    Company (DER-Y).

(b)    Consultant (DER-T).

(2)    Airworthiness Designee.

(a)    DAR—Manufacturing (DAR-F).

(b)    Designated Manufacturing Inspection Representative (DMIR).

5.    Risk-Based Principles.

a.    Risk-Based Management. Risk-based management is a continuous process of identifying, analyzing, evaluating, controlling, and monitoring risks that exist with the designee program. DMS captures and manages the data, including the substantiation and documentation of the decisions.
b.    Risk Management Strategy (RMS). Risk management strategy provides the managing specialist with a methodology for managing hazards and the associated risks related to designee performance. DMS provides the managing specialist with a means to document and track the performance of a designee utilizing the oversight module. The oversight module allows the managing specialist to review and evaluate the disposition of any risks associated with discrepancy findings. This methodology may include the following:
(1)    Identifying the discrepancy and determining the hazard;
(2)    Analyzing and assessing the risk;
(3)    Making a decision;
(4)    Implementing the decision; and
(5)    Monitoring the effectiveness of the decision.

6.    Performance. Throughout the oversight process for each designee, there are both automated and manually‑initiated determinations that are documented that may trigger specific actions by the managing specialist. Using risk based principles provides a more comprehensive method of managing designees.

Section 3. Minimum Qualifications Overview

1.    Minimum Qualifications of Managing Specialists. The minimum qualifications for managing specialists are established by the responsible offices for designee policy. See Chapter 1, General Information, of each volume of the designee type-specific volumes for details.

Chapter 2.  Application Process

1.    Purpose. This chapter describes the designee application process. This chapter and the corresponding designation type-specific volumes constitute the application process policy.

2.    General.

a.    Application Information. To learn about the designee management program and/or initiate the designee application process, qualified individuals should access the FAA Designee website at http://www.faa.gov/other_visit/aviation_industry/designees_delegations/dms/.
b.    Eligibility. Anyone may apply to be a designee; however, the DMS will not accept applications from the following:
(1)    Current FAA employees, and
(2)    Previous applicants who have been banned from applying. Please see Chapter 3, Selection and Evaluation of a Designee Applicant, for more information regarding banning.
c.    Multiple Designee Types.
(1)    The FAA may appoint an individual to more than one type of designation.
(2)    Designee applicants must complete a separate application for each designation type sought. Each designation is a separate appointment.
d.    References. The applicant may provide the following:
(1)    Three verifiable character references to substantiate that the applicant possesses integrity and sound judgment.
(2)    Three verifiable technical references to substantiate that the applicant possesses the required technical expertise for the designation sought. These references may be the same individuals used as character references.

3.    Qualifications. In addition to the requirements in paragraph 2b above, applicants may also have additional eligibility requirements which can be found in the appropriate designation type-specific volumes of this order.

a.    Minimum Qualifications. The designee applicant must:
(1)    Have the ability to read, write, understand, and speak fluent English; and
(2)    Be at least 23 years of age.
b.    Character. The designee applicant must:
(1)    Have a high degree of integrity;
(2)    Have a cooperative attitude;
(3)    Have the ability to exercise sound judgment;
(4)    Be engaged in the aviation industry;
(5)    Have a reputation for dependability; and
(6)    Be able to maintain the highest degree of objectivity while performing authorized functions.
c.    Technical Experience. The applicant must have up-to-date extensive knowledge and experience that is pertinent to the designation being sought.
d.    FAA Interaction. Any previous working relationship the applicant had with the FAA must have been positive.

4.    Disqualifiers. Applicants will be disqualified for any of the following reasons:

a.    Terminated for Cause. See Chapter 9, Termination of a Designation, for details.
b.    Banned. See Chapter 3 for details.
c.    Convictions and Felonies. Having, within the past 7 years:
(1)    Been convicted of any violation of any local, state, or Federal law pertaining to drugs or alcohol.
(2)    Been convicted of any felony offenses. A felony offense is considered a conviction where the punishment could have been greater than 1 year regardless of the sentence.
(3)    Been imprisoned, been on probation, or is on parole because of a felony conviction (including civilian or military felonies, firearms or explosive violations).
(4)    Been other than “honorably” discharged from the military.
(5)    Had an airman certificate (other than medical), rating, or authorization (or foreign equivalent) suspended, revoked, or paid a civil penalty as a result of a violation of any FAA or other Civil Aviation Authority (CAA) regulations (foreign or domestic).
d.    Current Disqualifiers. Is currently under investigation, charged indictments, or has a pending action for the items described in paragraph 4c above.

5.    Privilege, Not a Right. Successfully meeting the minimum qualifications does not guarantee appointment as a designee. During the application process in DMS, the designee applicant will be required to acknowledge the following in DMS:

a.    Designation is a privilege, not a right.
b.    The FAA Administrator can terminate any designation at any time, for any reason.

6.    Post Application.

a.    Retention of Application Data. DMS saves all application data in accordance with the current edition of FAA Order 1350.14, Records Management.
b.    Notification. DMS will automatically notify designee applicants regarding the status of their application.
c.    Updating Applications. Applicants must update their applications whenever information changes and they must validate and verify the application data at least every 12 calendar-months. Failure to maintain up‑to‑date information may affect selection eligibility and appointment as a designee. Updated applications may be rescored where appropriate. An application that is updated will remain active in DMS until the applicant is selected or cancels the application.
d.    Cancellation. A designee applicant can cancel an application at any time in DMS.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter describes the common policy related to the selection and evaluation of a designee applicant. Selection refers to the identification and evaluation of qualified designee applicants that best meet the FAA’s needs. This chapter and the corresponding designation type-specific volumes constitute the policy for the selection and evaluation of a designee applicant.

2.    General.

a.    Qualified Applicants. DMS will provide a list of qualified applicants that meet the needs identified by the requesting FAA office.
b.    Selection Timeframe. Once DMS presents a list of qualified applicants, the selecting official has 30 calendar-days to make a selection from that list. After 30 calendar-days, the selecting official must resubmit a query.

3.    Need and Ability to Manage. The FAA must show need for specific functions to be delegated and, subsequently, the ability to manage a designee performing those functions before a designee can be appointed. The managing FAA office, within its sole discretion, determines the need for and ability to manage a designee. The selecting official at the managing FAA office must validate the need and ability to manage an additional designee by answering a series of questions during the selection process in DMS.

a.    Considerations for Determining Specific Need.
(1)    The FAA cannot support the certification work and need with existing designees.
(2)    The activity in the office has increased or is forecasted to increase, and cannot be supported with existing designees.
(3)    The FAA has lost an employee or designee resource.
(4)    The need for a new designee is driven by the needs of the public and not by the impact on other existing designees or entities.
b.    Considerations for Determining Ability to Manage.
(1)    The local office staff has the technical skills and knowledge to oversee the designee.
(2)    The existing and/or projected office workload allows the office to effectively manage the designee.
(3)    Adequate funds (e.g., travel allocation) exist to oversee the additional or existing designee.

4.    Requesting Qualified Applicants.

a.    List of Qualified Applicants. Once the FAA establishes the need and ability to manage a designee, the selecting official can request a list of qualified applicants from DMS. DMS will search active applicants to identify candidates that most closely match the specified criteria.
b.    Deviation from Minimum Qualifications. If no qualified candidates are available within DMS, an appointing official may request a deviation from the minimum qualification requirements if:
(1)    The FAA demonstrates a significant need for the appointment, and
(2)    The applicant meets an equivalent qualification. (See the appropriate designee type-specific volume for more information.)

5.    Evaluation. The following tasks are part of the evaluation process:

a.    Evaluating Search Returns. Once DMS has generated a list of applicant(s) based on the search criteria, the selecting official may choose to review the applications prior to assigning an evaluating specialist(s). Determining which applicants will be evaluated for appointment is at the sole discretion of the selecting official.
b.    Assigning Evaluating Specialist. Once the selecting official determines which applicants will be evaluated for appointment, DMS will prompt the selecting official to assign an evaluating specialist(s) based on designee type.
c.    Reviewing Application for Minimum Qualifications. For each applicant, the evaluating specialist must review the application for completeness to ensure that all minimum qualifications have been met.
d.    Completing Evaluation Checklist. The evaluating specialist completes the evaluation checklist in DMS for each applicant being evaluated.

6.    Banning. If the evaluating specialist determines that the applicant falsified information during the application process, the evaluating specialist must make the determination whether that applicant should be banned from applying as a designee.

a.    Banning Process. During the selection process, if the evaluating specialist determines that an applicant intentionally falsified information on the application, the FAA must ban the applicant. The evaluating specialist should consider all relevant information, including whether the falsification was intentional or accidental, before making a decision to ban. Since this is a rare and serious offense, the evaluating specialist will be required to justify and document the recommendation in DMS and forward it to the selecting official for the final determination.
b.    Appealing a Decision to Ban. The applicant can appeal a ban decision. See Chapter 11, Appealing a Ban or Termination for Cause, for more information on the appeal process.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter describes the common policy associated with the appointment of a selected qualified applicant. This chapter and the corresponding designation type-specific volumes constitute the policy for designee appointment.

2.    General.

a.    Designee Number. During appointment, DMS assigns a unique nine-digit identification number known as the designee number. This designee number is used in documentation to identify the work and certifications completed by the designee when authorized by the Administrator.
b.    Certificate Letter of Authority (CLOA). For each appointment, DMS generates and stores a CLOA that serves as the certificate of authority, certificate of designation, and the identification card (ID cards are issued to AMEs only) as required by 14 CFR part 183. The CLOA provides a detailed description of the designee’s authorities, limitations, and associated expiration as contained within DMS. A CLOA is available to the designee for each type of designation held and serves as the record of the designee’s authority. Authorized users can view a designee’s authority in DMS. A designee may print a copy of the CLOA but is not required to do so.

3.    Appointment Duration. Appointment duration may last up to 36 calendar-months; however, refer to designee type-specific policy for appointment duration guidance.

Chapter 5. Responsibilities and Obligations of a Designee

1.    Purpose. This chapter describes the common policy associated with the responsibilities and obligations of a designee. This chapter and the corresponding designation type-specific volumes constitute responsibilities and obligations of a designee.

2.    Responsibilities. A designee must:

a.    Represent the Administrator. Each designee must represent the Administrator in a manner that reflects positively on the FAA.
b.    Conduct Approved Activities. Each designee must conduct only those activities approved in DMS.
c.    Follow Policy. Designees must follow all requirements found in regulations, orders, and other policies related to the functions they perform.
d.    Maintain Skills and Knowledge. Designees must maintain technical skill and knowledge of subject matter specific to the designation held.
e.    Exhibit Sound Judgment. Designees must display sound judgment.
f.    Exhibit Integrity. Designees must show a high degree of integrity, responsibility, and professionalism.

3.    Ongoing Requirements. In addition to maintaining minimum qualifications as specified in this and the designee type-specific volumes, all designees must continue to meet the following requirements:

a.    Use DMS. Designees must use DMS as directed in this order. Designees have the responsibility to read and respond to DMS messages and provide requested information within DMS, as directed, in a timely manner.
b.    Maintain Contact Information. Designees must update their DMS profile when changes occur and review their profile at least annually.
c.    Access to Internet. Designees must have access to DMS and email through the Internet.
(1)    The designee is responsible for accessing DMS and checking DMS messages, notifications, and email on a regular and recurring basis.
(2)    The designee is responsible for scanning and uploading documents required for designation.
d.    Attend Required Training. Designees must comply with minimum training requirements.
e.    Attend Required Meetings. Designees must comply with meeting requirements.

4.    Other. Designees must maintain other requirements deemed necessary by the appointing office.

Chapter 6. Oversight and Management of a Designee

1.    Purpose. This chapter describes the common policy associated with the oversight and management of a designee. This chapter and the corresponding designation type-specific volumes constitute the policy for oversight and management of a designee.

2.    General.

a.    Oversight Principles.
(1)    Promote Safety. A primary responsibility of the FAA is to promote safety through systematic oversight of industry stakeholders, including designees. Information generated from oversight programs permits the FAA to identify safety hazards, mitigate risk, and enhance aviation safety. In order for oversight programs to be effective, they must be carefully planned and executed during the conduct of specific inspection activities.
(2)    Evaluate Performance. The objective of an oversight program is to ensure that the designee performs to the standards and expectations set forth by the FAA in its policies and regulations. Oversight is not merely an isolated event or series of activities. Oversight results should be considered in total to provide a high-level perspective of a designee’s performance over time.
b.    Managing Office and Managing Specialist.
(1)    Designation Type. Designees have a managing office and managing specialist for each designation type. If the designee holds more than one type of designation, a designee may have more than one managing office and more than one managing specialist.
(2)    Area of Responsibility. The FAA expects designees to perform the majority of their functions within the bounds of that managing office’s area of responsibility.
(3)    Regulatory Oversight Responsibility. Managing specialists have regulatory oversight responsibility of designees and must monitor them to ensure that they continue to meet the requirements of their designations. A comprehensive oversight plan enables managing specialists to:

(a)    Determine the designee’s compliance with regulatory requirements, guidance, policy requirements, and safe operating practices;

(b)    Validate the corrective actions;

(c)    Detect changes as they occur in the operational environment; and

(d)    Detect the need for regulatory, managerial, and operational changes.

c.    Oversight and DMS. The FAA uses DMS to record the outcomes of oversight activities for a designee. By documenting oversight activity in DMS, the FAA can make an overall assessment of the designee’s performance.
(1)    Oversight Characteristics. In DMS, oversight activities have the following characteristics:

(a)    A definite beginning and a definite end;

(b)    Defined procedures;

(c)    Specific objectives; and

(d)    A required report of findings.

(2)    DMS Oversight Activities. The following oversight activities are available in DMS:

(a)    Direct observation;

(b)    Document completed work review;

(c)    Document results of investigation or inquiry;

(d)    Document designee interaction;

(e)    Document designee training;

(f)    Document applicant interview results; and

(g)    Create overall performance evaluation.

(3)    DMS Management Tools. The following management tools are available in DMS:

(a)    Create planned activity;

(b)    Record feedback;

(c)    Send note to designee; and

(d)    Document annual meeting.

d.    Performance Measures. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:
(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.
(2)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.
(3)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

3.    Oversight Actions. Managing specialists may use DMS to plan but must use DMS to document the outcome of oversight activities.

a.    Planning an Oversight Activity. DMS allows managing specialists to schedule an oversight activity.
(1)    Managing specialists should use risk management principles when planning oversight.
(2)    Managing specialists should review the designee’s previous oversight outcomes as well as current activities, records, and policy as part of the planning.
b.    Oversight Activity. For a list and explanation of oversight activities applicable to a specific designee type, see Chapter 6, Oversight and Management of a Designee, in the respective designee type-specific volumes.
c.    Outcomes of Oversight Activities.
(1)    For some oversight activities, the managing specialist must select from three general categories in DMS for the overall ranking of the oversight activity: Satisfactory, Needs Improvement, and Unsatisfactory. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must enter descriptive text in the appropriate performance measure category(ies).
(2)    Additionally, if the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must also determine and record appropriate follow-up action(s). For more detail on follow-up actions, see Table 1-2, Overall Performance Result, and paragraph 4, Follow-Up Actions, in this chapter, as well as the “Performance Evaluation” section in each designee type-specific volume.
d.    Performance Evaluation.
(1)    At the end of the performance period, the managing specialist conducts a consolidated review of the designee’s documented oversight activity and other data available and recorded in DMS.
(2)    Based on an analysis of the information above and considering risk-based elements, the managing specialist selects an overall performance rating (Satisfactory, Unsatisfactory, or Needs Improvement) and any follow-up actions, if required. See Table 1-2 below.
(3)    If the performance evaluation rating is “Needs Improvement” or “Unsatisfactory,” the next performance evaluation must be completed within 6 calendar-months from the previous performance evaluation date. If the performance evaluation result is “Satisfactory,” the due date for the next performance evaluation is between 12 and 36 calendar-months. See Chapter 6 in the respective designee type-specific volumes for more information.
(4)    If the overall performance evaluation rating requires a 6-month follow-up, the next performance evaluation of the designee must be a “Satisfactory” rating or the designee will be terminated.

Table 1-2.  Overall Performance Result

Overall Performance Result

The managing specialist will choose the overall rating that best represents the overall performance result of the designee during the performance period:

Overall Rating

Required Action Against Designee Authority

Follow-up Actions

Performance Evaluation Required w/in 6 Months?**

Satisfactory

None

None

No

Needs Improvement

See designee type‑specific volume, as applicable

Plan and execute an oversight activity

Yes

Unsatisfactory

Suspend*

Plan and execute a corrective action activity

Yes

Reduce/Restrict Authority

Change authority, plan and execute oversight activity

Yes

Terminate

Terminate

N/A

* Requires description of planned follow-up activity.

4.    Follow-Up Actions. Depending on the issues involved, additional follow-up or oversight may be needed to ensure that the deficiency has been corrected. The intent of the follow-up action is to correct the deficiency using the most appropriate method. The following options are available to provide support for designee management:

Note:  If suspension or termination is required, please see the designee type-specific “Suspension of a Designation” and “Termination of a Designation” chapters for more information. For “Reduce Authority” decisions, see paragraph 5b below.

a.    Counseling. Managing specialists may use counseling as a type of corrective action to follow-up from a specific event, an oversight activity, or to address specific performance issues. The managing specialist must record the results of the counseling session in DMS.
b.    Additional Training.
(1)    Managing specialists may prescribe additional training to correct a deficiency related to a specific event, an oversight activity, or to address specific performance issues.
(2)    If the deficiency is such that the designee is unable to perform authorized functions correctly, then the managing specialist may initiate the suspension process to suspend the designation or specific authority until the designee completes the training.

5.    Designee Management Functions. Since the designee is performing duties on behalf of the FAA, the managing specialist should ensure that the designee has the ability and authority to perform authorized functions. If the managing specialist or the designee determines that the authorized functions are inconsistent with the work the designee will perform, DMS provides the ability to expand or reduce authorities and change limitations.

a.    Expand Authorities or Change Limitations.
(1)    Authorities can be expanded and limitations changed on an existing designation only.
(2)    When designees believe that they are qualified to perform additional authorized tasks within their designee type, other than those that the FAA currently authorizes, they can request the change through DMS.

Note:  The managing specialist may also initiate this process in DMS.

(3)    The managing specialist reviews the request and makes a recommendation to the appointing official.
(4)    The appointing official must approve all expansions in authority and/or changes of limitations in DMS. In order for the appointing official to approve the request, the designee must meet all requirements, and the FAA must have the need and ability to manage the designee.
(5)    If approved, DMS will automatically update the authority and CLOA as appropriate, notifying both the designee and the managing specialist. A designee shall not exercise any expanded authority until the request has been approved and official notification has been made.
b.    Reduce Authority. A managing specialist may initiate a reduction in a designee’s authority for a specific designation through DMS, or a designee can request a reduction of authority through the managing specialist.
(1)    DMS requires the managing specialist to enter a justification for reducing a designee’s authority.
(2)    In order for the request to be approved, the FAA must consider whether the need and ability to manage the designation still exists given the reduction in authority. If there is no longer a need or ability to manage the designee with reduced authority, the managing specialist will initiate the termination process.
(3)    An appointing official must approve all requests to reduce authority. If approved, DMS will automatically update the designee’s authorities and CLOA, as appropriate.
c.    Record Note. Managing specialists can create a personal note or reminder in DMS. This note is the digital equivalent of a sticky note; it is not part of the designee’s official record, and only the author can view the note. Managing specialists should not use this feature to record performance-related issues or other oversight‑related information.
d.    Send Message to Designee.
(1)    Managing specialists can use DMS to send a message to one or more of their designees.
(2)    DMS will store the message and record the date the message is sent, along with the date the message is opened by the designee.
(3)    DMS users can view these messages. Designees are required to monitor DMS for new messages.
e.    Record Feedback or an Interaction Regarding a Designee.
(1)    Interaction can be verbal and/or written communication between the designee, FAA, and industry.
(2)    Feedback should be provided promptly following the activity to which it references. While the managing specialist has management responsibility for the designee, any FAA employee working with a designee or designee’s work product has the responsibility to provide feedback regarding the designee’s performance or activity. Any FAA employee with access to DMS can enter feedback on a designee. If the user providing the feedback is not the managing specialist, DMS will send a notification to the managing specialist.
(3)    Types of feedback or interactions that should be recorded in DMS include, but are not limited to, the following:

(a)    Corrective—intended to correct an error;

(b)    Evaluative—intended to detail specific positive feedback;

(c)    Instructional—intended to provide information about the quality of performance; and

(d)    Compliments, critiques, and suggestions.

Chapter 7.  Training

1.    Purpose. This chapter describes the common policy associated with training of designee applicants, designees, and FAA personnel. This chapter and the corresponding designation type-specific volumes constitute the policy for training.

2.    General. Designees and FAA personnel must develop and maintain the technical skills, knowledge, ability, and proficiency to effectively perform their duties and roles.

3.    Designee Training Requirements.

a.    Initial Training. Prior to the FAA appointing an individual as a designee, the individual must participate in and successfully complete the initial training program.
b.    Recurrent Training. A designee must regularly attend and successfully complete recurrent training.
c.    Specialized Training. Specialized training covers specific authority not held by the majority of designees of a particular type, or covers new concepts, processes, and delegation authority. These topics are not normally covered in the Initial or Recurrent training for those designee types and are therefore addressed outside of this normal training environment. Specialized training is typically Web-based, and addresses those areas where specialized experience and authority is required. Where applicable, a designee must complete any specialized training that is required for the specific authority requested or held. This specialized training must be completed prior to appointment or adding the special authority, and in some cases must be repeated at the interval specified.

4.    FAA Managing Specialist Training Requirements. Managing specialists should complete relevant initial training prior to being assigned as a managing specialist. If an individual cannot complete the relevant initial training prior to being assigned as a managing specialist, you must enroll in a training course that takes place within 6 calendar-months of assignment and another managing specialist (either in the local office or another office) must be identified by the managing office.

5.    Other FAA Employee Training Requirements. Managers of DMS users who have assigned DMS roles must complete Managing AVS Delegation Specialists, as revised, within 6 calendar-months of being assigned that role.

Chapter 8.  Renewal of Designee Appointment

1.    Purpose. This chapter describes the common policy associated with the FAA renewing the appointment of a designee. This chapter and the corresponding designation type-specific volumes constitute the policy for renewing the appointment of a designee.

2.    General. Renewal of the designee is primarily an administrative function that allows the designee to continue to meet authority. Since designee oversight requirements have defined intervals, renewal is not contingent upon a particular oversight activity. Rather, renewal is contingent upon need and ability requirements and whether or not the designee continues to meet all requirements. The managing specialist makes performance assessments of the designee on an ongoing basis and addresses deficiencies during oversight activities at the time of discovery.

a.    Renewal Request. Designees must request a renewal of their authorization(s) through DMS.
b.    Renewal Request While Suspended. Designees may request renewal while in a suspended status; however, the FAA will not renew a designation that is in a suspended status. The FAA must lift the suspension in order to renew the designee. (See Chapter 10, Suspension of a Designation, for more information regarding the suspension process.)
c.    Surrender. A designee who does not intend to renew a designation is encouraged to voluntarily surrender the designation in DMS prior to expiration.
d.    Expiration Before Renewal. If the FAA does not approve a designee’s renewal request before the designation expires, DMS changes the designee’s status to “expired.” In an expired status, the designee is no longer authorized to perform any duties related to the expired designation and will have limited access to DMS. The designee remains in expired status until the FAA completes the renewal process or the FAA terminates the designation.
e.    Expansion of Authority. The designee may not seek an expansion of authority using the renewal process. (See the “Expand Authorities or Change Limitations” paragraph in Chapter 6, Oversight and Management of a Designee.)

3.    Privilege, Not a Right. Successfully meeting the minimum qualifications does not guarantee renewal as a designee. During renewal, the designee must acknowledge in DMS that a designation is a privilege, not a right. During renewal, the applicant must also acknowledge in DMS that the FAA Administrator can terminate any designation at any time, for any reason.

4.    Renewal Request Period. Designees can request renewal of the designation up to 60 calendar-days prior to the expiration.

a.    Reminders. DMS will send reminders to the designee in advance of the expiration date. The FAA recommends that designees apply for renewal at least 30 calendar-days prior to the designation expiration to allow time to process the request. The designee has the sole responsibility to request renewal prior to the expiration.
b.    Failure to Request Renewal Prior to Expiration. If the designee does not request renewal prior to the expiration of the authority, the FAA will terminate the designation.

5.    Renewal Duration. The duration of a renewed designation must not exceed 36 calendar-months. Duration of specific designations can be found in the designee type-specific volumes.

Chapter 9.  Termination of a Designation

1.    Purpose. This chapter describes the common policy associated with the termination of a designation. This chapter and the corresponding designation type-specific volumes constitute the policy for termination of a designee.

2.    General. There are two methods used to terminate a designation: voluntary surrender and FAA-initiated termination.

3.    Voluntary Surrender.

a.    Voluntarily Surrendering a Designation. A designee may voluntarily surrender a designation.
(1)    Designees must surrender each designation separately. The voluntary surrender process applies only to a single designation at a time.
(2)    A voluntary surrender of a designation does not preclude the individual from applying to be a designee in the future.
(3)    Once DMS notifies the designee of the suspension based on a pending termination for cause action, the designee may not submit a voluntary surrender request in DMS.
b.    Voluntary Surrender Process.
(1)    To begin the voluntary surrender process, a designee must submit a voluntary surrender request in DMS.
(2)    For a company designee, a company representative may contact the designee’s managing specialist to request voluntary surrender in DMS.
(3)    The FAA must document the voluntary surrender in DMS and include the specific reason(s) provided by the designee.
(4)    If the designee is voluntarily surrendering a designation, the managing specialist will indicate whether or not the designee is considered “in good standing.” This determination is helpful should the designee choose to reapply at a later date.
(5)    DMS will turn off access to DMS functionality as appropriate for the designation being terminated. The designee is no longer authorized to perform any duties related to the designation.
c.    Possible Reasons for Voluntary Surrender of a Designation.
(1)    Retirement;
(2)    Lack of business activity;
(3)    Difficulty in meeting requirements;
(4)    Dissatisfied with being a designee;
(5)    Personal reasons;
(6)    Employment termination; and
(7)    Any other reasons.

4.    FAA-Initiated Termination. Designees are selected, appointed, and trained to serve the needs of the FAA in fulfilling its safety mission, allowing the FAA to leverage its resources. Therefore, the FAA can rescind a designation at any time for any reason considered appropriate by the Administrator. Designees who are performing poorly or require excessive resources to manage must have their designations terminated to ensure continued effectiveness of the designee system.

a.    Terminating a Designation.
(1)    The FAA must document termination decisions in DMS and include the specific reason(s) for the termination.
(2)    When applicable, the FAA should consider feedback from individuals involved in reviewing work performed outside the designee’s managing office.
(3)    Only managing specialists assigned to the designee can initiate the termination process in DMS.
b.    Termination Process.
(1)    When it has been determined that termination is warranted, the managing specialist should begin the process immediately. Termination decisions must be formally documented in DMS, to include the specific reason. The appointing official must approve the termination recommendation through DMS.
(2)    DMS will then immediately prevent access to perform new work for the designation being terminated. The status of the designee’s authority will change to “suspended” during the termination process. The designee must immediately cease exercising designee privileges for the designation being terminated.
(3)    Upon completion of the termination process, the designee’s status will be changed to “terminated.” DMS will generate and send an electronic termination notice to the designee.
(4)    Depending on the reasons for termination, the designee may request an appeal. (See Chapter 11, Appealing a Ban or Termination for Cause, for more information.)
c.    Types of Termination. There are two types of termination: “for cause” and “not-for-cause.” Anyone terminated for cause cannot reapply for designation.
(1)    For cause. For cause reasons include:

(a)    Performance deficiencies found during oversight activities or identified by other sources;

(b)    Lack of integrity (for example, making false statements, misrepresenting information, failing to disclose pertinent information, etc.);

(c)    Misconduct (for example, purposefully not following prescribed procedures for gain, etc.);

(d)    Inability to work constructively with FAA or public (for example, failure to return phone calls, follow guidance, exhibit a cooperative attitude, etc.); and

(e)    Improper representation of the FAA (for example, using designee number for inappropriate purposes, etc.).

Note:  DMS sends termination notifications to all managing specialists assigned responsibilities for a given designee. Managing specialists must review the “for cause” termination notices and consider termination of other designations held by the same designee (if applicable).

(2)    Not-for-Cause. Anyone terminated for a reason other than for cause may reapply for designation. Reasons for termination other than for cause include:

(a)    Lack of FAA Need.

1.    Activity in the office decreased, or is forecasted to decrease, eliminating the need for the designee.

2.    The FAA plan for delegated work changed, eliminating the need for the designee.

3.    The FAA can support the certification work or need with other existing designees.

(b)    FAA is Unable to Manage.

1.    The existing and projected office workload does not allow the office to effectively manage the designee.

2.    The FAA does not have the ability to provide authorization, testing, and/or additional training needed for its employees to oversee the designee. Adequate funds (for example, travel allocation) are not available to oversee the designee.

3.    FAA staff does not have the technical skills and knowledge to oversee the designee.

(c)    Other.

1.    Designee no longer meets minimum qualifications;

2.    Designee does not meet training requirements;

3.    Designee is deceased;

4.    Designee is physically unable to perform designee duties;

5.    Designee did not renew designation before expiration;

6.    Designee’s authority expired while suspended; or

7.    Designee did not update DMS profile at least annually.

Chapter 10.  Suspension of a Designation

1.    Purpose. This chapter describes the common policy associated with the suspension of a designation. This chapter and the corresponding designation type-specific volumes constitute the policy for suspension of a designation.

2.    General. Suspension is a management process that allows the FAA to temporarily remove a designee’s privileges without terminating the delegation. If an individual holds multiple designations, suspension of one designation may or may not impact other designations held. The impact of the suspension on other designations, if held, is determined by the respective managing specialist.

a.    DMS Actions. During the suspension process, DMS will change the designee’s status to “suspended.” In suspended status, DMS:
(1)    Notifies the designee of suspension and denies access to initiate new work for the designation being suspended;
(2)    Cancels all previously-approved activities, as applicable; and
(3)    Allows the designee to submit post-activity entries for up to 5 calendar-days after the date of suspension.
b.    Designee Action While Suspended. The designee must promptly stop exercising authorized duties for the designation being suspended.
c.    Suspension Release. If suspended designees think that they have met all of the requirements to be reinstated, they may submit a suspension release request in DMS.
d.    Length of Suspension. Designees will remain in a suspended status until they have corrected the deficiency or until the designation expires. If the deficiency has not been corrected within 180 calendar-days, DMS will notify the managing specialist to remove the suspension and initiate termination.
e.    Types of Suspension. There are two types of suspension: FAA-initiated and automatic.

3.    FAA-Initiated Suspension. The FAA may suspend a designation for the following reasons:

a.    Lapse in Minimum Qualifications. The designee no longer meets the minimum qualifications.
Indicates new/changed information.
(1)    Deadline Passes for Required Training. The designee fails to successfully complete required training within the specified timeframe.
(2)    Failed Test for Required Training. The designee fails a test that is part of a required training, regardless of the due date of that training.
b.    Failure to Attend a Required Meeting. The designee fails to attend a required meeting.
c.    Poor Performance. The designee demonstrates an unsatisfactory level of performance for the designation.
d.    Under Investigation. The FAA investigates allegations or findings that the designee has been acting contrary to regulations or policy.
e.    Other. Any other reason that the Administrator considers appropriate.

4.    Automatic Suspension. DMS will automatically suspend the designation for the following reasons:

a.    Termination for Cause. The FAA initiates the termination process on a designation. DMS changes the designee’s status to “suspended.” When the termination process is complete, DMS changes the designee’s status to “terminated.”
Indicates new/changed information.
b.    Failure to Update Profile Annually. The designee fails to update the profile on an annual basis.

5.    Follow-Up Actions. The FAA may require the designee to complete follow-up actions to lift the suspension. FAA follow-up actions may include additional training, counseling, and requalification. The managing specialist should follow-up with the designee to ensure that any requirements are completed. Based on the results of the follow-up actions, the managing specialist will remove the suspension or initiate termination. The managing specialist should consider the following scenarios as possible follow-up actions for different suspension reasons:

a.    Lapse of Minimum Qualification. The designee should propose a corrective action plan and timeline to meet the minimum qualifications that is acceptable to the managing specialist.
b.    Deadline Passes for Required Training. The designee must provide the managing specialist with a plan of action for attending training to meet requirements. If training lapses are a recurring event and without good cause, such as medical inability to attend, the managing specialist may consider termination of the designee.
c.    Fail Test for Required Training. The designee must retake and successfully pass the test. The designee may also be required to complete additional training or be terminated.
d.    Poor Performance. The designee should propose a plan of action that is acceptable to the managing specialist as well as a corrective action plan to improve poor performance.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter describes the common policy by which an applicant or designee may appeal a ban or termination for cause decision. This chapter and the corresponding designation type-specific volumes constitute the policy for appealing a ban or termination for cause.

2.    General. The FAA only allows appeals if the FAA banned the designee or terminated the designee for cause. All appeal activities are processed and recorded in DMS.

a.    Appeal Initiation. To appeal a ban or for-cause-termination, the applicant or designee must initiate an appeal in DMS within 15 calendar-days of banning or for-cause-termination. As part of the appeal request, designees should provide any evidence to support their case at the time the appeal is initiated.
b.    Scope of Appeal. The appeal is intended to be a review of the ban or termination for-cause process (see Chapter 3, Selection and Evaluation of a Designee Applicant, and Chapter 9, Termination of a Designation).
c.    Appeal Panel Outcomes. The appeal panel may choose one of the following results:
(1)    Uphold the original termination or ban decision whereby the original decision stands and no further appeals are accepted.
(2)    Overturn the ban or termination decision whereby the FAA reinstates the designee or applicant.
d.    Timeframe for the Appeal Process. The appeal panel must complete the appeal process within 45 calendar-days of receiving the appeal request.
e.    Notification of Decision. DMS will notify the designee or applicant of the appeal panel's decision within 15 calendar-days of a decision.

3.    Official Responsibilities of the Appointing or Selecting Official During Appeal. Once the applicant or designee has submitted an appeal in DMS, DMS will automatically notify the appropriate appointing or selecting official who is required to complete the following:

a.    Review Appeal Information in DMS. Review the applicant or designee’s appeal information and make comments, if desired.
b.    Establish Appeal Panel. The appeal panel must consist of two or three individuals. The panel is comprised of any combination of FAA managing specialists, selecting officials, or appointing officials who were not involved in the original decision.
c.    Appoint a POC. Appoint a point of contact (POC) for the panel from someone on the panel.
d.    Communicate Responsibilities. Contact panel members and discuss appeal panel responsibilities, as needed.

4.    Appeal Panel Responsibilities. The POC for the appeal panel will ensure that the panel completes the following tasks:

a.    Review File. Review the appealing applicant or designee file stored in DMS.
b.    Request Additional Information. Contact the managing specialist, evaluating specialist, appointing official, and/or selecting official for additional information or clarification.
c.    Document Outcomes. Document deliberations and outcomes in DMS.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter describes the common policy associated with other designee management functions in DMS. This chapter and the corresponding designation type-specific volumes constitute the policy for other designee management functions in DMS.

2.    Assign DMS Roles.

a.    General. The primary purpose of this process is to authorize a qualified FAA employee to have appropriate access to functionality within DMS.
(1)    DMS roles allow users the ability to access DMS and perform functions within each process, including apply, select, appoint, etc., as described in this order. DMS roles control specific user access within DMS. The FAA may assign users more than one role within DMS.
(2)    DMS roles are assigned when the individual meets all the qualifications as described in the designation type-specific volumes of this order.
(3)    The term “DMS role” does not convey an official position or title.
b.    Master Role Assigner. The master role assigner makes the initial assignment or assigns an existing user to a role in DMS.
(1)    “Designee” is a role but is not assigned via the master role assigner process. DMS automatically assigns the designee role during appointment.
(2)    The master role assigner function may be given at different levels within each service or office.

3.    Send Message to Managing Specialist. DMS provides a method to send messages between the managing specialist and the designee.

4.    Update Profile. The FAA requires designees to update their DMS profile when changes occur and to validate their profile at least annually.

a.    Notifications.
(1)    Designees will be notified by DMS to update their profile information 30 calendar-days prior to the annual update requirement.
(2)    If designees have not updated their profile, the managing specialist will be notified by DMS 15 calendar-days prior to the annual update requirement.
b.    Automatic Suspension. If designees do not update their profile by the due date, DMS will automatically suspend them (see Chapter 10, Suspension of a Designation).
c.    Impact of Updates to Information. Depending on the designation type, updates to certain information in the designee record, such as change in physical address or qualifications, may affect the designation.
(1)    Change of Physical Address. A change of physical address may cause the FAA to review need and ability to manage considerations. DMS will notify the current managing specialist if there has been a change of physical address, and the managing specialist will determine if the new address will initiate a change in the managing office. If so, the appointing official at the gaining office must determine need for the designee and/or the ability to manage the designee.
(2)    The FAA is under no obligation to transfer the designee to a new overseeing office.
(3)    Additional information can be found in the appropriate type-specific volumes for guidance on the types of changes and their impact.
d.    Change of Name. The managing specialist should verify a name change through reviewing government-issued forms of identification.

5.    Retention of Existing Designee Management Files.

a.    Maintain Existing Designee Records. The FAA must continue to maintain existing designee records located in the local office in accordance with FAA Order 1350.14. Once the designee becomes an active DMS user, all future documentation will be maintained electronically in DMS.
b.    Access to Electronic Files by Newly Appointed Designees. DMS will store the records electronically for newly appointed designees.
c.    Uploading Capabilities. DMS has uploading capabilities to maintain supporting documents. This function should be used for any documentation that supports designee management. This function should not be used to upload existing designee file information that existed prior to the designee becoming an active DMS user.

Chapter 13.  Administrative Information

1.    Distribution. This order will be available for general access by FAA staff or the public on the FAA website at https://employees.faa.gov/tools_resources/orders_notices/. This order will be distributed to:

a.    The division level in AFS; all Flight Standards District Offices (FSDO), Certificate Management Offices (CMO), and International Field Offices (IFO); and all air carrier and General Aviation (GA) airman designees.
b.    The Washington headquarters (HQ) branch levels of AIR; branch levels in the AIR directorates; all Aircraft Certification Offices (ACO); all Manufacturing Inspection District Offices (MIDO) and satellite offices; Aircraft Certification Branch, and Operations and Airworthiness branches at the FAA Academy; Brussels International Policy Branch and all IFOs.
c.    The division level within AAM, including the Civil Aerospace Medical Institute (CAMI), Regional Flight Surgeons (RFS), and AMEs.
d.    Office of the Chief Counsel (AGC).

2.    Deviations. It is necessary to adhere to procedures in this order to achieve uniform administration of this directive material. If a selecting official thinks that a deviation is necessary, request the deviation in writing from the policy-owning office as outlined in Table 1-1, Offices Responsible for Designee Policy. You must follow the procedures in this order to ensure uniform administration of this directive. To deviate from this material, you must coordinate with—and get approval from—the Design, Manufacturing, and Airworthiness Division (AIR‑100), Aerospace Medical Education Division (AAM-400), or Regulatory Support Division (AFS-600), as applicable. If deviation is necessary, be sure to substantiate and document the deviations and get approval from your supervisor and AIR-100, AAM-400, or AFS-600, as applicable. When a deviation is to Chapter 1 of this order, it will be signed by all three divisions before being approved. All deviations to chapters that cover specific designee types must be coordinated with the other services before being approved.

3.    Suggestions or Comments.

a.    Send via Email. Suggestions or comments should be sent to 9-awa-avs-designee-directives@faa.gov where they will be reviewed and sent to the respective policy holder(s). AQS–200 welcomes and considers all of your suggestions or comments regarding this order.
b.    Use FAA Form 1320-19. For your convenience, use FAA Form 1320-19, Directive Feedback Information (found in Appendix C), to submit suggestions or comments. Please use the “Other Comments” block on FAA Form 1320-19 to provide a complete explanation of why the suggested change is necessary. You may correct, as necessary, a copy of the pertinent information, or provide a handwritten note for consideration.

Volume 2.  AME DESIGNEE POLICY

Chapter 1.  Introduction

1.    Purpose. This volume supplements the common designee policy by providing specific guidance for the administration of the Aviation Medical Examiner (AME) Designee Management program not otherwise given in detail in the common designee policy.

2.    Audience. The primary audience of this volume is all Regional Flight Surgeons (RFS), AME program analysts, AME surveillance program analysts, and AMEs.

Chapter 2.  Application Process

1.    Purpose. This chapter provides the policy related to the application of AME designees. This designation type‑specific policy and Volume 1, Common Designee Policy, constitute the overall policy for an individual applying for designation authority.

2.    General.

a.    Application Information.
(1)    All potential AME applicants are advised to contact the appropriate RFS for a preliminary determination of the need for an AME in the location of interest.
(2)    Contact information for RFSs is located on the Federal Aviation Administration (FAA) website at http://www.faa.gov/licenses_certificates/medical_certification/rfs/.
(3)    If the appropriate RFS determines that there is a need for an AME in the applicant’s location, the applicant will be directed to Designee Management System (DMS) to submit an application.
(4)    Candidates for initial designation as an AME must submit an application through DMS.
(5)    The FAA advises all AME applicants to read the selection information in this chapter to ensure that they meet all of the selection criteria before contacting a region.
b.    Multiple Designations. The RFS or manager of the Aerospace Medical Education Division (AMED) may approve, upon request, multiple site designations within reasonable proximity of one another and within the same region as appropriate.
c.    Special Considerations.
(1)    The RFS may give special consideration for designation to those applicants who are pilots, who have been military flight surgeons, who have special training expertise in aviation medicine, or who were previously designated but have relocated to a new geographical area.
(2)    No special consideration will be given to those former FAA employees seeking designation as an AME outside the FAA, other than what has been stated in the previous paragraph.

3.    Minimum Qualifications.

a.    Minimum Qualifications. Applicants for designation as an AME must:
(1)    Possess an unrestricted license, or an equivalent clearance for international applicants, to fully practice medicine in the state, foreign country, or area in which the designation is sought; or meet the medical licensing requirements of the applicable military or Federal service to which they belong.
(2)    Demonstrate past professional performance and personal conduct suitable for a position of responsibility and trust.
(3)    Be a qualified physician in good standing in their community.
(4)    Be able to read, write, speak, and understand the English language.
(5)    Be knowledgeable of the principles of aerospace medicine.
(6)    Be thoroughly familiar with instructions as to techniques of examination, medical assessment, and certification of airmen.
(7)    Abide by the policies, rules, and regulations of the FAA.
b.    Methods for Seeking Designees. The FAA expects that all Office of Aerospace Medicine (AAM) physicians will proactively seek qualified AME applicants using all available forums to advertise needs, requirements, and the application process, including:
(1)    Aerospace Medical Association meetings;
(2)    Briefings to military flight surgeons and Aerospace Medicine residency groups; and
(3)    The AAM website.
c.    Credentials. At the time of initial application for designation, the physician shall submit to DMS the following documents or copies (translated into English if in another language):
(1)    Medical school diploma.
(2)    Certificate of any postgraduate professional training (e.g., internship, residency, fellowship).
(3)    Certificate of Good Standing by all medical licensing bodies from which the applicant has active medical licenses, proving there are no restrictions or limitations to practice medicine.

(a)    These may be obtained by the region in written form or electronically, or the regional office may request the applicant instruct the licensing body to send certifications to the regional office.

(b)    Under no circumstances should a Certificate in Good Standing be accepted directly from the applicant.

(4)    Notice of certification by an American specialty board, if applicable.
(5)    A current curriculum vitae.

4.    Disqualifiers. The FAA will disqualify an AME applicant for certain personal or professional deficiencies and intentional misrepresentations, including:

a.    False Statements. In connection with completion of FAA Form 8500-8, Application for Airman Medical Certificate or Airman Medical & Student Pilot Certificate, AMEs are subject to Title 18 of the United States Code (18 U.S.C.) §§ 1001 and 3571, which indicate that whoever in any matter within the jurisdiction of any department or agency of the U.S. knowingly and willfully falsifies, conceals, or covers up by any trick, scheme, or device a material fact, or who makes any false, fictitious, or fraudulent statements or representations, or entry, may be fined up to $250,000 or imprisoned not more than 5 years, or both.
b.    Medical License History. Any past or present adverse action against the medical license of the AME is subject to review by the RFS for suitability or selection.

5.    Privilege, Not a Right. See Volume 1.

6.    Post Application. See Volume 1.

7.    Maintaining an Active Designee Application. All AMEs or prospective AMEs must immediately update their record in DMS when there is a change in status of licensure to practice medicine or adverse action or warning issued by a state licensing authority.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of an AME designee applicant. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the selection and evaluation of an AME applicant.

2.    General.

a.    Selection Process. The general process of selection consists of three steps: DMS determines if system‑defined minimum qualifications are met; the selecting official determines if need and ability requirements are met; and an evaluation specialist is then assigned to further review the applicant’s qualifications and abilities.
b.    Selection Considerations.
(1)    DMS is the sole source from which to obtain a list of qualified applicants.
(2)    An evaluation panel, determined by the selecting official, will then be established to review and evaluate the list of viable applicants identified through DMS.

3.    Need and Ability to Manage. The RFS shall determine whether a need exists for an AME in a particular geographic area based on adequacy of coverage related to the pilot population or other factors. The RFS will consider other variables, such as rural versus urban geographic locations and aviation activity levels, when assessing the local needs for designation of additional AMEs.

4.    Requesting Qualified Applicant. See Volume 1.

5.    Evaluation.

a.    Evaluation Process. Once DMS provides a list of applicant(s) based on the search criteria, each applicant for consideration must be further evaluated.
(1)    The evaluating specialist must review the application for completeness and ensure that minimum qualifications are met for each applicant.
(2)    The evaluating specialist must complete the evaluation checklist in DMS for each applicant being evaluated.
(3)    The evaluating specialist must determine what training a prospective AME will require prior to appointment, which is a key part of the selection process. The regional office will follow the guidance in the training section to determine the initial training requirement and notify the applicant of these requirements.
b.    Evaluation Panel. The evaluation panel consists of an RFS or appointing official and a program analyst or evaluating specialist.
c.    Evaluation Criteria.
(1)    The regional office must conduct a review of the applicant’s qualifications and supporting documentation.
(2)    The program analyst or evaluating specialist may contact the applicant for more information regarding the application, if needed.
d.    Additional Considerations.
(1)    The FAA will not consider for designation an applicant that has been previously terminated for cause.
(2)    International applicants must obtain certification from the nearest embassy indicating that the applicant has a valid medical license.
e.    Record Results. The program analyst or evaluating specialist must record results of the evaluation in DMS.
f.    Make Recommendation. The program analyst or evaluating specialist submits the findings and recommendations in accordance with this order.
(1)    The program analyst or evaluating specialist will make one of the following recommendations:

(a)    Recommend appointment.

(b)    Do not recommend appointment.

(2)    The DMS provides the recommendation information to the RFS/appointing official on each prospective qualified applicant, including:

(a)    The designee candidate’s application form;

(b)    Information regarding equipment and facilities; and

(c)    Any other pertinent information, references, or recommendations.

g.    Selection Notification. DMS will:
(1)    Notify all applicants of their application status;
(2)    Notify applicants that are not selected; and
(3)    Maintain the data for the Certificate Letter of Authority (CLOA).

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the appointment of AMEs.

2.    General.

a.    Procedures for Initial Designation. Prior to designation, each AME applicant will provide a signed statement confirming that:
(1)    Designation is a privilege, not a right.
(2)    Designations may be terminated any time the FAA determines it is in the agency’s best interest.
(3)    There are no past or current restrictions of medical practice, and there are no adverse actions proposed or pending that would limit medical practice by any state licensing board, the Drug Enforcement Administration, any medical society, any hospital staff, or by any other local, state, or Federal organization that may have licensing or certification authority.
(4)    There are no known investigations, charged indictments, or pending actions in any local, state, or Federal court.
b.    Training Requirement Prior to Appointment. All applicants must have satisfactorily completed the initial training specified in Chapter 7, Training, prior to being appointed as an AME.
c.    Notification. The FAA will notify all applicants of the status of their designations by e-mail or in writing. DMS will hold their certificate of designation, AME ID card, and all necessary forms and supplies.
d.    RFSs. RFSs act as the selecting or appointing official for AMEs who conduct FAA medical examinations within the geographical boundaries of their regions. The RFS may delegate selecting official responsibilities to the program analyst(s) or managing specialist(s). This delegation only authorizes the selecting official to make a recommendation.
e.    The Manager, AMED. The manager, AMED, acts as the selecting or appointing official for AMEs who are U.S. military flight surgeons, medical officers at Federal agencies, and who are located in foreign countries or areas not under the jurisdiction of one of the domestic regional medical offices. In this capacity, the individual functions as the RFS for the international, military, Federal, or official AMEs. The manager may delegate selecting official responsibilities to the international, military, Federal, or official AME program analyst or managing specialist. This delegation only authorizes the selecting official to make a recommendation.
f.    Designation of Military Flight Surgeons. Management of military flight surgeon AMEs is the same as for any other designee with a few exceptions. The military surgeon general requested that military AMEs perform only second- and third-class examinations; however, limited authority to perform first-class examinations may be granted to certain military or other Federal operations after coordination with the appropriate surgeon general’s office. All administrative functions pertaining to active military AMEs will be handled by the manager, AMED.
g.    Procedures for Dual AME Designations in Civilian and Governmental Capacities. Civilian AMEs who function as reserve component flight surgeons (Air Force, Navy, and Army) may request permission from the appropriate civilian RFS to perform AME duties at their military location
(1)    Civilian AMEs are most likely to perform more examinations in their civilian practice than in a military setting; therefore, the civilian RFS will perform all oversight activity, and performance information from both practices will be combined for reporting purposes.
(2)    If a guard or reserve AME is seeking civilian designation and is approved by the civilian RFS, oversight of their activity will be transferred from the military RFS to the gaining civilian region.
(3)    AMEs who have been designated to function with civilian and military capacity shall only be assigned a single AME number, normally retaining the number from their initial designation.
(4)    The same principle of single regional management shall apply if an AME seeks dual designation as a civilian and Federal (i.e., other than the military or FAA) AME.
(5)    At the request of the military surgeon general, no military AME will be designated as a senior AME for performance of FAA examinations while in a military status; however, dually designated AMEs may hold a senior AME rating in their capacity as a civilian AME.
h.    Designations of Physicians in Foreign Countries. Many foreign countries do not have a medical licensing system similar to that of the United States, so it is often difficult to obtain reliable information about an applicant’s status as a physician. If a country does not have a “Certificate of Good Standing” or equivalent, like those of Canada and the United Kingdom, the international managing specialist must request the appropriate U.S. embassy or consulate complete a professional background check.
i.    Authority to Perform First-Class Examinations.
(1)    To obtain designation as a senior AME, the physician shall demonstrate compliance with the requirements for continued service as an AME and have an acceptable record performing second- and third‑class examinations for at least three years.

Note:  Only Senior AMEs have the authority to perform first-class examinations.

(2)    Exceptions to the 3-year requirement may be granted by the RFS and are based on the AME’s prior military experience as a flight surgeon, residency training in aerospace medicine, previous AME experience, or an immediate exceptional need in particular locality.
(3)    International AMEs are always immediately designated as senior AMEs, given that their designation is in response to the need for AMEs to be conveniently located to examine U.S.-certified pilots who are based overseas and who require first-class certificates.

3.    CLOA and AME ID Card. The certificate of designation and AME ID card are combined and represented by the CLOA.

a.    Affirm Statement. Each AME applicant will affirm in DMS that there are no past or current restrictions of medical practice, and no adverse actions proposed or pending that would limit medical practice by any state licensing board, the Drug Enforcement Administration, any medical society, any hospital staff, or by any other local, state, or Federal organization that may have licensing or certification authority.
b.    Authorizing Officials. In order to prevent possible fraudulent issuance of an AME ID card, the Federal Air Surgeon (FAS) will designate, by letter, personnel authorized to sign FAA Form 8520-4, Aviation Medical Examiner Identification Card, as “Authorizing Official.”

4.    Appointment Duration. Designations of physicians as AMEs are effective for 3 years, as recorded in DMS, unless terminated by the FAA prior to the end of the 3-year term or resignation.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter provides the policy related to the responsibilities and obligations of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the responsibilities and obligations of an AME.

2.    Designee Responsibilities.

a.    AMEs must:
(1)    Serve as aviation safety experts within their communities, advising on aero medical issues;
(2)    Ensure that medical certificates are issued only to applicants who meet the FAA`s standards for medical certification;
(3)    Use acceptable equipment and adequate facilities in order to carry out the prescribed examinations; and
(4)    Conduct the entire examination for an Airman Medical Certificate in English in order to assess the English language proficiency of applicants.
b.    AMEs should:
(1)    Maintain familiarity with general medical certification;
(2)    Maintain familiarity with general medical knowledge applicable to aviation in order to properly discharge the duties associated with these responsibilities;
(3)    Have detailed knowledge and understanding of FAA rules, regulations, policies, and procedures related to the medical certification of airmen;
(4)    Charge reasonable fees that are customary for a comparable medical examination service in the geographical area where the AME is located; and
(5)    Refrain from performing tests that are not required by the Guide for Aviation Medical Examiners or not medically indicated by history or physical findings.
c.    Facilities and Equipment.
(1)    The applicant must be engaged in the practice of medicine at an established office address that the RFS or manager, AMED, has approved.
(2)    The AME applicant must have adequate facilities in order to perform the required examinations and possess the following equipment prior to conducting any FAA examinations:

(a)    Vision testing equipment. The required equipment is listed in the current Guide for Aviation Medical Examiners. This online guide may be viewed from the FAA website, www.faa.gov, by typing Guide for Aviation Medical Examiners in the search box and selecting the appropriate link.

(b)    Medical diagnostic instruments. Equipment and aids necessary to conduct a physical examination, including strips to test urine for sugar and protein.

(c)    Electrocardiograph equipment. Senior AMEs, except international AMEs, and AMEs authorized by regions to perform FAA air traffic controller (ATC) examinations, must have access to electrocardiographic equipment to perform an electrocardiograph and be able to send a PDF of the test to the Aerospace Medical Certification Division (AMCD) using the Aerospace Medical Certification Subsystem (AMCS).

(d)    Audiometric equipment. All AMEs must have access to audiometric testing equipment or the capability of referring airmen and ATC applicants and ATC employees for audiometric testing. Audiometer must be calibrated to the Occupational Safety and Health Administration (OSHA) standards.

d.    AMCS Requirements. All AMEs are required to use AMCS to record, validate, and transmit airman medical certification data.
(1)    Regions may consider corrective action for AMEs unable to consistently transmit examination information within the 14 calendar-days following the date the examination was initiated by the AME.
(2)    The RFS will consider the termination of designation of an AME who transmits more than 60 days after the examination date.
(3)    The AME is responsible for notifying the AMCS Online Support Desk if staff changes have occurred for an individual with AMCS privileges and if the employment status no longer requires AMCS access.
(4)    The FAA will take an adverse action against an AME’s designation if the individual fails to comply with the staff validation requirements.
e.    Privileges. An AME is delegated the authority, in accordance with 14 CFR part 67, to:
(1)    Accept applications for physical examinations necessary for issuing medical certificates.
(2)    Issue or deny FAA Airman Medical Certificates and FAA combined airman medical and student pilot certificates, following the policies and procedures in the Guide for Aviation Medical Examiners, subject to reconsideration by responsible FAA official(s).
(3)    Defer a medical certification decision to the FAA when the AME does not have sufficient information, is unsure of whether the individual should issue a medical certificate, or if deferral is recommended by agency policy or the Guide for Aviation Medical Examiners.

3.    Ongoing Requirements of a Designee. In addition to maintaining minimum qualifications in DMS and ongoing requirements as outlined in Volume 1, a designee must meet the following obligations:

a.    Proficiency Standards. All designees must meet proficiency standards of performing at least ten FAA examinations per year.
b.    Need. If there is a need for a given AME, despite an expectation of low performance examinations, the RFS must sufficiently document the FAA need.
c.    Examination Requirements.
(1)    AMEs must personally perform medical examinations at the established office address approved by the appropriate RFS or manager, AMED.
(2)    Paraprofessional medical personnel (e.g., nurses, nurse practitioners, and physician assistants) may perform limited parts of the examinations (measure visual acuity, hearing, phorias, blood pressure, pulse, weight, urine testing, and electrocardiography) under the supervision of the AME. These individuals are permitted to review the clinical history; however, they may not perform the physical examination required by the FAA.
(3)    When completing FAA Form 8500-8, either on paper or electronically, the AME shall personally review and provide definitive comments in Item 60 on all positive entries and all physical findings (i.e., provide more than “no change” or “previously reported” notations). The AME must sign the FAA forms in ink or electronically, as appropriate.
(4)    In all cases, the AME shall review and assume responsibility for the accuracy and completeness of the total examination report, even if data entry was performed by someone else.
(5)    All examinations must be electronically transmitted to the agency within 2 calendar-weeks, and is subject to the 2-calendar-week requirement. Mailing examinations may be permitted for a very limited time to cover some extenuating circumstance that does not permit electronic transmission.
(6)    AMEs may not perform self-examinations for issuance of a medical certificate to themselves or issue a medical certificate to themselves or to an immediate family member.
d.    Other. Designees must meet other requirements deemed necessary by the Administrator.

4.    Forms and Supplies. The FAA will provide the following forms and supplies:

a.    Aeronautical Center (AC) Forms and Supplies. FAA and FAA AC forms and supplies may be obtained from the manager, AMED. Only those forms authorized by the FAA are permitted. The use of any locally designed forms or certificates in lieu of official FAA forms and certificates is prohibited.
b.    FAA Form 8500-8. The Application for Airman Medical Certificate or Airman Medical & Student Pilot Certificate is a controlled document assigned to specific AMEs who are responsible for its safe-guarding. Upon termination or nonrenewal of designation, the AME shall return all unused FAA examination forms. The RFS shall be informed by the manager, AMED if materials are not returned within a reasonable period of time, so that further action may be taken.
c.    FAA Form 8520-4. The Aviation Medical Examiner Identification Card is a controlled document governed by FAA Order 1600.25, Federal Aviation Administration (FAA) Official Credentials. The need to ensure the integrity of the AME ID card necessitates that the FAA institute strict controls to prevent fraudulent issuance, improper use, or alteration of the AME ID cards. FAA Order 1600.25 governs safe-guarding the AME ID card.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the oversight and management of an AME.

2.    General Oversight and Management Considerations.

a.    Oversight Principles.
(1)    The FAA continually evaluates the performance of each AME. Risk management principles will be used by RFSs to determine which AMEs deserve a higher level of monitoring or counseling following an analysis of all performance factors.
(2)    The AAM is the organizational element within the FAA responsible for oversight and management of the AME system. The director of the office, the FAS, develops and establishes policies, plans, procedures, standards, and regulations governing the AME designee.
b.    Oversight Responsibilities. The FAS delegates to the manager, AMED, the following responsibilities:
(1)    Monitor the AME system; oversee AME performance by developing and administering evaluation procedures to supply RFSs with data to assist them in renewing only those physicians who have demonstrated satisfactory performance; and continue to show an interest in the AME program.
(2)    Plan, develop, administer, and evaluate medical education programs for training AMEs.
(3)    Determine standards for initial and refresher training and develop special courses to meet training needs on a case-by-case basis. The RFS assists in the planning, development, administration, and evaluation of medical education programs for training of AMEs.
(4)    Prepare appropriate reports for the FAS and RFSs to evaluate the performance of their AMEs.
c.    Oversight and DMS. Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. In addition to an oversight plan developed by the regional office and/or the managing specialist, the objective of an oversight program is to assure that the designee performs to the standards and expectations set forth by the FAA in its policies and regulations.
(1)    Oversight feedback is considered in total to provide a high-level perspective of a designee’s performance over a specific period. (See Volume 1, Chapter 6, paragraph 2c.)
(2)    The managing specialist must conduct regular performance evaluations predicated on the outcome of oversight activities. The results of individual oversight activities should be recorded in DMS. However, a formal evaluation must be recorded in DMS at least once every 12 calendar-months, generally completed during the designee’s annual anniversary month. A formal performance evaluation is required prior to the renewal of a designee’s authority.
d.    Performance Measures. There are three categories of performance measures. The FAA uses these criteria to gain insight into the designee’s performance. DMS provides appropriate fields to record the details for performance measures.
(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

(a)    Knowledge and Understanding. Does the designee understand the terminology contained in FAA orders and other reference material used in conducting the certification activity?

(b)    Interpretation and Application. Does the designee correctly interpret and apply the technical performance standards defined by the order or regulation?

(c)    Equipment and Materials. Does the designee possess, select, and/or use the appropriate equipment, reference material, etc., when conducting certifications?

(2)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.

(a)    Qualifying Applicants. Does the designee follow the correct procedure when accepting applications and determining applicant eligibility?

(b)    Submittal of Information and Data to FAA. Does the designee properly submit information, documents, and/or data to the FAA as required by FAA orders?

(c)    Conducting Evaluations, Tests, and Certifications. Does the designee follow the correct procedure when conducting certifications?

(d)    Issuing Certificate, Approval, Authorization, or Results to Applicant. Does the designee follow the correct procedure when completing and issuing certificates and approvals, authorizations, or results to the applicant upon completion of the certification activity?

(3)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude, and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

(a)    Oral and Written Communication. Does the designee effectively communicate either in writing or in conversation with the FAA or general public? Does the designee provide feedback to the FAA with ways to improve the designee system?

(b)    Professional Representation of FAA with Public Sector. Does the designee demonstrate a positive reflection on the FAA and a willingness to comply with FAA policy and managing office instruction?

(c)    Cooperative Attitude with the FAA. Is the designee easy to work with and present a positive attitude when interacting with the FAA? Is the designee responsive to the FAA and reasonably accessible to the FAA as required?

(d)    Ethics and Judgment. Does the designee maintain high ethical standards and demonstrate good judgment in the conduct of authorized activities?

e.    Regional Role in AME Oversight.
(1)    The FAS delegates responsibility to the RFSs to:

(a)    Monitor. Monitor the AME system within their geographical areas of responsibility and oversee the AME’s performance to ensure that the individual properly performs all duties and meets all requirements and conditions of the designations held.

(b)    Establish Mentoring Program. Establish a mentoring program for all newly designated AMEs in their region. Under this program, the RFS will provide certification review and direct mentorship for each new AME for up to 2 years, based on the judgment of performance by the RFS.

(c)    Update AME Information. Update AME information contained in the DMS and take appropriate disciplinary action against AMEs who do not provide timely notification of any changes to the regions.

(d)    Establish Quality Management System (QMS) Program. The senior RFS, through the Regional Flight Surgeon Working Group (RFSWG), ensures the establishment of an appropriate QMS program for the regions to use when monitoring an AME’s performance.

(2)    New AME offices shall be evaluated by regional surveillance program analysts within 1 year of designation. Problem AME offices will also be visited as soon as practical after a deficiency necessitating a site visit has been determined. The goal of the national site visit is to survey every AME’s office at least once every 5 years. Virtual site visits (VSV) using remote means are acceptable to inspect the office site and may be followed by standard live site visits if determined by the RFS. Regional site visit outcomes will be provided in detail to manager, AMED, for analysis and reporting.
(3)    Surveillance program analysts in the FAA AAM divisions are required to review “issued rejected medical examinations” to judge the adequacy of the documentation and the decision of the AME to issue a medical certificate.
(4)    Any airman medical examination that the surveillance program analyst determines has a questionable medical history and/or a medical condition may require an additional administrative medical review by the AMCD reviewer, surveillance physician, or RFS.
(5)    The determination by the surveillance program analyst to forward medical examinations to the AMCD reviewer should be made as they relate to the issuance of the current medical examination being reviewed, not on documentation existing in past examinations. If evidence of poor decision-making or inadequate documentation on past examinations is uncovered while reviewing the current issued rejected examination, the surveillance program analyst should send these findings to the appropriate certification program analyst in AMCD or the regional airman medical certification analyst in the appropriate RFS’s office for resolution.
(6)    The certification program analyst in AMCD may refer the case back to a region for further AME corrective or disciplinary action.
(7)    The manager, AMCD, shall identify AMEs committing serious certification errors and notify the appropriate RFS or the manager, AMED, to ensure that appropriate action is taken.

3.    Oversight Actions.

a.    Planning an Oversight Activity. Managing specialists will contact AME offices before performing a site visit.
b.    Oversight Activities.
(1)    Direct Observation. Direct observation does not apply to AME designees.
(2)    Review of Documentation.

(a)    The AMED QMS will detail the information to be collected for AME performance reports for use by each RFS to monitor the performance of all AMEs. The content of these reports will be determined by the manager, AMED, in consultation with the RFSs, as part of the AMED and RFS QMSs.

(b)    DMS will generate a consolidated AME summary performance report to compare regional oversight performance. In addition, AMED staff will provide the appropriate RFS with any reports from the aviation community concerning the AME’s professional performance and personal conduct, as it may reflect on the FAA, and any information from local, state, and Federal law enforcement agencies and court systems.

(c)    The AMED staff will request that all AMEs’ medical licenses be investigated by the Federation of State Medical Boards each year and the results reported to the RFSs.

(d)    Periodic metrics will be provided to regional offices by manager, AMED on the outcomes of surveillance program analysts’ reviews of issued rejected medical examinations.

(e)    The senior RFS will provide quarterly site visit results to AMED staff for central review to assist in policy development.

c.    Outcomes of Oversight Activities.
(1)    The FAA uses various oversight methods to manage designees and all oversight results should be recorded in DMS. The results of many, but not all, of the oversight activities are determined primarily by the overall assessment of the three performance measures described above. The managing specialist identifies deficiencies as detailed in the performance measures and then reviews the findings and determines the outcome of the oversight activity. The managing specialist can select from:

(a)    Satisfactory;

(b)    Needs Improvement;

(c)    Unsatisfactory—Suspend; and

(d)    Unsatisfactory—Terminate.

(2)    If the managing specialist determines that the designee falls into the category of “Needs Improvement,” “Unsatisfactory—Terminate,” or “Unsatisfactory—Suspended,” then appropriate follow-up activity must be determined and recorded in DMS.

4.    Follow-Up Actions. A deficiency can often be remedied with FAA guidance provided either formally or informally. In such cases, a designee’s authorization may be continued depending on circumstances and the judgment of the managing specialist.

a.    Counseling. In certain egregious situations, the designee may be suspended from conducting authorized activities until formal counseling has been completed and the managing specialist is assured that the issue has been corrected. In any event, the counseling must lead to a satisfactory performance rating.
b.    Additional Training. The managing specialist may determine that appropriate follow-up action could be conducted in the form of additional training. This is a rare event since AMEs receive a significant amount of training prior to designation and through recurrent training events. If additional training is needed, validation of the effectiveness of the training is required. Typically, events that may be appropriate for the use of additional training as a follow-up action include:
(1)    Performance deficiency found during oversight evaluation, and
(2)    Training to prevent a deficiency after an extended absence.

5.    Management Functions.

a.    Expand Authorities or Change Limitations.
(1)    After 3 years, a designee can request to perform first-class examinations.
(2)    Change of limitations is not applicable to AME designees.
b.    Reduce Authority. Reduction of authority is not applicable to AME designees.
c.    Record Note. The managing specialist may insert a “note” into the designee’s DMS record as a reminder of an upcoming event or an action to be taken.
d.    Send Message to Designee. The managing specialist may use this tool to document an event or an action required on the part of the designee. This function provides a permanent record of the correspondence with the designee.
e.    Record Feedback or Interaction with a Designee. Important written correspondence and memoranda, PDF files of FAA orders, and other hard copy documents can be uploaded into DMS and transmitted to designees.

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the training for AMEs.

2.    General. Designees and FAA personnel must develop and maintain the technical skills, knowledge, ability, and proficiency to effectively perform their duties and roles. The Aerospace Medical Education Division (AAM‑400) will document training in DMS.

3.    AME Training Requirements.

a.    Applicant Initial Training.
(1)    An AME applicant must complete the distance learning courses: Medical Certification Standards and Procedures Training (MCSPT) and Clinical Aerospace Physiology Review for AMEs (CAPAME) before initial designation, and prior to attending a Basic AME Seminar.
(2)    An AME applicant must also attend a Basic AME Seminar, unless the applicant has had prior aerospace medicine training and has received approval from the appropriate selecting official to substitute a refresher AME seminar instead.
(3)    Authorization to attend a Basic AME Seminar will not be given until MCSPT and CAPAME have been completed and passed with a score of at least 70 percent or better on each.
(4)    If the applicant successfully completes the seminar, the RFS may proceed with the designation unless there are other concerns regarding the suitability of the applicant. If the applicant fails both courses, the RFS should stop the designation process and determine if the applicant is suitable.
(5)    After initial designation, the AME is not required to repeat the MCSPT or attend another Basic AME Seminar unless an RFS determines a need for remedial training or the AME chooses to attend a Basic AME Seminar again.
b.    AME Staff Member Training. The AME is responsible for ensuring that staff members processing FAA forms are knowledgeable of FAA policies and procedures related to the use of these materials. The FAA recommends that any staff member who assists with the electronic transmission of FAA examinations into AMCS complete MCSPT.
(1)    AMEs are accountable for the quality and content of any examination transmitted on their behalf, regardless of who actually transmits the examination.
(2)    Just like the AME, any staff member who will be transmitting examinations is required to first obtain a unique username and password. AMEs or staff members must never allow anyone else to use their username and password to transmit examinations, since these are the equivalent of an electronic signature.
c.    AME Refresher Training.
(1)    An AME must attend an AME refresher seminar, or equivalent training as determined by the manager, AMED, every 3 years as a requirement for continued designation. As an option, an AME may alternate Multimedia Aviation Medical Examiner Refresher Course (MAMERC) in lieu of attending an FAA seminar, but under no circumstances should more than 6 years (72 calendar-months) elapse between AME seminar attendance, or more than 3 years (36 calendar-months) between seminar attendance and MAMERC completion.
(2)    If an AME fails to comply with training requirements, suspension of the AME’s designation will be automatically imposed and no examinations performed will be accepted until the suspension is lifted. Exceptions to the seminar attendance policy when MAMERC is not an option shall be based on an AME’s individual circumstances.
(3)    The managing specialist must ensure that all training extensions and suspension actions are fully documented in DMS. All AME seminar sessions defined as required by AMED must be attended in their entirety, and seminar tests must be completed and passed for seminar credit to be given.
(4)    Continuing Medical Education (CME) credit may be given, when appropriate, at the discretion of the manager, AMED, on an hour-per-hour basis for classes attended at a seminar, irrespective of whether or not sufficient sessions were attended to receive seminar credit.
(5)    The AME is responsible for ensuring that all travel arrangements permit complete seminar attendance.

4.    AAM Employee Training.

a.    Medical Assessors. Medical assessors, which include RFSs (appointing officials or selecting officials) and AAM medical officers, are technically not AMEs because they are not designees. However, they are still expected to maintain familiarization with current aeromedical certification practices.
b.    AME Program Analysts (Managing Specialists). It is recommended that AME program analysts (managing specialists) attend a basic AME seminar to familiarize themselves with the AME program, as soon as possible after their employment has begun.
c.    Surveillance Program Analysts. In addition to the AME program analysts’ training, surveillance program analysts must attend a one-week familiarization course at Civil Aerospace Medical Institute (CAMI) to learn the fundamentals and processing procedures necessary to do issued rejected examination reviews before beginning to conduct these reviews. Surveillance program analysts will also receive annual refresher training conducted by AMCD. The regional offices are responsible for training surveillance program analysts to do site visits before having them visit AMEs’ offices.

Chapter 8.  Renewal of Designee Appointment

1.    Purpose. This chapter provides the policy related to the renewal of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the renewal of an AME appointment.

2.    General.

a.    AME Renewal Considerations. The renewal process is automatically handled electronically unless the designation has lapsed or an AME’s designation has been terminated. Lapses in designation of more than one year will require reapplication.
b.    Requirements. The AME must satisfactorily respond to statements required for electronic renewal when prompted to do so by AMCS, and electronically affirm answers before designation can be renewed. Failure to complete this task prior to expiration of the current designation will result in an automatic suspension of AME privileges.
(1)    The AME must maintain all necessary medical credentials, including the appropriate state medical license.
(2)    In the event of an office relocation or change in practice, the AME must obtain written approval from the RFS or the manager, AMED, authorizing the change of the location to perform FAA physical examinations. If a relocation results in a move to a different region, the present designation will end and the designation may be renewed by the gaining regional office, if it has been determined that there is a need for an AME at the new location. New statements from the physician’s local or state medical society, osteopathic association or state, Federal, and foreign licensing authority may be required following practice relocation.

3.    Privilege, Not a Right. See Volume 1.

4.    Renewal Timeframe. See Volume 1.

5.    Renewal Duration. The normal interval between AME designations is 3 years.

6.    Declination of AME Renewal. AMEs who do not wish to remain designated shall notify the appropriate regional office or decline renewal when given the opportunity in DMS.

Chapter 9.  Termination of a Designation

1.    Purpose. This chapter provides the policy related to the termination of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the termination of an AME designation.

2.    General. Managing specialists and appointing officials should ensure that documentation relating to designee deficiencies substantiate the termination, and that those documents are included in the designee’s DMS file.

3.    AME Voluntary Surrender of Designation.

a.    Reasons for Voluntary Surrender. AMEs may voluntarily resign their designation. The AME who has decided to “voluntarily surrender” a designation must use DMS.
b.    In Lieu of Termination. An RFS or the manager, AMED, must never permit voluntary surrender in lieu of an “FAA Decision to Terminate a Designation,” if a termination decision has already been made.

4.    FAA-Initiated Termination of AME.

a.    Terminating a Designation. An RFS or the manager, AMED, can make a decision to involuntarily terminate an AME’s designation either “for cause” or “not for cause.”
(1)    As soon as a proposed action to terminate or not renew has been made, the AME will be notified promptly to suspend exercising all AME privileges and discontinue performing FAA medical certification examinations.
(2)    The AME must be notified electronically within 15 calendar-days of the reason(s) for the termination or nonrenewal action.

(a)    The reason(s) shall be specific and shall cite applicable regulations, policies, and orders. The AME should be informed that they have appeal rights and that such an appeal must be made within 60 calendar‑days of receipt of notification of a termination decision; however, if the termination action is the result of the loss of a credential, failure to train, or lack of FAA need or ability to manage the AME, the notification must state that there is no right to appeal.

(b)    If notification of termination or suspension by electronic means fails, no further attempts to contact the AME are needed and the FAA may begin termination.

(3)    The investigation shall be conducted expeditiously and termination action or removal of suspension will be done immediately, as indicated by the results of the investigation.
b.    For Cause Termination. The following substandard performance reasons are “for cause”:
(1)    Disregard of or failure to demonstrate knowledge of FAA rules, regulations, policies, and procedures.
(2)    Careless or incomplete reporting of the results of medical certification examinations.
(3)    Unprofessional performance of examinations.
(4)    Failure to promptly mail medical examination reports to the FAA.
(5)    Failure to promptly transmit FAA examinations using AMCS.
(6)    Failure by a senior AME to transmit electrocardiograms for first-class medical certification examinations to AMCD, by means approved by AMCD, unless approval has first been obtained from the AMCD or the responsible regional office.
(7)    Any other performance-based reason the FAA deems appropriate.
(8)    Unprofessional office maintenance and appearance.
(9)    Movement of the location of practice and/or an addition of a practice location without prior approval in writing from the regional office.
(10)    Failure to personally perform FAA physical examinations.
(11)    Failure to notify the RFS of a substantial change in practice availability.
(12)    Performance of FAA physical examinations at an unapproved or nondesignated location.
(13)    Failure to respond to RFS or AMCD communications within 15 calendar-days.
(14)    Integrity, misconduct, or inability to work constructively with the FAA or the public, including:

(a)    Arrest, indictment, or conviction for violation of a law;

(b)    Misrepresentation of the information submitted in a medical certification examination; and

(c)    Any action that compromises public trust or interferes with the AME’s ability to carry out the designation responsibilities.

c.    Not For Cause Termination. The following reasons are “not for cause”:
(1)    Lack of FAA need for an AME in the requested location.
(2)    No longer meets minimum qualifications, including:

(a)    No examinations performed within 12 calendar-months of initial designation.

(b)    Performance of an insufficient number of examinations to maintain proficiency.

Note:  The number of examinations considered sufficient is ten per year; however, an RFS may accept fewer examinations as evidence of proficiency for experienced AMEs or when geographic coverage dictates.

Note:  Any decision by a regional office to permit an AME performing fewer than ten examinations per year to remain designated must be fully documented in DMS.

Note:  The documentation in DMS is unnecessary if the AME has been classified as “Official” by the manager, AMED; the Official category is to be reserved for those AMEs whose value to the FAA is determined to supersede a need to demonstrate proficiency by the number of examinations performed.

(c)    Loss, restriction, or limitation of a license or equivalent to practice medicine.

(d)    Failure to comply with the mandatory AME training requirements.

(e)    Any illness, medical condition, or other disability that may affect the physician’s sound professional judgment or ability to adequately perform examinations.

Chapter 10.  Suspension of a Designation

1.    Purpose. This chapter provides the policy related to the suspension of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the suspension of an AME designation.

2.    General. The suspension of a designee is a significant change in status and occurs because DMS or the managing specialist identifies an elevated level of risk in managing the designee.

a.    AME Suspension Considerations.
(1)    An AME can be suspended if there is a lapse in minimum qualifications and it is anticipated that the condition can be rectified in a reasonable period of time, such as a lapse in state medical license or overdue training.
(2)    Circumstances in which an AME is under investigation for criminal activity, fraud, or any other activity for which immediate action is necessary, but where there is not enough evidence to base an outright termination action.

(a)    In these cases, the FAA will notify the AMEs electronically as we would for termination actions, informing them of the reason(s) for the suspension and instructing them to cease all examinations pending an FAA investigation.

(b)    The investigation shall be conducted expeditiously and termination action or removal of suspension will be done immediately, as indicated by the results of the investigation.

Chapter 11.  Appealing A Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban of or termination for cause of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for appealing a ban or termination for cause for AMEs.

2.    General.

a.    Final Decision. The appeal panel’s decision is final.
b.    Documentation. All documentation associated with the appeal (e.g., outcome, members of the appeal panel, communication with the designee or the regional office) should be included in the designee’s DMS file.
c.    Appeal Panel. Upon receipt of the appeal request, the FAS must promptly convene a three‑physician panel to consider and make a recommendation on the merits of the appeal.
(1)    The panel will consist of the Deputy Federal Air Surgeon (DFAS), an RFS from a region other than the region of residence of the AME, and one additional FAA physician selected by the FAS.
(2)    In the absence of the DFAS, the manager, medical specialties, will serve on the panel. In the absence of the FAS, the DFAS will convene the panel and make the determination.
d.    Appeal Process.
(1)    Within 45 days of the FAS having received the appeal, the panel must render their recommendation to the FAS. However, the final decision on the appeal rests with the FAS, and said decision must be conveyed to the AME within 15 calendar-days of determination.
(2)    A decision by the RFS based on the loss or restriction of a state medical license, failure to attend training at the required frequency, or the determination of a lack of need for an AME, is not subject to review on appeal.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other designee management functions of AME designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for other designee management functions for AMEs.

2.    Assign DMS Roles. A role within DMS is not a position description of an employee. A role as it relates to DMS defines the functions that an individual will have available in the DMS system.

3.    Send Message to Managing Specialist. The designee may use this tool to communicate with managing specialists. The message will remain a permanent record within the designee’s file.

4.    Update Profile. Designees must update their profile on an annual basis. DMS will notify the managing specialist when the AME profile is edited. DMS will require the managing specialist input for DMS to accept the change for the following updates:

a.    Change in name, gender, nationality, or date of birth.
b.    Change of address.
c.    Change results in designee no longer meeting minimum qualifications. At that time, DMS will suggest that the managing specialist initiate suspension of the designee.

Volume 3.  DPE, ADMIN PE, AND SAE DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Overview

1.    Purpose of This Volume. This volume supplements Volume 1, Common Designee Policy, by providing specific guidance for the designee management program of Designated Pilot Examiners (DPE), Administrative Pilot Examiners (Admin PE), and Specialty Aircraft Examiners (SAE) not otherwise provided in detail in Volume 1.

2.    Audience. The primary audience for this volume is DPEs, Admin PEs, SAEs, their FAA managing specialists, and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees as appropriate.

Indicates new/changed information.

3.    Implementation. Compliance with this order will be achieved in accordance with the implementation plans established by each service/office for their respective designee types. Implementation will involve transition from existing management and information systems and designee management polices to the Designee Management System (DMS) IT tool and policy. Affected employees and designees will be notified through directive/memo when each implementation will begin and end, as well as when full compliance with this policy is required. FAA employee and designee login credentials and instructions will be provided at the beginning of each implementation. Timing for release and completion of each implementation plan will depend upon:

a.    Availability of the DMS IT tool for the respective designee type.
b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials.

Section 2.  Designee Types

1.    Types of DPE Designees.

a.    Private Pilot Examiner (PE). A PE conducts private and recreational pilot certification tests and additional aircraft rating tests as specifically authorized.
b.    Commercial and Instrument Rating Examiner (CIRE). A CIRE conducts commercial pilot certification tests, instrument rating practical tests, and additional aircraft rating tests as specifically authorized for airplanes, powered lift, and rotorcraft helicopters.
c.    Commercial Pilot Examiner (CE). A CE conducts commercial pilot certification tests in rotorcrafts, gliders, lighter-than-air aircraft, and additional ratings as authorized.
d.    Airline Transport Pilot Examiner (ATPE). An ATPE conducts airline transport pilot (ATP) practical tests for the original issuance of an ATP certificate and additional ratings as authorized. ATPEs must hold category, class, and, if appropriate, type ratings on their pilot certificates pertinent to the tests to be conducted.
e.    Flight Instructor Examiner (FIE). An FIE, as authorized by the managing Flight Standards District Office (FSDO), conducts practical tests for the original issuance, renewal, and reinstatement of flight instructor certificates and ratings. An FIE is authorized to issue flight instructor renewals or reinstatements on the basis of practical tests only.
f.    Pilot Proficiency Examiner (PPE). A PPE conducts the pilot-in-command (PIC) proficiency checks required by 14 CFR § 61.58 for airmen who act as PIC of an aircraft that is type certificated for more than one required pilot flightcrew member or is turbojet-powered, and operated under regulations other than 14 CFR parts 121, 125, 133, 135, or 137. A PPE does not conduct certification practical tests.

Note:  DPEs can be authorized PE, CE, CIRE, ATPE, and/or FIE authorities, as stated above. Any DPE that has been issued one or more of these five authorizations may also be authorized MCE, FPE, FIRE, and/or GIE authority (listed below). These additional authorizations are not intended to be listed exclusively on a DPE’s Certificate Letter of Authority (CLOA), without at least one of the five authorizations for testing in an aircraft.

g.    Military Competency Examiner (MCE). The MCE reviews a military pilot’s records, verifies computer test reports of the military competency knowledge test, and issues Commercial Pilot Certificates and ratings to qualified military pilot applicants as authorized (e.g., 14 CFR § 61.73). The MCE may issue or upgrade pilot certificates bearing type ratings based on the applicant’s military pilot qualifications.

Note:  The FAA or MCE may accept applications for a flight instructor certificate and appropriate ratings from current and former U.S. military instructor pilots or U.S. military pilot examiners who meet the eligibility requirements as set forth in 14 CFR § 61.73(g). The requirement for a U.S. military instructor pilot or U.S. military pilot examiner is the successful completion of the Military Competency Flight Instructor aeronautical knowledge test when applying for a flight instructor certificate and appropriate ratings on the basis of 14 CFR § 61.73(g). The FAA does not require a U.S. military instructor pilot or U.S. military pilot examiner who is applying for a flight instructor certificate and appropriate ratings on the basis of 14 CFR § 61.73(g) to take a practical test. The FAA does not require a U.S. military instructor pilot or U.S. military pilot examiner who already holds an FAA flight instructor certificate issued under 14 CFR part 61 subpart H, to take the Military Comp-Instructor knowledge test. The FAA flight instructor certificate issued under 14 CFR part 61 subpart H, suffices for the aeronautical knowledge test. Additionally, U.S. military instructor pilots or U.S. military pilot examiners may apply for renewal of a flight instructor certificate on the basis of 14 CFR § 61.197(a)(2)(iv).

h.    Foreign Pilot Examiner (FPE). An FPE reviews applicants’ records, verifies computer test reports for the foreign pilot instrument knowledge tests, and may issue private pilot certificates and ratings at the private pilot certification level on the basis of the applicant’s foreign license qualification in accordance with 14 CFR § 61.75. An FPE may also issue a private pilot, commercial pilot, or airline transport pilot certificate on the basis of a Bilateral Aviation Safety Agreement (BASA) and Implementing Procedures for Licensing (IPL) in accordance with 14 CFR § 61.71(c).
i.    Flight Instructor Renewal Examiner (FIRE). A FIRE is authorized by the managing FSDO to accept applications for renewal of a flight instructor certificate that is still current and for which the renewal process is merely administrative (i.e., a practical test is not required for renewal of the applicant’s flight instructor certificates). The FIRE must identify himself/herself as a FIRE on FAA Form 8710-1, Airman Certificate and/or Rating Application, when processing flight instructor renewals.
j.    Ground Instructor Examiner (GIE). A GIE, after reviewing application knowledge test results, issues ground instructor certificates for the basic, advanced, or instrument ratings, as specifically authorized (as per 14 CFR § 61.213 and 14 CFR § 61.215).

2.    Types of Admin PEs.

a.    Airman Certification Representative with Examining Authority (ACR-141). An ACR accepts applications for airman certificates and/or ratings from the graduates of a pilot school that hold examining authority under 14 CFR part 141.
b.    Airman Certification Representative with Flight Instructor Refresher Course (ACR-FIRC). An ACR employed solely by a FIRC reviews applicants’ attendance and training records and determines their eligibility for the renewal of a current flight instructor certificate.

Note:  A current DPE is authorized to perform ACR duties and responsibilities for any airman certificate or rating. DPEs who perform ACR duties and responsibilities are not required to have their CLOA revised in order to perform ACR duties and responsibilities. The eligibility and experience requirements for the ACR position are covered in Chapter 2, Application Process.

3.    Types of SAEs. SAEs are authorized to conduct tests and checks in aircraft, or for operating privileges, that require specialized experience. Listed below are the types of SAEs that exist as of the current date of this order. Should the need arise for an additional type of SAE, AFS-600 has the authority to define the new type of SAE, and will determine the eligibility requirements as well as privileges and limitations of the new SAE type.

a.    Vintage Aircraft Examiner (VAE). A VAE may conduct practical tests for type ratings or conduct 14 CFR § 61.58 proficiency checks in specifically authorized makes and models of aircraft or authorized groups of aircraft.
b.    National Flight Engineer Examiner (NFEE). An NFEE conducts airman certification practical tests in large vintage aircraft requiring a flight engineer, which are no longer in significant commercial service. These examiners may also conduct or be limited to checks required by 14 CFR part 91, § 91.529.
c.    Experimental Aircraft Examiner (EAE). An EAE may conduct practical tests for the issuance of an FAA authorization, and conduct 14 CFR § 61.58 proficiency checks, in specifically authorized makes and models of experimental aircraft, or authorized groups of aircraft, that require an FAA-issued authorization to act as PIC.
d.    Sport Pilot Examiner (SPE). An SPE conducts testing only in aircraft that meet the definition of light‑sport aircraft (LSA). An SPE may issue a sport pilot certificate.
e.    Sport Pilot Flight Instructor Examiner (SFIE). SFIEs conduct testing only in aircraft that meet the definition of LSA. An SFIE may issue a flight instructor certificate with a sport pilot rating.

Note:  SPEs and SFIEs may also be authorized MCE, FPE, FIRE, and/or GIE authority. These additional authorizations are not intended to be listed exclusively on a SPE’s and SFIE’s CLOA.

4.    Designated Examiners Abroad.

a.    FAA Airman Certificate Exams. A DPE, Admin PE, or SAE may be authorized to serve at locations outside of the United States, provided the testing activities serve U.S. citizens abroad that were trained under 14 CFR parts 61 or 141 only for an FAA airman certificate.
b.    Managing Office. A designee serving internationally will generally be managed by an International Field Office (IFO) but may be assigned to a domestic FAA field office.
c.    Citizenship. An individual who is not a U.S. citizen may be authorized as a DPE, Admin PE, or SAE abroad only when the need cannot be filled by a U.S. citizen and the individual has met the U.S. certification requirements for the examining authority requested. However, approval must be obtained from the applicable regional Flight Standards division (RFSD) manager.

Section 3.  Minimum Qualifications

1.    FAA Personnel Roles and Responsibilities.

a.    The National Program Office (NPO). The NPO for each designee type is responsible for the development of national policy regarding the particular designee type. The current edition of FAA Order FS 1100.1, Flight Standards Service Organizational Handbook, contains the NPO for each designee type.
b.    RFSD.
(1)    The RFSD manager is responsible for the designee program within that region. The region ensures that field offices conform to national policy with respect to designee appointment, geographic coverage, and other matters. The region reviews field office oversight policies and activities and evaluates field office administration of the designee program.
(2)    During scheduled office evaluations, regional office personnel must review field office administration of the designee program and perform special reviews as the need arises. Program evaluation is especially valuable in improving field office standardization and in maintaining effective oversight of the designee program. Designee programs are also evaluated nationally through the Quality Management System (QMS).
c.    Field Office Managers.
(1)    Office managers are responsible for the personnel, training, and budget resources necessary to accomplish the management and oversight of designees.
(2)    Office managers should anticipate changes in personnel requirements as a result of the “need and ability” standard.
(3)    Office managers are responsible for continually evaluating the effectiveness of the designee program and managing specialists.
(4)    Office managers are required to ensure that inspectors and supervisory staff are assigned appropriate roles within DMS to carry out their assigned duties.
d.    Managing Specialists. These individuals are experienced FAA aviation safety inspectors (ASI) whose specialty is General Aviation (GA) operations. Managing specialists provide direct oversight, guidance, and support to assigned designees. Specific oversight requirements are stipulated in Volume 1, Chapter 6, Oversight and Management of a Designee.
(1)    Managing specialists must ensure that designees are prepared to perform their duties, including the completion of required training and the maintenance of the minimum qualifications for designation as prescribed in Chapter 2.
(2)    Designee management must consider potential risks and hazards to safety. Managing specialists should remain constantly vigilant for such risks and hazards. They should review Safety Performance Analysis System (SPAS) data and other resources to ensure oversight on potential problem areas.
(3)    The field office may select more than one managing specialist to provide support and oversight to DPEs, Admin PEs, and SAEs depending on the number of designees assigned to that office. All managing specialists are required to undergo training as described in Chapter 7, Training.
(4)    Managing specialists may request assistance in the management and oversight of designees from other FAA personnel such as aviation safety assistants (ASA), aviation safety technicians (AST), and other ASIs. However, the managing specialist will always hold the ultimate responsibility for assigned designees and should closely supervise and monitor the activity of assisting FAA personnel.
e.    Managing Specialist Qualifications and Training Requirements. Managing specialists must be employed as an ASI GA operations inspector for a minimum of 3 years and have completed the appropriate training as described in Chapter 7.

Chapter 2.  Application Process

1.    Purpose. This chapter and the corresponding chapter in Volume 1, Common Designee Policy, describe the policy related to the application process for individuals applying for the authority to function as a DPE, Admin PE, and/or SAE designee. This designation type-specific policy and Volume 1 constitute the overall policy for the application process for a DPE, Admin PE, and/or SAE applicants.

2.    General.

a.    Application Information. Candidates for initial designation as a DPE, Admin PE, or SAE must submit an application through DMS.

3.    Reinstatement. A former designee whose privileges were terminated “not for cause” may be reinstated only at the field office where last assigned. This provision may only be exercised at the discretion of the previous managing field office, and only when the following provisions are met:

Indicates new/changed information.
a.    The former designee meets the requirements and procedures for an original issuance of designation and was previously authorized in DMS.
b.    The designation was terminated not more than 12 calendar-months prior to application for reinstatement.
c.    The applicant meets the recurrent training requirement for the designee type.
d.    The field office determines that the former designee is still competent to perform the authorized activities.

Note:  If the provisions are met, the CLOA is reissued with the original designation number used for reinstatement.

4.    Former Designee Appointment. Except as stated in paragraph 3 above, former designees who wish to reapply for previously held authorizations that have been terminated “not for cause” must reapply through DMS as an initial applicant. DMS will rank a former designee with other applicants within the system who may be qualified for specific authorizations as may be requested by a field office.

5.    Relocation. Designees may relocate to a different geographical area if the receiving FAA office agrees to the transfer. Any change in location, change of managing office, or change of managing specialist is conducted through DMS. This change is effected through DMS by the receiving managing specialist.

6.    Minimum Qualifications.

a.    Minimum Qualifications for DPE, Admin PE, and SAE Applicants.
(1)    In addition to the general minimum qualifications and disqualifiers depicted in this chapter, candidates for designation as a DPE must be technically qualified and must hold all pertinent category, class, and type ratings for each aircraft for which designation is sought. All DPEs must meet the requirements of 14 CFR §§ 61.56 and 61.57. If applying to administer tests in an aircraft that requires type rating; the DPE must also be current in accordance with § 61.58.
(2)    For designations requiring a medical certificate, the examiner must maintain at least a third class medical certificate throughout the duration of the designation. Examples of designees not requiring a medical certificate are those whose authorizations are limited to examinations in balloons, gliders, or FSTDs for which no medical certificate is required. An SPE must maintain a current FAA flight instructor certificate and a valid U.S. driver’s license or an Airman Medical Certificate.
(3)    Any required flight instructor certificate must be kept current for the duration of the designation.
b.    Minimum Qualifications for DPE Applicants. Except for SAEs and Admin PEs, all DPE applicants must meet the following minimum requirements in addition to the specific eligibility requirements listed in this chapter. Within the three years prior to application, the DPE applicant must have met at least one of the following:
(1)    Served as a chief instructor, assistant chief instructor, or check instructor in a school certificated under 14 CFR part 141, for a minimum of 12 calendar-months;
(2)    Served as a check airman authorized under 14 CFR part 121 and/or part 135, for a minimum of 12 calendar-months;
(3)    Served as an aircrew program designee (APD) authorized under 14 CFR part 121, for a minimum of 12 calendar-months;
(4)    Served as a Training Center Evaluator (TCE) authorized under 14 CFR part 142, for a minimum of 12 calendar-months;
(5)    Served as an FAA ASI with checking/testing responsibilities in aircraft, for a minimum of 12 calendar-months;
(6)    Held an FAA pilot examiner designation (that was not terminated for cause) with authorization to conduct practical tests and/or proficiency checks in flight; or
(7)    Provided at least the following hours of flight instruction to airmen which led to the issuance of a pilot certificate or rating as applicable to the categories sought.

For Authorization In:

Hours in Category

Airplanes

500

Rotorcraft

200

Gliders

100

Airship

100

Balloons

50

Weight Shift Control

100

Powered Parachute

50

c.    Specialty Aircraft Examiner. An SAE must meet the requirements of all applicable regulations, including 14 CFR § 61.58, to conduct a practical test from the pilot seat of a vintage airplane.
d.    Multiengine Airplanes and Turbine-Powered or Large Aircraft. For DPEs who are authorized to administer practical tests in piston-powered multiengine airplanes or turbopropeller multiengine airplanes that do not require the PIC to hold a pilot type rating, the phrase “Small Multiengine Airplanes” must be listed on the DPE’s Certificate of Authority (COA) letter. Prior to administering a practical test in a small multiengine airplane, the DPE must have logged at least 5 hours of PIC flight time in that multiengine airplane make and model.
e.    Aircraft That Require the PIC to Hold a Pilot Type Rating. For pilot examiners who are authorized to administer practical tests in aircraft that require the PIC to hold a type rating, the CLOA must list that type of aircraft. Before receiving designation to administer a practical test in an aircraft that requires the PIC to hold the appropriate type rating, the examiner must have logged at least 50 hours of PIC flight time in that aircraft type (25 hours for each additional aircraft type). However, in the case of an SAE, when exercising SAE privileges, the designee needs only to hold authorization in the group of aircraft shown on his or her SAE COA letter (no minimum PIC experience requirement).
f.    Rotorcraft/Helicopter Designation. In order for a DPE to conduct a practical test in a multiengine helicopter, or a helicopter that requires the PIC to hold a type rating, the DPE must have that specific make and model of helicopter listed on his or her CLOA. Prior to adding a specific make/model of multiengine helicopter that does not require the PIC to hold a type rating, the DPE must have logged at least five hours of PIC flight time in that specific helicopter make and model. For single-engine helicopters, single-engine reciprocating or single-engine turbine is listed on the CLOA.
g.    FSTD. For pilot examiners who are authorized to administer practical tests in an FSTD that is representative of an aircraft that requires the PIC to hold a pilot type rating, the examiner’s CLOA must list the phrase “[Aircraft type]-FSTD only”.
h.    Interim Authorization. If a DPE is qualified and current in a specific make and model of aircraft for which designee services are rarely requested and the designee holds a current DPE authorization for a comparable type rating, the managing FAA office may issue the designee an interim authorization on their CLOA authorizing one-time testing privileges in that airplane. The CLOA letter must state the aircraft make and model, restrictions (if any), and the expiration date of that specific authorization. The expiration date of the authorization is determined by the managing FAA office, but must not exceed 30 days from the date of issuance.
i.    Infrequently Requested Aircraft (Turbine-Powered). The supervising FSDO may elect not to issue a COA letter to a pilot examiner for a turbine-powered aircraft that requires a pilot type rating if the FSDO receives infrequent requests for certification practical tests in that specific aircraft. The supervising FSDO may assign an ASI to conduct practical tests in that type of turbine-powered aircraft.
j.    Former ASIs (Operations). Former ASIs (Operations) applying for DPE or SAE authority are required to successfully complete the same application procedures, training, and evaluations as required for all other examiner candidates. However, for PIC experience requirements in the past 12 months, former ASIs need to meet only the experience requirements for renewal of a DPE and SAE provided the following requirements are met:
(1)    FAA Flight Program. Within the last 12 calendar-months, the former ASI has been current and qualified in the FAA’s flight program.
(2)    General Activity. Within the preceding 12 calendar-months, a former ASI (Operations) must have conducted a combination of at least 10 tests or checks of any of the following:

(a)    Pilot certification/additional aircraft rating practical tests administered under 14 CFR part 61.

(b)    Proficiency checks administered under 14 CFR part 121, 125, or 135.

(c)    Proficiency checks administered to a chief instructor, assistant chief instructor, or check instructor under 14 CFR part 141.

(d)    Stage check and end of course checks administered under 14 CFR part 141.

Note:  A former ASI that has been out of FAA service for more than 12 calendar-months must meet all requirements for initial designation.

7.    Specific Eligibility Requirements. Designee applicants must meet all specific eligibility and experience requirements for the specific designation sought. If a designee applicant does not meet all of the appropriate eligibility and experience requirements in this order, he or she must obtain a written recommendation from the managers of both the managing FAA office and the RFSD. The designee applicant may contact the managing FAA office for additional information.

a.    Eligibility. A designee applicant must hold the appropriate level of certificate(s) and ratings that would allow the individual to provide flight instruction in that category, class, and type (if applicable) of aircraft. For example, an applicant who was applying for designation in helicopters would be required to hold at least a Commercial Pilot Certificate with rotorcraft and helicopter ratings as well as a flight instructor certificate with rotorcraft and helicopter ratings. An applicant who was applying for designation in balloons would be required to hold a Commercial Pilot Certificate with lighter-than-air and balloon ratings. A designee must not administer a test for a higher grade of certificate than he/she holds or for a rating that is not held by the designee. For example, a designee who holds a Commercial Pilot Certificate with rotorcraft category and helicopter class ratings would not be eligible to be designated as an ATPE in helicopters, but may be designated as a CE.
b.    Specific Eligibility Requirements for DPEs.
(1)    An examiner must have logged at least 5 hours as PIC in each make and model of multiengine airplane in which that examiner conducts tests.
(2)    An examiner must have logged at least 50 hours of PIC in an aircraft that requires the PIC to hold a pilot type rating (25 hours for each additional type), in which that examiner conducts tests.
(3)    An examiner must have logged at least 5 hours as PIC in each make and model of small helicopter in which that examiner conducts tests.
(4)    An examiner must have logged at least 50 hours of PIC in a helicopter that requires the PIC to hold a pilot type rating (25 hours for each additional type), in which that examiner conducts tests.
(5)    Glider designees must show experience and demonstrate skill in at least one of the following launch procedures, for which they have a logbook endorsement: aero tow, ground tow, and self-launch. The designee is then authorized to conduct examining activity for all launch procedures for which they have a logbook endorsement.
(6)    PEs and CEs with balloon designations may have flight time in gas balloons, hot air balloons, or a combination of the two in order to meet the flight time requirements for designation. If the examiner’s pilot certificate is restricted to balloons with airborne heater or gas balloons only, the examiner may conduct practical tests only in that kind of balloon (e.g., hot air or gas balloon).
c.    Specific Eligibility Requirements for PPEs. If the FSDO determines need at a specific location, the FAA designates a PPE to conduct 14 CFR § 61.58 PIC proficiency checks in aircraft and/or FSTDs.
(1)    PPE Limitations.

(a)    CLOA. A PPE will not conduct a proficiency check in a multiengine airplane, turboprop, or turbojet aircraft other than the make and model for which the PPE holds a CLOA.

(b)    Certification Practical Tests. A PPE will not conduct certification practical tests.

(c)    Serve the Public. A PPE must be willing to serve the public outside the examiner’s organization upon reasonable request by an applicant.

(d)    Certificates and Type Ratings. A PPE must hold an ATP certificate or a Commercial Pilot Certificate with an instrument rating and, for PPEs authorized for aircraft, a type rating for the type of aircraft authorized.

(e)    FSTD Limitations. For PPEs limited to checking in FSTDs for any make and model of aircraft, the CLOA will contain the limitation “limited to FSTD” for that make and model of aircraft.

(2)    PPE Privileges.

(a)    Official Capacity. A PPE must hold PIC privileges for the type of aircraft authorized while acting in an official capacity as a PPE.

(b)    Turbojet FSTD Authorization. PPEs who hold a turbojet FSTD authorization must hold a turbojet rating on their pilot certificate. However, the rating does not need to be in the same type aircraft that the FSTD represents.

(c)    Turboprop Airplanes in FSTDs. PPEs who hold an authorization for turboprop airplanes in FSTDs only do not need to hold a turboprop type rating on their pilot certificate.

(d)    Geographic Authority. A PPE’s testing privileges are not limited to the examiner’s base of operations or the managing FSDO’s geographical area of responsibility.

(e)    Additional Designations. An additional designation may be issued to an examiner by completing the same procedures used for original designation.

Table 3-1.  Specific Eligibility Requirements for Designation as a PE and/or a CE

 

ROTORCRAFT (VFR ONLY)

GLIDERS

L-T-A
AIRSHIP

L-T-A
BALLOON

HOURS AS PIC

2,000 Total; 500 in rotorcraft, of which at least 250 were in helicopters or 150 were in gyroplanes, as appropriate, AND in the past 12 months: 100 hours in rotorcraft.

If applying for large helicopters to be listed on COA, the additional requirement is 100 hours acting as PIC in large helicopters, including at least 50 hours in the type sought. (25 hours required for each additional type sought.)

500 Total; 250 in gliders AND in the past 12 months: 20 hours in gliders, which included at least 50 flights

2,000 Total; 500 in airships, of which at least 50 were at night AND in the past 12 months: At least 200 hours in airships

200 Total; 100 in balloons, AND in the past 12 months: 20 hours in balloons, which included at least 10 flights of at least 30 minute duration. AND airman must have held a Commercial Pilot Certificate with Lighter-than-Air Category and Balloon Rating for at least one year

HOURS AS A FLIGHT INSTRUCTOR

200 in helicopters or gyroplanes, as appropriate. AND 50 in helicopters or gyroplanes, as appropriate, preparing an airman for a Commercial Pilot Certificate.

100 in gliders

100 in airships

50 in balloons

Table 3-2.  Specific Eligibility Requirements for Designation as a CIRE, an ATPE, and/or a PPE

 

AIRPLANE

ROTOCRAFT HELICOPTER

HOURS ACTING AS PIC

2,000 Total; which includes:

1,500 in airplanes, 500 in class, 100 at night, 200 in complex, 100 instrument flight (actual or simulated); AND in the past 12 months: 300 hours in airplanes.

If applying for designation in large, turbine‑powered aircraft to be listed on COA, the additional requirement is 300 hours acting as PIC in large, turbine-powered aircraft, of which at least 50 hours were in the type sought. (25 hours required for each additional type sought.)

2,000 Total, 1,200 in helicopters, which includes: 100 instrument flight (actual or simulated) AND in the past 12 months: 100 hours in helicopters.

If applying for large helicopters to be listed on COA, the additional requirement is 100 hours acting as PIC in large helicopters, of which at least 50 hours were in the type sought. (25 hours required for each additional type sought.)

HOURS AS A FLIGHT INSTRUCTOR

500 in airplanes, of which 100 are in the class of airplane for designation sought, AND 250 hours of instrument flight instruction, of which at least 200 hours were in airplanes, and 150 hours preparing airmen for Commercial or ATP Certificates with Airplane Categories OR airplane type ratings or instrument airplane ratings.

250 in helicopters, 50 hours instrument instruction in helicopters and at least 100 hours preparing pilots in helicopters for the Commercial or ATP Certificates, or instrument helicopter ratings or type ratings.

d.    Specific Eligibility Requirements for SAEs.
(1)    Specific Eligibility Requirements for SPE and SFIE. If adding SPE or SFIE examining privileges in a category of aircraft for which the designee already holds private pilot examiner privileges and above, the examiner need not meet the requirements for SPE designation in the tables above.
(2)    Specific Eligibility Requirements for SPEs. SPEs who are authorized by a local field office to conduct airman testing at the private, commercial, or ATP level may be authorized by that office to conduct additional airman testing at the sport pilot level. In this instance, the local field office assumes the authorization and management responsibility.
e.    Specific Eligibility Requirements for SFIEs.
(1)    The SFIE must already possess an active DPE authorization for airman testing to the sport pilot certificate level in a specific category and class of LSA. An SFIE may issue a sport pilot certificate or flight instructor certificate with a sport rating, as applicable.
(2)    If a designee possesses an authorization for airman testing at the recreational pilot level or above and is managed by a local FSDO, the FSDO with direct oversight grants the SFIE authorization. Otherwise, AFS‑610 directly grants the SFIE authorization.
f.    Specific Eligibility Requirements for VAEs, NFEEs, and EAEs.
(1)    The FAA NPO determines the need for an SAE. If there is a need for a new SAE, and the NPO has the ability to manage the additional examiner, a selection will be made following the normal DMS process.
(2)    VAE, VFEE, and EAE applicants must apply through DMS, but must also include a letter of recommendation from a recognized CBO, such as Experimental Aircraft Association (EAA), Aircraft Owners and Pilots Association (AOPA), etc.
(3)    After selection but prior to designation, the NPO will contact the CBO to verify the qualifications of the proposed SAE.
(4)    When there are no qualified and/or current examiners available for a vintage aircraft, the best qualified SAE (qualified in an aircraft within the same group) may conduct the test from the jump seat of a vintage airplane as long as a current and qualified pilot occupies a pilot seat.
(5)    There is no specific limit to the number of vintage airplanes for which a VAE, NFEE, or EAE may receive authorization. An SAE will be designated to conduct practical tests in one or more of the SAE authorizations based on their qualifications and the needs of the program.
(6)    An SAE must meet the requirements of all applicable regulations including 14 CFR § 61.58 to conduct a practical test while serving as a required flightcrew member. When conducting the evaluation from other than a crewmember station, they are not required to be current in accordance with 14 CFR § 61.58.
(7)    Each additional designation requires a demonstration of competency appropriate to the aircraft or simulator and the designation sought.
(8)    When a designation is added, a new CLOA demonstrating all designations held will be issued to the examiner. The examiner’s current designation number will be used.

Table 3-3.  Specific Eligibility Requirements for Designation as an SPE

 

BALLOON

WEIGHT SHIFT CONTROL

POWERED PARACHUTE

AIRSHIP

AIRPLANE

GYROPLANE

GLIDER

HOURS ACTING AS PIC

200 Total, 100 in balloons AND in the past 12 months: 20 hours in balloons which included at least 10 flights that were of at least a 30 minute duration

500 Total, 250 in weight shift control AND in the past 12 months: 50 hours in weight shift aircraft

250 Total, 100 in powered parachutes AND in the past 12 months: 25 hours in powered parachutes

200 Total, 100 in airships AND in the past 12 months: 20 hours in airships

500 Total, 250 in light-sport airplanes AND in the past 12 months: 50 hours in airplanes.

500 Total, 250 in gyroplanes AND in the past 12 months: 50 hours in gyroplanes

250 Total, 100 in gliders AND in the past 12 months: 10 hours in gliders, which involved at least 10 flights

HOURS AS A FLIGHT INSTRUCTOR

100 in balloons

200; at least 100 in weight shift control

100; at least 50 in powered parachutes

100 in airships

200; at least 100 in light‑sport airplanes

200 in gyroplanes

100; at least 50 in gliders

Note:  If adding SPE or SFIE authority in a category of aircraft for which the designee already holds PE privileges, the designee need not meet the requirements listed above.

Table 3-4.  Specific Eligibility Requirements for Designation as a VAE, NFEE, and EAE

Note:  The final decision as to eligibility to serve as an SAE is determined by the NPO for Vintage and Experimental Aircraft, AFS-600, with input from a Community Based Organization (CBO), if necessary.

ELIGIBILITY REQUIREMENTS

VINTAGE AIRPLANES

VINTAGE GROUP

EXPERIMENTAL AIRCRAFT

EXPERIMENTAL GROUP

FLIGHT ENGINEER

GLIDERS

CERTIFICATES REQUIRED

Commercial and Instrument or Airline Transport

Flight Instructor

Airplane

Commercial Pilot and Instrument or Airline Transport

Flight Instructor

Commercial and Instrument or Airline Transport

Flight Instructor

Airplane or Helicopter, as appropriate

Commercial and Instrument or Airline Transport

Flight Instructor

Airplane or Helicopter, as appropriate

Flight Engineer

Commercial Pilot

Flight instructor

CERTIFICATE CATEGORIES

Both with Airplane category

Both with Airplane category

Both with Airplane or Helicopter category, as appropriate

Both with Airplane or Helicopter category, as appropriate

Flight Engineer

Both with Glider category

RATINGS AND AUTHORIZATIONS

Type Rating in the Subject Airplane

Type Ratings in at least 3 vintage airplanes

Experimental Aircraft Authorization in aircraft

Experimental Aircraft Authorizations in 3 aircraft

Reciprocating, Turbopropeller, or Turbojet, as appropriate

 

HOURS AS PIC

5,000

1,000 in airplanes, which includes at least 100 in past 12 months

100 in large vintage aircraft

10 hours in type

5,000

1,000 in airplanes

100 in large vintage airplanes, which includes 100 in large vintage aircraft.

Must be current in more than one Vintage Aircraft

5,000

1,000 in airplanes, which includes at least 50 in past 12 months

If applicable, 100 in large aircraft.

10 hours in type

5,000

1,000 in airplanes, which includes at least 50 in past 12 months

If applicable, 100 in large aircraft

N/A

5000

25 in gliders

HOURS AS FLIGHT INSTRUCTOR (as CFI—Certificated Flight Instructor, AAI—Authorized Aircraft Instructor, or MFI—Military Flight Instructor)

100

100

100

100

N/A

100

g.    Specific Eligibility Requirements for Admin PEs.
(1)    Specific Eligibility Requirements for ACRs.

(a)    ACR-141.

1.    The holder of examining authority under 14 CFR part 141 subpart D, may request ACR designation for an owner, corporate officer, partner, or other responsible employee of that company.

2.    The pilot school requesting an ACR designation must hold examining authority for both flight and knowledge test privileges or flight test privileges only. Holders of knowledge test privileges only are not eligible for ACR designation. ACR candidates:

(i)    Must hold a management or specialized position that does not report to the chief instructor.

(ii)    Must have been employed as the chief instructor of the pilot school or have held one of the other positions indicated in subparagraph (1) above for at least 12 calendar-months immediately preceding the application for designation.

3.    The holder of a current DPE designation meets all eligibility and experience requirements for designation as an ACR. A current DPE is authorized to perform ACR duties and responsibilities (for any airman certificate or rating) without further need for approval or authorization from the managing FSDO, provided the managing office has trained the DPE in ACR duties and responsibilities.

4.    A recommendation for the designation of a candidate who does not meet all of the applicable eligibility and experience requirements is forwarded to the RFSD manager for consideration. The recommendation should include a statement of all special circumstances affecting the designation. The division manager’s approval is required before any commitment is made or a CLOA is issued.

(b)    ACR–FIRC.

1.    Sponsors of FAA-approved FIRCs may request the designation of an ACR authorized to issue flight instructor certificate renewals to eligible course graduates of the approved FIRC.

2.    Only the holder of an FAA-approved FIRC training course outline (TCO) may sponsor an applicant for ACR designation. Final approval of the TCO is a prerequisite for an ACR designation. The sponsor of an FAA-approved FIRC may request ACR designation for one or more responsible members or employees of that organization by submitting a letter to the jurisdictional FSDO where the applicant’s principal business office is located.

3.    The managing FAA office will issue the ACR designation with the notification and concurrence from the jurisdictional AFS regional office. If the jurisdictional flight standards regional office elects to deny the ACR candidate’s application, a letter of explanation will be sent to the managing FAA office.

4.    The sponsor requesting an ACR designation will provide the following information:

(i)    The original date of FAA approval of the sponsor to conduct the FIRC;

(ii)    The number of programs given in the 12-month period immediately preceding the request for an ACR designation;

(iii)    The number of attendees issued graduation certificates, the number of graduation certificates denied, including the reasons for the denials; and

(iv)    The number and location of programs scheduled and the expected number of attendees for the 12-month period immediately following the date of request for designation.

5.    A candidate employed only by a FIRC sponsor who applies for designation as an ACR must:

(i)    Be at least 23 years of age.

(ii)    Have a written recommendation from its FIRC provider.

(iii)    Hold at least a Commercial Pilot Certificate and flight instructor certificate.

(iv)    Have held that flight instructor certificate for at least 24 calendar-months.

(v)    Must have endorsed at least 10 applicants for any FAA practical test for an aircraft certificate or rating with an 80 percent pass rate within the past 24 calendar-months, or is a Certificated Flight Instructor (CFI) who has been designated as an ACR within the past 24 calendar-months.

(vi)    Must have:

a.    Completed no fewer than two in-person FIRCs as an instructor-attendee;

b.    Been engaged as a presenter and attended the entire FIRC at no fewer than two FIRCs at some point in the 24 months preceding application for designation as an ACR;

c.    Been employed as a FIRC chief instructor, assistant chief instructor, for at least 12 months preceding application for designation as an ACR; and

d.    An ACR’s COA issued before this guidance was published remain valid until it expires. At that point, reappointment as an ACR will require compliance with the requirements stated above.

6.    The holder of a current DPE designation meets all eligibility and experience requirements for designation as an ACR. A current DPE is authorized to perform ACR duties and responsibilities (for any airman certificate or rating) without further need for approval or authorization from the managing FSDO, provided the managing office has trained the DPE in ARC duties and responsibilities.

7.    A recommendation for the designation of an ACR who does not meet all of the applicable eligibility and experience requirements is forwarded to the jurisdictional FSDO for consideration.

8.    The jurisdictional FSDO has the discretion to disallow any ACR candidate based on their conduct or reputation.

8.    Disqualifiers—Special Considerations. Any applicant that has been previously terminated for cause must not be considered for designation (see Volume 1, Chapter 2, Application Process, for disqualifying criteria).

9.    Privilege, Not a Right. See Volume 1.

10.    Post Application. See Volume 1.

11.    Maintaining an Active Designee Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of DPE, Admin PE, and SAE applicants. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the selection and evaluation of DPE, Admin PE, or SAE applicants.

2.    General.

Indicates new/changed information.
a.    Selection Process. The general process of selection can be broken down into three parts: DMS determines if the designee meets system-defined minimum qualifications; the selecting official determines if need and ability requirements are met; and then assigns an evaluation panel to further review the applicant’s qualifications and abilities. (See Figure 3-1, High-Level Selection Process Flow, for a high-level representation of the selection flow.)

Figure 3-1.  High‑Level Selection Process Flow

Figure 3-1. High Level Selection Process Flow

b.    Selection Considerations.
(1)    When a decision is made to appoint a designee to fulfill identified needs, the field office management must query DMS for a listing of qualified applicants. Candidates must submit applications exclusively through DMS.
(2)    The evaluation panel assesses each qualified designee candidate’s background knowledge and experience through:

(a)    A thorough review of the application;

(b)    Consultation with others who are familiar with the applicant; and

(c)    Review and contact references provided by the applicant and comments that may influence the decision to recommend or deny appointment.

(3)    DMS replaces the initial applicant screening process previously held by the National Examiner Board (NEB). DMS automatically produces a list of the qualified applicants for each DPE, Admin PE, or SAE type based on the experience, credentials, background, and geographic requirements specified by field office management.

3.    Need and Ability to Manage. See Volume 1.

4.    Requesting Qualified Applicants.

a.    General. Once the FAA establishes need and ability to manage, the selecting official can request a list of qualified applicants through DMS, which searches active applications to identify candidates that most closely match the specified criteria.
b.    Initial Request. DMS will return all qualified applicants per the request.
c.    Additional Requests. If no qualified candidates are available within DMS, an appointing official may request a deviation from minimum qualification requirements if:
(1)    The FAA demonstrates a significant need for the appointment, and
(2)    The managing office and the regional office can justify that the designee candidate meets an equivalent qualification.
d.    Minimum Qualification Deviation Request Process. When there are no applicants in DMS for the specific need of the office, the managing specialist may request that the selecting official petition the RFSD for a deviation from the minimum qualifications.
(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo to the RFSD outside of DMS.
(2)    Coordination. The RFSD office, after a review supporting the deviation, will communicate with a memo to the NPO for concurrence external to DMS. If in agreement with the RFSD recommendation, the NPO will document the circumstances and justification in DMS and complete the required DMS process (deviation allowed).

Note:  The purpose of a deviation is to fill a specific need that the managing office has for which there are no qualified applicants in DMS. The expectation is that the office would appoint the applicant within 30 days of granting the deviation. If the applicant has not been appointed after 30 days, the process ends.

5.    Evaluation.

a.    Evaluation Process. It is the goal of the FAA to establish a uniform designee candidate assessment process (as much as practicable) for all designee types.
b.    Evaluation Panel. At such time that one or more viable applicants have been identified through DMS, an evaluation panel is convened to consider the merits of each applicant. The panel is generally comprised of three FAA staff that should include:
(1)    The managing specialist expected to be assigned to the designee. The presumed managing specialist will assume a lead role during the evaluation process, and will coordinate the Evaluation Panel results within DMS.
(2)    Two additional GA ASIs, which may include a Front Line Manager (FLM).
c.    Evaluation Panel Tasks. For each prospective candidate, the evaluation panel must:
(1)    Contact references as necessary.
(2)    Conduct an interview with the designee candidate. The interview should determine whether the applicant has the general and specific qualifications, as well as the qualities necessary to be successful as a designee. Interview responses should be consistent with the information contained on the candidate’s application.
(3)    Verify that DMS has identified that minimum qualifications have been met.
(4)    Verify that the applicant possesses the appropriate airman certificate; category and class rating; and type rating for the authorities sought.
(5)    Review the applicant’s history including all airman certificates held by the individual and flight time records if applicable.
(6)    Review relevant information from each of the following FAA databases to determine the candidate’s aviation background and any issues which may have an adverse effect on the candidate’s application:

(a)    Accident/Incident Data System (AIDS);

(b)    SPAS;

(c)    Program Tracking and Reporting Subsystem (PTRS); and

(d)    Enforcement Information System (EIS).

(7)    For Admin PEs, inspect facilities and equipment (if applicable) to be used in the conduct of their duties.
(8)    Evaluate the applicant according to the established checklist in DMS.
d.    Examiner Proficiency Check Prior to Appointment. The evaluation panel will consider the results of a pre-appointment pilot proficiency check, if applicable. While not required, the appointing office may wish to conduct a pre-appointment proficiency check of the designee applicant. The purpose of the proficiency check is to evaluate the designee applicant’s piloting skills as they relate to the maneuvers and procedures in the applicable practical test standards (PTS) or Airman Certification Standards (ACS). The content of the proficiency check may include a demonstration of part or all of the following:
(1)    The knowledge and skill areas required for the original issuance of the certificate for which the DPE will hold authority.
Indicates new/changed information.
(2)    Maneuvers and procedures listed in the PTS/ACS for the applicable certificate and rating.

Note:  ACRs will be expected to successfully complete an oral examination on the applicable regulations contained in 14 CFR parts 61 and 141 as applicable.

e.    Evaluation Panel Outcomes.
(1)    When the evaluation panel determines that an applicant meets the requirements for designation, the results are documented in DMS and a recommendation is provided to the appointing official through the selecting official. If the appointing official is in agreement with the recommendation, the appointment process will ensue. Refer to Chapter 4, Designee Appointment, for information relating to the appointment process.
(2)    If the evaluation panel, with concurrence from the selecting official, rejects all applications provided by DMS for good cause, the managing office should encourage suitable applicants to apply through DMS so that they can be considered.

6.    Banning. See Volume 1.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of DPEs, Admin PEs, and SAEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the appointment process for a DPE, Admin PE, and SAE.

2.    General.

a.    Appointment Process. Below is a high-level representation of the appointment process.

Figure 3-2.  High‑Level Appointment Process Flow

Figure 3-2. High Level Appointment Process Flow

b.    Appointment Checklist.
(1)    The managing specialist should issue appropriate privileges and limitations in the CLOA based on the applicant’s:

(a)    Background experience;

(b)    Personal and professional qualifications; and

(c)    Needs of the appointing office.

(2)    Prior to appointment, the managing specialist will verify that the designee candidate has been evaluated by the evaluation panel with positive results and has successfully completed the initial standardization training seminar (see Chapter 7, Training, for initial training requirements).

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    Appointment Duration. The initial duration of a designee’s appointment is up to 12 calendar-months. When renewing the designation, appointment duration lasts up to 36 calendar-months.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter provides the policy related to the responsibilities and obligations of the DPE, Admin PE, and SAE, referred to collectively in this chapter as designees. This designation type-specific policy and the Volume 1, Common Designee Policy, constitute the overall policy for the responsibilities and obligations of DPEs, Admin PEs, and SAEs.

2.    General Responsibilities.

a.    Expectations. DPEs, Admin PEs, and SAEs are expected to:
(1)    Attend and take part in FAA Safety Team (FAASTeam) seminars and events. The FAA values the participation of FAASTeam representatives in providing support for safety meetings.
(2)    Provide FAA testing and certification activities without prejudice or discrimination in a fair and unbiased manner.
(3)    Maintain a high level of knowledge, skill, and expertise commensurate with their authorizations.
(4)    Charge no more than a reasonable fee for services.
(5)    Keep abreast of current aviation trends and technologies.
(6)    Serve as a willing resource to the aviation community on matters of FAA airman certification regulations and policy.
(7)    Set a high standard of airmanship and safety through personal example.
(8)    Exercise diligence and care in the preparation of airman certification documentation and files.
(9)    Always represent the FAA and its workforce to the public in a positive manner.
b.    DPE Limitations. DPEs and SAEs must not:
(1)    Conduct the flight portion of a practical test prior to the ground portion.
(2)    A designee conducting an oral and/or practical test must not test more than one applicant at a time. To clarify “at a time”: when a designee begins a test with an applicant, prior to accepting an application from another airman, the designee will terminate the first test with the issuance of a Temporary Airman Certificate, a notice of disapproval, or a letter of discontinuance. In cases where the test aircraft requires a flight crew of two, such as in the case of a type rating examination in an aircraft requiring two pilots, it is permissible to evaluate both applicants together.
(3)    Conduct or monitor any portion of computer knowledge tests.
(4)    Reissue or amend any expired Temporary Airman Certificate.
(5)    Endorse, amend, alter, or issue any permanent airman certificate.
(6)    Exempt any applicant from the testing requirements in the applicable PTS/ACS.
(7)    Combine teaching with testing during the testing of an applicant.
(8)    Conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable 14 CFR part 61.
(9)    Conduct practical tests unless the applicant has passed the required airman knowledge test, if a knowledge test is required.
(10)    Temporarily suspend a test to allow the applicant further study, and then continue the same test later.
(11)    Conduct tests in any language other than English.
(12)    Conduct more than two practical tests in a single day or one practical test in a single day if the test is for the original issuance of a flight instructor certificate, unless specific, written permission is granted by the managing specialist.
(13)    Test applicants trained by the examiner. A designee who trains an applicant for a certificate or rating may only test that applicant under the following conditions:

(a)    If another instructor has given the applicant at least 3 hours of flight instruction in the 2 calendar-months prior to the test, in preparation for the test, and is the recommending instructor. (For sport pilot privileges, the hours are reduced to 1.5 hours if the test is in a glider or balloon; 1.0 hours if the test is in a powered parachute; 2.0 hours if the test is in all other light-sport aircraft categories.)

(b)    A designee may also test an applicant trained by that designee for an additional aircraft class rating if the applicant has obtained the written recommendation of another CFI who has personally checked the applicant and found the applicant prepared for the practical test.

(c)    An FIE may test an applicant that he or she trained for a flight instructor certificate or rating if the designee obtains written permission from the managing FAA office.

(d)    An ATPE may test an applicant that he or she trained for an ATP certificate or rating if the designee obtains the written permission of the managing FAA office. In the case of a test to be conducted outside the United States, the ATPE must obtain the permission of the managing FAA office.

(e)    In cases where an VAE, NFEE, or EAE is the only readily available instructor qualified in a rare airplane, the VAE, NFEE, or EAE may conduct a certification practical test for an applicant that he or she trained if the designee obtains permission from the NPO.

(14)    Except for SAEs, test an applicant outside the authorized geographical area without specific approval.

(a)    If a designee wants to administer tests outside the geographical area of the managing FSDO or IFO, the designee must receive authorization from the managing FSDO or IFO, as well as from the receiving office.

(b)    This is processed and authorized through the preapproval process in DMS.

3.    Geographic Limits of Authority. Field offices should ensure that adequate FAA personnel and/or designees are available to address the certification activity within their geographic area. However, unanticipated or rarely occurring certification activity may necessitate that the field office use designees from other geographic areas to perform this work.

a.    The FAA intends that general aviation designees perform their authorized function(s) within the geographic boundaries of their managing FAA office. However, a managing office may authorize a designee to perform authorized function(s) outside the geographic boundaries (including other countries) on a case‑by‑case basis, in consultation with the receiving office, when the FAA can maintain the ability to adequately monitor and supervise the designee.

4.    Ongoing Requirements of a Designee. In order to complement the general requirements established in Volume 1 of this order, a DPE, SAE, or Admin PE will:

a.    Maintain Minimum Requirements. Maintain the minimum qualifications established for appointment as specified in this order including certification, currency, initial, and recurrent training, and attendance at the required annual meetings.
Indicates new/changed information.
b.    Use Current Regulations and Policies. Maintain and use the most current versions of the CFR, the PTS/ACS, Order 8900.1, and this order. Storage and retrieval of these documents may be electronic.
c.    Attend Annual Meeting. As a requirement for renewal, designees must attend the annual designee meeting each fiscal year conducted by the managing FAA office.
(1)    The FAA office should attempt to schedule the annual meeting to allow for all designees of the same type to meet together in a location at the same time to discuss, at a minimum, the following subject areas:

(a)    Local issues;

(b)    Local problem areas;

(c)    Local procedures;

(d)    Standardization issues; and

(e)    Designee performance.

(2)    A record of attendance by each designee must be documented in DMS by the managing specialist.
(3)    In cases where, beyond the designee’s control, it is not possible for a designee to attend the annual meeting, the designee must meet with that managing specialist to discuss the same subject material that was presented at the meeting. The managing office may opt to record their meetings on video and use the media for make-up meetings. This allows the designees who miss the meeting to also benefit from the dialogue between designees during the meeting. A designee who misses this annual meeting must still satisfy the annual meeting requirement before renewal.

5.    Forms and Supplies.

a.    Forms.
(1)    For airman testing and certification, the applicant, recommending instructor, and designee are expected to use the Integrated Airman Certification and Rating Application (IACRA) online processing system accessible through www.iacra.faa.gov.
(2)    In extenuating circumstances that may prevent the utilization of the IACRA system, the managing specialist will issue to the designee a limited supply of the following paper forms, which must be protected from unauthorized use:

(a)    FAA Form 8060-4, Temporary Airman Certificate; and

(b)    FAA Form 8060-5, Notice of Disapproval of Application.

Note:  If IACRA is unavailable when the DPE is beginning the test, the applicant must submit a paper application (FAA Form 8710-1). The entire certification process must then be completed using the paper application and the certification file must be sent to the managing FAA office. The DPE cannot, under any circumstances, complete the certification in IACRA at the conclusion of the test, even if it is available. If the test is started with paper, it must be completed with paper. The DPE must also notify the managing FAA office of the reason for using paper instead of IACRA.

b.    Paper Application Forms. Forms are available online at www.faa.gov.
c.    PTS/ACS. Designees with airman testing and checking privileges must use the appropriate PTS or ACS in accordance with their authorizations. The PTS or ACS is available through a number of commercial sources or through the FAA website at www.faa.gov.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of DPEs, Admin PEs, and SAEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the oversight and management of DPEs, Admin PEs, and SAEs.

2.    General.

a.    General Considerations.
(1)    Effective oversight of designees is founded on a strategy of risk management. A robust oversight policy includes a continual process of weighing the potential for harm from any apparent hazard against the likelihood of its occurrence. When safety risks and hazards are identified, appropriate preventive action is imperative.
(2)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. Managing specialists are also responsible for ensuring that DPEs, Admin PEs, and SAEs are thoroughly coached in the importance of their role of administering ground (knowledge) and flight (skill) tests to the applicants in accordance with FAA Order 8900.1, Volume 5, and the PTS/ACS.
(3)    Oversight will include oversight activities at varying intervals, as well as an overall performance evaluation of each designee at least each 12 calendar-months. The outcome of each oversight activity provides data to be used in completing each designee’s overall performance evaluation.
(4)    Designees can expect that the managing office will assign to each DPE, Admin PE, and SAE a managing specialist that is a qualified ASI (Operations). The ASI will develop oversight plans to ensure: quality, the highest degree of integrity, and compliance with current policy, regulations, and the PTS or ACS as appropriate. The oversight plan will also identify potential hazards and risks to aviation safety. If and when the FAA discovers deficiencies, the managing specialist will respond in a manner prescribed by the common designee policy in this order and other relevant FAA guidance.
(5)    DPEs and SAEs should expect the FAA to observe them conducting their first complete test, and Admin PEs should expect the FAA to observe their first certification actions. Thereafter, the designees may be inspected or observed by FAA personnel at any time with or without prior notice.
b.    Managing Office and Managing Specialist. See Volume 1.
c.    Oversight and DMS.
Indicates new/changed information.
(1)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. DMS establishes the minimum required oversight activities for each designee based on their authorized activities and risk-based data. Additional oversight may be conducted as deemed necessary by the managing specialist or managing office. Oversight activities are the responsibility of the designee’s managing specialist and the managing specialist is expected to conduct the oversight activities. However, other ASIs can enter oversight activities on the designee, and there are provisions in DMS for the managing specialist to “take credit” for an oversight activity of the same type conducted by another ASI if it’s in the required timeframe. Additional instructions are included in the DMS job aids for oversight activities.
(2)    The managing specialist must conduct designee performance evaluations on an ongoing basis predicated on the outcome of oversight activities. The managing specialist should record in DMS the results of individual oversight activities. However, the managing specialist must record in DMS a formal evaluation at least once every 12 calendar-months, generally completed during the designee’s anniversary month.
d.    Performance Measures. The managing specialist will render an overall rating for the period according to the following classifications:
(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.
Indicates new/changed information.

(a)    Equipment and Materials. The managing specialist should consider whether the designee possesses relevant and current FAA publications, either electronically or in paper form, such as the CFR, the PTS/ACS, Aeronautical Information Manual (AIM), Chart Supplement U.S. (CS), and this order. The managing specialist should confirm that the designee has access to technology in order to effectively use the IACRA system in the processing of airman certification files.

(b)    Knowledge and Understanding. Does the designee understand the technical terminology contained in FAA orders, the PTS/ACS, and other reference material used in planning, describing, or conducting authorized activities? Does the designee demonstrate an expert level of knowledge about the aircraft operation and systems?

(c)    Interpret and Apply. Does the designee correctly interpret and apply the technical performance standards required by the authorization?

(2)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.

(a)    Screening Applicants. Does the designee follow the correct procedure when accepting applications and determining applicant eligibility?

(b)    Submittal of Information and Data to FAA. Does the designee properly submit information, documents, and data to the FAA when it is required by FAA orders or by specific instructions provided by the FAA managing office?

(c)    Conducting Evaluations and Tests. Does the designee follow the correct procedure when conducting, grading, and providing feedback to applicants during testing?

(d)    Issuing Certificates and Testing Results to Applicant. Does the designee follow the correct procedure when completing and issuing airman certificates, test results, or other findings to the applicant upon completion of the testing activity?

(3)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

(a)    Oral and Written Communication. Does the designee effectively communicate either in writing or in conversation with the FAA and the general public? Does the designee provide feedback to the FAA with ways to improve the designee system?

(b)    Professional Representation of FAA to the Public and Stakeholders. Does the designee demonstrate a positive reflection on the FAA and a willingness to comply with FAA policy and managing office instruction?

(c)    Cooperative Attitude with the FAA. Is the designee easy to work with and present a positive attitude when interacting with the FAA? Is the designee responsive to the FAA and reasonably accessible to the FAA when required?

(d)    Ethics and Judgment. Does the designee maintain high ethical standards and demonstrate good judgment in the conduct of authorized activities?

(4)    Key DPE and SAE Performance Measures. Additional performance measures for DPEs and SAEs include, but are not limited to the following:

(a)    Develops and uses a written plan of action in accordance with Order 8900.1 and the applicable PTS or ACS.

Indicates new/changed information.

(b)    Evaluates PTS/ACS “Special Emphasis Items” throughout the test.

(c)    Employs “scenario-based” questioning and flight tasks liberally throughout the test to assess the applicant’s decision-making and resource management abilities.

(d)    Completes pretest, preflight, and postflight briefings as appropriate

(e)    Makes an accurate “pass/fail” determination.

(f)    Properly completes the Temporary Airman Certificate, letter of discontinuance, or notice of disapproval, as appropriate, through the use of IACRA unless extenuating circumstances preclude IACRA use. In such case, paper documents will be evaluated for correctness and legibility.

3.    Oversight Actions.

a.    Planning an Oversight Activity.
(1)    In addition to guidance provided in Volume 1 of this order, the managing specialists should use a risk‑based analysis to determine when an inspection is necessary. Circumstances that warrant an oversight activity include, but are not limited to:

(a)    Oversight from DMS generated oversight activities. The managing specialist also determines if additional oversight may be necessary.

(b)    Complaints received about a designee’s conduct during certifications.

(c)    Persons newly designated (inspections can occur at a higher level of frequency to ensure compliance).

(d)    Review of designee’s certification files or reports produced through DMS indicate one or more of the following:

1.    Overall problems with the certification files;

2.    A “no failure” or “high pass rate” that seems unusual;

3.    A high activity rate;

4.    Applicants are traveling long distances; or

5.    A high rate of activities outside the designee’s geographic boundaries.

(2)    Prepare for the Inspection.

(a)    Review the following documents prior to the inspection:

1.    Designee’s file;

2.    Previous inspection reports and historic PTRS and DMS entries;

3.    Any correspondence between the field office and the designee since the last inspection; and

4.    For an announced direct observation, the DPEs or SAEs plan of action for the test.

(b)    If appropriate, review the designee’s preapproval within DMS and arrange the inspection to coincide with the scheduled certification event.

(3)    Additionally:

(a)    Consider the habits and availability of designees and schedule activities so as not to inconvenience or create an unwarranted imposition on the individual.

(b)    When planning an observation of a flight portion of a practical test being conducted by a DPE or SAE, communicate this intent in advance as much as practicable so that the aircraft is configured in such a manner (e.g., Weight and Balance (W&B), fuel load, etc.) to accommodate the FAA as well as the applicant and designee.

(c)    It is noted that, when the FAA plans an observation of any portion of a practical test (either examination ground or flight), an applicant’s permission is not required. Further, advance notice to either the designee or applicant is not essential.

b.    Oversight Activities. Designee oversight includes the comprehensive management, monitoring, and tracking of a designee and related activities. All of these actions are considered oversight activities in DMS. A complete surveillance of a DPE, Admin PE, or SAE involves a group of oversight activities performed to observe the designee’s performance. These oversight activities may be completed independently within a set timeframe, or any number of them may be completed in conjunction with one another. This approach to oversight was adopted to allow the managing specialists flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee overnight is most effective when it occurs throughout the year rather than an all-at-once, infrequent approach. The frequency of each of these activities will be determined by DMS.
(1)    Direct Observations. A direct observation is a managing specialist observing the designee performing work authorized by the designee’s CLOA. The purpose is to determine that the designee has the knowledge and skill to properly administer a practical test or check, or in the case of an Admin PE, to properly conduct the certification function. Direct observations provides the managing specialist the opportunity to determine if the designee is performing the work within the guidelines. It allows the managing specialist to gain insight into the designee’s technical, professional, and procedural attributes. It also provides the designee with feedback from his/her managing specialist. In DMS, the direct observation for DPEs and SAEs is split into two parts; the observation of the ground portion of the test and the observation of the flight portion of the test. These observations may be conducted independently of each other, or both may be accomplished with the observation of a complete (ground and flight) test administered to a single applicant. In order for each portion to be considered complete, the applicant must have been found satisfactory (e.g., if a notice of disapproval or letter of discontinuance is issued, that does not constitute a complete observation). A minimum number of direct observations will be required to be completed by a managing specialist (see DMS to determine frequency). The number of observations determined by DMS is based on all indications that the examiner is conducting the test in accordance with current policy and standards. If there is any indication of unsatisfactory performance (e.g., interviews, complaints, etc.) the managing office must investigate and conduct additional surveillance in order to determine the actual performance of the designee. The managing specialists may increase the number of direct observations if deemed appropriate due to various risk indicators that may be established, such as when a “needs improvement” event has been identified, or any other reason deemed appropriate. The managing specialist must conduct a complete direct observation (ground and flight) of the first practical test for a newly designated DPE or SAE. For the direct observation of an Admin PE, the managing specialist would observe an entire certification event, from the applicant presenting the application to the designee completing the paperwork and presenting the applicant with the appropriate certificate. This would be recorded as a Direct Observation—Administrative PE.

(a)    During a direct observation for a DPE, Admin PE, or SAE, the managing specialist should assure the applicant that the observation is focused on the designee and not the applicant. Although this may not alleviate the heightened level of anxiety, the managing specialist should make the applicant as relaxed as possible.

(b)    If the managing specialist observes a designee that is not following proper certification policy, the managing specialist has the responsibility to stop the certification and discuss the concern with the designee without the applicant being present. Under no circumstances will the managing specialist allow the certification to be issued until the discrepancy(ies) are corrected.

Indicates new/changed information.

(c)    If during the testing/checking event a DPE or SAE omits required items from the PTS or ACS, managing specialists may, at their discretion, allow the test to continue. The managing specialist must not allow the airman certificate to be issued or check to be satisfactorily completed when required items were not tested or the applicant unsatisfactorily performed the tasks. Because the PTS/ACS specifically states that the tasks can be accomplished in any order, this discretion is necessary to allow the managing specialist to watch the entire test in the event that the designee completes the omitted items at the end of the test/check.

Note:  This type of discrepancy would be noted in DMS as a procedural issue, and might require additional observations by the managing specialist to ensure the problem does not continue.

(d)    Observe the DPE or SAE conducting the ground portion of an exam as described below:

1.    Review the plan of action to determine the following:

(i)    Does the plan of action include all the Areas of Operation and tasks required by the appropriate PTS or ACS?

(ii)    Does the plan of action contain a scenario that allows the evaluation of most of the Areas of Operation and tasks required in the practical tests with minimum disruptions?

(iii)    Does the plan of action contain the required pretest, preflight, and post-flight briefings?

Note:  In the event of an announced direct observation, the inspector should request a copy of the plan of action for the specific test being observed in advance of the test in order to avoid interruption. The inspector should direct any questions regarding the plan of action or adequacy of the test to the DPE or SAE in private before the beginning of the test.

2.    Ensure the DPE or SAE utilizes the plan of action to conduct the test.

3.    Ensure the DPE or SAE conducts the required pretest briefing.

4.    Ensure that the DPE or SAE requests appropriate identification from the applicant and verifies the applicant’s identity. The DPE/SAE must also review the applicant’s logbook/training record and compare aeronautical experience with what is reported on the application. The designee must properly ensure that the applicant is eligible for the test or check.

5.    Ensure the DPE or SAE does not intend to administer the practical test to more than one applicant at a time.

6.    Ensure the applicant is informed that the inspector is principally observing the DPE or SAE’s performance and that at the conclusion of the tests, unless circumstances otherwise warrant, the DPE or SAE will issue a temporary certificate if the applicant passes the test.

7.    Ensure that the DPE or SAE receives a completed and signed application prior to beginning the test. In the case of IACRA, the applicant must log in to IACRA and sign the application prior to beginning the test.

8.    Ensure the DPE or SAE conducts the ground portion of the exam in accordance with the procedures in the applicable section(s) of FAA Order 8900.1, Volume 5, Chapter 2.

(e)    Observe the DPE or SAE conducting the flight portion of an exam as described below:

1.    Ensure the DPE or SAE conducts the required Pre-Flight briefing.

2.    Ensure the DPE or SAE observes the applicant pre-flight the aircraft.

3.    Ensure the DPE or SAE conducts the flight portion of the exam in accordance with the procedures in the applicable section(s) of FAA Order 8900.1, Volume 5, Chapter 2.

4.    Ensure the DPE or SAE does not allow the applicant to repeat any maneuvers or procedures that have been determined to be unsatisfactory.

5.    Ensure the DPE or SAE conducts the required post-test briefing.

6.    Ensure the DPE or SAE completes the required paperwork based on the following outcomes:

(i)    If the DPE or SAE and the applicant perform satisfactorily, observe the designee properly completing FAA Form 8710-1 and issuing FAA Form 8060-4 (this may be accomplished in IACRA, but Form 8060-4 must still be issued to the applicant).

(ii)    If the DPE or SAE performs satisfactorily but the applicant is unsatisfactory, observe the DPE or SAE properly completing FAA Form 8710-1 and issuing Form 8060-5, properly identifying the area(s) of operation or task(s) failed or not tested in the block for remarks.

(iii)    If the DPE or SAE performs unsatisfactorily but the applicant performs satisfactorily, allow the DPE or SAE to complete FAA Form 8710-1 and issue FAA Form 8060-4. This is only possible if the inspector determines that an adequate test was given. If the DPE or SAE’s performance was inadequate, resulting in an incomplete test, then the airman applicant was not properly evaluated and the inspector should observe the DPE or SAE issue a letter of discontinuance.

(iv)    If the DPE or SAE and the applicant perform unsatisfactorily, allow the DPE or SAE to properly complete FAA Form 8710-1 and FAA Form 8060-5, properly identifying the area(s) of operation or task(s) failed or not tested in the block for remarks.

7.    Ensure the DPE or SAE completes and submits the certification file in accordance with Order 8900.1. When using IACRA, the certification file is submitted to AFS-760 automatically and it is not necessary to submit a paper file.

8.    Conduct a debriefing with the DPE or SAE separate from the applicant. Discuss the performance of the applicant and the DPE or SAE, and recommend areas of improvement needed by the DPE or SAE.

Note:  It is not necessary for the ASI to be current and qualified in the aircraft to conduct the flight portion of the direct observation, nor to be a participant in the AFS flight program, provided that the ASI does not serve as a required crewmember. If the ASI is to serve as a required crewmember, however, then the ASI must also be current to serve as PIC in that aircraft. Serving as a required crewmember is not recommended.

Note:  For ASIs conducting evaluations for designees that conduct the majority of their tests in two-place aircraft with the ASI acting as the applicant for the flight portion of the evaluation, the ASI must be current with and qualified in the aircraft.

Note:  The purpose of evaluating a DPE’s or SAE’s conduct of the direct observation is to ensure that the DPE or SAE follows testing procedures.

(f)    Observe the Admin PE conducting the certification functions as described below:

1.    Ensure the Admin PE requests appropriate identification from the applicant, validates the applicant’s identity, and reviews the applicant’s application for accuracy. This is required even when using IACRA.

2.    Ensure the Admin PE conducts the certification function in accordance with the procedures in the applicable section(s) of FAA Order 8900.1, Volume 5, Chapter 2.

3.    Ensure the Admin PE completes and submits the certification file in accordance with Order 8900.1. When using IACRA, the certification file is submitted to AFS-760 automatically and it is not necessary to submit a paper file.

Indicates new/changed information.
(2)    Interviews of Recently Tested Airmen. Each managing specialist will conduct interviews of recently tested airmen annually. These interviews are to ensure that the examiner is properly following the PTS/ACSs when the FAA is not in attendance. Inform interviewees that the questions are to evaluate the testing procedure and are not a reexamination of their certificates. Conduct a sufficient number of interviews each fiscal year (at least five randomly selected airmen or 50 percent of the airmen newly certificated by the designee, whichever is fewer) to provide confidence that the designee is properly conducting the test. If the interviews indicate satisfactory performance by the designee, the schedule for direct observations developed by DMS may be followed. However, if the interviews of recently tested applicants indicate a deficiency with designee performance, the managing office must conduct additional surveillance.
Indicates new/changed information.
(3)    DPE or SAE Proficiency Check. This is not a required activity; however, each managing specialist may, at their discretion, ask the designee to demonstrate and explain maneuvers or evaluate maneuvers performed by the managing specialist or an ASI. The purpose of a proficiency check is not to evaluate the piloting skills of the designee, but to assess the designee’s understanding of the elements of the maneuvers and to determine that they are able to evaluate the applicant’s performance in accordance with the PTS/ACS.
(4)    Review Designee Certification Packages. Each managing specialist will review all certification packages submitted to the managing office to ensure that the designee has completed the documentation as required by the applicable section(s) of FAA Order 8900.1, Volume 5, Chapter 2.
(5)    Process Correction Notices. Each managing specialist will review, process, and document in DMS any certification packages that were submitted by the designee and contained an error. The correction notice could have been the result of review by the managing specialist or AFS-760.
(6)    Provide Technical Assistance. Each managing specialist will document in DMS when they spend time providing technical assistance to one of their designees. This does not include answering a quick phone call or email, but only when research or training is involved in the assistance.
(7)    Review DMS Activity Log. Each managing specialist will review the activity log of each of the designees they manage for the previous 4 quarters. The managing specialist will look for possible actions contrary to policy (e.g., more than two tests in a day, test taking an unreasonable amount of time, etc.). This may also include comparing activity reported in the log to actual aircraft records.
(8)    Review of Proper Guidance Materials. Each managing specialist will review the applicable guidance and reference materials that the designee used to conduct a practical test or proficiency check. The managing specialist will look to see that the designee is using the most current and correct documents for the specific test or check conducted. This includes, but is not limited to:

    Practical Test Standards (PTS)/Airman Certification Standards (ACS);

    FAA Order 8000.95, Designee Management Policy;

    FAA Order 8900.1, Flight Standards Information Management System (FSIMS);

    FAA Handbooks; and

    Advisory Circulars.

(9)    Evaluate the Plan of Action. Each managing specialist will evaluate the designee’s plan of action. The managing specialist will look to see that it meets the requirements outlined in FAA Order 8900.1, as well as to see that the designee alters their plan of action and is not using the same plan of action for each test or check that they administer.
(10)    Record Feedback. Each managing specialist will record in DMS any information that has been received from outside sources regarding the performance of their designee. This may be positive or negative feedback, and may come from another FAA employee, or may come from someone outside the FAA. If any follow-up action is required, and what that action should be, will be determined by the managing specialist.
(11)    Annual Meeting. Each managing specialist will record the attendance at the annual meeting of each of their designees.
(12)    Special Emphasis Items. Each managing specialist will record in DMS the completion of any special emphasis item(s). These activities are not routine surveillance or management of designees, but will be directed by the NPO. Specific instructions for recording this activity will be provided.
c.    Additional Inspections.
(1)    In addition to the annual required activity listed above, the managing office may conduct additional inspections as they deem necessary. The objectives of the inspections may include:

(a)    To conduct additional direct observations.

(b)    Confirmation that the designee has appropriate FAA references available.

(c)    Evaluation of adequacy of facilities.

(d)    Verification of maintenance of minimum qualifications.

(e)    Analysis of pass/fail rates.

(f)    Verification of access to technology for IACRA processing.

(g)    Identification of risks or hazards.

(h)    Other areas deemed necessary by the managing specialist.

(2)    Certain designee performance factors may prompt additional inspections. These issues may be indicative of underlying safety risks that require timely FAA attention. The performance factors include:

(a)    A pass rate of 90 percent or higher.

(b)    A 24 hour period where the designee conducted more than two practical tests, or more than one flight instructor initial certification.

(c)    Discovery that the designee tested a student trained by the designee without written approval from the managing office.

(d)    Ten percent or more of airman files were returned to the designee for correction.

(e)    Valid public complaints about the designee or designees involved in an accident, incident, or violation.

(f)    Have more than 25 percent of the applicants who reside outside the DPE’s home district.

Note:  Managing specialists, in consultation with their field office management, may use their discretion and judgment in the kind and frequency of monitoring and inspections of their individual examiners. For example, a managing specialist should consider the difference between a pass rate exceeding 90 percent for a designee that has conducted very few practical tests, and a pass rate exceeding 90 percent for a high activity designee. Similarly, if a designee’s error rate is above 10 percent, the managing specialist should consider whether the designee has conducted very few practical tests or is considered high activity. Also, in a case where a designee may have an excellent record for serving the public, and one applicant files a complaint, the managing specialist may want to discuss the complaint with the designee, but the depth and detail of the monitoring, inspection, and oversight may not have to be significant. Again, we expect managing specialists to use their discretion and judgment and be professional.

d.    Outcomes of Oversight Activities. For all oversight activities, the managing specialist selects from three performance measure categories: Satisfactory, Needs Improvement, or Unsatisfactory. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must enter descriptive text in the appropriate performance measure category(ies).
(1)    Follow-up Action. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory”, then appropriate follow-up action(s) must be determined and recorded in DMS. These actions may include any of the following:

(a)    Counseling. As conditions warrant, the FAA will provide direct guidance and counseling to designees.

(b)    Suspension. The most common reason for a suspension is when the designee has not been following certification policy as described in FAA policy.

(c)    Termination. If counseling or suspension does not correct a deficiency in designee performance, termination of the designation must be initiated. Immediate termination may also be appropriate when a designee knowingly acts contrary to and/or deliberately disregards FAA policy.

Note:  A result of unsatisfactory for an oversight activity does not require suspension or termination provided that the issue is immediately corrected. If the unsatisfactory event cannot be corrected, then suspension or termination may be warranted.

Indicates new/changed information.
(2)    FAA Enforcement Action. In the event that actions require enforcement action, the managing specialist should refer to the current edition of FAA Order 2150.3, FAA Compliance and Enforcement Program, for correct procedures. Actions taken under the Compliance and Enforcement Program may include revocation of airman or operation certificates, or civil penalties, necessitated, in most cases, by fraudulent certifications performed by the designee. In the most egregious cases, criminal charges may be levied under 18 U.S.C. § 1001, which may lead to imprisonment.
e.    Performance Evaluations. The performance evaluation is a consolidated review of oversight activities and other data available outside of DMS (e.g., SPAS, EIS, AIDS, etc.) on a reoccurring basis. The performance evaluation results in an overall rating for the performance period and considers risk-based elements. Below is a high‑level representation of the performance evaluation process.

Figure 3-3.  High‑Level Performance Evaluation Process Flow

Figure 3-3. High-Level Performance Evaluation Process Flow

(1)    The objectives of the performance evaluation are for the managing specialist to:

(a)    Identify performance trends that are:

    Specific to the designee;

    Local in nature as compared to designees similar in authority locally; and

    National in nature as compared to designees similar in authority nationwide.

(b)    Determine if corrective action is needed.

(c)    Conduct a risk assessment of the designee.

(d)    Review all data for the current performance evaluation period.

Indicates new/changed information.

(e)    Determine Risk Value. For each performance measure (i.e., technical, procedural, professional), the managing specialist should assign a performance rating category based on the safety significance and frequency of the events reviewed. Each performance category is assigned a corresponding risk value. The sum of the three risk values determines the severity of risk. The performance rating categories are shown in Table 3‑5, Performance Categories for Performance Evaluation, below.

Indicates new/changed information.

Table 3-5.  Performance Categories for Performance Evaluation

Table 3-8. Performance Categories for Performance Evaluation

*Total Risk Value = Technical + Procedural + Professional risk values

Note:  Select the risk value that is associated with the rating description for each of the three performance categories. Only one number should be listed for each category. Add the three numbers from the performance categories to determine total risk value.

(f)    Determine Causal Factor Classifications.

Unknowingly

The designee was not aware of the error.

Careless

As a result of the lack of action by the designee, an error was made.

Intentional

The designee, with disregard to policy, procedures, or regulatory requirements, inappropriately conducted an evaluation.

Indicates new/changed information. Indicates new/changed information.

(g)    Determine Overall Performance Evaluation Result. Table 3-6, Overall Performance Evaluation Result and Action, provides a matrix that combines the total risk value, as previously determined, and the causal factor to determine an overall performance evaluation result of Satisfactory, Needs Improvement, Unsatisfactory—Suspend, or Unsatisfactory—Terminate.

Table 3-6.  Overall Performance Evaluation Result and Action

 

Total Risk Value

(Use total value from Performance Categories and Ratings Table)

Causal Factor (Total Risk Value)

>6

5 or 6

1–4

Intentional

Result: Unsatisfactory

Result: Unsatisfactory

Result: Unsatisfactory

Action: Termination

Action: Termination

Action: Termination

 

Careless

Result: Unsatisfactory

Result: Unsatisfactory

Result: Needs Improvement

Action: Termination

Action: Suspension, Reduce Authority, or Termination

Action: Suspension/Reduce Authority

 

Unknowingly

Result: Unsatisfactory

Result: Needs Improvement

Result: Satisfactory

Action: Termination

Action: Suspension/Reduce Authority

Action: None Required

Note: If the total risk value = “0”, no action is required.

(h)    Determine Required Follow-up Actions (if any). If the managing specialist rates the designee’s performance evaluation as “Needs Improvement” or “Unsatisfactory,” the following actions must be taken:

For “Needs Improvement”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar-months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Suspension)”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar-months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Termination)”

The managing specialist must terminate the designee in DMS.

f.    Failing to Achieve a Satisfactory Rating.
(1)    Designees who are not terminated but are eligible for corrective action must achieve a satisfactory rating as the result of the corrective action. Failing to achieve a satisfactory rating within the timeframe prescribed by the managing specialist will result in a termination of authorizations.
(2)    Unless a designee is to be terminated as the result of the performance evaluation, any rating other than “satisfactory” in all key areas will require a corrective action designed to remedy any substandard performance. The corrective action options available to the FAA are as follows:

(a)    Counseling. See Volume 1.

(b)    Additional Training. See Volume 1.

4.    Additional DMS Tools for Oversight.

a.    Expand Authorities and/or Change Limitations. See Volume 1.
b.    Reduce Authority. Under certain circumstances, the managing specialist, in coordination with office management, may opt to remove one or more, but not all of the designee authorizations. For example, a designee’s authority to conduct practical tests at the ATP level may be suspended for a period of time until any deficiency discovered relative to ATP testing is corrected. In such an instance, authority for the conduct or private and commercial pilot certification may be continued. Such actions will be recorded in DMS.
c.    Record Note. See Volume 1.
Indicates new/changed information.
d.    Send Message to Designee. The managing specialist is able to transmit messages and notifications through DMS such as changes in the PTS/ACS, regulations, upcoming meetings, and other communications as may be necessary.
e.    Record Feedback of Interaction with a Designee. See Volume 1.
f.    Preapproval.
(1)    Ensure designees understand that they must obtain preapproval in order to perform functions on behalf of the FAA. The managing specialist will issue any special instructions to the designee during the preapproval process. Preapproval requires the designee to request and receive approval to conduct authorized activity prior to commencing that activity on behalf of the FAA. Preapprovals may be authorized through two methods: manual and automatic.

(a)    Manual Preapproval. Manual preapproval requires the managing specialist to review the designee’s request for activity and approve it in DMS. This allows the managing specialist to stay informed of the designee’s activities and the nature of the certification activity involved. It provides a means of managing a designee’s activity and ensuring only those activities that the managing office chooses to delegate are accomplished by the designee.

(b)    Automatic Preapproval. Automatic preapproval allows the managing specialist to set the DMS function to automatically approve an activity request by a specific designee. This feature provides the managing specialist with a flexible option to provide preapproval and continue to manage a designee’s activity. Automatic preapproval will only be used when the designee’s performance remains acceptable and analysis indicates that the type of certification activity requested presents an acceptable risk.

Note:  Automatic preapprovals must not be granted to a DPE during the first 2 years of appointment or at any time for geographic expansion activities.

(2)    DMS allows the designee to change or cancel a preapproval request.
(3)    For DPEs, Admin PEs, and SAEs, each certification activity must be approved before the designee can perform any function for the FAA.
(4)    Geographic Expansion. Except for SAEs, it is the FAA’s intention that designees perform their authorized function(s) within the managing office’s geographic boundaries. However, a managing office may authorize a DPE to perform activities outside the geographic boundaries (including other countries) on a case‑by‑case basis as long as the FAA need and ability to adequately monitor and oversee the DPE is maintained. The DPE shall utilize DMS preapproval process to process any requests using the following guidance:

(a)    Geographic Expansion—Domestic. DPEs may request a geographic expansion to perform an activity outside their assigned office but within the United States. The request must be made in DMS at least seven days in advance of the activity, to allow the FAA sufficient time to evaluate and coordinate the request.

(b)    Geographic Expansion—Outside the U.S. DPEs may request a geographic expansion to perform an activity outside their assigned office that is outside the United States when the FAA has determined that the activity should be supported by the FAA, and is consistent with Title 49 of the United States Code (49 U.S.C.) § 44702 and pertinent international agreements. The request must be entered in DMS at least 10 days in advance of the activity to allow the FAA sufficient time to evaluate the request, coordinate the activity, and provide any notification that may be required to other Civil Aviation Authorities (CAA).

(c)    Evaluating the Request for Geographic Expansions. Managing specialists and other DMS users that are required to evaluate any element of a geographic expansion request must use the factors below before entering their individual approval or denial of the request. The list is not all-inclusive, but provides minimum items that should be reviewed for a geographic expansion request:

1.    The responsible geographical office having responsibility for the district where the activity will be performed must complete a determination of need and ability to manage before authorizing a DPE not assigned to that office to perform certification work within their area of responsibility.

2.    The FAA’s ability to provide oversight does not exceed available resources, and oversight is possible.

3.    For airman certifications outside the United States, the applicant is a U.S. citizen, or the activity is in support of a government-to-government initiative (e.g., support of Safe Skies for Africa).

4.    The work cannot be accomplished using ASIs or DPEs currently assigned to the geographically responsible field office or region.

5.    The DPE has adequately identified the specific reasons for this activity to be performed outside their geographic area.

Note:  Completed certification files and other documentation required for certification activity will be submitted to the DPE’s managing office. The geographically responsible office or regional AXX‑230 branch having responsibility for the region where the activity will be performed may, however, request to review any certification work performed by a DPE in their district by contacting the managing office.

(d)    When DPEs work outside their geographic area in excess of 6 calendar-months, the managing specialist should temporarily transfer supervisory and monitoring responsibilities to the appropriate geographic office where the activity is located. This transfer will require coordination and concurrence between both managing offices. The office handing off the DPE to the temporary geographic office will reassign the designee in DMS to the new managing specialist at the temporary geographic location. The new managing office will be responsible for all oversight responsibilities while the DPE is temporarily under their supervision.

(5)    Memorandums of Understanding (MOU). Long-term MOUs can be used in order to accommodate unique situations, such as a need for a shared DPE resource between two field offices. MOUs must be coordinated and approved by the specific field offices, regional offices, and the Delegation Program Branch (AFS‑650). Copies of MOUs must be uploaded in DMS. MOUs must be maintained in DMS for the designee affected by the MOU.
g.    Post-Activity Reports. DPE, Admin PEs, and SAEs are required to complete post-activity reports in DMS after performing certification functions.
(1)    Post-activity reports provide the managing specialist with a record of the activity for that designee. These reports can aid in planning an appropriate level of oversight of the designee.
(2)    If the designees have post-activity reports that have passed the requisite seven-day submission deadline, DMS will not grant another preapproval number until all outstanding post-activity reports have been submitted.
(3)    If a designee is terminated or suspended, data can still be entered into a post-activity report in DMS.

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of DPE, Admin PEs, and SAEs, referred to collectively in this chapter as designees. This chapter also provides training policy for FAA personnel with designee-related responsibilities. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the training of designees and FAA personnel.

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2.    General. This section prescribes the initial and recurrent training requirements for DPEs, Admin PEs, SAEs, and FAA personnel, including managing specialists, with designee management and oversight responsibilities. Applicants and designees register for training through the Designee Registration System (DRS). Information regarding designee standardization training is available at the DRS website:
https://av-info.faa.gov/dsgreg/sections.aspx. Successful completion of the training is documented in DMS.

3.    Designee Training Requirements.

a.    Initial Training.
(1)    Before appointment, designee applicants must satisfactorily complete the initial training program for the designee type and authority for which they are being considered for appointment. The initial training will be conducted by online Web-based training, face-to-face classroom training, or both depending on the authorized functions the prospective designees are seeking. Prospective designees can register for training through the DRS. Training requirements for each designee type are listed at: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dpe/information/.
(2)    Each designee must successfully complete the initial standardization seminar requirement within 1 year before initial designation. In order to not exceed this 1 year limit, DPE and SAE applicants should not plan to attend initial training until they have been notified by the appointing FAA office that they have been selected for appointment.
b.    Recurrent Training.
(1)    Once a designee is appointed, attendance and successful completion of a recurrent DPE seminar is due on an established seminar interval based on the completion date of the initial standardization seminar or the most recent recurrent seminar, required of that specific designation type. Recurrent training requirements and the maximum recurrent completion interval in calendar months are available at: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dpe/information/. Completion of recurrent training is mandatory and must not exceed the maximum interval listed for each designee type and authorization held. For DPEs, Admin PEs, and SAEs, it should be noted that different authorizations may require different recurrent training, and those recurrent training intervals are not required to be on the same schedule.
(2)    Designees must schedule themselves for a recurrent training seminar as required and notify the managing FAA office. The designee must forward a copy of the Certificate of Completion to the managing FAA office.
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c.    Comprehensive Post-Course Test.
(1)    Following training, the applicant/designee will take a comprehensive post-course test that will test the applicant/designee on any or all subjects in which the class received instruction. Some of the test questions will require knowledge beyond that encompassed by the authorizations indicated on an individual applicant/designee’s current or proposed CLOA. The designee candidate will receive a completion certificate only after achieving at least a 70 percent on the post-course test.
(2)    Should an applicant/designee fail to pass the post-course test after completing the training curriculum, the Designee Standardization Branch (AFS-640) will notify the manager of the applicant/designee’s assigned FAA office. After a review of the circumstances related to the failure, the FAA office may:

(a)    For initial training, elect not to appoint the applicant, or to allow the applicant to retake the training course. If appropriate, the FAA office will allow the applicant only one additional attempt at successfully completing the training.

(b)    For recurrent training, elect to terminate the designee for failure to complete training requirements, or if justification is provided, allow the designee to repeat the training. If appropriate, the FAA office will allow the designee only one additional attempt at successfully completing the training. The designee may not exercise the privileges of his/her designation until training has been successfully completed.

(c)    Successful completion of all required training is a prerequisite for holding a designation. Under most circumstances, if an applicant/designee is more than 1 hour late, the course manager will not permit that applicant/designee to complete the training. If they arrive in the first hour of training, the course manager will require the applicant/designee to make up the missed instruction with instructor personnel outside of normal class hours. Once the applicant/designee has accomplished this, he or she will take the final examination with the class. Designees or applicants will be marked as absent after 15 minutes has elapsed from the announced start time at the beginning of each day, or after the announced start time following a scheduled break. An applicant/designee marked as absent twice in the same class will not receive credit for the training, and will not be allowed to complete the final examination with the class.

d.    Specialized Training. DPE/SAE/Admin DPEs who perform one or more specialized function must complete the associated specialized training course prior to initial appointment, adding the authority, and at the recurrent interval specified regardless of any other initial or recurrent training requirement. A complete list of DPE/Admin DPE Specialized Functions and the associated training requirements, is available at: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dpe/information/.
e.    Training Limitations.
(1)    DMS will suspend designees who fail to meet recurrent training requirements.
(2)    A designee will not exercise designation privileges unless all required training is current.
(3)    DMS will automatically provide notices of training due dates.

4.    FAA Personnel Training.

a.    Initial and Recurrent Training Requirements. Initial training requirements for ASIs with managing specialist responsibilities for DPE, Admin PE, and SAE include:
(1)    Completion of the GA operations ASI indoctrination courses, or equivalent.
(2)    Training courses summarized in the training matrix that apply to the type of designee that they are assigned (https://avssp.faa.gov/avs/afs500/TNA/SitePages/Home.aspx).

Chapter 8.  Renewal of Designee Appointment

1.    Purpose. This chapter provides the policy related to the renewal of DPE, Admin PE, and SAE designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the policy for the renewal of a designee.

2.    General.

a.    Experience Required for Renewal of Designation. While exercising the privileges of their designation, designees must continue to maintain their currency and proficiency. Currency requirements are outlined in 14 CFR §§ 61.56 and 61.57. For designees who administer tests in large, turbine-powered aircraft, currency in accordance with 14 CFR § 61.58 must also be maintained, regardless of which seat the designee occupies.
Indicates new/changed information.

Note:  PIC experience obtained while administering practical tests will not be considered for the purposes of the recent PIC experience required of the designation (listed below). The designee is responsible to maintain at least the recent PIC experience listed in Table 3-7, PIC Experience Requirements. The FAA will check this during the yearly required oversight.

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Table 3-7.  PIC Experience Requirements

AIRCRAFT TYPE

PIC EXPERIENCE IN THE PRECEEDING 12 MONTHS

Airplane

60 hours (10 hours in each class authorized)

Airplane—Light-Sport

12 hours

Rotorcraft

25 hours (5 hours in each class authorized)

Gliders

3 hours, which included at least 3 flights

Lighter-than-Air—Airship

40 hours

Lighter-than-Air—Balloon

5 hours, which included at least 3 flights

Weight Shift Control

12 hours

Powered Parachute

5 hours

Note:  For designees who hold authorization to conduct tests in more than one category of aircraft, the DPE must have obtained the total PIC experience for the authorized category that requires the greatest number of hours. In addition, the number of PIC experience hours required for each additional category must be met. For instance, a DPE authorized to test in both airplanes and rotorcraft helicopter would be required to obtain a total of 60 hours of PIC (because 60 is the greatest total required of all authorized categories). Of those hours, at least 10 hours must be in each class of airplane authorized (i.e., ASEL or AMEL) and 25 must be in rotorcraft, with at least 5 of that in helicopters. In this case, the DPE may have accrued 25 hours in rotorcraft plus 10 in AMEL plus 10 in ASEL totaling 45. The remaining hours could be in any category or class. Another example: a DPE authorized to conduct tests in airplanes, gyroplanes, and gliders would be required to obtain a total of 60 hours PIC (because 60 is the greatest total required of all authorized categories). Of those 60 hours, 10 hours must be in the class of airplane authorized (i.e., ASEL or AMEL), 25 hours must be in rotorcraft, with at least 5 hours in gyroplanes and three hours must have been in gliders (which included at least 3 flights).

3.    Renewal Criteria for Designated Pilot Examiners with Proficiency Checking, Airman Testing, and Certification Authorizations in Aircraft.

a.    DPE, Admin PE, and SAE Renewal Criteria.
(1)    Except for the initial authorizations of designees whose CLOA will expire at the end of the twelfth month after designation, designees may be authorized for certain pilot proficiency checking or airman certification testing functions for up to 36 months at which time the authorizations will expire. If a designee wishes to renew the authorizations and obtain a new CLOA, the individual is required to submit a renewal request and application through DMS.
(2)    The designee must satisfy all renewal requirements and follow renewal procedures and processes featured in DMS; in particular, those stipulated in Volume 1, Chapter 8, Renewal of Designee Appointment, and the specific requisites in this chapter.
(3)    During the renewal process, the managing FAA office reviews the amount of pilot proficiency checking or airman certification testing activity to determine the continuing need for that designation. Any designee that has not averaged at least five practical tests per year over the past three years will not be eligible for renewal, and must be terminated for lack of need.
b.    Renewal Criteria for Administrative Pilot Examiner Authorizations.
(1)    Admin PE authorizations are valid for up to 36 months. Since Admin PEs do not conduct practical testing for the issuance of an airman certificate or rating or administer pilot proficiency checks, there are no specific renewal guidelines other than those found in Volume 1, Chapter 4, Designee Appointment.
(2)    Renewal will be based on the satisfactory results of the FAA’s oversight activities as well as need and ability criteria.

4.    Privilege, Not a Right. Successfully meeting the minimum qualifications does not guarantee renewal as a designee. During renewal, the designee must acknowledge that a designation is a privilege, not a right. During renewal, the applicant must also acknowledge that the FAA Administrator can terminate any designation at any time. This acknowledgement is made through the DMS renewal process.

5.    Renewal Timeframe. See Volume 1.

6.    Renewal Duration. The duration of a renewed designation must not exceed 36 calendar-months.

Chapter 9.  Termination of a Designation

See Volume 1.

Chapter 10.  Suspension of a Designation

See Volume 1.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban or termination for cause of DPEs, Admin PEs, and SAEs referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitutethe overall policy for appealing a ban or termination for cause by a DPE, Admin PEs, and SAEs.

2.    General.

a.    Appeal Considerations.
(1)    The FAA office manager will forward the request to the regional division manager.
(2)    The regional division manager or a delegate overseeing the appeal will convene an appeal panel comprised of three members:

(a)    An AFS-600 HQ division representative;

(b)    A regional coordinator; and

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(c)    An AFS manager or FLM not associated with the office that terminated the designee.

(3)    The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.
(4)    The regional appeal panel’s decision is final.
(5)    All documentation associated with the appeal (e.g., outcome, members of the appeal panel, and communication with the designee or the field office) should be included in the designee’s DMS file.

3.    Ban or Terminate Appeal Process. See Volume 1.

4.    Appointing and Selecting Official Responsibilities During Appeal. See Volume 1.

5.    Appeal Panel Responsibilities. See Volume 1.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other designee management functions of DPEs, Admin PEs, and SAEs, referred to collectively in this chapter as designees. This designation type-specific policy and volume constitute the policy for other designee management functions.

2.    Assign DMS Roles—Master Role Assigner. For AFS GA designees, the master role assigner is typically the office manager or FLM.

3.    Send Message to Managing Specialist. See Volume 1, Common Designee Policy.

4.    Update Profile.

a.    General. Updates to certain information in the designee record, such as change in physical address or qualifications, may affect the designation.
b.    Change of Physical Address. A change of physical address may cause the FAA to review need and ability to manage considerations. If the requested address change is in a different managing office’s area, that office will make the determination if there is a need for the designation in that area. The designee should not expect that the designation will automatically be re-designated in the new area.

Volume 4.  DADE DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

1.    Purpose. This volume supplements the common designee policy by providing specific guidance for the administration of the Designated Aircraft Dispatcher Examiner (DADE) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.

2.    Audience. The primary audience for this order is DADEs, their FAA managing specialists, and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees as appropriate.

Section 2.  Overview of Designee Functions

1.    Types and Roles of DADE Designees.

a.    Selecting Official. The selecting official is typically the office manager but must be at least a front‑line supervisor within the local office.
b.    Evaluating Specialist. The evaluating specialist must meet the minimum qualifications of a managing specialist.
c.    Appointing Official. The appointing official is typically the office manager.
d.    Managing Specialist. The managing specialist must be an aviation safety inspector—aircraft dispatch (ASI‑AD) or an ASI (Operations) who holds an aircraft dispatcher airman’s certificate and has completed FAA course Aircraft Dispatcher Functions for ASIs.
e.    Certificate-Holding District Office (CHDO). The FAA office responsible for appointing and managing the DADE. A CHDO includes a certificate management office (CMO) and Flight Standards District Office (FSDO).

Section 3.  Minimum Qualifications

1.    Minimum Qualifications for Managing Specialists.

a.    ASI-ADs. ASI-ADs, commonly referred to as dispatch safety inspectors (DSI), meet the minimum qualification requirements to be the managing specialist of a DADE if:
(1)    They are an FAA-certificated aircraft dispatcher and have completed String and FAA course, Aircraft Dispatch Functions for ASIs, and have completed required training.
(2)    They have an official Office of Personnel Management (OPM) Performance Description (PD) with the title of Aviation Safety Inspector-Aircraft Dispatcher. The PD for an ASI-AD is contained in Human Resource Policy Manual (HRPM) Supplement, Volume 1, and is listed as an “1825AD”.
(3)    The local office that does not include a qualified ASI-AD must do the following:

(a)    The manager of the local office must contact the regional Flight Standards division (RFSD) for assistance in locating an ASI-AD within the region.

(b)    If the RFSD is unable to locate an ASI-AD with the region, the RFSD must make a request to the Air Transportation Division (AFS-200) for assistance in locating an ASI-AD within the region who is available to be the managing specialist of the DADE.

(c)    If no ASI-AD is available with the region, the local office may request a temporary waiver from AFS‑200, to assign an ASI–Air Carrier Operations (ASI-AC-OP) who meets the criteria below, to temporarily manage and conduct oversight of a DADE. If granted, the waiver would allow the assignment of ASI-AC-OPs to manage a DADE until such time as an ASI-AD becomes available, but for no longer than 24 calendar‑months. This time period is equivalent to two DADE authorization renewal cycles. The assigned ASI-AC-OP must:

    Be an FAA-certificated aircraft dispatcher;

    Have successfully completed the FAA course Aircraft Dispatcher Functions for ASIs; and

    Have at least 1 year of experience in oversight responsibilities of a 14 CFR part 121 domestic or flag air carrier’s dispatch center.

(4)    A DADE will not be appointed by the local office if, after all attempts have proven unsuccessful and a qualified inspector is not available, the local office determines it does not have the resources to manage a DADE.
(5)    DSIs and ASIs serving as managing specialists must complete FAA Web-based course 27100091 (as amended), Personnel Certification Designee Management, and must have completed FAA Academy course 21400001 (as amended), AFS Designee Management for Personnel Certification.
(6)    DSIs and ASIs serving as managing specialists for a designee must also attend the applicable designee management recurrent training course when appropriate.

Chapter 2.  Application Process

1.    Purpose. This chapter describes the policy related to the application process for an individual applying to be a DADE designee. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the application process for a DADE.

2.    General Application Considerations. There are two levels of qualifications that are considered: minimum qualifications and competitive differentiators (CD).

a.    Minimum Qualifications. Minimum qualifications are qualification requirements that must be met. Certain deviations may be acceptable with approval by AFS-200.
b.    CDs. CDs may affect the competitiveness of the applicant. These competitive differentiators are not mandatory for selection or appointment; however, selection of the best qualified applicant for the position is the goal.

3.    Minimum Qualifications.

a.    The applicant must be in possession of an aircraft dispatcher certificate that the candidate has held for at least 3 years, and meet any one of the following criteria:
(1)    Have a total of at least 2 of the last 3 years’ experience as a current and qualified as an aircraft dispatcher for a certificate holder who is authorized to conduct 14 CFR part 121 domestic and/or flag operations.
(2)    Have a total of at least 3 of the last 4 years’ experience having responsibility for operational control for a certificate holder who is authorized to conduct 14 CFR part 121 supplemental operations.
(3)    Have at least 2 of the last 5 years’ experience as an ASI-AD.
(4)    Have at least 5 years’ experience, without recency, as a current and qualified dispatcher for a certificate holder who is authorized to conduct 14 CFR part 121 domestic and/or flag operations, and is currently performing technical functions in a dispatch or operational control-related field that supports 14 CFR part 121 operations. Dispatch or operational control functions include the following:

(a)    Actively employed by a 14 CFR part 121 certificate holder as an air traffic coordinator in a dispatch or operational control center;

(b)    Actively employed by a 14 CFR part 121 certificate holder in a dispatch or operational control management position;

(c)    Actively working in technical support for a flight planning operational control system provider who provides systems to certificate holders who conduct 14 CFR part 121 operations;

(d)    Actively working as an instructor who administers 14 CFR part 121 regulatory training to aircraft dispatchers; and

(e)    Actively employed by a 14 CFR part 121 certificate holder, as a dispatch SME for the purposes of developing dispatch and operational control software and/or procedures.

b.    The common attribute is that all candidates must work in an operational control environment and must be in a position to stay up-to-date with FAA-approved industry practices and the evolving regulatory environment. A DADE must maintain this knowledge as a condition of continued authorization (renewal).

4.    Disqualifiers.

a.    See List in Volume 1, Chapter 1, General Information.
b.    Unsuitable Military Background. If the applicant has been discharged from the military with a characterization listed as “General Discharge,” the applicant will not normally be considered. If the applicant is able to provide additional information that clearly indicates that the conditions of the discharge would not impose on public trust, then the applicant may be considered for designation if additional security screening is requested through AFS-200 and the security office.

5.    CDs. Practical experience that enhances the applicant’s competitiveness for the DADE appointments is referred to as CDs. The manner in which the applicant responds to each CD question will affect the applicant’s competitiveness for the appointment but will not automatically ensure appointment or result in nonappointment. The CDs are listed generally (but not necessarily) in order of general relevance. Actual relevance will be determined by the managing specialist and selecting official, depending on the requirements of the local office. During the application process, the applicant must support each “yes” response with details or documentation as appropriate, including:

a.    Served as a DADE?
b.    Served as an FAA designee other than a DADE?
c.    Served as an FAA ASI-AD (DSI) at least 2 of the last 5 years?
d.    Served as an FAA ASI (other than as a DSI)?
e.    Served as an air transportation supervisor (competency check dispatcher)?
f.    Currently working as an aircraft dispatcher for a 14 CFR part 121 flag or domestic operator?
g.    Currently working at a 14 CFR part 121 supplemental as a dispatcher in a flight following system?
h.    Served as a dispatch supervisor in a 14 CFR part 121 operations control center?
i.    Served as a dispatch manager in a 14 CFR part 121 operations control center?
j.    Served as a dispatch instructor at a 14 CFR part 121 operator?
k.    Served as an ATC coordinator in a 14 CFR part 121 operations control center?
l.    Recent (last 5 years) experience in extended overwater operations or Extended Operations (ETOPS)?
m.   Recent (last 5 years) experience in high terrain (driftdown environment) operations?
n.    Currently working in an environment that allows a continuing opportunity to remain professionally current with evolving regulations, technology, and FAA-approved industry practices?
o.    Served as a dispatch standards or procedures developer at a 14 CFR part 121 operator either as an employee or as a contractor?
p.    Held airman’s certificates other than Aircraft Dispatcher?
q.    An active member of a dispatcher professional organization such as ADF or IFALDA?
r.    Worked as an instructor at a 14 CFR part 65 dispatcher certification course?
s.    Served as an Air Force Flight Manager?

6.    Privilege, Not a Right. See Volume 1.

7.    Post Application. See Volume 1.

8.    Maintaining an Active Designee Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of DADEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the selection and evaluation of a DADE applicant.

2.    General.

a.    Selection Process. The general process of selection can be broken down into three parts: the Designee Management System (DMS) determines if the designee meets system-defined minimum qualifications; the selecting official determines if need and ability requirements are met; and an evaluation specialist is then assigned to further review the applicant’s qualifications and abilities. Below is a high-level representation of the selection flow.

Figure 4-1.  High‑Level Selection Process Flow

Figure 4-1. High Level Selection Process Flow

b.    Selection Considerations. When a decision is made to appoint a designee to fulfill identified needs, the field office management will query DMS for a listing of qualified applicants. Candidates must submit applications exclusively through DMS.
c.    Number of Qualified Candidates. DMS will provide a listing of up to three of the most qualified applicants fulfilling the specific requirements set forth by the field office. If the evaluating panel, in consultation with the field office management, rejects the applications provided by DMS for good cause, DMS may be accessed for an additional listing of up to three applicants for review. If the evaluating panel, along with concurrence by the selecting official, rejects the second group of applications, the field office must wait 6 months before requesting additional applications from DMS.
d.    Assessment of Candidates. The evaluating panel assesses each applicant’s background, knowledge, and experience through:
(1)    A thorough review of the application, and
(2)    Consultation with others who are familiar with the applicant.
e.    References. References provided by the applicant will be reviewed and contacted. A consideration of comments will be measured that may influence the decision to recommend or deny appointment.

3.    Need and Ability to Manage. See Volume 1.

4.    Evaluation.

a.    Evaluation Panel. The evaluation panel consists of the following:
(1)    The managing specialist who is expected to be assigned to the designee.
(2)    At least two individuals who are either operations or airworthiness ASIs. These ASI should have experience in managing designees and do not have to be dispatch-qualified ASIs.
(3)    The front-line supervisor if possible.
b.    Evaluation Panel Tasks.
(1)    Contact references as necessary;
(2)    Conduct interview of applicant;
(3)    Validate all provided qualification information with the applicants;
(4)    Record results of evaluation and enter results into DMS; and
(5)    Notify applicants that have not been selected.
c.    Evaluation Criteria.
(1)    In addition to the designee checklist requirements found in DMS, any applicant that has been previously terminated for cause must not be considered for designation.
(2)    The field office must conduct a review of the applicant’s history (including all airman certificates held by the individual). For each prospective DADE candidate, DMS queries the following systems and compiles the report files to the candidate’s application:

(a)    Enforcement Information Subsystem (EIS);

(b)    Accident/Incident Data System (AIDS);

(c)    Safety Performance Analysis System (SPAS);

(d)    Program Tracking and Reporting Subsystem (PTRS); and

(e)    DMS.

(3)    The regulatory violation history will be reviewed and any 14 CFR enforcement actions against the applicant are cause for denial.
(4)    The evaluating specialist assesses each designee candidate’s knowledge and experience through review of the application and consultation with others who are familiar with the designee program or candidates.
(5)    The evaluating specialist should issue appropriate limitations based on the applicant’s background experience.

5.    Prepare Recommendation. After concluding the evaluation events, the evaluating specialist will make a recommendation in DMS to the appointing official whether to appoint the applicant or not and what limitations or conditions should be included in the Certificate Letter of Authority (CLOA).

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of DADEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the appointment of a DADE.

2.    General.

a.    Appointment Process Flow. Below is a high-level representation of the designee appointment process.

Figure 4-2.  High‑Level Appointment Process Flow

Figure 4-2. High Level Appointment Process Flow

b.    Appointment Checklist. The managing specialist will verify that the designee has successfully completed the initial standardization training seminar. (See Chapter 7, Training, for initial training requirements.)
(1)    Upon successful completion of training and validation, the managing specialist must observe and evaluate the DADE candidate administering a practical test to an applicant for an Aircraft Dispatch Certificate.
(2)    During this observation, the DADE candidate does not have the authority to issue the certificate to the applicant; however, the managing specialist may allow the candidate to fill out the appropriate paperwork while the managing specialist observes.
(3)    The managing specialist will approve or disapprove the performance of the applicant taking the test and will sign any temporary certificate or notice of disapproval issued.
c.    Unsatisfactory Performance. If the performance of the DADE candidate does not satisfy the managing specialist, the candidate must either undergo further training and evaluation until the DADE’s performance is satisfactory to the managing specialist; or the managing specialist must reject the candidate and select another candidate. If the latter occurs, the candidate is rejected without recourse to appeal since the managing specialist has not yet appointed the candidate.
d.    Authorization Types. The DADE authority is exclusive to aircraft dispatcher certification activities.

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    Appointment Duration.

a.    Initial Duration. The initial duration of a DADE’s appointment is 12 calendar-months, ending on the last day of the month.
b.    Renewal Duration. When renewing the designation, the appointment duration is 12 calendar-months, on the last day of the month.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter provides the policy related to the responsibilities and obligations of DADEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the responsibilities and obligations of DADEs.

2.    Designee Responsibilities.

a.    Responsibilities.
(1)    Each DADE must represent the Administrator in a manner that reflects positively on the FAA.
(2)    DADEs should honor appointments made as promptly as possible.
(3)    A DADE must develop and use a plan of action for each aircraft dispatcher practical test conducted.
(4)    DADEs must give undivided attention to the applicant during the testing period.
(5)    DADEs must ensure that discussion following any test is private and confidential.
(6)    A DADE must maintain a high degree of knowledge and skill in the subject areas required for airman certification, evaluation, and testing techniques. The DADE must stay current with FAA-approved industry practices and the evolving regulatory environment.
(7)    When exercising the privileges of the appointment, the DADE is subject to all pertinent FAA orders and guidance as a representative of the Administrator.
(8)    It is the responsibility of the DADE to ensure an application remains current.
(9)    A DADE must administer the Aircraft Dispatcher Practical Test entirely in the English Language. The use of a translator during the test is not permitted.
(10)    The DADE is responsible to charge each applicant a reasonable fee. Prior to administering the test, a DADE must explain any fee charged and must ensure each applicant understands the fees, including those incurred for retesting after failure.
b.    Privileges. A DADE is authorized to:
(1)    Accept applicable applications for airman certificates and ratings using FAA Form 8400-3, Application for an Airman Certificate and/or Rating.
(2)    At the discretion of the local managing specialist, issue Temporary Airman Certificates to applicants who have been tested and found qualified for the certificate and are at least 23 years of age. The managing FAA office may retain this privilege. This authorization should be listed in the CLOA. Applicants under the age of 23 who have been tested and found otherwise qualified for the certificate must be sent to the managing specialist who will issue a Letter of Aeronautical Competency.
c.    Limitations. A DADE must not:
(1)    Reissue or amend any expired Temporary Airman Certificate.
(2)    Endorse, amend, alter, or issue any permanent airman certificate.
(3)    Exempt any applicant from the testing requirements in the applicable PTS.
(4)    Combine teaching with testing during the testing of an applicant.
(5)    Conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable 14 CFR part 65, including proficiency in the English language.
(6)    Conduct practical tests unless the applicant has passed the required airman knowledge test.
(7)    Temporarily suspend a test to allow the applicant further study, and then continue the same test later.
(8)    Test more than one applicant at a time when conducting a practical test.
(9)    Administer more than two practical tests per day (excluding retests that may only be conducted with prior coordination with the managing specialist).
(10)    Test an applicant outside the authorized geographical area on the current CLOA unless approved by the CHDO manager who must first coordinate with the manager of the local office in whose geographic area the DADE will be administering the test. Before administering a test outside the geographical area of the CHDO, the designee must obtain written authorization from the CHDO manager. The authorization:

(a)    Must include the date and address of the testing site in writing, and

(b)    Must be received at least 5 business-days prior to the scheduled activity.

Note:  The FSDO with jurisdiction over the test site may evaluate the facilities, equipment, current publications, and test materials required to conduct a test for the certificate and/or rating(s) sought.

(c)    The CHDO will coordinate with the geographical office.

(d)    A designee must not conduct tests in any language other than English.

(e)    A DADE must not conduct more than one practical test at a time.

1.    Dispatcher practical tests are generally done in two phases, in either order depending on the DADE’s plan of action: a question-answer oral phase and a skill and scenario phase in which an applicant works a flight planning scenario, creating an operational flight plan, an ATC flight plan, and a weight and balance sheet based on information provided by the DADE.

2.    The simultaneous testing of any applicants for an aircraft dispatcher certificate is not approved. A DADE may not concurrently allow one or more applicants to complete the skill and scenario portion of the practical test while the DADE administers the oral question-answer phase of the test to another applicant.

(11)    A DADE may not allow observers to be present during the administration of the practical test, with the exception of the FAA managing specialist who may observe the test at any time. The FAA managing specialist may allow an observer to be present, provided both the DADE and the applicant consent. Otherwise, only the applicant and the DADE may be in the testing room during the test.
(12)    A DADE who is an instructor, owner, employee, or otherwise affiliated with an FAA-approved 14 CFR part 65 dispatch certification course, may not administer the aircraft dispatcher practical test to any applicant to whom the DADE has provided instruction in any of the subjects contained in 14 CFR part 65 appendix A.
d.    FAA Certification Policy. DADEs must evaluate the practical test results using PTS to determine if an applicant’s performance is acceptable or unacceptable. In accordance with the PTS, typical areas of unsatisfactory performance and grounds for disqualification are:
(1)    Failure to appropriately apply conditions and limitations of any Minimum Equipment List (MEL)/Configuration Deviation List (CDL) item.
(2)    Actions by the applicant that would constitute a violation of the CFR if the applicant were actually dispatching a flight.
(3)    Exceeding any Aircraft Flight Manual (AFM) limitation.
(4)    Failure to comply with operations specifications (OpSpecs).
(5)    Failure to properly interpret weather information.
(6)    Failure to properly interpret any Notice to Airmen (NOTAM).

3.    Forms and Supplies.

a.    Designee Materials. The managing specialist will provide each DADE with an FAA Directives Book.
b.    Security. Each DADE is responsible for establishing and carrying out appropriate security procedures for Temporary Airman Certificates and associated testing materials.
(1)    The DADE must secure the aforementioned material in a manner that will not allow unauthorized access (e.g., a locked drawer, cabinet, or closet). Only authorized representatives of the FAA Administrator will receive access to secured material. The DADE must refer any public request for the secured material to the managing FAA office.
(2)    The DADE must ensure adequate security of all knowledge element questions developed for the tests and all skill element plans of action developed for the tests.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of DADEs. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the oversight and management of a DADE.

2.    General Oversight and Management Considerations.

a.    General Considerations. Effective oversight of designated examiners is founded on a strategy of risk management in which oversight by the FAA, includes a continual process of weighing the harm potential of any hazard against the likelihood of its occurrence, and taking appropriate preventive action.
b.    Regional Office, CHDO, and Managing Specialist.
(1)    Regional Office.

(a)    Each region is responsible for the performance of its respective field offices in managing the designees authorized. Evaluations and corrective actions should be data-driven based on objective evidence with data and any decisions must be documented in DMS.

(2)    CHDO and Managing Specialist.

(a)    The FAA must allocate resources, including manpower and funds, to ensure effective management and efficient oversight of any designee. CHDO managers continually evaluate the effectiveness of their respective designee processes, and are responsible for prompt response and feedback to designees.

(b)    Maintaining an accurate oversight record in DMS is crucial to managing individual designees. It also allows for the identification of strengths and weaknesses in the entire system as well. Specialists are responsible for ensuring that the designated examiners maintain airman certification standards as prescribed by 14 CFR, practical test standards (PTS), approved training programs, and by applicable handbooks. Specialists must conduct an active program of meetings and oversight to achieve this objective.

(3)    Oversight and DMS.

(a)    In DMS, oversight activities have the following types and characteristics (additional details and frequency are found later in this chapter):

Oversight Activity

Characteristic

Direct Observation

Evaluator ability observation. This is an observation by the FAA to determine if the DADE has the ability to test applicant in accordance with FAA policy and regulatory requirements.

Paperwork Review

An administrative function that allows the managing specialist to record the quality of the paperwork submitted by the DADE. 14 CFR § 183.17 requires that designated examiners make reports as prescribed by the Administrator. Designated examiners will forward airman certification paperwork to the CHDO for review, processing, and transmittal to the Airman Certification Branch (AFS-760) when IACRA is not used. This paperwork will only be submitted to, and processed by, the specified office; it may not be accepted by other offices.

Results of Investigation or Inquiry

A record of an investigation that has occurred that was not associated with the designee functions.

Designee Interaction

A record of any interaction that has occurred that the managing specialist has determined to be relevant and appropriate to be included in the designee’s file.

Designee Training

This allows the managing specialist to record required training events in DMS. This tool allows multiple DADEs to be recorded simultaneously.

Applicant Interview Results

This allows the FAA managing specialist to record the results of a formal interview of an applicant.

Performance Evaluation

A comprehensive review of the DADE status.

Record Feedback

This allows external feedback related to a designee to be recorded.

Record Note

This gives the managing specialist the ability to make a personal note in the DADE’s file that only the managing specialist can view. This note does not remain a permanent part of the DADE file.

Message Center

The managing specialist and the DADE have the ability to send a DMS recorded note to each other that will remain a part of the designee’s record.

Document Annual Meeting

This provides the managing specialist the tools needed to record the annual meeting within DMS. This tool allows multiple DADEs to be recorded simultaneously.

c.    Performance Measure and Oversight Results. Performance measures are used to aid in the determination of the oversight activities.
(1)    The three categories of performance measures are technical, procedural, and professional and are detailed below for DADEs. DMS provides appropriate fields to record the details for each of the oversight activities. The type of oversight activities will determine what performance measure attributes should be considered by the managing specialist. For many of the oversight activities, managing specialists will summarize the performance measures and make a final oversight activity decision. The managing specialist can select from:

(a)    Satisfactory;

(b)    Needs Improvement;

(c)    Unsatisfactory—Terminate; and

(d)    Unsatisfactory—Suspend.

(2)    If the managing specialist determines the event results rating of “Needs Improvement,” “Unsatisfactory—Terminate,” or “Unsatisfactory—Suspended,” then appropriate follow-up activity must be determined and recorded in DMS. The general process flow in the determination of an oversight outcome is shown below.

Figure 4-3.  Oversight Outcome Determination Process

Figure 4-3. Oversight Outcome Determination Process

(3)    The following performance measures define the respective attributes required and expected of a designee. With many of the oversight activities, the following performance measures should be used as they apply when determining the outcome of oversight activities and during the performance evaluation.

(a)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

1.    Equipment and Materials. Does the DADE possess, select, and use the appropriate reference material and forms, etc., when planning or conducting tests? (This is most appropriate for the direct observation or site visits.)

2.    Knowledge and Understanding. Does the DADE understand the technical terminology contained in FAA orders, the PTS, and other reference material used in planning, describing, or conducting airman testing? Does the DADE demonstrate an expert level of knowledge about the aircraft operation and systems? (This is appropriate for most types of oversight activities.)

3.    Interpret and Apply. Does the DADE correctly interpret and apply the technical performance standards defined by the appropriate testing standard? (This is most appropriate for the direct observation.)

(b)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.

1.    Screening Applicants. Does the DADE follow the correct procedure when accepting applications and determining applicant eligibility?

2.    Submittal of Information and Data to FAA. Does the DADE properly submit information, documents, or data to the FAA when it is required by FAA orders or by specific instructions provided by the CHDO?

3.    Conducting Evaluations and Tests. Does the DADE follow the correct procedure when conducting, grading, and providing feedback to applicants during testing?

4.    Issuing Certificate, Approval, Authorization, or Results to Applicant. Does the DADE follow the correct procedure when completing and issuing certificates, approvals, test results, or other findings to the applicant upon completion of the testing activity?

5.    Letters of Aeronautical Competency. Does the DADE refer applicants under the age of 23 who have passed the aircraft dispatcher practical exam and are otherwise qualified, except for age, to hold an aircraft dispatcher airman’s certificate to the managing specialist to be issued a Letter of Aeronautical Competency?

(c)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude, and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

1.    Oral and Written Communication. Does the DADE effectively communicate either in writing or in conversation with the FAA and general public? Does the DADE provide feedback to the FAA with ways to improve the designee system?

2.    Professional Representation of FAA (with the Public). Does the DADE demonstrate a positive reflection on the FAA and a willingness to comply with FAA policy and CHDO instruction?

3.    Cooperative Attitude with the FAA. Is the DADE easy to work with and present a positive attitude when interacting with the FAA? Is the DADE responsive to the FAA and reasonably accessible to the FAA as required?

4.    Ethics and Judgment. Does the DADE maintain high ethical standards and demonstrate good judgment in the conduct of authorized activities?

3.    Oversight Planning.

a.    Multi-Phase Oversight Plan. When developing an oversight plan, the managing specialist should follow the four phases for planning and executing oversight program guidelines items as a baseline. Events can be planned for the year and amended as necessary to address changes in oversight objectives.
(1)    Phase 1. Develop an oversight plan by determining the types of inspections necessary and the frequency of inspections. An effective oversight plan begins with an evaluation of the designee, original documentation, authorizations and previous oversight events. The managing specialists should evaluate the requirements for an initial designation on a reoccurring basis as part of the comprehensive inspection process. The development of an oversight plan requires planning at the headquarters (HQ), regional, district office, and individual inspector levels. An oversight program may be based on the need to conduct routine and ongoing surveillance, or the need to conduct special emphasis oversight as a result of certain events such as accidents, incidents, violations, and strikes. When planning an oversight program, FAA personnel should identify the program objectives, evaluate the resources available, and determine the specific types and numbers of inspections to support the program. The National Program Guidelines (NPG) provides a base level of oversight data which should be evaluated. The results of the previous oversight plans should be used as a basis for planning future oversight programs. This information, along with other related information such as previous inspection reports, accident and incident information, compliance and enforcement information, and public complaints, should be used to determine the types and frequency of inspections. When developing an oversight program, inspectors should first consider NPG requirements. The NPG requirements only provide a base level of oversight data. Therefore, the inspector should consider a designee’s compliance status and other factors such as ongoing certification activities when developing an oversight program. It may be appropriate to change the emphasis or objectives of oversight programs by changing the types and numbers of inspections.
(2)    Phase 2. Conducting the Oversight Plan Inspections. During the oversight plan inspections, accurate and qualitative inspection reporting is essential. High quality inspection reporting is necessary for the effective accomplishment of the third and fourth phases of an oversight program.
(3)    Phase 3. Analyzing Oversight Data. After reporting the inspection data, conduct an evaluation of the information obtained and related sources. The purpose of this evaluation is to identify the areas of concern and note areas such as:

(a)    Noncompliance with regulations or safe operating practices;

(b)    Positive and negative trends;

(c)    Isolated deficiencies or incidents; and

(d)    Causes of noncompliance, trends, or isolated deficiencies.

(4)    Phase 4. Determining Appropriate Course of Action. Managing specialists must use their professional judgment when deciding on the most effective course of action. The appropriate course of action depends on various factors. Oversight will be accomplished in DMS and automatically incorporate National Program available such as: taking no action, informal discussion, counseling, send a note through DMS, additional training, suspension, or termination of designee authority and initiation of an enforcement investigation. Consider the results of the evaluation of oversight data and the designee’s response to the course of action taken. Part of the fourth phase of an oversight program is for the FAA to determine, as a result of the information gathered from the program, what will become the inspection requirements for subsequent oversight programs. Depending on the situation, it may be appropriate to increase or decrease the rate at which the managing specialist conducts inspections during subsequent oversight plans.
b.    Oversight Planning Considerations and Tools.
(1)    Frequency and Timing. Although unannounced inspections are required and appropriate under some conditions, managing specialists should consider conducting inspections at a time coordinated with the DADE. Whenever practicable, the more encompassing formal inspections should be conducted during normal working hours (0800–1700). Routine daily or weekly inspections or observations should be conducted randomly and at locations and times to ensure compliance with the CHDO’s oversight plan. Oversight plans for designees that operate around or nearly around the clock should include inspections throughout the designee’s operating hours.
(2)    Job Aids. Managing specialists can find job aids to assist with their inspection functions on the designee website. Inspection areas that do not have a job aid available should use the detailed guidance found in this order.

4.    Oversight Actions.

a.    Oversight Activities. Designee oversight includes the managing, monitoring, and tracking of a designee and designee activities. The oversight activity types and frequencies of occurrence, divided into the following categories:
(1)    Direct Observation.

(a)    Specialists must ensure that each DADE is observed as required above, a minimum of once a year by an appropriately qualified managing specialist. The responsibility for scheduling oversight is the managing specialist’s. They are responsible to establish procedures by which the DADE provides schedules of proposed activities as far in advance as is practical or required, except for those unscheduled spot observations.

(b)    Results of direct observations must be recorded in DMS and an outcome of the observation result determined. Oversight results are determined by the managing specialist’s assessment of the defined performance measures and the consolidation of those observations in determining the result of the direct observation. Depending on the result, the managing specialist may require a follow-up action.

(c)    Direct observations are required:

    Annually for DADEs.

    When a rating of “needs improvement” is identified.

    When risk indicators warrant.

    As deemed necessary by the managing specialist.

(2)    Document Review. Documents are reviewed as they are received by the designee.
(3)    Applicant or Public Interview. As needed by the managing specialist.
(4)    Counseling. This follow-up action is assigned when a designee receives a “needs improvement” rating or when another event warrants the need for counseling.
(5)    Annual Meeting with the managing specialist.
(6)    Performance Evaluation. Occurs annually and:

(a)    When a deficiency has been identified and corrected; and

(b)    Within 7 days before the renewal of the designee.

b.    Special Emphasis Oversight. Although oversight activities are designed to be implemented on a continuing and as needed basis, focused oversight is appropriate and required by FAA policy in several situations. The managing specialist is expected to conduct special emphasis oversight when there is:
(1)    A DADE who is newly appointed.
(2)    A DADE who conducts 50 or more practical tests during a given 6-month period, which is considered a “high activity designee.” In addition to the required annual inspection, high activity designees will undergo an evaluation at least one additional time during the year. This additional inspection requires that the managing specialist observe the designee administer at least one complete event that is authorized in the designee’s CLOA.
(3)    A practical test passing rate that exceeds 90 percent. Conduct spot check oversight of practical tests.
(4)    A certification file error rate that exceeds 10 percent. Provide additional training and follow-up oversight.
(5)    Observation of a DADE reveals issues that are negative or questionable.
(6)    A DADE who becomes the subject of a valid public complaint. Determine validity of complaint and what action, if any, is warranted.
(7)    A DADE that has been involved in an accident, incident, or any violation of a 14 CFR. Determine impact and relevance to the duties as a designee.
(8)    A DADE who is administering Aircraft Dispatcher Practical Tests to applicants who are graduates of an Aircraft Dispatcher Certification Course of which the DADE is the course owner, operator, or employee. Increased surveillance can help identify whether or not the DADE’s affiliation with an Aircraft Dispatcher Certification Course in any way affects the DADE’s objectivity and overall performance as a representative of the Administrator.
c.    Oversight Activity Types. Direct Observation—Evaluation Observation.
(1)    The purpose of this observation is to evaluate the DADE or DADE applicant’s ability to administer a test. After the designee or applicant has successfully completed and documented all required training, a managing specialist will observe the DADE or DADE applicant conducting a complete FAA aircraft dispatcher practical test in accordance with the current PTS.
(2)    The following method of observation must be used. The methods apply to both candidates and current DADEs:

(a)    The observation of the DADE or DADE applicant conducting an aircraft dispatcher practical test in accordance with the FAA aircraft dispatcher PTS will be conducted with an applicant who has graduated within the past 90 days from an FAA-approved 14 CFR part 65 aircraft dispatcher certification course.

(b)    If the DADE conducting the practical test is a current appointed designee and the observation is satisfactory, the DADE may sign all appropriate applications and forms, including the temporary airman’s certificate. DADEs may not sign Letters of Aeronautical Competency, which must be signed by a managing specialist. If the DADE is not a current appointed designee, the observing managing specialist must sign all appropriate applications and forms, including the temporary airman’s certificate.

d.    Performance Evaluation. The primary purpose of the performance evaluation is to provide an overall look at the designee’s performance on a reoccurring basis.
(1)    The performance evaluation is a consolidated review of oversight activities and other data available outside of DMS on a reoccurring basis. The performance evaluation results in an overall rating for the performance period and considers risk-based elements. Below is a high-level representation of the performance evaluation process.

Figure 4-4.  High‑Level Performance Flow

Figure 4-4. High Level Performance Flow

(2)    The objective of the performance evaluation is to:

(a)    Identify performance trends that are:

1.    Specific to the designee;

2.    Local in nature as compared to designees similar in authority locally; and

3.    National in nature as compared to designees similar in authority nationwide.

(b)    Determine if corrective action is needed.

(c)    Conduct a risk assessment of the designee.

(d)    Review all data for the current performance evaluation period.

(e)    Determine a risk value for each performance measure (technical, procedural, professional). The managing specialist should assign a performance rating category based on the safety significance and frequency of the events reviewed. Each performance category is assigned a corresponding risk value. The sum of the three risk values determines the severity of risk. The performance rating categories are shown in Table 4-1 below.

Table 4-1.  Performance Categories for Performance Evaluation

Table 4-1. Performance Categories for Performance Evaluation

*Total Risk Value = Technical + Procedural + Professional risk values

Note:  Select the risk value that is associated with the rating description for each of the three performance categories. Only one number should be listed for each category. Add the three numbers from the performance categories to determine total risk value.

(f)    Determine Causal Factor Classifications.

Unknowingly

The designee was not aware of the error.

Careless

As a result of the lack of action by the designee, an error was made.

Intentional

The designee, with disregard to policy, procedures, or regulatory requirements, inappropriately conducted an evaluation.

(g)    Determine Overall Performance Evaluation Result. Table 4-2, Overall Performance Evaluation Result and Action, provides a matrix that combines the total risk value, as previously determined, and the causal factor, to determine an overall performance evaluation result of: Satisfactory, Needs Improvement, or Unsatisfactory.

Table 4-2.  Overall Performance Evaluation Result and Action

 

Total Risk Value

(Use total value from Performance Categories and Ratings Table)

Causal Factor (Total Risk Value)

>6

5 or 6

1–4

Intentional

Result: Unsatisfactory

Result: Unsatisfactory

Result: Unsatisfactory

Action: Termination

Action: Termination

Action: Termination

 

Careless

Result: Unsatisfactory

Result: Unsatisfactory

Result: Needs Improvement

Action: Termination

Action: Suspension, Reduce Authority, or Termination

Action: Suspension/Reduce Authority

 

Unknowingly

Result: Unsatisfactory

Result: Needs Improvement

Result: Satisfactory

Action: Termination

Action: Suspension/Reduce Authority

Action: None Required

Note: If the total risk value = “0”, no action is required.

(h)    Determine Required Follow-up Actions. If the managing specialist rates the designee’s performance evaluation as “Needs Improvement” or “Unsatisfactory,” the following actions must be taken:

For “Needs Improvement”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar-months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Suspension)”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar-months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Termination)”

The managing specialist must terminate the designee in DMS.

e.    Follow-Up Actions. DMS provides the managing specialist with various tools in oversight of designees in the form of reports and the ability to compare to similar type designees on a local and national level. When deficiencies are found during the oversight of a designee, the managing specialist has several additional tools at their disposal. They include:
(1)    Plan Oversight Activity. The planning tool allows the managing specialist to plan additional oversight as needed. The planning of oversight allows managing specialists to mark an event that must be completed and set reminders on their workspace.
(2)    Set Preapproval Requirements. The preapproval function allows the managing specialist to adjust the preapproval requirements that allow a designee to conduct functions for which they have been authorized. The managing specialist may require the designee to get preapproval for each event, or the managing specialist may conduct an unscheduled inspection of the designee.
(3)    Send Correspondence to Designee. In order to document an event or an action required on the part of the designee, the correspondence function provides an official record of the event.
(4)    Suspend. The suspend function must be used whenever the managing specialist determines that a designee’s action has exposed an unacceptable level of risk through any data available.
(5)    Conduct Interviews. The managing specialist may conduct interviews with people for whom the designee has interacted so that first-party information can be provided.

(a)    The managing specialist may choose to conduct these interviews as a result of a specific event, third-party report, or as a routine or random check.

(b)    Upon completion of the interviews, the managing specialist should document the results into DMS and identify any positive or negative performance implications.

5.    Other Designee Management Functions.

a.    Expand Authorities or Change Limitations. See Volume 1.
b.    Reduce Authority. See Volume 1.
c.    Record Note. See Volume 1.
d.    Send Message to Designee. See Volume 1.
e.    Record Feedback or Interaction with a Designee. See Volume 1.
f.    Preapproval. See Volume 1.
g.    Post-Activity Reports. See Volume 1.

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of DADE candidates, DADEs, and FAA managing specialists and appointing officials. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the policy for the training of a designee.

2.    General. See Volume 1.

3.    Training Requirements.

a.    Initial Training.
(1)    Each DADE candidate selected must satisfactorily complete the initial training before exercising the privileges of the designation.

Note:  DADEs are required to successfully complete annual recurrent training, attend the Safety Standardization Meeting, and the FAA Briefing as a condition for appointment renewal.

(2)    The FAA managing specialist is responsible for providing the DADE with the initial training. At a minimum, the training should include:

(a)    The DADE’s duties and responsibilities as a representative of the Administrator.

(b)    The necessary forms and an explanation of how to properly complete the paperwork.

(c)    Applicable FAA regulations, policy, and guidance.

(d)    The use of the current aircraft dispatcher PTS.

(e)    Developing the plans of action required by the PTS.

(f)    Policy and procedures with regard to the function of a DADE.

(g)    Procedures and guidance for conducting the practical test.

(h)    Developing at least three test scenarios that must be updated annually.

(i)    The importance of providing feedback to the FAA managing specialist on the approved 14 CFR part 65 dispatch courses (strengths and weaknesses) with regard to the student’s preparation to take the aircraft dispatcher practical exam.

(j)    Requirements for individuals under the age of 23.

(k)    Foreign student applicants.

(l)    How and when to forward completed application paperwork to the FAA managing specialist.

(3)    Upon completion of the initial training, the FAA managing specialist will validate the DADE’s knowledge. Validation methods include a written test or an oral exam.
b.    Recurrent Training.
(1)    The FAA managing specialist is responsible for providing the DADE with recurrent training every 12 calendar-months. The FAA managing specialists may elect to combine annual recurrent training with the required safety standardization meeting and FAA briefing in accordance with Order 8900.1, Volume 13, Chapter 3, Section 1, subparagraph 13-152E. However, since the annual recurrent training, the safety standardization meeting and the FAA briefing, are separate events even when run concurrently or consecutively, the FAA managing specialists must make separate PTRS entries for each event.
(2)    Recurrent training is mandatory and will include at least the following topics:

(a)    The DADE’s roles and responsibilities;

(b)    Documentation discrepancies;

(c)    Applicable changes to 14 CFR;

(d)    New FAA policy and procedures;

(e)    Review of procedures and guidance for conducting the practical test;

(f)    Reviewing and updating test scenarios;

(g)    Feedback on approved 14 CFR part 65 dispatch courses; and

(h)    Foreign student applicants.

c.    Training Limitations and Conditions.
(1)    DMS will suspend designees who fail to meet recurrent training requirements.
(2)    Designees will not exercise their designation privileges unless their training is current.

4.    FAA Managing Specialist Training Requirements.

a.    Initial Training Requirements. Initial training requirements for the managing specialists of a DADE include:
(1)    Successful completion of the ASI (Operations) Indoctrination courses, or their equivalent.
(2)    Successful completion of FAA Academy Course 21047, Aircraft Dispatcher Functions for ASIs.
(3)    Completion of AFS Designee Management for Personnel Certification initial course or AFS Designee Management initial course.

Note:  Initial training requirements for FAA personnel serving as field office or regional office “focal points” include completion of the initial training requirements for managing specialists.

b.    Recurrent Training Requirements. Recurrent training requirements for FAA personnel serving as DADE managing specialists must be completed within each 24 calendar-months after initial appointment. Completion of recurrent courses listed in Flight Standards Training Needs Assessment (FSTNA) that are profile‑specific and apply to designee management include completion of Personnel Certification Designee Management–Recurrent or AFS Designee Management–Recurrent.

Chapter 8.  Renewal of Designee Appointment

1.    Purpose. This chapter provides the policy related to the renewal of DADEs. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for renewing a designee.

2.    General. See Volume 1.

3.    Renewal Duration. When renewing the DADE designation, appointment duration is 12 calendar-months, beginning on the last day of the month.

Chapter 9.  Termination of a Designation

1.    Purpose. This chapter provides the policy related to the termination of a DADE designation. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for terminating a designation.

2.    General.

a.    Documentation. Managing specialists and appointing officials should ensure that documentation relating to designee deficiencies substantiate the termination and are included in the designee’s DMS file.
b.    Additional Privileges. If a designee holds or is applying for additional privileges, found to have falsified documents and was subsequently terminated or banned, then all designee authorities must be terminated immediately for cause.

3.    Voluntary Surrender. See Volume 1.

4.    FAA-Initiated Termination.

a.    Terminating a Designation. See Volume 1.
b.    Termination Process. See Volume 1.
c.    Types of Termination.
(1)    For Cause. Termination for cause may be a negative finding(s) based on a designee’s performance. The following are examples of deficiencies in a designee’s performance of duties that would be justification for a for‑cause termination of the DADE:

(a)    Any action determined through oversight of a DADE that has been identified as an unacceptable level of risk.

(b)    Unsatisfactory performance in any phase of designee duties or responsibilities, including the inability to accept or carry out the managing FAA office’s instructions.

(c)    Any action by the designee that may reflect poorly on the FAA, such as misuse of the designation, failure to maintain a reputation for integrity and dependability in the industry and the community, and unwillingness to eliminate the appearance of conflicts of interests with regard to improper relationships with 14 CFR part 65 aircraft dispatcher course operators when identified by the managing specialist.

(d)    Any action that is not supportive or in compliance with FAA regulatory requirements, standards and policy to the public.

(e)    Inability of the designee to work constructively with the FAA office personnel or the public.

(f)    Evidence that the designee’s general or professional qualifications and requirements were not met at the time of the original designation or any time thereafter.

(g)    A designee’s inability to demonstrate satisfactory performance during knowledge and skill evaluations, during an initial training or a recurrent training.

(h)    A designee’s failure to maintain or an inability to demonstrate qualifications for any certificate, rating, or examiner designation held.

(2)    Not for Cause. Termination not-for-cause can be for any reason not specific to a designee’s performance. Additional detail can be found in Volume 1.
d.    Documentation.
(1)    The managing FAA office must document any deficiencies in DMS prior to initiating a termination process.
(2)    Any correspondence relating to the designee’s deficiencies, including, but not limited to, corrective action taken, or a record of additional training, must be recorded in DMS.

Chapter 10.  Suspension of a Designation

1.    Purpose. This chapter provides the policy related to the suspension of a DADE’s designation. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for suspension of a designation.

2.    General. The suspension of a designee is a significant change in status and occurs because an elevated level of risk has been identified by DMS or the managing specialist.

3.    FAA-Initiated Suspension. See Volume 1.

4.    Automatic Suspension. See Volume 1.

5.    Follow-Up Actions. A plan of action to correct the deficiency that initiated the suspension should comprise of the following elements and get recorded in DMS:

a.    Identification of the Deficiency. See Volume 1.
b.    Corrective Action. Corrective actions include any elements proposed to correct the deficiency and the identification of standards that must be achieved.
c.    Validation Proposed Action was Effective. It must be validated that the deficiency identified has been corrected. Depending on the corrective action, the validation method can be a training record, proficiency check, or other direct observation. The managing specialist must record the follow-up action in DMS.

Chapter 11.  Appealing A Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban or termination for cause of DADEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for appeal.

2.    Appeal Considerations.

a.    The FAA office manager will forward the request to the regional division manager, who may ask another region not involved in the decision to oversee the appeal.
b.    The regional division manager or a delegate overseeing the appeal will convene an appeal panel comprised of the following three members:
(1)    An AFS-200 HQ Division representative;
(2)    A regional coordinator; and
(3)    An AFS manager or front-line supervisor not associated with the office that terminated the designee.
c.    The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.
d.    The regional appeal panel’s decision is final.
e.    All documentation associated with the appeal (e.g., outcome, members of the appeal panel, communication with the designee or the field office) should be included in the designee’s DMS file.

3.    Ban or Terminate Appeal Process. See Volume 1.

4.    Appointing/Selecting Official Responsibilities During Appeal. See Volume 1.

5.    Appeal Panel Responsibilities. See Volume 1.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other designee management functions. This designation type‑specific policy and Volume 1, Common Designee Policy, constitute the policy for other designee management functions.

2.    Assign DMS Roles and FAA Roles. A role within DMS is not the position description of an employee. A role as it relates to DMS defines the functions that an individual will have available within the DMS system.

a.    Master Role Assigner. The master role assigner determines who at the office level is given role permissions in DMS. The master role assigner is typically the office manager. This function may be delegated to a Front Line Manager (FLM) as needed by the office business needs.
b.    Selecting Official. The selecting official is determined by the office manager or a delegate. Typically, this will be a certificate management unit (CMU) or CMO manager or supervisor and should be at least a FLM. The selecting official should work closely with the dispatch managing specialist in determining the needs of the training center and the ability of the dispatch managing specialist in determining resource capabilities.
c.    Evaluating Specialist. The evaluating specialist must meet the minimum qualifications of a managing specialist.
d.    Appointing Official. The appointing official is typically the office manager but may be delegated to an FLM as deemed appropriate.
e.    Managing Specialist. A managing specialist may be:
(1)    An ASI-AD who otherwise meets the qualifications on page 4-3, section 1, for a dispatch managing specialist.
(2)    An ASI (Operations) who otherwise meets the qualifications on page 4-3, section 1, for a dispatch managing specialist.

3.    Send Message to Managing Specialist. See Volume 1.

4.    Update Designee Profile. Designees must update their profile on an annual basis. DMS will notify the managing specialist when DADEs make a change to their profile. Under the following conditions, DMS will require input from the managing specialist to accept the change:

a.    The DADE has requested a change in name, gender, nationality, or date of birth.
b.    There is an address change.
c.    The designee makes a change to the profile and, as a result of the change, no longer meets minimum qualifications. At that time, DMS will suggest that the managing specialist initiate suspension of the DADE.

Volume 5.  DME, DPRE, AND DAR‑T DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Overview

1.    Purpose of This Volume. This volume supplements the common designee policy by providing specific guidance for the administration of the Designated Mechanic Examiner (DME), Designated Parachute Rigger Examiner (DPRE), and Designated Airworthiness Representative—Maintenance (DAR-T) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.

2.    Audience. The primary audience for this volume is DMEs, DPREs, and DAR-Ts, FAA managing specialists, and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees as appropriate.

Indicates new/changed information.

3.    Implementation. Compliance with this order will be achieved in accordance with the implementation plans established by each service/office for their respective designee types. Implementation will involve transition from existing management and information systems and designee management polices to the Designee Management System (DMS) IT tool and policy. Affected employees and designees will be notified through directive/memo when each implementation will begin and end, as well as when full compliance with this policy is required. FAA employee and designee login credentials and instructions will be provided at the beginning of each implementation. Timing for release and completion of each implementation plan will depend upon:

a.    Availability of the DMS IT tool for the respective designee type.
b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials.

Section 2.  Designee Roles & Definitions

1.    Definition of Roles in Flight Standards (AFS) Maintenance (DME, DPRE, DAR-T).

a.    Authorization Types.
(1)    The DME will be issued with at least one of the following privileges:

(a)    Airframe (A). Authorized to conduct aviation mechanic airframe rating oral and practical tests and the general oral and practical test, when required.

(b)    Powerplant (P). Authorized to conduct aviation mechanic powerplant rating oral and practical tests and the general oral and practical test, when required.

(c)    Airframe and Powerplant (A&P). Authorized to conduct aviation mechanic A&P ratings, oral and practical tests, and the general oral and practical test, when required.

(2)    The DPRE will be issued with at least one of the following privileges:

(a)    Seat. Authorized to conduct parachute rigger seat rating oral and practical tests.

(b)    Back. Authorized to conduct parachute rigger back rating oral and practical tests.

(c)    Chest. Authorized to conduct parachute rigger chest rating oral and practical tests.

(d)    Lap. Authorized to conduct parachute rigger lap rating oral and practical tests.

(3)    The DAR-T will be issued with at least one of the following function codes:

Table 5-1.  Standard Airworthiness Certification Function Codes

Standard Airworthiness Certification

Function Code

Description

101

Issue recurrent standard airworthiness certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR § 21.197(a)(1)(2)(4), and § 21.197(b) for U.S.-registered propeller-driven airplanes and powered or unpowered gliders.

102

Issue recurrent standard airworthiness certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR § 21.197(a)(1)(2)(4), and § 21.197(b), for U.S.-registered, turbojet powered airplanes type certificated for a Gross Take-Off Weight (GTOW) of 85,000 pounds or less.

103

Issue recurrent standard airworthiness certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR § 21.197(a)(1)(2)(4), and § 21.197(b), for U.S.-registered, turbo-jet powered airplanes type certificated for a GTOW of more than 85,000 pounds.

104

Issue recurrent standard airworthiness certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR § 21.197(a)(1)(2)(4), and § 21.197(b), for U.S.-registered rotorcraft.

105

Issue recurrent standard airworthiness certificates (including amended or replacement certificates), for U.S.-registered manned free balloons.

106

Issue recurrent standard airworthiness certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR § 21.197(a)(1)(2)(4), and § 21.197(b), for U.S.-registered airships.

107-111

Reserved.

Table 5-2.  Standard Airworthiness Certification Function Codes—Primary and Restricted Categories

Special Airworthiness Certification

Primary Category

Function Code

Description

112

Issue recurrent/original Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR part 21, §§ 21.197(a)(1)(2)(4), and 21.197(b), in the primary category for U.S.-registered aircraft.

113

Reserved

Restricted Category

Function Code

Description

114

Issue recurrent Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4), and 21.197(b), in the restricted category for U.S.-registered propeller-driven airplanes.

115

Issue recurrent Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4), and 21.197(b), in the restricted category for U.S.-registered, turbojet powered airplanes type certificated for a GTOW of 85,000 pounds or less.

116

Issue recurrent Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4), and 21.197(b), in the restricted category for U.S.-registered, turbojet powered airplanes type certificated for a GTOW of more than 85,000 pounds.

117

Issue recurrent Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4), and 21.197(b), in the restricted category for U.S.-registered rotorcraft.

118-123

Reserved.

Table 5-3.  Limited Category Function Codes

Limited Category

Function Code

Description

124

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the limited category for U.S.-registered propeller-driven airplanes and turbojet/turbofan aircraft.

125

 Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the limited category for U.S.-registered rotorcraft.

126-127

Reserved.

Table 5-4.  Experimental Category for the Purposes of Market Survey, R&D, or Crew Training Function Codes

Experimental Category for the Purposes of Market Survey, R&D, or Crew Training

Function Code

Description

128

Issue original/recurrent Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose market survey, research and development, or crew training for U.S.-registered propeller-driven airplanes and powered or unpowered gliders.

129

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose market survey, research and development, or crew training for U.S.-registered turbojet powered airplanes.

130

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose market survey, research and development, or crew training for U.S.-registered rotorcraft and gyroplanes.

131

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose market survey, research and development, or crew training for U.S.-registered manned free balloons and airships.

132

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR part 21, §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose market survey, research and development, or crew training for U.S.-registered powered parachute and weight shift control aircraft.

133-136

Reserved

Table 5-5.  Experimental Category for the Purposes of Exhibition and/or Air Racing Function Codes

Experimental Category for the Purposes of Exhibition and/or Air Racing

Function Code

Description

137

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in experimental category for the purposes of operating exhibition or air racing for U.S.-registered propeller-driven aircraft located in the U.S.

138

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in experimental category for the purposes of operating exhibition or air racing for U.S.-registered turbo-jet-powered aircraft located in the U.S.

139

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in experimental category for the purposes of operating exhibition for U.S.-registered rotorcraft located in the U.S.

140

Issue recurrent/original Special Airworthiness Certificates (including amended or replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in experimental category for the purposes of operating exhibition for U.S.-registered manned free balloons and airships.

141-146

Reserved.

Table 5-6.  Experimental Category for the Purposes of Operating Amateur‑Built Aircraft Function Codes

Experimental Category for the Purposes of Operating Amateur-Built Aircraft

Function Code

Description

147

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR part 21, §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose of operating amateur built aircraft for U.S.-registered propeller driven airplanes and powered or unpowered gliders.

148

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose of operating amateur built aircraft for U.S.-registered turbojet powered airplanes.

149

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose of operating amateur built aircraft for U.S.-registered rotorcraft and gyroplanes.

150

Issue original/recurrent Special Airworthiness Certificates (including amended and replacement certificates), and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the experimental category for the purpose of operating amateur built aircraft for U.S.-registered manned free balloons and airships.

151-156

Reserved.

Table 5-7.  Light‑Sport Category and Experimental Category for the Purpose of Operating Light‑Sport Aircraft Function Codes

Light-Sport Category and Experimental Category for the Purpose of Operating Light-Sport Aircraft

Function Code

Description

157

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates) and special flight permits for the purposes outlined in 14 CFR §§ 21.197(a)(1)(2)(4) and 21.197(b), in the light-sport category, or in the experimental category for the purpose of operating light-sport aircraft for U.S.-registered airplanes and powered or unpowered gliders.

158

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates) in the light-sport category, or in the experimental category for the purpose of operating light-sport aircraft for U.S.-registered lighter-than-air aircraft.

159

Issue recurrent/original Special Airworthiness Certificates (including amended and replacement certificates) in the light-sport category, or in the experimental category for the purposes of operating light-sport aircraft, market survey, research and development, or crew training for U.S.-registered powered parachutes and weight shift control aircraft.

160

Issue special flight permits for the purpose of production flight tests for U.S.-registered light-sport airplanes and powered or unpowered gliders.

161

Issue special flight permits for the purpose of production flight tests for U.S.-registered light-sport lighter-than-air aircraft.

162

Issue special flight permits for the purpose of production flight tests for U.S.-registered light-sport weight shift control or powered parachute aircraft.

163-170

Reserved.

Table 5-8.  Export Approvals Function Codes

Export Approvals

Function Code

Description

171

Issue recurrent export approvals for propeller driven airplanes and powered or unpowered gliders.

172

Issue recurrent export approvals for turbojet powered airplanes type certificated for a GTOW of 85,000 pounds or less.

173

Issue recurrent export approvals for turbojet powered airplanes type certificated for a GTOW of more than 85,000 pounds.

174

Issue recurrent export approvals for rotorcraft.

175

Issue recurrent export approvals for manned free balloons.

176

Issue recurrent export approvals for airships.

177

Issue recurrent export approvals for reciprocating and turboprop/turboshaft engines.

178

Issue recurrent export approvals for turbojet and turbofan engines.

179

Issue recurrent export approvals for propellers.

180

Issue recurrent/original export approvals for articles.

181-187

Reserved.

Table 5-9.  Domestic Approval of Engines, Propellers, and Articles Function Codes

Domestic Approval of Engines, Propellers, and Articles

Function Code

Description

188

Issue recurrent airworthiness approvals for domestic shipment of reciprocating and turboprop/turboshaft engines that conform to the approved design requirements and are in a condition for safe operation.

189

Issue recurrent airworthiness approvals for domestic shipment of turbojet/turbofan engines that conform to the approved design requirements and are in a condition for safe operation.

190

Issue recurrent airworthiness approvals for domestic shipment of propellers that conform to the approved design requirements and are in a condition for safe operation.

191

Issue recurrent/original airworthiness approvals for domestic shipment articles that conform to the approved design requirements and are in a condition for safe operation.

192-196

Reserved.

Table 5-10.  Other Authorizations Function Codes

Other Authorizations

Function Code

Description

197

Issue notification of completion to air carriers after conducting records reviews and aircraft inspections (aging airplane rules) required by 14 CFR part 121, 129, or 135 for Propeller-driven Multiengine airplanes.

198

Issue notification of completion to air carriers after conducting records reviews and aircraft inspections (aging airplane rules) required by 14 CFR part 121, 129, or 135 for Turbojet powered Multiengine airplanes.

199

Issue data approvals in support of a major repairs or alterations to Propeller Driven airplanes and/or Powered or Unpowered gliders.

200

Issue data approvals in support of a major repairs or alterations to Turbojet Powered airplanes with a GTOW of 85,000 pounds or less.

201

Issue data approvals in support of a major repairs or alterations to Turbojet Powered airplanes with a GTOW of more than 85,000 pounds.

202

Issue data approvals in support of a major repairs or alterations to Rotorcraft.

203

Issue data approvals in support of a major repairs or alterations to Manned Free Balloons.

204

Issue data approvals in support of a major repairs or alterations to Airships.

205

Issue data approvals in support of a major repairs or alterations to reciprocating or turboprop/turboshaft engines for Propeller Driven airplanes.

206

Issue data approvals in support of a major repairs or alterations to reciprocating or turboprop/turboshaft engines for Rotorcraft.

207

Issue data approvals in support of a major repairs or alterations to reciprocating or turboprop/turboshaft engines on Airships.

208

Issue data approvals in support of a major repairs or alterations to turbojet/turbofan engines.

209-220

Reserved.

b.    Roles and Responsibilities.
(1)    Regional and National Flight Standards Divisions. The DMS will support the AFS divisions in performing required functions, but do not have a specific “role” as defined in DMS. AFS divisions that have designees assigned, and manage them directly, follow the same procedures and use the same rules within DMS as an AFS field office.
(2)    Selecting and Appointing Official.

(a)    Office managers typically serve in these roles.

(b)    Serve as master role assigner for their office and are required to ensure that inspectors and supervisory staff are assigned appropriate roles within DMS to carry out their assigned duties.

(3)    The Managing Specialist.

(a)    The managing specialist is the individual primarily responsible for the management of a specific designee.

(b)    The managing specialist must ensure that designees are prepared to perform their duties. This includes the designee having completed the required training, and maintained the minimum qualifications for designation as prescribed in Chapter 2, Application Process.

(c)    Designee management must consider potential risks and hazards to safety. Managing specialists are to remain constantly vigilant for such risks and hazards. These aviation safety inspectors (ASI) should review Safety Performance Analysis System (SPAS) data and other resources to focus oversight on problem areas.

(d)    The managing specialists are experienced FAA ASIs whose specialty is General Aviation (GA) airworthiness or air carrier airworthiness. They must have at least 3 years’ tenure with the FAA as an ASI and have completed or scheduled to complete the required training.

(4)    Geographic Expansion Coordinator (GEC). The GEC is a role assigned to at least one Airworthiness ASI and one Operations ASI in each AFS field office to receive and approve or deny geographic expansion requests contained within a DMS preapproval. Any requests received will be routed to all GECs assigned to the AFS field office. The appropriate specialty ASI must approve or deny the request. Coordination may be required outside of DMS such as telephone calls or emails; however, all actions to approve or deny the request will be documented in DMS.

Chapter 2.  Application Process

1.    Purpose. This chapter describes the policy related to an individual applying to be a DME, DPRE, or DAR-T. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the application process for a DME, DPRE, and DAR-T.

2.    General Application Considerations. The applicant’s place of residence and place of business may be outside the United States if the FAA determines that there is no undue burden on the FAA. United States citizenship is not a requirement for appointment.

3.    Reinstatement. A former designee whose privileges were terminated “not for cause” may be reinstated only at the field office where last assigned. The former designee must meet the requirements and procedures for an original issuance of the designation. This provision may only be exercised at the discretion of the previous managing field office and only when the following provisions are met:

Indicates new/changed information.

    The former designee meets the requirements and procedures for an original issuance of the designation and was previously authorized in DMS.

    The designation was terminated not more than 12 calendar-months prior to application for reinstatement.

    The applicant meets the recurrent training requirement for the designee type.

    The field office determines that the former designee is still competent to perform the authorized activities.

Note:  If the provisions are met, the Certificate Letter of Authority (CLOA) is reissued with the original designation number used for reinstatement.

a.    Former Designee Appointment. Except as stated in paragraph 3 above, former designees terminated “not for cause” and who are not in DMS must reapply through DMS as an initial applicant.
b.    Relocation. Designees may relocate to a different geographical area if the receiving FAA office agrees to the transfer. Any change in location, change of managing office, or change of managing specialist is conducted through DMS. This change is effected through DMS by the receiving managing specialist.

4.    Minimum Qualifications and Disqualifiers.

a.    Additional Requirements for DMEs. Additional application requirements for DME appointment include:
(1)    Evidence of a high level of knowledge and experience in the subject areas required for aviation mechanic certification in both reciprocating and turbine-engine aircraft.
(2)    Currently holds a valid aviation mechanic certificate with both airframe and powerplant ratings which has been valid for the previous 5 years.
(3)    Applicants must also meet one of the following experience requirements listed below. These requirements may not be combined.

(a)    Five years’ experience actively exercising the privileges of a valid aviation mechanic certificate in accordance with 14 CFR § 65.81(a) on U.S.-registered civil aircraft. (Three of the five years of experience required must be immediately before designation.)

(b)    Five years’ experience performing maintenance on U.S.-registered civil aircraft while employed by an FAA repair station 14 CFR part (145). (Three of the five years of experience required must be immediately before designation.)

(c)    Five years’ experience performing maintenance on U.S.-registered civil Air Carrier aircraft operated under (14 CFR parts 121 and 135). (Three of the five years of experience required must be immediately before designation.)

(d)    Five years’ continuous experience immediately before designation instructing aviation maintenance while employed by an FAA Aviation Maintenance Technology School 14 CFR part (147). In addition, the applicant must have previously actively exercised the privileges of a valid aviation mechanic certificate in accordance with 14 CFR § 65.81(a) for 3 years on U.S.-registered civil aircraft certificated and maintained in accordance with 14 CFR.

(4)    Have a fixed base of operation equipped to support testing in both reciprocating and turbine engine aircraft. This includes the following requirements:

(a)    The fixed base of operation, equipment, and materials must be adequate for an applicant to demonstrate the basic skills for the certificate and rating sought. The managing FAA office will monitor the status of equipment at least annually to ensure compliance.

(b)    Airworthy aircraft, other aircraft, aircraft subassemblies, operational mockups, or other aids for testing airman applicants.

(c)    Tools, equipment, current publications, materials, etc., required to complete a project assignment must be the type recommended by aircraft manufacturers or accepted in the aviation industry. Refer to Order 8900.1, Volume 5 for the required Minimum Tools and Equipment List (MTEL).

Indicates new/changed information.

Note:  The DME is required to report to the managing specialist immediately, any significant change in the equipment or materials available to test applicants. This notification is accomplished through DMS.

b.    Additional Requirements for DPREs. Additional application requirements for DPRE appointment include:
(1)    Evidence of a high level of knowledge in the Areas of Operation required for a parachute rigger certification.
(2)    Previously held a valid master parachute rigger certificate for 2 years with the rating(s) for which the managing office will issue a designation.
(3)    Actively exercised the privileges of a valid master parachute rigger certificate for 2 years immediately before the designation.
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(4)    Have a fixed base of operation equipped to support testing in each required area of operation as described in the practical test standards (PTS) or Airman Certification Standards (ACS) for the designation held. This includes the following requirements:

(a)    The fixed base of operation, equipment, and materials must be adequate for an applicant to demonstrate the basic skills for the certificate and rating sought. The managing office will periodically monitor the status of equipment to ensure compliance.

(b)    Tools, equipment, current publications, materials, etc., required to complete a project assignment must be the type parachute manufacturers recommend or accept in the industry.

(c)    The fixed base of operation must, at a minimum, have tools and equipment necessary to perform the tasks the DPRE will assign as part of the developed test.

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Note:  The DPRE is required to report to the managing specialist immediately, any significant change in the equipment or materials available to test applicants. This notification is accomplished through DMS.

c.    Additional Application Requirements for DAR-T Appointment.
(1)    Minimum Qualification Requirements for Standard Airworthiness Certification and Special Airworthiness Certification in Primary, Restricted, and Limited Categories.

(a)    An applicant for DAR-T with authority to issue a standard airworthiness certificate or Special Airworthiness Certificate in the primary, restricted, or limited categories must hold a current mechanic certificate with A&P rating that has remained continuously in effect for the 5 years immediately preceding the application, and

(b)    Show 5 years of experience working in a position of responsibility for approval for return to service or determining eligibility for issuance of a standard airworthiness certificate or Special Airworthiness Certificate in the primary, restricted, or limited categories for aircraft of the same type and complexity as shown below. The experience must:

1.    Have been obtained on U.S.-registered aircraft holding a standard airworthiness certificate, or Special Airworthiness Certificate in the primary, restricted, or limited categories, or involved in a certification project that resulted in standard certification or issuance of a Supplemental Type Certificate (STC);

2.    Include at least 2 years of verifiable full-time aviation maintenance employment within the last 3 years; and

3.    Include one or more of the following type and complexity of aircraft:

    Propeller-driven airplanes and/or powered or unpowered gliders.

    Turbojet powered airplanes with a gross takeoff weight (GTOW) of 85,000 lbs. or less.

    Turbojet powered airplanes with a GTOW of more than 85,000 lbs.

    Rotorcraft.

    Manned free balloons.

    Airships.

(c)    Each of the following qualifies as a “position of responsibility” for determining approval for return to service or eligibility for issuance of an airworthiness certificate:

1.    An FAA ASI (Airworthiness) with experience issuing original or recurrent standard airworthiness certificates.

2.    A director of maintenance or chief inspector for a 14 CFR part 121 or part 135 air carrier, or part 145 repair station, performing maintenance and issuing approval for return to service of complete aircraft.

3.    A shift supervisor, lead mechanic, or designated inspector for a 14 CFR part 121 or part 135 air carrier, or a part 145 repair station, who is authorized by the certificate holder and has experience issuing approval for return to service for complete aircraft (airworthiness release or equivalent authority).

4.    A mechanic with Inspection Authorization (IA) performing annual inspections, or performing or supervising progressive inspections as required by 14 CFR § 43.15.

(2)    Minimum Qualification Requirements for Other Special Airworthiness Certification.

(a)    Experimental category for the following purposes:

1.    Market Survey, R&D, Crew Training, Exhibition, or Air Racing. An applicant for DAR-T for privileges in this group with authority to issue a Special Airworthiness Certificate for the purposes of market survey, research and development, and crew training must qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and

(i)    Have verifiable experience in the maintenance, inspection, or alteration of aircraft holding a Special Airworthiness Certificate for the purposes of market survey, research and development, or crew training, exhibition, or air racing; or

(ii)    Have conducted at least one certification of these aircraft as an FAA ASI (Airworthiness).

2.    Operating Amateur-Built Aircraft. An applicant for DAR with authority to issue a Special Airworthiness Certificate for the purposes of operating amateur-built aircraft must meet one of the following:

(i)    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have verifiable experience in the maintenance, inspection, or alteration of aircraft of the same type and complexity holding a Special Airworthiness Certificate for the purposes of operating amateur‑built aircraft.

(ii)    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have conducted at least one certification of these aircraft as an FAA ASI (Airworthiness).

(iii)    As a current or former FAA designee, completed at least three certifications of experimental light-sport or light-sport category aircraft of the same type and complexity as requested.

(iv)    Currently hold a Mechanic Certificate with airframe and powerplant ratings that has remained continuously in effect for the 3 years immediately preceding application, and has 3 years of verifiable experience with maintaining experimental or amateur-built aircraft of the same type and complexity as requested, including performing at least three annual condition inspections.

(v)    Hold a Repairman Certificate for at least one certificated amateur-built aircraft of one of the types identified below that the applicant has built. That aircraft must have been operated for a minimum of 100 hours (or 25 flights for balloons and airships), and the applicant must have performed at least 3 annual condition inspections of the aircraft.

Note:  Amateur-built type and complexity of aircraft include: propeller-driven airplanes or gliders; weight shift control aircraft and powered parachutes; turbojet-powered airplanes; rotorcraft, autogiros, or gyrocopters; manned free balloons; and airships.

3.    Operating Experimental Light-Sport and Light-Sport Category. An applicant for DAR-T with authority to issue a Special Airworthiness Certificate in the Light-Sport Category or in the Experimental Category for the purpose of operating light-sport aircraft (LSA) must meet one of the following:

(i)    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have verifiable experience in the maintenance, inspection, or alteration of aircraft holding a Special Airworthiness Certificate in the light-sport, or experimental light-sport categories.

(ii)    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have conducted at least one certification of these aircraft as an FAA ASI (Airworthiness).

(iii)    Currently hold a mechanic certificate with airframe and powerplant ratings, or an LSA repairman’s certificate with maintenance rating, that has remained continuously in effect for the 3 years immediately preceding application, and has 3 years of verifiable experience with maintaining LSA of the same type and complexity as requested.

(iv)    Have a minimum of 3 years of verifiable experience as a field technical representative or a quality assurance inspector employed by the manufacturer of a light-sport category aircraft of one of the type and complexity listed below.

Note:  Light-sport type and complexity include propeller-driven airplanes or gliders; weight shift control aircraft and powered parachutes; and lighter-than-air aircraft.

(3)    Minimum Qualification Requirements for Issuance of Export and Domestic Approvals.

(a)    Export Approval of Aircraft. An applicant for DAR-T with authority to issue an export approval for an aircraft must:

1.    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and have verifiable experience in demonstrating eligibility for export approval for these aircraft, or

Note:  This experience could be obtained by serving as an individual within a company as identified above, with responsibility for demonstrating compliance with export requirements when the company or a customer of the company is the applicant.

2.    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested and have issued at least one export approval for these aircraft as an FAA ASI (Airworthiness).

(b)    Export Approval and Domestic Approval of Engines. An applicant for DAR with authority to issue an export or domestic approval for engines must meet one of the following:

1.    Qualify under Chapter 2, paragraph 4c(3)(a) (Minimum Qualification Requirements for Issuance of Export Approvals of Aircraft) for export approval of the type and complexity of aircraft the engines are commonly installed on as follows:

    Propeller-driven airplanes: reciprocating or turboprop or turboshaft engines.

    Turbojet airplanes: turbojet or turbofan engines.

    Rotorcraft: reciprocating or turboprop or turboshaft engines.

    Airships: reciprocating engines.

2.    Hold a mechanic certificate with powerplant rating that has remained continuously in effect for the 3 years immediately preceding application, have 6 months experience within the preceding year, be employed at a 14 CFR part 121 or part 135 air carrier, or a part 145 repair station, and hold authority from the employer to issue approval for return to service after maintenance of engines. Applicant must have verifiable experience in demonstrating eligibility for export approval for engines.

3.    Hold a repairman certificate at a 14 CFR part 121 or part 135 air carrier, or a part 145 repair station that has remained continuously in effect for the 3 years immediately preceding application, have 6 months experience within the preceding year, and hold authority from the employer to issue approval for return to service after maintenance of engines. The applicant must have verifiable experience in demonstrating eligibility for export approval for the following engines:

    Reciprocating;

    Turboprop or turboshaft; and

    Turbojet or turbofan.

(c)    Export Approval and Domestic Approval of Propellers. An applicant for DAR with authority to issue an export and domestic approval for propellers must meet one of the following:

1.    Qualify under Chapter 2, paragraph 4c(3)(a) for export approval of one of the following type and complexity of aircraft:

    Propeller driven airplanes, and

    Airships.

2.    Hold a mechanic certificate with powerplant rating that has remained continuously in effect for the 3 years immediately preceding application, have 6 months experience within the preceding year, be employed at a 14 CFR part 121 or part 135 air carrier, or a part 145 repair station, and hold authority from the employer to issue approval for return to service after maintenance of propellers. The applicant must have verifiable experience in demonstrating eligibility for export approval for propellers.

3.    Hold a repairman certificate at a 14 CFR part 121 or part 135 air carrier, or a part 145 repair station that has remained continuously in effect for the 3 years immediately preceding application, have 6 months experience within the preceding year, and hold authority from the employer to issue approval for return to service after maintenance of propellers. The applicant must have verifiable experience in demonstrating eligibility for export approval for propellers.

(d)    Export Approval and Domestic Approval of Articles. An applicant for DAR with authority to issue an export and domestic approval for articles must meet one of the following:

1.    Qualify under Chapter 2, paragraph 4c(3)(a) for export approval of aircraft of the same type and complexity on which the article is eligible for installation;

2.    Qualify under Chapter 2, paragraph 4c(3)(b) for export approval of parts and appliances used on the same type and complexity of engines, or propellers; or

3.    Hold a mechanic certificate or a repairman certificate at a 14 CFR part 145 repair station, or a part 121 or part 135 air carrier that has remained continuously in effect for the 3 years immediately preceding application, with current authority to issue approval for return to service after overhaul of parts or appliances. The applicant must have at least some verifiable experience in demonstrating eligibility for export approval for these parts or appliances.

Note:  DAR-Ts authorized function code 180 must be issued limitations with this function code. The limitations should be established based on the applicant’s verifiable experience.

(4)    Minimum Qualification Requirements for Other Specific Authorizations.

(a)    Issue notification of completion for Aging Aircraft Records Review/Spot Inspection. An applicant for DAR with authority to issue a notification of completion to a 14 CFR part 121, 129, or 135 operator after conducting aircraft records review and structural spot inspection must meet one of the following:

1.    Qualify under Chapter 2, paragraph 4c(1) for airplanes of one of the following type and complexity: propeller-driven multiengine airplanes or turbojet-powered multiengine airplanes); and have verifiable experience in the maintenance, inspection, or alteration of these airplanes operated under 14 CFR part 121, 129, or 135.

2.    Qualify under Chapter 2, paragraph 4c(1) for airplanes of one of the following type and complexity: propeller-driven multiengine airplanes or turbojet-powered multiengine airplanes); and have conducted at least one aging airplane records review and structural spot inspection of these airplanes operated under 14 CFR part 121, 129, or 135 as an FAA ASI (Airworthiness).

Note:  Type and complexity include propeller-driven multiengine airplanes or turbojet-powered multiengine airplanes.

Note:  Before exercising the authority of this function, the applicant must be thoroughly familiar with the appropriate chapters of FAA Order 8900.1 and have satisfactorily completed on-the-job training (OJT) on the air carriers approved maintenance policies and procedures from the cognizant certificate holding district office (CHDO). The DAR-T must maintain documented proof of the training from the CHDO in DMS. The DAR-Ts limitations for function codes 197 and 198 must include each air carrier for which they have received OJT by the CHDO and been authorized to perform these activities by their managing specialist. A DAR-T may not issue a notification of completion for Aging Aircraft Records Review/Spot Inspection for any air carrier unless the air carrier is identified in the limitations.

(b)    Issue data approvals in support of a major repairs or alterations. An applicant for DAR-T with authority to issue data approvals in support of a major repairs or alterations must meet one of the following:

1.    Qualify under Chapter 2, paragraph 4c(1) for aircraft of the same type and complexity as requested, and have verifiable experience in applying for and receiving at least three field approvals of major repairs and/or alterations for each type and complexity of aircraft as requested.

2.    Qualify under Chapter 2, paragraph 4c(1) for airplanes of the same type and complexity as requested, and have approved at least three field approvals of major repairs or alterations as an FAA ASI for each type and complexity of aircraft as requested.

Note:  This authority may be issued for the following type and complexity of aircraft:

    Propeller-driven airplanes or gliders.

    Turbojet-powered airplanes with a GTOW of 85,000 lbs. or less.

    Turbojet-powered airplanes with a GTOW of more than 85,000 lbs.

    Rotorcraft.

    Manned free balloons.

    Airships.

3.    Authority may be issued for data approval of engine repairs or alterations based on qualifications on aircraft categories under Chapter 2, paragraph 4c(1). In addition, the applicant must have verifiable experience in applying for and receiving at least three field approvals of engine repairs or alterations, or in approving at least three field approvals for engines as an FAA ASI. This authority may be issued for the following type and complexity of engines:

    Propeller-driven airplanes: reciprocating and turboprop or turboshaft engines.

    Rotorcraft: reciprocating and turboprop or turboshaft engines.

    Airships: reciprocating or turboprop or turboshaft engines.

    Turbojet airplanes: turbojet or turbofan engines.

5.    Privilege, Not a Right. See Volume 1.

6.    Post Application. See Volume 1.

7.    Maintaining an Active Designee Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of DME, DPRE, and DAR-T applicants. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the application process for a DME, DPRE, and DAR-T applicant.

2.    General.

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a.    Selection Process. The general process of selection can be broken down into three parts: DMS determines if the designee meets system-defined minimum qualifications; the selecting official determines if need and ability requirements are met; and then assigns an evaluation panel to further review the applicant’s qualifications and abilities. (See Figure 5-1, High-Level Selection Process Flow, for a high-level representation of the selection flow.)

Figure 5-1.  High‑Level Selection Process Flow

Figure 5-1. High Level Selection Process Flow

b.    Selection Considerations.
(1)    When a need for a designee has been identified, the field office management will query DMS for a listing of qualified applicants.

Note:  DMS is the sole source from which to obtain qualified applicants.

(2)    Under normal circumstances, DMS will generate a listing of qualified applicants fulfilling the specific requirements set forth by the field office.
(3)    An evaluation panel, determined by the selecting official, will then be established to review and evaluate the list of viable applicants identified through DMS.
(4)    DMS replaces the initial applicant screening process previously held by the National Examiner Board (NEB). DMS automatically produces a list of the qualified applicants for each designee type based on the experience, credentials, background, and geographic requirements specified by field office management.

3.    Need and Ability to Manage. See Volume 1.

4.    Requesting Qualified Applicants.

a.    Initial Request. DMS will return all qualified applicants per the request.
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b.    Minimum Qualification Deviation Request Process. When there are no applicants in DMS for the specific need of the office, the managing specialist may request that the selecting official petition the National Program Offices (NPO) for a deviation from the minimum qualifications as follows:
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(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo to the NPO outside of DMS.
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(2)    Coordination. The selecting official must route the request though the appropriate division management leadership for their office, for concurrence external to DMS. If in agreement with the recommendation, the NPO will document the circumstances and justification in DMS and complete the required DMS process.
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Note:  The purpose of a deviation is to fill a specific need that the managing office has for which there are not qualified applicants in DMS. The expectation is that the office would appoint the applicant within 30 days of granting the deviation. If the applicant has not been appointed after 30 days, the process ends.

5.    Evaluation.

a.    Evaluation Panel. The selecting official will assign an evaluation panel to further evaluate the applicant(s) that DMS identifies. At such time that one or more viable applicants have been identified through DMS, an evaluation panel is convened to consider the merits of each applicant. The panel is generally comprised of three FAA staff which should include:
(1)    The managing specialist expected to be assigned to the designee. The presumed managing specialist will assume a lead role during the evaluation process and will coordinate the Evaluation Panel results within DMS.
(2)    Two additional ASIs which may include a Front Line Manager (FLM).
b.    Evaluation Panel Tasks. The evaluation panel assesses each applicant’s background, knowledge, and experience by conducting a thorough review of the designee application. To support this process, the following tasks must be accomplished:
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(1)    Verify that the applicant’s responses to qualification questions within DMS are valid for the particular function codes or authorizations listed.
(2)    Verify that the applicant possesses the appropriate airman certificate for the authorities sought.
(3)    Review relevant information for each prospective application from each of the following FAA databases in order to determine that candidate’s aviation background and any issues which may have an adverse effect on that candidate’s application:

(a)    Enforcement Information System (EIS);

(b)    Accident/Incident Data System (AIDS);

(c)    SPAS;

(d)    Program Tracking and Reporting Subsystem (PTRS); and

(e)    DMS.

(4)    Ensure, based on the research found in the databases above, that the requirements of Volume 1, Chapter 4, Designee Appointment, are met.
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(5)    Contact personnel listed in the DMS application to validate experience claimed by the applicant.
(6)    Interview the applicant to determine if the general and specific qualifications necessary for appointment are present, responses are consistent with the application information, and the qualities necessary to be successful as a designee are possessed.
(7)    Evaluate the applicant’s facilities and equipment to be used for testing (DME/DPRE).
c.    Evaluation Panel Outcomes.
(1)    When the evaluation panel determines that an applicant meets the requirements for designation, the results are documented in DMS and a recommendation is provided to the appointing official through the selecting official. If the appointing official is in agreement with the recommendation, the appointment process will ensue. Refer to Chapter 4 in this order for information relating to the appointment process.
(2)    If the evaluation panel, with concurrence from the selecting official, rejects all applications provided by DMS for good cause, the managing office should encourage suitable applicants to apply through DMS so that they can be considered.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the designee appointment of DME, DPRE, and DAR-T, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the appointment of a DME, DPRE, and DAR-T.

2.    General.

a.    Appointment Process. Below is a high-level representation of the appointment process.

Figure 5-2.  High‑Level Appointment Process Flow

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Figure 5-2. High Level Appointment Process Flow

b.    Appointment Considerations.
(1)    The managing specialist should issue appropriate privileges and limitations in the CLOA based on the following:

(a)    Applicant’s background experience;

(b)    Applicant’s personal and professional qualifications as described in Chapter 2, Application Process; and

(c)    Needs of the appointing office.

(d)    For DAR-Ts, limitations must be included for function codes 197 and 198 that contain each air carrier for which they have been authorized and have received OJT by the cognizant air carrier CHDO.

(2)    The managing specialist will verify that the following events are completed and recorded in DMS:

(a)    Successful completion of the initial designee-specific training conducted by the FAA’s Designee Standardization Branch (AFS-640) in Oklahoma City, OK. For a list of the training, visit
https://av-info.faa.gov/dsgreg/sections.aspx.

(b)    Applicant has attended a local office orientation.

1.    For DAR-Ts, DMEs, and DPREs, the managing office should review the following:

(i)    Product Certification. Caution the designee that any irregularities or deficiencies related to the delegated work may result in the termination of the designation under the provisions of 14 CFR part 183, § 183.15(b)(4).

(ii)    Authorized Functions. Remind the designee to perform only authorized functions within the limits of his or her authority.

(iii)    Communication. Remind the designee to request preapproval through DMS before accepting any applicant requests for certification, inspection, testing, or approval activities. The DAR-T must also obtain any special directions or instructions deemed necessary for their managing FAA office.

(iv)    Activity Reporting. Remind the designee that all activities performed under their delegation must be recorded in DMS.

(v)    Safeguarding of Forms. Emphasize that the designee must properly safeguard all FAA forms, certificates, and other official documents. Under no circumstance will any certificate be in the possession of an applicant until the designee has completed and signed the certificate. All airworthiness certificates or approvals and related documents will include the designee’s printed or typed name, signature, and designation number.

(vi)    Conflicts of Interest. Remind the DAR-Ts that they are not allowed to perform any mechanical, maintenance, or inspection function or to act as an agent on behalf of an applicant (e.g., an owner, agent, repair station, or Production Approval Holder (PAH)) on products for which the applicant seeks an airworthiness certificate or approval. This would not preclude the DAR-T from performing maintenance, mechanical functions, or inspections or acting as an agent in a non-DAR-T capacity when not involved in the airworthiness certification/approval actions under the DAR-T’s authority.

(vii)    Use of Authority. Remind the DAR-Ts to ensure that products meet the FAA-approved type design data, are in a condition for safe operation, and comply with any other applicable regulations (e.g., Airworthiness Directives (AD), marking requirements, registration, and special importing requirements) before issuing airworthiness or export certificates. The DAR-T will seek guidance from their managing office when problems arise that he or she cannot resolve.

(viii)    Document Submittal. Remind the designees to submit applicable original or duplicate documents within 7 days of completion to the managing office for review. Designees must not submit aircraft certification documents or files directly to the Aircraft Registration Branch (AFS-750) or Airmen Certification Branch (AFS-760). They must submit aircraft certification files to the geographically cognizant FAA office for review before forwarding to AFS-750 or AFS-760.

(ix)    Airworthiness Applications—DAR-T Only. Emphasize that the DAR-T is to review applications for completeness and ensure that the various airworthiness certificates or approvals have certification statements signed by an applicant or authorized agent. When appropriate, the DAR-T must also obtain a completed FAA Form 8130-9, Statement of Conformity, from an applicant before performing any inspections, in accordance with FAA Order 8130.2, Airworthiness Certification of Products and Articles.

(c)    Applicant has received required OJT for any air carrier authorized in DAR-T function codes 197 or 198 and documented it in DMS.

(3)    The managing specialist will observe the DME and DPRE applicants conducting their first oral and practical test. See the “Direct Observation” section within Chapter 6, Oversight and Management of a Designee, for more information.

3.    Designee Number. See Volume 1.

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4.    CLOA. The CLOA will identify the designee type and the specific authorizations, or function codes and limitations.

5.    Appointment Duration.

a.    Initial Duration. The initial duration of a designee’s appointment is up to 12 calendar-months.
b.    Renewal Duration. When renewing the designation, appointment duration lasts up to 36 calendar‑months. For renewal considerations, see Chapter 8, Renewal of Designee Appointment.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter provides the policy related to the responsibilities and obligations of DMEs, DPREs, and DAR-Ts, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the responsibilities and obligations of DMEs, DPREs, and DAR-Ts.

2.    Designee Responsibilities.

a.    General Responsibilities.
(1)    The FAA encourages designees to attend and take part in applicable FAA Safety Team (FAASTeam) training and events. The FAA values the participation of FAASTeam representatives in providing support for safety meetings.
(2)    Provide FAA testing and certification activities without prejudice or discrimination in a fair and unbiased manner.
(3)    Maintain a high level of knowledge, skill, and expertise commensurate with authorizations.
(4)    Charge no more than a reasonable fee for services.
(5)    Keep abreast of current aviation trends and technologies.
(6)    Serve as a willing resource to the aviation community on matters of FAA airman certification regulations and policy.
(7)    Set a high standard of airmanship and safety through personal example.
(8)    Exercise diligence and care in the preparation of airman certification documentation and files.
(9)    Always represent the FAA and its workforce to the public in a positive manner.
b.    DME and DPRE Responsibilities.
(1)    A designee must maintain a high degree of knowledge and skill in the subject areas required for airman certification, evaluation, and testing techniques.
(2)    Designees must give undivided attention to the applicant during the testing period.
(3)    Designees must ensure that discussion following any test is private and is confidential.
c.    DME and DPRE Privileges. The DMEs and DPREs are authorized to:
(1)    Accept applications for airman certificates and ratings using FAA Form 8610-2 or the Integrated Airman Certification and Rating Application (IACRA) equivalent.
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(2)    Conduct tests, in the English language, appropriate to the FAA CLOA held by the designee, in accordance with the appropriate PTS/ACS.
(3)    Issue Temporary Airman Certificates to applicants who have been tested and found qualified for the certificate or rating sought. The managing office may retain this privilege.
d.    DME and DPRE Limitations. The DME and DPRE must not:
(1)    Conduct tests at locations not listed on the current CLOA held by the designee, unless authorized by the managing office.
(2)    Test an applicant outside the authorized geographical area without specific approval.

(a)    If a designee wants to administer tests outside the geographical area of the managing Flight Standards District Office (FSDO) or International Field Office (IFO), the designee must receive authorization from the managing FSDO or IFO, as well as from the receiving office.

(b)    This is processed and authorized through the preapproval process in DMS.

(3)    Conduct or monitor any portion of computer knowledge tests.
(4)    Reissue or amend any expired Temporary Airman Certificate.
(5)    Endorse, amend, alter, or issue any permanent airman certificate.
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(6)    Exempt any applicant from the testing requirements in the applicable PTS/ACS.
(7)    Combine teaching with testing during the testing of an applicant.
(8)    Conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable 14 CFR part 65.
(9)    Conduct oral and practical tests unless the applicant has passed the required airman knowledge test.

Note:  This does not apply to aviation mechanic applicants authorized to test in accordance with 14 CFR § 65.80 or master parachute rigger applicants that hold a senior certificate.

(10)    Temporarily suspend a test to allow the applicant further study, and then continue the same test later.
(11)    Conduct an oral or practical test with more than one applicant at a time.
(12)    Conduct tests in any language other than English.
(13)    Conduct oral and practical tests at the base of operation that appears on the designee’s CLOA unless the location is adequately equipped with available equipment and material necessary for conducting the tests, and permission is granted by the managing office through DMS.
(14)    Conduct oral and practical tests to applicants who have been authorized to test by an office other than the designee’s managing office, unless:

(a)    The designee reports the request for testing to his/her managing FSDO or IFO; and

(b)    The designee receives written permission, via DMS, before conducting the test. The designee may be issued continuing authorization to perform these tests.

Note:  This paragraph is intended as a limitation for the designee. Applicants are not required to present their application to the local FSDO or IFO for reauthorization unless there is evidence that their original authorization is in question.

e.    DAR-T Privileges.
(1)    The DAR-Ts are authorized to perform examination, inspection, and testing services necessary to issue certificates within the limits of their authorized function codes, as well as to determine the continuing effectiveness of certificates.
(2)    It is the FAA's intention that designees perform their authorized function(s) within the geographical boundaries of their managing office. However, a managing office may authorize a designee to perform authorized function(s) outside the geographic boundaries (including other countries) on a case-by-case basis as long as the ability of the FAA to adequately monitor and supervise the designee is maintained. See Chapter 6, Oversight and Management of a Designee, of this volume for instructions on this process.
f.    DAR-T Limitations. The DAR-T must not:
(1)    Perform any function for which they have not been authorized.
(2)    Perform evaluations, surveillance, or investigation of quality control systems data, procedures, methods, or service difficulty reports, on behalf of the FAA.
(3)    Approve departures from specific policy and guidance, new or unproven technologies, equivalent level of safety findings, special conditions, or exemptions. These are inherently governmental functions and cannot be delegated to a designee.
(4)    Issue U.S. airworthiness certificates or special flight permits on non-U.S.-registered aircraft.
(5)    Perform any mechanical, maintenance, or inspection function on behalf of an applicant (e.g., owner, agent, repair station, or PAH) on products or articles for which an airworthiness certificate or approval is sought.

Note:  This would not preclude the DAR-Ts from performing maintenance, mechanical functions, or inspections in a non-DAR-T capacity when not involved in the airworthiness certification or approval actions under their DAR-T authority.

(6)    Sub-delegate authorized functions.
(7)    Perform their authorized function(s) outside the geographical boundaries of their managing office.

Note:  Using DMS, the managing specialist may authorize a designee to perform authorized function(s) outside the geographic boundaries (including other countries) on a case-by-case basis as long as the ability of the FAA to adequately monitor and supervise the designee is maintained.

3.    Ongoing Requirements of a Designee.

a.    General Requirements. To complement the general requirements established in Volume 1, Chapter 5, Responsibilities and Obligations of a Designee, a DME, DPRE, DAR-T will:
(1)    Maintain the minimum qualifications established for appointment as specified in this order, including certification, initial and recurrent training, and attendance at the required annual meetings.
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(2)    Maintain and use the most current versions of the CFR, the PTS/ACS, and applicable FAA orders. Storage and retrieval of these documents may be electronic.
b.    Annual Meeting.
(1)    As a requirement for renewal, DME, DPRE, DAR-Ts must attend the annual designee meeting conducted by the managing office.
(2)    The FAA office should attempt to schedule the annual meeting to allow all designees of the same type to meet together in one location at the same time to discuss, at a minimum, the following subject areas:

(a)    Local issues;

(b)    Local problem areas;

(c)    Local procedures;

(d)    Standardization issues;

(e)    Designee performance; and

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(f)    Regional and national issues as passed down by the regional focal point (e.g., trends, best practices, etc.). The regional focal point’s duties are explained in FAA Order 8900.1, Volume 13, Chapter 5, Section 4.

(3)    The field office managing specialists should coordinate with the regional focal point to determine any regional or national issues that should be addressed at the local meeting. When possible, the regional focal point should be present at the local meeting.
(4)    A record of attendance by each designee must be documented in DMS by the managing specialist.
(5)    In cases where, beyond the designee’s control, it is not possible for a designee to attend the annual meeting, the managing specialist must meet with that designee to discuss the same subject material presented at the meeting. The local office may opt to record their meetings on video and use the media for make-up meetings. This allows designees who missed the meeting to also benefit from the dialogue between designees during the meeting. A designee who misses this annual meeting must still satisfy the annual meeting requirement before renewal.

4.    References, Forms, and Supplies.

a.    DME and DPRE Designee Materials. The managing office should provide each designee with supplies appropriate to the designation, or direct them to where they are available. The following supplies are necessary for the performance of designee duties. The managing office may issue some or all of the designee materials at the time of selection. With the exception of FAA Form 8060-4, the material can be found online at www.faa.gov or through common sources such as the Government Printing Office (GPO).
(1)    DME and DPRE.

(a)    FAA Form 8610-2, Airman Certificate and/or Rating Application.

(b)    FAA Form 8060-4, Temporary Airman Certificate.

(2)    DME.

(a)    FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller or Appliance).

(b)    FAA S 8081-26, Aviation Mechanic General Practical Test Standards (PTS).

(c)    FAA 8081-27, Aviation Mechanic Airframe Practical Test Standards (PTS).

(d)    FAA 8081-28, Aviation Mechanic Powerplant Practical Test Standards (PTS).

(e)    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).

(3)    DPRE.

(a)    FAA S 8081-25, Parachute Rigger Practical Test Standards (PTS).

(b)    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).

b.    DAR-T Designee Materials.
(1)    FAA Form 8130-3, Airworthiness Approval Tag.
(2)    FAA Form 8130-7, Special Airworthiness Certificate.
(3)    FAA Form 8100-2, Standard Airworthiness Certificate.
(4)    FAA Form 8130-9, Statement of Conformity.
(5)    FAA Order 8130.2, Airworthiness Certification of Products and Articles.
(6)    FAA Order 8130.21, Procedures for Completion and Use of the Authorized Release Certificate, FAA Form 8130-3, Airworthiness Approval Tag.
(7)    FAA Order 8300.16, Major Repair and Alteration Data Approval.
(8)    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).
c.    Security. Each designee is responsible to establish and carry out appropriate security procedures. The security of the controlled material is important to prevent compromise, and to ensure the applicants meet the aeronautical skill standards for aviation mechanic certificates and ratings. The designee must secure the aforementioned material in a manner that will not allow unauthorized access (e.g., a locked drawer, cabinet, or closet). Only authorized representatives of the FAA Administrator will receive access to secured material. The designee should refer any public request for the secured material to the managing office.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of DME, DPRE, and DAR‑T designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the oversight and management of DME, DPRE, and DAR-T.

2.    General.

a.    General Considerations.
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(1)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. Managing specialists are also responsible for ensuring that DMEs and DPREs are thoroughly coached in the importance of their role of administering oral (knowledge) and practical (skill) tests to the applicants in accordance with Order 8900.1, Volume 5, and the PTS/ACS.
(2)    Oversight will include an inspection and performance evaluation of each designee at least annually. The inspection outcomes provide data to be used in completing each designee’s performance evaluation.
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(3)    Designees can expect that the managing office will assign to each DME, DPRE, and DAR-T a managing specialist that is a qualified ASI (Airworthiness) and will develop oversight plans to ensure quality, integrity, and compliance with current policy, regulations, and the PTS or ACS as appropriate; the highest degree of professionalism; the identification of potential hazards and risks to aviation safety. If and when the FAA discovers deficiencies, the managing specialist will respond in a manner prescribed by the common designee policy in this order, and other relevant FAA guidance.
(4)    DMEs and DPREs should expect the FAA to observe them conducting their first complete test. Thereafter, the designees may be inspected or observed by FAA personnel at any time with or without prior notice.
(5)    The managing specialist documents oversight activities and results in DMS. Such reporting is not only crucial for managing individual designees, but also for identifying strengths and weaknesses in the entire DMS.
b.    Managing Office and Managing Specialist. See Volume 1.
c.    Oversight and DMS.
(1)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. DMS establishes the minimum required oversight activities for each designee based on their authorized activities and risk-based data. Additional oversight may be conducted as deemed necessary by the managing specialist or managing office. Oversight activities are the responsibility of the designee’s managing specialist and the managing specialist is expected to conduct the oversight activities. However, other ASIs can enter oversight activities on the designee, and there are provisions in DMS for the managing specialist to “take credit” for an oversight activity of the same type conducted by another ASI if it’s in the required timeframe. Additional instructions are included in the DMS Job Aids for oversight activities.
(2)    The managing specialist must conduct designee performance evaluations on an on-going basis predicated on the outcome of oversight activities. The managing specialist should record in DMS the results of individual oversight activities. However, the managing specialist must record in DMS a formal evaluation at least once every 12 calendar-months, generally completed during the designee’s anniversary month.
d.    Performance Measures. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:
(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.
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(a)    Knowledge and Understanding. Does the designee understand the technical terminology contained in FAA orders, the PTS/ACS, and other reference material used in planning, describing, or conducting the certification activity? Does the designee demonstrate an expert level of knowledge about the maintenance practice, aircraft operation and systems (if applicable)?

(b)    Interpret and Apply. Does the designee correctly interpret and apply the technical performance standards defined by the appropriate testing standard, order, or regulation?

(c)    Equipment and Materials. Does the designee possess, select, use, or inspect (when supplied by the applicant) the appropriate and serviceable equipment, devices, tools, reference material, etc., when planning or conducting certifications?

(2)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.

(a)    Review of Applications for Completeness. Does the designee follow the correct procedure when accepting applications and determining applicant eligibility?

(b)    Submittal of Information and Data to FAA. Does the designee properly submit information, documents, and data to the FAA when it is required by FAA orders or by specific instructions provided by the FAA managing office?

(c)    Conducting Evaluations, Tests, and Certifications. Does the designee follow the correct procedure when conducting airman or airworthiness certifications, grading, evaluating, and providing feedback to applicants during certification?

(d)    Issuing Certificate, Approval, Authorization, or Results to the Applicant. Does the designee follow the correct procedure when completing and issuing certificates, approvals, test results, or other findings to the applicant upon completion of the certification activity?

(3)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude, and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

(a)    Oral and Written Communication. Does the designee effectively communicate either in writing or in conversation with the FAA and general public? Does the designee provide feedback to the FAA with ways to improve the designee system?

(b)    Professional Representation of FAA. When dealing with the public, does the designee demonstrate a positive reflection on the FAA and a willingness to comply with FAA policy and managing office instruction?

(c)    Cooperative Attitude with the FAA. Is the designee easy to work with and present a positive attitude when interacting with the FAA? Is the designee responsive to the FAA and reasonably accessible to the FAA as required?

(d)    Ethics and Judgment. Does the designee maintain high ethical standards and demonstrate good judgment in the conduct of authorized activities?

(4)    DME, DPRE, DAR-T Performance Measures. Additional performance measures for DME, DPRE, and DAR-Ts include, but are not limited to the following:

(a)    Completes pretest and posttest briefings as appropriate;

(b)    Makes an accurate “pass/fail” determination (for DMEs and DPREs); and

Indicates new/changed information.

(c)    Properly completes appropriate certification documents. (Documents will be evaluated for correctness, legibility, and compliance with FAA regulations/policies.)

3.    Oversight Actions.

a.    Planning an Oversight Activity.
(1)    Risk-Based Analysis. Managing specialists conducting oversight of designees should use a risk‑based analysis to determine if an inspection is necessary. Circumstances that warrant an oversight activity include, but are not limited to:

(a)    Oversight from DMS generated oversight activities. The managing specialist also determines if additional oversight may be necessary.

(b)    Complaints received about a designee’s conduct during certifications.

(c)    New designees (inspections can occur at a higher level of frequency to ensure compliance).

(d)    Review of designee’s certification files or reports produced through DMS indicate one or more of the following:

1.    Overall problems with the certification files;

2.    A “no failure” or “high pass rate” that seems unusual;

3.    A high activity rate;

4.    Applicants are traveling long distances; or

5.    High rate of activities outside the designee’s geographic boundaries.

(2)    Prepare for the Inspection.

(a)    Review the following documents prior to the inspection:

1.    Designee’s file;

2.    Designee’s planning sheets;

Note:  Copies of test planning sheets (for both DME/DPRE) are no longer required to be kept in the managing FAA office file and must be included in certification packages forwarded to the Airmen Certification Branch (AFS-760). However, FAA offices may choose to retain a copy of the test planning sheet in the designee’s file.

3.    Previous inspection reports and historic PTRS and DMS entries; and

4.    Any correspondence between the field office and designee since the last inspection.

5.    Since an applicant’s hours may be incompatible with the FAA’s normal duty hours, the ASI will make every effort to be flexible when scheduling oversight of activities.

(b)    If appropriate, review the designee’s preapproval within DMS and arrange the inspection to coincide with the scheduled certification event.

b.    Oversight Activities. Designee oversight includes the comprehensive management, monitoring, and tracking of a designee and related activities. All of these actions are considered Oversight Activities in DMS. A complete surveillance of a DAR-T, DME, or DPRE involves a group of Oversight Activities performed to observe the designee’s performance. These oversight activities may be completed independently within a set timeframe, or any number of them may be completed in conjunction with one another. This approach to oversight was adopted to allow managing specialist flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee oversight is most effective when it occurs throughout the year rather than an all-at-once, infrequent approach. The frequency of each of these activities will be determined by DMS.
(1)    Direct Observations. A direct observation is an oversight activity that includes a managing specialist observing the designee performing certification work that allow the managing specialist to determine the designee’s performance. Direct observations provide the managing specialist the opportunity to determine if the designee is performing the work within the guidelines, give feedback to the designee, and gain insight into the designee’s technical, professional, and procedural attributes. A minimum number of direct observations will be required by policy to be completed by a managing specialist (see DMS to determine frequency). The number of direct observations may be increased by managing specialists if deemed appropriate due to various risk indicators that may be established, such as when a designee’s performance is “Unsatisfactory” or “Needs Improvement”, or any other reason deemed appropriate.

(a)    During a direct observation for a DME or DPRE, the managing specialist should assure the applicant that the observation is focused on the designee and not the applicant. Although this may not alleviate the heightened level of anxiety, the managing specialist should make the applicant as relaxed as possible.

(b)    If the managing specialist observes a designee that is not following proper certification policy, the managing specialist has the responsibility to stop the certification and discuss the concern with the designee without the applicant being present. Under no circumstances will the managing specialist allow the certification to be issued until the discrepancy(ies) are corrected.

Indicates new/changed information.

(c)    Managing specialists may, at their discretion, allow the DME and DPRE to continue with the Oral and Practical (O&P) test, after discovering that the designee omitted an item required by the PTS/ACS. The managing specialist may allow the designee to complete the O&P, but must not allow the airman certificate to be issued.

Note:  This type of discrepancy would be noted in DMS as a procedural issue and might require additional observations by the managing specialist to ensure the problem does not continue.

(d)    Observe the DME or DPRE conducting an exam and perform pretest inspection activities as described below:

1.    Review the planning sheet to determine the following:

(i)    Does the planned test include all the questions and projects required by the mechanic and/or parachute rigger oral and practical test standard?

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(ii)    Does the test cover each subject area/area of operation required by the PTS/ACS for the certificate/rating sought?

2.    Ensure the DME or DPRE receives and properly reviews a completed application from the applicant and the applicant is eligible to take the oral (knowledge) and practical (skill) examinations.

3.    Ensure the DME or DPRE requests appropriate identification from the applicant to validate the applicant’s identity.

4.    Ensure the DME or DPRE does not intend to administer the O&P test to more than one applicant at a time.

5.    Ensure the applicant is informed that the inspector is principally observing the DME or DPRE’s performance and that at the conclusion of the tests, unless circumstances otherwise warrant, the DME or DPRE will issue a temporary certificate if the applicant passes the test.

6.    Ensure the DME or DPRE conducts the oral and practical portions of the exam in accordance with the procedures in Order 8900.1.

Note:  The inspector should request a copy of the planning sheet for the specific test being observed in advance of the test in order to avoid interruption. The inspector should direct any questions regarding the test plan or adequacy of the test to the technical personnel examiner (TPE) in private before the beginning of the test.

(e)    Observe the DAR-T’s Delegated Work Activities. At least once during each 4 quarter period, witness the designee performing an authorized function for each of the function groups held to ensure satisfactory performance. DMS will identify the required direct observations and other required activities for each DAR-T. Direct observations by function code groups include the following:

1.    Observe a complete aircraft certification activity, export certificate of airworthiness or special flight permit (function codes (F/C) 101–176).

2.    Observe a complete domestic airworthiness approval or export airworthiness approval (F/Cs 177–196).

3.    Observe a complete inspection (aging aircraft notification of records reviews and aircraft inspections) (F/Cs 197–198).

4.    Review and or/ observe a data approval (field approvals) (F/Cs 199–220).

(2)    Post-Certification Oversight Activities.

(a)    DME or DPRE. Ensure the DME or DPRE completes and submits the certification file in accordance with Order 8900.1. After observing the DME or DPRE conduct an oral (knowledge) and practical (skill) test of the applicant, note one of the four possible outcomes below. In each of these outcomes, conduct a debriefing with the DME or DPRE separate from the applicant. Discuss the performance of the applicant and the DME or DPRE, and recommend areas of improvement needed by the DME or DPRE.

1.    If the DME or DPRE and the applicant perform satisfactorily, observe the DME or DPRE properly completing FAA Form 8610-2 and issuing FAA Form 8060-4.

2.    If the DME or DPRE performs satisfactorily but the applicant is unsatisfactory, observe the DME or DPRE properly completing FAA Form 8610-2 and properly identifying the subject areas or area of operation or task failed or not tested in the block for remarks.

3.    If the DME or DPRE performs unsatisfactorily but the applicant performs satisfactorily, allow the DME or DPRE to complete FAA Form 8610-2, and issue FAA Form 8060-4. This is only possible if the inspector determines that an adequate test was given. If the DME or DPRE’s performance was inadequate, resulting in an invalid test, then the airman applicant was not properly evaluated and FAA Form 8060-4 should not be issued.

4.    If the DME or DPRE and the applicant perform unsatisfactorily, allow the DME or DPRE to properly complete FAA Form 8610-2, properly identifying the O&P projects failed or subject areas and tasks not tested.

(b)    DAR-T. The managing specialist will monitor the designee’s activity by reviewing the work records and reports for accuracy and by observing the activity to ensure that proper procedures and satisfactory inspection techniques or methods are used.

(3)    Site Visit.
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(a)    Visit the Designee’s Fixed Base. Validate that the designee meets the continued eligibility requirements of the designation by inspecting the following:

1.    Ensure the designee is providing adequate security for controlled documents. Whatever form of storage is utilized, the designee must prevent unauthorized access to controlled documents.

2.    Validate that the designee maintains a copy of all the forms and documents provided by the managing office required for the designation.

3.    Inspect the activity files/records and validate that the designee activity submitted to the managing office is being maintained by the designee as required.

4.    Examine the designee’s airman certificates for currency and appropriate ratings.

5.    Review the CLOA in DMS with the designee and validate that all information is still current and accurate.

6.    Ensure the designee completed a recurrent standardization training within the required interval.

Indicates new/changed information.

Note:  The fixed base for a DME or DPRE is the address listed on their CLOA. A DAR-T may have a fixed base of operations; however, the site visit activity may be performed at any location suggested by the DAR-T that is acceptable to the FAA provided that all the DAR-T requirements in this section are met at whatever location is inspected.

(b)    In addition, for DMEs:

Indicates new/changed information.

1.    Determine if the facility is adequately equipped to support testing to the level required by the PTS/ACS by inspecting the tools, equipment, airworthy assemblies, unairworthy assemblies, subassemblies, operational mockups, and materials required to complete a project assignment and demonstrate the basic skills for the certificate and rating sought to meet the equipment requirements of Order 8900.1.

2.    Ensure that the DME or DPRE maintains current copies (paper or electronic) of the following DME-related documents:

    Aviation Mechanic General PTS.

    Aviation Mechanic Airframe PTS.

    Aviation Mechanic Powerplant PTS.

    FAA Form 8610-2, Airman Certificate and/or Rating Application.

    FAA Form 8060-4, Temporary Airman Certificate.

    FAA Form 337, Major Repair and Alteration.

    Title 14 CFR Part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration.

    Title 14 CFR Part 65, Certification: Airmen Other Than Flight Crewmembers.

    Title 14 CFR Part 183, Representatives of the Administrator.

    Other data such as advisory circulars (AC), technical data, etc., which may be required for the development and administration of the test.

(c)    In addition, for DPREs:

Indicates new/changed information.

1.    Determine if the facility is adequately equipped to support testing to the level required by the PTS/ACS by inspecting the tools, equipment, airworthy assemblies, unairworthy assemblies, subassemblies, operational mockups, and materials required to complete a project assignment and demonstrate the basic skills for the certificate and rating sought to meet the equipment requirements of Order 8900.1.

2.    Ensure that the DME or DPRE maintains current copies (paper or electronic) of the following DPRE‑related documents:

    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).

    Parachute Rigger PTS.

    Applicable manufacturers’ parachute packing instructions.

    Poynter’s Parachute Manuals, Volumes I and II.

    Technical Standard Order (TSO), TSO-C23 Series, Parachutes.

    FAA Form 8060-4, Temporary Airman Certificate.

    Title 14 CFR Part 183, Representatives of the Administrator.

    Title 14 CFR Part 105, Parachute Operations.

    Parachute Industry Association (PIA) Technical Standard (TS) Publication, TS-108, Canopy Fabric Pull Test—Non-Destructive Method.

    AC 105-2, Sport Parachuting.

    Society of Automotive Engineers (SAE), SAE-AS8015 Series, Minimum Performance Standards for Parachute Assemblies and Components, Personnel.

    National Aerospace Standards (NAS) Specifications, NAS-804, Parachutes.

    Other data such as ACs, technical data, etc., which may be required for the development and administration of the test.

(d)    In addition, for DAR-Ts:

Indicates new/changed information.

1.    Ensure that the designee has acquired and maintains all guidance material necessary to perform the authorized function(s). For DAR-Ts performing certification activities of aircraft, determine that they have access to the FAA Electronic Data Retrieval System (EDRS) to perform necessary records research.

2.    Determine that the designee is performing within the scope of the authorized function(s).

3.    Verify that the designee’s attendance at the appropriate standardization training is in accordance with this order.

4.    Ensure that the designee coordinates with the FAA when authorized to work outside the designee’s geographic area.

Indicates new/changed information.

5.    Ensure that the designee is obtaining preapproval of all activities before performing delegated functions. Also ensure that preapproval by the FAA addresses any special directions or instructions that may be necessary before performing the delegated function(s).

Note:  Managing specialists must take immediate action on safety-related situations.

Note:  The designee must contact that FAA managing office should they have any concerns or questions regarding any delegated activity.

Indicates new/changed information. Indicates new/changed information.
(4)    Review of Certification Packages. Reviewing certification packages provides the managing specialist the opportunity to determine if the designee is performing the work within the guidelines, give feedback to the designee, and gain insight into the designee’s technical, professional, and procedural attributes. These reviews will be recorded in DMS. Correction notices received from the Civil Aviation Registry (AFS‑700) will also be recorded in DMS.

(a)    For Mechanic and Parachute Rigger Applications. The managing specialist should review every certificate or rating certification package for correctness. These certification packages must be sent to the overseeing FSDO via U.S. mail within 7 calendar-days of the test date.

Indicates new/changed information. Indicates new/changed information.

(b)    For DAR-T. Document reviews of certification files are required by FAA Order 8130.2, Airworthiness Certification of Products and Articles, each time an application for an airworthiness certificate (FAA Form 8130-6) is submitted from a DAR-T. Oversight of the DAR-T may be increased by the specialist if deemed appropriate due to various risk indicators that may be established (such as when a “needs improvement” event has been identified), or for any other reason deemed appropriate. Review of data approvals by DAR-Ts holding any function code between 199 and 208 will also be documented using the “Review of Certification Packages” process in DMS.

Indicates new/changed information.
(5)    Interviews of Recently Tested Airmen (DME and DPRE). Each managing specialist will conduct interviews of recently tested airmen annually. These interviews are to ensure that the examiner is properly following the PTS/ACSs when the FAA is not in attendance. Inform interviewees that the questions are to evaluate the testing procedure and are not a reexamination of their certificates. Conduct a sufficient number of interviews each fiscal year (at least five randomly selected airmen or 50 percent of the airmen newly certificated by the designee, whichever is fewer) to provide confidence that the designee is properly conducting the test. If the interviews indicate satisfactory performance by the designee, the schedule for direct observations developed by DMS may be followed. However, if the interviews of recently tested applicants indicate a deficiency with designee performance, the managing office must conduct additional surveillance.
Indicates new/changed information.
(6)    Provide Technical Assistance. Each managing specialist will document in DMS when they spend time providing technical assistance to one of their designees. This does not include answering a quick phone call or email, but only when research or training is involved in the assistance.
(7)    Review DMS Activity Log. Each managing specialist will review the activity log of each of the designees they manage for the previous four quarters. The managing specialist will look for possible actions contrary to policy.
Indicates new/changed information.
(8)    Review Feedback. Each managing specialist will record in DMS any information that has been received from outside sources regarding the performance of their designee. This may be positive or negative feedback, and may come from another FAA employee, or may come from someone outside the FAA. If any follow‑up action is required, and what that action should be, will be determined by the managing specialist.
(9)    Annual Meeting. Each managing specialist will record the attendance at the annual meeting of each of their designees.
(10)    Special Emphasis Items. Each managing specialist will record in DMS the completion of any special emphasis item(s). These activities are not routine surveillance or management of designees, but will be directed by the National Policy Office. Specific instructions for recording this activity will be provided.
c.    Outcomes of Oversight Activities. For all oversight activity, the managing specialist selects from three performance measure categories: Satisfactory, Needs Improvement, or Unsatisfactory. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory”, the managing specialist must enter descriptive text in the appropriate performance measure category(ies).
(1)    Follow-Up Action. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory”, then appropriate follow-up action(s) must be determined and recorded in DMS. These actions may include any of the following:

(a)    Counseling. As conditions warrant, the FAA will provide direct guidance and counseling to designees.

(b)    Suspension. The most common reason for a suspension is when the designee has not been following certification policy as described in FAA policy.

(c)    Termination. If counseling or suspension does not correct a deficiency in designee performance, termination of the designation must be initiated. Immediate termination may also be appropriate when a designee knowingly acts contrary to and/or deliberately disregards FAA policy.

Note:  A result of unsatisfactory for an oversight activity does not require suspension or termination provided that the issue is immediately corrected. If the unsatisfactory event cannot be corrected, then suspension or termination may be warranted.

Indicates new/changed information.
(2)    FAA Enforcement Action. In the event that actions require enforcement action, the managing specialist should refer to the current edition of FAA Order 2150.3, FAA Compliance and Enforcement Program, for correct procedures. Actions taken under the Compliance and Enforcement Program may include revocation of airman or operation certificates, or civil penalties, necessitated, in most cases, by fraudulent certifications performed by the designee. In the most egregious cases, criminal charges may be levied under Title 18 of the United States Code (18 U.S.C.) § 1001, which may lead to imprisonment.
d.    Annual Performance Evaluation. The performance evaluation is a consolidated review of oversight activity and other data available outside of DMS on a recurring basis. The performance evaluation results in an overall rating for the performance period and considers risk-based elements. Below is a high-level representation of the performance evaluation process.

Figure 5-3.  High‑Level Performance Evaluation Process Flow

Figure 5-3. High Level Performance Evaluation Process Flow

(1)    The objectives of the performance evaluation are for the managing specialist to:

(a)    Identify performance trends that are:

1.    Specific to the designee.

2.    Local. Compared to designees similar in authority locally.

3.    National. Compared to designees similar in authority nationwide.

(b)    Determine if corrective action is needed.

(c)    Conduct a risk assessment of the designee.

(d)    Review all data for the current performance evaluation period.

(e)    Determine Risk Value. For each performance measure (technical, procedural, professional), the managing specialist should assign a performance rating category based on the safety significance and frequency of the events reviewed. Each performance category is assigned a corresponding risk value. The sum of the three risk values determines the severity of risk. The performance rating categories are shown in Table 5-11, Performance Categories for Performance Evaluation, below.

Table 5-11.  Performance Categories for Performance Evaluation

Table 5-11. Performance Categories for Performance Evaluation

*Total Risk Value = Technical + Procedural + Professional risk values

Note:  Select the risk value that is associated with the rating description for each of the three performance categories. Only one number should be listed for each category. Add the three numbers from the performance categories to determine total risk value.

(f)    Determine Causal Factor Classifications.

Unknowingly

The designee was not aware of the error.

Careless

As a result of the lack of action by the designee, an error was made.

Intentional

The designee, with disregard to policy, procedures, or regulatory requirements, inappropriately conducted an evaluation.

Indicates new/changed information.

(g)    Determine Overall Performance Evaluation Result. Table 5-12, Overall Performance Evaluation Result and Action, provides a matrix that combines the total risk value as previously determined and the causal factor to determine an overall performance evaluation result: Satisfactory, Needs Improvement, Unsatisfactory—Suspend, or Unsatisfactory—Terminate.

Table 5-12.  Overall Performance Evaluation Result and Action

 

Total Risk Value

(Use total value from Performance Categories and Ratings Table)

Causal Factor (Total Risk Value)

>6

5 or 6

1–4

Intentional

Result: Unsatisfactory

Result: Unsatisfactory

Result: Unsatisfactory

Action: Termination

Action: Termination

Action: Termination

 

Careless

Result: Unsatisfactory

Result: Unsatisfactory

Result: Needs Improvement

Action: Termination

Action: Suspension, Reduce Authority or Termination

Action: Suspension/Reduce Authority

 

Unknowingly

Result: Unsatisfactory

Result: Needs Improvement

Result: Satisfactory

Action: Termination

Action: Suspension/Reduce Authority

Action: None Required

Note: If the total risk value = “0”, no action is required.

(h)    Determine Required Follow-Up Actions (if any). If the managing specialist rates the designee’s performance evaluation as “Needs Improvement” or “Unsatisfactory,” the following actions must be taken:

For “Needs Improvement”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar‑months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Suspension)”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar‑months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Termination)”

The managing specialist must terminate the designee in DMS.

4.    Follow-Up Actions.

a.    Counseling. See Volume 1.
b.    Additional Training. See Volume 1.

5.    Designee Management Functions.

a.    Expand Authorities and/or Change Limitations. See Volume 1.
b.    Reduce Authority. See Volume 1.
c.    Record Note. See Volume 1.
Indicates new/changed information.
d.    Send Message to Designee. The managing specialist is able to transmit messages and notifications through DMS such as changes in the PTS/ACS, regulations, upcoming meetings, and other communications as necessary.
e.    Record Feedback or Interaction with a Designee. See Volume 1.
f.    Preapproval.
(1)    Ensure designees understand that they must obtain preapproval in order to perform functions on behalf of the FAA. The managing specialist will issue any special instructions to the designee during the preapproval process. Preapproval requires the designee to request and receive approval to conduct authorized activity prior to commencing that activity on behalf of the FAA. Preapprovals may be authorized through two methods: manual and automatic.

(a)    Manual Preapproval. Manual preapproval requires the managing specialist to review the designee’s request for activity and approve it in DMS. This allows the managing specialist to stay informed of the designee’s activities and the nature of the certification activity involved. It provides a means of managing a designee’s activity and ensuring only those activities that the managing office chooses to delegate are accomplished by the designee.

(b)    Automatic Preapproval. Automatic preapproval allows the managing specialist to set the DMS function to automatically approve an activity request by a specific designee. This feature provides the managing specialist with a flexible option to provide preapproval and continue to manage a designee’s activity. Automatic preapproval will only be used when the designee’s performance remains acceptable and analysis indicates that the type of certification activity requested presents an acceptable risk.

Note:  Automatic preapprovals will not be granted to a DME, DPRE, or DAR-T during the first 2 years of appointment or at any time for geographic expansion activities.

(2)    DMS allows the designee to change or cancel a preapproval request.
(3)    For DMEs, DPREs, and DAR-Ts, each certification activity must be approved before the designee can perform any function for the FAA.
(4)    Geographic Expansion (DMEs, DPREs, and DAR-Ts). It is the FAA’s intention that these designees perform their authorized function(s) within the managing office’s geographic boundaries. However, a managing office may authorize a designee to perform activities outside the geographic boundaries (including other countries) on a case-by-case basis as long as the FAA need and ability to adequately monitor and oversee the designee is maintained. Geographic expansion requests are processed as a function of the preapproval request. The designee must utilize the DMS preapproval process to initiate any geographic expansion requests using the following guidance:

(a)    Geographic Expansion—Domestic. Designees may request a geographic expansion to perform an activity outside their assigned office but within the United States. The request must be made as part of the preapproval request in DMS at least 7 days in advance of the activity, to allow the FAA sufficient time to evaluate and coordinate the request. The FAA field office having responsibility for the district where the activity will be performed must review and approve or deny the request.

(b)    Geographic Expansion Outside the United States. Designees may request a geographic expansion to perform an activity outside their assigned office that is outside the United States when the FAA has determined that the activity should be supported by FAA, and is consistent with Title 49 of the United States Code (49 U.S.C.) § 44702 and pertinent international agreements. The request must be made as part of the preapproval request in DMS at least 10 days in advance of the activity to allow the FAA sufficient time to evaluate the request, coordinate the activity, and provide any notification that may be required to other Civil Aviation Authorities (CAA). If the requested activity is outside the designee’s assigned area, the FAA field office having responsibility for the area where the activity will be performed must review and approve or deny the request.

(c)    Evaluating the Request for Geographic Expansions. Managing specialists and other DMS users that are required to evaluate any element of a geographic expansion request must use the factors below before entering their individual approval or denial of the request. Where multiple users are required to review and approve a geographic expansion request, the review may be performed simultaneously after approval by the designee’s managing office. DMS notifies each user that is required to review a geographic expansion request. The list is not all-inclusive, but provides minimum items that should be reviewed for a geographic expansion request:

1.    The responsible geographical office having responsibility for the district where the activity will be performed must complete a determination of need and ability to manage before authorizing a designee not assigned to that office to perform certification work within their area of responsibility.

2.    The FAA’s ability to provide oversight does not exceed available resources, and oversight is possible.

3.    For airman certifications outside the United States, the applicant is a U.S. citizen, or the activity is in support of a government-to-government initiative (e.g., support of Safe Skies for Africa).

4.    For aircraft certifications, the work should be evaluated to ensure that it is a legitimate FAA certification request. If the activity is outside the United States and there is no need to complete this type of certification, other than to circumvent local or responsible CAA, we should not support this activity (e.g., issuing a standard airworthiness certificate for the sole purpose of obtaining an export certificate of airworthiness).

5.    The work cannot be accomplished using ASIs or designees currently assigned to the geographically responsible field office or region.

6.    The designee has adequately identified the specific reasons for this activity to be performed outside their geographic area. In cases where an aircraft owner or operators anticipates multiple activities for the same aircraft (i.e., multiple special flight permits (SFP) to relocate the aircraft to different facilities for maintenance, refurbishment, painting, etc.) DAR-Ts receiving the request are expected to provide this information in the request. Making multiple isolated requests is discouraged and is detrimental to supporting requests from aircraft owners and operators for airworthiness certification.

Note:  Completed certification files and other documentation required for certification activity will be submitted to the designee’s managing office. The geographically responsible office or regional AXX-230 branch having responsibility for the region where the activity will be performed may, however, request to review any certification work performed by a designee in their district by contacting the managing office.

Note:  Before a managing specialist authorizes a DAR-T to perform any activities outside the United States, the managing office will review the appropriate Bilateral Aviation Safety Agreement (BASA) Implementation Procedures for Airworthiness (IPA) or other pertinent international agreements to determine if the CAA requires written notification. If required, the managing office will follow the procedures in the BASA IPA or other pertinent international agreements.

(d)    When designees work outside their geographic area in excess of 6 calendar-months, the managing specialist should temporarily transfer supervisory and monitoring responsibilities to the appropriate geographic office where the activity is located. This transfer will require coordination and concurrence between both managing offices. The office handing off the designee to the temporary geographic office will reassign the designee in DMS to the new managing specialist at the temporary geographic location. The new managing office will be responsible for all oversight responsibilities while the designee is temporarily under their supervision.

(5)    Provisions for Unique Circumstances. The following procedures provide FAA field offices a method to address certification activity in unique circumstances.

(a)    DAR-T Function Codes 197 and 198 Preapproval Including Geographic Expansion Requests. Function codes 197 and 198 provides authority for DAR-Ts to issue notification of completion to air carriers after conducting record reviews and aircraft inspections required by the Aging Aircraft Safety Act of 1991 in accordance with the CHDO procedures. DAR-Ts authorized this function can only conduct these activities after completing OJT on the air carriers approved maintenance policies and procedures from the CHDO. This task requires coordination between ASIs, DARs, CHDOs/certificate management offices (CMO), and operators. Because of the unique requirements of this function, DAR-Ts are allowed to perform this activity outside their geographic area in accordance with the procedures below. DAR-Ts requesting authorization to perform an aging aircraft inspection and records review must utilize the DMS preapproval process for any requests to perform this activity inside or outside their geographic area. DMS notifies each user that is required to review a preapproval request for this activity. DAR-Ts are not allowed to issue notification of completion to air carriers after conducting record reviews and aircraft inspections, for ineligible aircraft. Refer to Order 8900.1, Volume 6, Chapter 11, Section 14 for eligible aircraft, and specific requirements to perform this function.

Note:  The procedures above for authorizing function codes 197 and 198 activity are unique and only apply to these functions. If other FAA delegated activities are to be performed on the aircraft by the designee, the procedures in Chapter 6, paragraph 5f(4) above must be followed.

(b)    Memorandums of Understanding (MOU). Long-term MOUs can be used in order to accommodate unique situations, such as a need for a shared designee resource between two field offices. MOUs must be coordinated and approved by the specific field offices, regional offices, and the Delegations Programs Branch (AFS-650). Copies of MOUs must be uploaded in DMS. MOUs must be maintained in DMS for the designee affected by the MOU.

g.    Post-Activity Reports.
(1)    DMEs, DPREs, and DAR-Ts are required to complete post-activity reports in DMS after performing certification functions.
(2)    Post-activity reports provide the managing specialist with a record of the activity for that designee. These reports can aid in planning an appropriate level of oversight of the designee.
(3)    If designees have post-activity reports that have passed the requisite seven-day submission deadline, DMS will not grant another preapproval number until all outstanding post-activity reports have been submitted.
(4)    Access to post-activity reports will remain available to a DME, DPRE, or DAR-T for up to five working days after a termination, suspension, voluntary surrender, or expired status to allow the designee to record any results.
h.    Authorization to Test from Another FSDO.
(1)    Permission to test applicants that have received their authorization to test from another FSDO.

Note:  The DME or DPRE must receive preapproval in DMS prior to performing any test. For all applicants traveling outside the geographical boundary, who have been previously authorized by another FAA office, the DME or DPRE must note in the preapproval request the location the original authorization occurred.

(2)    Since the applicant was previously authorized, there is no requirement for the FAA to reevaluate the applicant’s experience or to re-determine eligibility.

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of DME, DPRE, and DAR-T designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the policy for the training of a designee.

2.    General. See Volume 1.

3.    Designee Training Requirements.

a.    General.
(1)    Comprehensive Post Course Test.

(a)    Following training, the applicant/designee will take a comprehensive post-course test that will test the applicant/designee on any or all subjects in which the class received instruction. Some of the test questions will require knowledge beyond that encompassed by the authorizations indicated on an individual applicant/designee’s current or proposed Certificate of Authority (COA) letter. The designee candidate will receive a completion certificate only after achieving at least a 70% on the post-course test.

(b)    Should an applicant/designee fail to pass the post-course test after completing the training curriculum, the AFS-640 will notify the manager of the applicant/designee’s assigned FAA office. After a review of the circumstances related to the failure, the FAA office may;

1.    For initial training, elect not to appoint the applicant, or to allow the applicant to retake the training course. If appropriate, the FAA office will allow the applicant only one additional attempt at successfully completing the training.

2.    For recurrent training, elect to terminate the designee for failure to complete training requirements, or if justification is provided, allow the designee to repeat the training. If appropriate, the FAA office will allow the designee only one additional attempt at successfully completing the training. The designee may not exercise the privileges of his/her designation until training has been successfully completed.

3.    Successful completion of all required training is a prerequisite for holding a designation. Under most circumstances, if an applicant/designee is more than 1 hour late, the course manager will not permit that applicant/designee to complete the training. If they arrive in the first hour of training, the course manager will require the applicant/designee to make up the missed instruction with instructor personnel outside of normal class hours. Once the applicant/designee has accomplished this, he or she will take the final examination with the class. Designees or applicants will be marked as absent after 15 minutes has elapsed from the announced start time at the beginning of each day, or after the announced start time following a scheduled break. An applicant/designee marked as absent twice in the same class will not receive credit for the training, and will not be allowed to complete the final examination with the class.

4.    Applicants and designees register for training through the Designee Registration System (DRS). Information regarding designee standardization training is available at the DRS website:
https://av-info.faa.gov/dsgreg/sections.aspx.

5.    Successful completion of the training is documented in DMS.

b.    DME/DPRE/DAR-T Training.
(1)    Initial Training.

(a)    Before appointment, DME, DPRE, and DAR-T applicants must satisfactorily complete the initial training program for the designee type and authority for which they are being considered for appointment. The initial training will be conducted by online Web-based training, face-to-face classroom training, or both depending on the authorized functions the prospective designees are seeking. Prospective designees can register for training through the DRS. Training requirements for each designee type are listed at:
https://av-info.faa.gov/dsgreg/sections.aspx.

(b)    Information and registration for designee standardization training is available at the DRS website: https://av-info.faa.gov/dsgreg/sections.aspx. Each applicant must successfully complete the initial standardization training requirement within the 1 year period before initial designation. In order to not exceed this 1 year limit, DME/DPRE/DAR-T applicants should not plan to attend initial training until they have been notified by the appointing FAA office that they have been selected for appointment.

(2)    Recurrent Training.

(a)    Once a designee is appointed, attendance and successful completion of a recurrent training is due on an established seminar interval from the completion date of the initial training or most recent completion of recurrent training. Recurrent training requirements and the maximum completion interval in calendar months are available at: https://av-info.faa.gov/dsgreg/sections.aspx. Completion of recurrent training is mandatory and must not exceed the maximum interval listed for each designee type and authorization held. For DAR-T, it should be noted that different authorizations may require different recurrent training and those recurrent training intervals may not be on the same schedule.

(b)    Designees must schedule themselves for a recurrent training as required and notify the managing FAA office. The designee must forward a copy of the Certificate of Completion to the managing FAA office.

(3)    Specialized Training. DAR-Ts who perform one or more of these specialized functions must complete the associated specialized training course prior to initial appointment, added authority, and at the recurrent interval specified regardless of any other initial or recurrent training requirement. A complete list of DAR‑T specialized functions and the associated training requirements is available at:
https://av-info.faa.gov/dsgreg/sections.aspx.
c.    Training Limitations.
(1)    DMS will suspend designees who fail to meet recurrent training requirements.
(2)    Designees may complete the initial training in lieu of the recurrent training to meet the recurrent training requirements.
(3)    A designee will not exercise designation privileges unless training is current.

4.    FAA Personnel Training.

a.    Initial and Recurrent Training Requirements. Initial training requirements for ASIs with managing specialist’s responsibilities for DME, DPRE, and DAR-T include:
(1)    Completion of the general aviation airworthiness ASI indoctrination courses, or equivalent.
(2)    Training courses summarized in the training matrix that apply to the type of designee that they are assigned (https://avssp.faa.gov/avs/afs500/TNA/SitePages/Home.aspx).

Chapter 8.  Renewal of Designee Appointment

1.    Purpose. This chapter provides the policy related to the renewal of appointment for DME, DPRE, and DAR-T designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for appointment renewal.

2.    General.

a.    Renewal Period. DMEs, DPREs, and DAR-Ts may be renewed for a period not to exceed 36 calendar‑months. A managing specialist may renew a given designee for less than 36 calendar-months if the managing specialist determines that the designee possesses certain risk factors. Risk factors might include frequency of certifications performed, high or low pass rates on tests, distance traveled by the applicant, as well as many others.
b.    Assure Requirements Are Met. Prior to renewal, the managing specialist must ensure that all initial designation requirements described in this order as well as recurrent training requirements are met.
c.    Automatic Renewal. Renewal is not automatic and is predicated on the designee’s past performance and the continuing need for certifications to be performed. Managing specialists should review the designee’s file, including records of work performed, any communication regarding the designee’s performance, as well as the designee’s formal evaluation described in Chapter 6, Oversight and Management of a Designee, to assist with the renewal decision. The managing specialist should also review the continuing need for the designee and the ability to manage the designee as part of the renewal determination.
d.    Designee with Violation History. The managing specialist should review the renewal criteria within this chapter and determine whether the designee should be renewed or terminated. When renewing a designee with a violation history the managing FAA office must include a statement in DMS acknowledging acceptance of the enforcement history or, in the case of termination, the reason for denial of the designee’s renewal application based on the EIS history.

Chapter 9.  Termination of a Designation

See Volume 1.

Chapter 10.  Suspension of a Designation

See Volume 1.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban or termination for cause of DMEs, DPREs, and DAR-Ts, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for appealing a ban or termination for cause by a DME, DPRE, and DAR-T.

2.    General.

a.    Appeal Considerations.
(1)    The FAA office manager will forward the request to the regional division manager.
(2)    The regional division manager or a delegate overseeing the appeal will convene an appeal panel comprised of three members:

(a)    An AFS-600 headquarters (HQ) division representative;

(b)    A regional coordinator; and

Indicates new/changed information.

(c)    An AFS manager or FLM not associated with the office that terminated the designee.

(3)    The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.
(4)    The regional appeal panel’s decision is final.
(5)    All documentation associated with the appeal (e.g., outcome, members of the appeal panel, and communication with the designee or the field office) should be included in the designee’s DMS file.

3.    Ban or Terminate Appeal Process. See Volume 1.

4.    Appointing and Selecting Official Responsibilities During Appeal. See Volume 1.

5.    Appeal Panel Responsibilities. See Volume 1.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other designee management functions. This designation type‑specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the other designee management functions.

2.    Assign DMS Roles—Master Role Assigner. For Flight Standards Service (AFS) GA designees, the master role assigner is typically the office manager or FLM.

3.    Send Message to Managing Specialist. See Volume 1.

4.    Update Profile. Updates to certain information in the designee record, such as change in physical address or qualifications, may affect the designation. A change of physical address may cause the FAA to review need and ability to manage considerations. If the requested address change is in a different managing office area, that office will make the determination if there is a need for the designation in that area. The designee should not expect to automatically be re-designated in the new area.

Volume 6.  APD AND DFEE DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

1.    Purpose. This volume supplements the common designee policy by providing specific guidance for the administration of the Aircrew Program Designee (APD) and Designated Flight Engineer Examiner (DFEE) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.

Note:  Specific air carrier elements are covered in the respective air carrier Aircrew Designated Examiner (ADE) Program that have been established and approved by the certificate management office (CMO) and certificate management unit (CMU) in accordance with Order 8900.1, Volume 13.

2.    Audience. The primary audience for this volume is APDs, DFEEs, FAA managing specialists, and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees, as appropriate.

Section 2.  Overview of Designee Functions

1.    APD and DFEEs. APDs and DFEEs are designated to conduct certification within specifically-approved programs known as ADE programs. An ADE program is established for the purpose of delegating certification authority and activity to select employees of 14 CFR parts 121 and 135 operators. ADE program guidance can be found in Order 8900.1, Volume 13.

2.    ADE Programs.

a.    APDs and DFEEs are trained in an ADE program, which is associated with operators who conduct their own program of airman qualification. APDs and DFEEs must be employed by or under contract to the operator and can only conduct certifications under the 14 CFR part 121 or part 135 operators-approved training programs. It is the preferred program for conducting the certification of flightcrew members for complex 14 CFR part 121 and part 135 operators.
b.    The ADE program was originally designed for operators with sophisticated training capabilities (including flight simulators), with highly trained personnel, and with a large volume of certification activity. The program has since been used by a broader range of operators.
c.    Principle operations inspectors (POI) and managers should consider establishing an ADE program before the operator’s airman certification workload for any aircraft type exceeds the FAA’s ability to meet requirements using available inspector resources.
d.    The ADE program is comprised of:
(1)    One or more of an operator’s check airmen, further authorized by the FAA as APD (which includes DFEEs where appropriate) to conduct airman certifications on behalf of the Administrator; and
(2)    An FAA inspector known as an aircrew program manager (APM) who oversees the APDs’ activities.

Section 3.  Roles and Responsibilities

1.    FAA Roles and Responsibilities.

a.    Selecting Official. The selecting official is determined by the office manager or a delegate. Typically, this will be a CMU or CMO manager and may be a Front Line Manager (FLM).
b.    Evaluating Specialist. The evaluating specialist must meet the minimum qualifications of a managing specialist and may also be the managing specialist.
c.    Appointing Official. The appointment of designees is the responsibility of FAA managers.
d.    Managing Specialist.
(1)    APM. The APM will usually be the managing specialist for an APD. In certain cases, other managing specialists may be designated by the office manager to support the APM.
(2)    Partial Program Manager (PPM) and Assistant APM. One or more PPMs or Assistant APMs may be assigned to complement the APM in oversight and management activities related to an ADE program. A PPM or Assistant APM is trained in the same manner as the APM and supports the APM.
(3)    Airman Certification Standards. Managing specialists are responsible for ensuring that the designated examiners maintain airman certification standards as prescribed by 14 CFR, by approved training programs, and applicable policies. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.

Chapter 2.  Application Process

1.    Purpose. This chapter describes the application process policy related to APD or DFEE applicants. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the application process for an APD and DFEE applicant.

2.    General.

a.    Application Considerations.
(1)    The application process to designate an APD or DFEE is initiated by the employing 14 CFR part 121 or part 135 certificate holder in accordance with the approved ADE program.
(2)    The certificate holder must submit a letter of request to the CMO and have the APD applicant complete the APD or DFEE application in the Designee Management System (DMS), as applicable. If a letter of request is not received from the air carrier, then the responsible office will not process the application. The letter of request must contain the following:

(a)    A justification of need based on FAA criteria;

(b)    An identification of specific authority requested;

(c)    A projected timeline of internal evaluator curriculum completion;

(d)    An explanation of how this applicant is the most qualified of eligible applicants;

(e)    A statement that air carrier management has determined that the applicant meets all eligibility and minimum qualification requirements for appointment; and

(f)    A résumé of training and professional experience.

(3)    The letter of request will be provided by the carrier to the APD applicant for upload to DMS.
(4)    An APD candidate is nominated by an operator from the ranks of its proficiency check airmen and is given training in FAA policies and certification procedures before being authorized by the FAA as an APD.
b.    Who Should Apply. Employees of an air carrier that have been recommended for nomination as an APD or DFEE.
c.    Multiple Designations. See Volume 1.

3.    Minimum Qualifications for an APD or DFEE.

a.    Meets the requirements of Volume 1, this volume, and DMS.
b.    Be employed by the operator either full time, part time, or under contract to the operator.
c.    Holds the appropriate airman certificate and rating(s) for the authority requested. (A medical certificate is not required for simulator evaluators.)
d.    Must be an FAA-approved simulator-qualified pilot (or flight engineer (FE), as applicable) proficiency check airman for the operator in the aircraft in which the APD or DFEE candidate is to perform examiner duties. Must also be an FAA-approved line check airman-all seats and proficiency check airman-airplane for the operator in the appropriate aircraft if the APD candidate is to perform examiner duties in an aircraft.
e.    Served as a check airman for a minimum of one year (preferably 6 calendar-months as a proficiency check airman) before designation as an APD or DFEE. (Check airman experience in other types of aircraft and in service with other operators may be credited. Crediting of past experience, including length of time and type of check airman, is at the discretion of the POI and APM.)
f.    Possess an above-average level of knowledge, ability, and experience.
g.    Successfully completed the operator’s approved training program in which the candidate will be authorized to conduct evaluations for the issuance of certificates.

4.    Disqualifiers. See Volume 1.

5.    Privilege, Not a Right. See Volume 1.

6.    Post-Application. See Volume 1.

7.    Maintaining an Active Designee Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of APD and DFEE applicants. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy of the selection and evaluation of an APD and DFEE.

2.    General. The selection process for an APD or DFEE designee applicant is initiated by the certificate holder submission of a Letter of Request to the FAA CMO or CMU. The selecting official then initiates the selection process through DMS. Below is a high-level representation of the selection process.

Figure 6-1.  High‑Level Selection Process Flow

Figure 6-1. High Level Selection Process Flow

3.    Requesting Qualified Applicants.

a.    List of Qualified Applicants. See Volume 1.
b.    Minimum Qualification Deviations.
(1)    In the event that an applicant is notified by DMS that minimum qualifications have not been met, the air carrier nominating the applicant may request a minimum qualification deviation from the CMO or CMU.

Note:  A designee applicant that does not meet minimum qualification requirements will not be searchable in DMS until the deviation request is processed by the Air Transportation Division (AFS‑200).

(2)    If an examiner applicant does not meet all of the minimum qualifications for appointment, and a need is determined, the process for requesting a minimum qualification deviation is:

(a)    The managing specialist may request that the CMU or CMO petition the regional Flight Standards division (RFSD) for a deviation from the minimum qualifications.

(b)    The CMU or CMO will document and communicate the circumstances and justification for the deviation to the RFSD outside of the DMS.

(c)    The RFSD office, when supporting a deviation request, will then coordinate with AFS-200 for concurrence external to DMS. If in agreement with the RFSD recommendation, AFS-200 will document the circumstances and justification in DMS and affect the required DMS process to change the applicant’s status from “Unqualified” to “Qualified Active (Deviation Allowed).”

4.    Selection Process.

a.    The general process of selection can be broken down into three steps: DMS determines if the applicant has met the minimum qualifications; the selecting official determines if need and ability requirements are met; and an evaluation specialist is then assigned to further review the applicant’s qualifications and abilities.
b.    The selecting official will select an applicant from the list provided by DMS. Preferred sources for examiner candidates are:
(1)    Air carriers who must put forth recommendations of the most qualified applicants based on experience, knowledge, and ability.
(2)    Airmen who are actively engaged in the activity for which examinations are to be conducted.

5.    Need and Ability to Manage Determination.

a.    The selecting official must determine that a need exists and the office has the ability to manage the designee.
b.    The selecting official should work closely with the APM, POI, and managing specialist that will likely be responsible for the designee in determining both need and ability.
c.    In order to determine need and ability, the CMO or CMU must consider the following:
(1)    Need Considerations.

(a)    Ability of the air carrier to provide certifications within a reasonable time.

(b)    The FAA’s ability to support the certification work and need with existing designees.

(c)    The activity at the air carrier is forecasted to increase, establishing the need for additional designees.

(d)    The FAA has lost an employee or designee resource that, in turn, necessitates a replacement designee(s).

(e)    The number of advanced flight training devices (FTD) and simulators.

(f)    Projected and historical number of evaluations predicted by the air carrier over a particular period.

(2)    Ability to Manage Considerations.

(a)    Funding (e.g., travel allocation) required to oversee the designee workforce.

(b)    Number of satellites and geographical locations with respect to available FAA surveillance.

(c)    The local office staff has the technical skills and knowledge to oversee the designee and the training requirements to meet the conditions in the Memorandum of Understanding (MOU) with the air carrier.

(d)    The existing and projected office workload allows the office to effectively manage the designee.

(e)    FAA employees required authorizations, testing, and additional training needed to oversee the designee.

Note:  The need for a new designee is driven by the needs and availability of resources to provide proper oversight. Designee need is not driven by the air carrier scheduling convenience requirements.

6.    Evaluation.

a.    Selection of a Designee Applicant. The FAA is required to determine the most qualified applicants for appointment as APDs. If the air carrier presents multiple applicants, the FAA may establish an evaluation panel to further review and determine the best qualified applicant to be considered for evaluation. If need and ability can support the air carriers’ request of multiple applicants, then the evaluation panel is not needed.
b.    Evaluation Panel (if utilized).
(1)    Evaluation Panel Composition. The panel should include at least two individuals:

(a)    The managing specialist who is expected to be assigned to the designee, and

(b)    The front-line supervisor or any other operations inspector.

(2)    Evaluation Panel Tasks. The panel should review all necessary information to determine the best qualified applicant and record their recommendation in DMS by selecting the recommended applicant. They may consider the following:

(a)    Information obtained from contact with references;

(b)    The results of an interview of the applicant;

(c)    Review of qualification information provided by the applicant; and

(d)    Other information as deemed appropriate.

c.    Evaluation Process.
(1)    Evaluation Specialist Requirements.

(a)    Review the APD or DFEE applicant’s application;

(b)    Provide training (see Chapter 7, Training); and

(c)    Assess the applicant’s technical knowledge and skills as an evaluator pilot and ability to represent the FAA as a designee.

(2)    Checklist Requirements. The evaluating specialist and individuals evaluating the selected applicant must complete the evaluation checklist in DMS and also complete the following:

(a)    Verify the identity of the designee applicant. Such identification must include an official photograph of the applicant, the applicant’s signature, and the applicant’s residential address, if different from the mailing address. This information may be presented in more than one form of identification.

Note:  Acceptable methods of identification include driver’s licenses, government-issued identification cards, and passports.

(b)    Verify that DMS has confirmed that minimum qualifications have been met and other items not checked by DMS are also met. See Chapter 2, Application Process.

(c)    Review air carrier letter of request and determine if the request contains the required elements. Determine that the applicant is qualified to meet the APD authorities requested.

(d)    Determine if the APD or DFEE duties will be accomplished in the aircraft and if a medical certificate is required.

(e)    Verify that the applicant holds the appropriate category, class, and type rating applicable to the make, model, and series of aircraft in which authority is sought.

(f)    Verify that the applicant is qualified in each curricula and the associated flight training equipment for which APD privileges are sought.

(g)    Review the applicant’s history, including all airman certificates held by the individual.

(h)    Determine if the applicant has successfully completed the operator’s approved training program in which the candidate will be authorized to conduct evaluations for the issuance of certificates and if the applicant has successfully completed FAA APD or DFEE training.

(i)    Determine if the applicant will be accomplishing duties in an aircraft and meets the appropriate check airman requirements:

1.    Applicant must be an FAA-approved line check airman-all seats and proficiency check airman-airplane for the operator in the aircraft in which the APD candidate is to perform examiner duties if those duties will be accomplished in an aircraft.

2.    Determine if the applicant is an FAA-approved pilot simulator qualified proficiency check airman for the operator in the aircraft in which the APD candidate is to perform examiner duties.

3.    Determine if the applicant meets check airman experience requirements. The applicant should have served as a check airman for a minimum of 1 year (preferably 6 calendar-months as a proficiency check airman) before designation as an APD. (Check airman experience in other types of aircraft and in-service with other operators may be credited. Credit for past experience, including length of time and type of check airman, is at the discretion of the POI and APM.)

(j)    Determine if applicant:

1.    Possesses an above-average level of knowledge, ability, and experience.

2.    Has acceptable professional qualifications.

3.    Has acceptable training records.

4.    Has a reputation for integrity and dependability in the industry and the community.

(k)    Assess each designee candidate’s knowledge and experience through review of the application and consultation with others who are familiar with the designee program or candidates, including:

1.    Personal observation results.

2.    Comments provided by references that may influence the decision to recommend or deny appointment. Comments should include positive or negative comments received from reputable internal and external sources.

3.    Other means deemed appropriate by the evaluating specialist.

(l)    Observe the APD or DFEE applicant conducting a complete certification test consisting of oral, simulator, and aircraft portions, or a qualification Line Operational Evaluation (LOE) under an Advanced Qualification Program (AQP), as applicable, under the direct observation of the evaluating specialist.

Note:  See Chapter 6, Oversight and Management of a Designee, for additional direct observation information.

(3)    Prepare Recommendation. At the conclusion of evaluation events, the evaluating specialist will make a recommendation in DMS to the appointing official whether or not to appoint the applicant, and identify any limitations or conditions that should be applied. If the candidate is eligible, the evaluating specialist may recommend to the appointing official that the candidate be designated as an APD or DFEE. An APD or DFEE selection must be agreed upon by the APM, the POI, and the operator. The recommendation must consider and limit authority in accordance with the following:

(a)    Demonstrated Abilities During All Evaluation Events. The evaluating specialist determines if the applicant has satisfactorily completed all evaluation events to the appropriate standards.

(b)    Background Experience. Does the background experience of the applicant support the FAA need for a designee in a positive manner?

(c)    Other Qualifications. Does the applicant hold unique qualifications that support the FAA goals?

(d)    Needs of the Appointing Office. The appointing office must consider the type of activity at an air carrier in order to determine the type of authority that is needed in the selection of authorities and limitations contained within the Certificate Letter of Authority (CLOA).

(e)    Appointment Duration. The initial duration of a designee’s appointment is normally 12 calendar‑months. Expiration will occur on the last day of the twelfth month from the month of appointment.

(f)    Authority. An APD or DFEE cannot be granted authorization to evaluate graduates of a curriculum or course that the employing carrier does not hold the authority to conduct. Air carriers are limited to conducting crewmember training and evaluations pursuant to 14 CFR parts 61, 63, and 121 subparts N and O or subpart Y (AQP), as applicable.

(4)    Multiple Training Programs. APDs are not generally designated in multiple air carrier qualification training programs. In certain cases it may be necessary. The managing and selecting officials, as well as the evaluating specialist, should take into account the following considerations:

(a)    Multiple Aircraft Make, Model, or Series Considerations. Before an APD or DFEE can be approved for a second aircraft, the APM must carefully evaluate the differences between the aircraft currently authorized and that of the second type requested. In many cases, an aircraft type rating will encompass a number of different models and series of aircraft within that type rating. Different models or series within a specific type may have vastly different operating characteristics and systems. Levels of differences (designated A–E) are described in Order 8900.1, Volume 3, Chapter 19. Given that the APDs’ knowledge and skills directly affect the quality of an evaluation, the APM must consider the following guidelines and limitations when determining the reasonable number of aircraft in which an APD or DFEE may be authorized to conduct evaluations:

Guideline 1

Authorization to conduct evaluations in an aircraft model or series that encompass Level A or B differences are relatively easy to accomplish (e.g., DHC-8-100 versus DHC-8-200) and may not affect the APD’s ability to effectively transition between the two aircraft.

Guideline 2

Authorization to evaluate in a model and series that requires Level C, D, E, or Flight Standards Board differences training will affect the complexity of the evaluation and must be considered before additional authority is granted (e.g., need and AT example).

Guideline 3

Authorization to evaluate in an aircraft that has a common type rating but requires separate curriculum and/or flight training equipment should be considered essentially the same complexity as two separate type ratings (e.g., DC-9-30 versus MD-88 or B717).

Guideline 4

Evaluations resulting from a specialty curriculum, such a Category II, may also affect the overall complexity.

Guideline 5

Consideration must also be given to the number of annual proficiency checks and training required to maintain the APDs/DFEEs currency.

Limitation 1

FAA personnel may not authorize an APD or DFEE to evaluate more than two aircraft types or two different models/series within the same type if they are significantly different;

Limitation 2

FAA personnel may not authorize an APD or DFEE to conduct evaluations in five or more different series of one aircraft model.

7.    Appointment Recommendation. The evaluating specialist can make one of two recommendations:

a.    Approve. The evaluating specialist makes the appointment recommendation and then identifies recommended authorizations. The evaluating specialist also prepares CLOA information for review by the appointing official. The initial duration of a designee’s appointment is 12 calendar-months.
b.    Disapprove. If the evaluating specialist disapproves the appointment, justification for the decision must be provided in DMS.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of APD or DFEE designees, referred to collectively in this chapter as designees. This designation type specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the appointment of an APD or DFEE.

2.    General.

a.    Appointment Process. Below is a high-level representation of the designee appointment process.

Figure 6-2.  High‑Level Appointment Process Flow

Figure 6-2. High Level Appointment Flow

b.    Appointment Considerations. The evaluating specialist will verify that the designee has successfully completed all appointment requirements in DMS and make an appropriate recommendation to the appointing official through DMS.

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    Appointment Duration. The initial duration of a designee's appointment is normally 12 calendar-months. Expiration will occur on the last day of the twelfth month from the month of appointment.

6.    Multiple Designations. The FAA may designate an airman to perform multiple certification services as a designee. The only limitation that should be considered is the effect of multiple designations and the ability of the APD or DFEE to perform functions appropriately. The FAA may approve a designee to conduct certification activities under more than one training program.

7.    Forms and Supplies. The managing FAA office should provide each designee with supplies appropriate to the designation. The managing FAA office may issue some or all of the designee materials at the time of selection. With the exception of FAA Form 8060-4, the material can be found on the Internet, in the Flight Standards Information Management System (FSIMS), or through common sources such as the GPO.

    This order, FAA Order 8000.95, Designee Management Policy.

    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).

    FAA Form 8710-1, Airman Certificate and/or Rating Application.

    FAA Form 8060-4, Temporary Airman Certificate.

    FAA Form 8060-5, Notice of Disapproval.

    Title 14 CFR Part 61, Certification: Pilots, Flight Instructors, and Ground Instructors.

    Title 14 CFR Part 121, Operating Requirements: Domestic, Flag and Supplemental Operations.

    Title 14 CFR Part 183, Representatives of the Administrator.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter describes the policy associated with the responsibilities and obligations of an APD/DFEE. This designation type-specific policy and the common policy in Volume 1, Common Designee Policy, constitute the overall policy of responsibilities and obligations of a designee.

2.    Designee Responsibilities. An APD or DFEE is responsible and obligated to adhere to the following in addition to any requirement found in Volume 1, Chapter 5, Responsibilities and Obligations of a Designee.

a.    Conduct Approved Activities. An APD or DFEE is authorized by the managing FAA office to conduct only those airman certification activities approved by the FAA as authorized in DMS.
b.    Maintain Authority. Maintain authority as a check airman under the part in which the carrier operates during the accomplishment of evaluation duties.
c.    Complete Preapprovals. Complete preapproval testing requests as required by the managing specialist.
d.    Complete Post-Activity Reports.
(1)    Designees are required to complete post-activity reports in DMS after performing certification functions.
(2)    Post-activity reports provide the managing specialist with a record of the activity for that designee. These reports can aid in planning an appropriate level of oversight of the designee.
(3)    In the event that preapproval is required, if designees have post-activity reports that have passed the requisite 7-day submission deadline, DMS will not grant another preapproval number until all outstanding post‑activity reports have been submitted.
(4)    Access to post-activity reports will remain available to a designee for up to five working days after a termination, suspension, or expiration for the designee to record any results.
e.    Adhere to Order 8900.1. Conduct all practical tests in air transportation programs in accordance with the applicable sections of Order 8900.1 and the approved qualification module.
f.    Order 8000.95. Be knowledgeable about the contents of this order.
g.    Complete Certification Paperwork. The APD or DFEE must complete the airman certification paperwork in accordance with the requirements of FAA policy and regulatory requirements. The certification package must be accurate, complete, and timely submitted via the Integrated Airmen Certification and/or Rating Application (IACRA) or the managing specialist within 7 calendar-days of exercising authority.
h.    Complete DMS Entries. The APD or DFEE must complete DMS entries for each test conducted.
i.    Conduct Appropriate Evaluations. Only conduct evaluations for graduates of the employing air carrier.
j.    Represent Administrator. Each designee must represent the Administrator in a manner that reflects positively on the FAA.
k.    Exhibit Positive Attitude. Each designee must continuously exhibit a positive personal attitude toward safety and present a positive image of the FAA in respect to aviation safety.
l.    Give Undivided Attention. Designees must give undivided attention to the applicant during the testing period.
m.   Assure Confidentiality. Designees must ensure that discussions following any test are private and confidential.
n.    Maintain Knowledge and Skill. Must maintain a high degree of knowledge and skill in the subject areas required for airman certification, evaluation, and testing techniques.
o.    Use English Language. Conduct tests only in the English language.
p.    Issue Temporary Airman Certificates. Issue Temporary Airman Certificates to applicants who have been tested and found qualified for the certificate or rating sought.
q.    Amend or Alter a Certificate.
(1)    When adding a rating to the certificate of an applicant whom that designee has tested and found to be competent.
(2)    When removing a restriction on a certificate which the examiner is authorized to issue.

(a)    A DFEE may be authorized to remove the restriction imposed by Exemption 4901 for an FE applicant when the examiner has been properly trained to perform the removal.

(b)    APDs may issue an “SIC Type Rating” to applicants in conjunction with the satisfactory completion of a carrier’s curriculum, provided the second in command is enrolled in a curriculum that meets the requirements of 14 CFR § 61.55.

r.    Establish Recency. An APD may accomplish recency of experience requirements in an approved Level C or D flight simulator. DFEEs may accomplish recency of experience requirements in an approved Level 6 or 7 FTD as well as all levels of authorized simulators.
s.    Participation in Recent Flight Training Periods. If the APD or DFEE participated in one or more of the four flight training periods immediately preceding the proposed evaluation, the APD or DFEE must not evaluate an applicant for a certificate, additional rating, or an amendment without the expressed permission documented in DMS from the managing specialist.
(1)    Exceptions to this policy may be granted on a case-by-case basis after considering any unique or extenuating operational circumstances surrounding the particular request.
(2)    Scheduling convenience or trainee availability are not valid reasons to grant such permission.
t.    Third Evaluation. An APD or DFEE may not conduct an evaluation of an applicant for any certificate action if, during the previous two attempts, the applicant was issued a notice of disapproval.
u.    Different Models or Series.
(1)    An APD or DFEE may not evaluate in more than two aircraft types or two different models or series within the same type if they are significantly different.
(2)    An APD or DFEE may not conduct evaluations in five or more different series of one aircraft model.
v.    Conducting Practical Tests or Proficiency Tests for General Pilot Population. APDs or DFEEs may not act as an examiner at-large by conducting practical tests or proficiency checks for the general pilot population or risk being in violation of their authority as issued by the FAA.
w.    Waivers, Special Medical Evaluations, Reexaminations. An APD or DFEE will direct applicants for waivers, special medical evaluations, and reexaminations under Title 49 of the United States Code (49 U.S.C.) § 44709 to an APM or POI for that air carrier.
x.    Functioning as a Crewmember. An APD or DFEE may not function as a required crewmember while conducting simulator evaluations.
y.    Conducting Evaluations Outside the United States. An APD or DFEE may not conduct evaluations outside the United States without the permission of the assigned managing specialist.
z.    Expired Authority. An APD or DFEE may not conduct any evaluation after the expiration date listed on the authority as provided by the DMS.
aa.    Graduates of Employing Air Carrier. An APD or DFEE may only conduct evaluations for graduates of the employing air carrier.
bb.    Exemptions. A designee may not exempt any applicant from the testing requirements in the applicable qualification module.
cc.    Teaching and Testing. A designee may not combine teaching with testing during the testing of an applicant.
dd.    Proof-of-Eligibility. A designee may not conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable sections of 14 CFR part 61 and 14 CFR part 121 subpart N, O, or Y, or 14 CFR part 135, as applicable.
ee.    Airman Knowledge Test. A designee may not conduct oral and practical (O&P) tests unless the applicant has passed the required airman knowledge test.
ff.    Suspension. A designee may not temporarily suspend a test to allow the applicant further study, and then continue the same test later.
gg.    Security. Each APD or DFEE is responsible for establishing and carrying out appropriate security procedures.
(1)    The APD must secure the certification documents in a manner that will not allow unauthorized access (e.g., a locked drawer, cabinet, or closet). The APD must refer any public requests for the secured material to the managing FAA office.
(2)    The APD or DFEE must ensure adequate security of all knowledge element questions developed for the tests and all skill element plans of action developed for the tests.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of APDs and DFEEs. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the oversight and management of APDs and DFEEs.

2.    General Oversight and Management Considerations. Effective oversight of APDs and DFEEs is founded on a strategy of risk management in which safety management principles by a certificate holder, and oversight by the FAA, includes a continual process of weighing the harm potential of any hazard against the likelihood of its occurrence, and taking appropriate preventive action.

3.    Regional Office, Managing Office, and Managing Specialist.

a.    Regional Office. Each region is responsible for the performance of its respective CMOs and CMUs in managing the designees authorized. Evaluations and corrective actions should be data-driven based on objective evidence and decisions or actions documented in DMS.
b.    Managing Office and Managing Specialist.
(1)    The FAA must allocate sufficient resources, including manpower and funds, to ensure effective management and efficient oversight of any designee. CMO and CMU managers should continually evaluate the effectiveness of their respective designee processes and are responsible for prompt response and feedback to designees.
(2)    Maintaining an accurate oversight record in DMS is crucial to managing individual designees. It also allows for the identification of strengths and weaknesses in the entire system as well. Managing specialists are responsible for ensuring that the APDs and DFEEs maintain airman certification standards as prescribed by 14 CFR parts 61, 63, and 121, the PTS-approved training programs, and by applicable handbooks. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.
c.    Oversight and DMS. In DMS, oversight activities have the following types and characteristic (additional details and frequency are found later in this chapter):
(1)    Direct Observation. This is an observation by the FAA to determine if the APD or DFEE has the ability to test applicant in accordance with FAA policy and regulatory requirements.
(2)    Paperwork Review. Paperwork review is an administrative function that allows the managing specialist to record the quality of the paperwork submitted by the APD or DFEE. Title 14 CFR § 183.17 requires that designated examiners make reports as prescribed by the Administrator. Designated examiners will forward airman certification paperwork to the designated Flight Standards District Office (FSDO) for review, processing, and transmittal to the Airmen Certification Branch (AFS-760) when IACRA is not used. When a designee holds multiple designations and more than one supervising office is involved, certification paperwork will be sent to the supervising office for each designation. This paperwork will only be submitted to, and processed by, the specified office. It may not be accepted by other offices.
(3)    Results of Investigation or Inquiry. This is a record of an investigation that has occurred that was not associated with the designee functions.
(4)    Designee Interaction. This is a record of any interaction that has occurred that the managing specialist deems to be relevant and appropriate enough to include in the designee file.
(5)    Designee Training. This allows the managing specialist to record required training events in DMS. This tool allows multiple APDs or DFEEs to be recorded simultaneously.
(6)    Applicant Interview Results. This allows the FAA managing specialist to record the results of a formal interview of an applicant.
(7)    Performance Evaluation. The performance evaluation provides a comprehensive review of data in DMS and from other data sources regarding the APD or DFEE performance and qualifications over a period of time.
(8)    Record Feedback. Record feedback allows external feedback related to a designee to be recorded.

Note:  This gives the managing specialist the ability to make a personal note in the APD or DFEE’s file that only the managing specialist can view. This note does not remain a permanent part of the APD or DFEE’s file.

(9)    Message Center. The message center allows the managing specialist and the APD or DFEEs to send a DMS-recorded note to each other that will remain a part of the designee’s record.
(10)    Document Annual Meeting. This provides the managing specialist the tools needed to record the annual meeting within DMS. This tool allows the multiple APDs or DFEEs to be recorded simultaneously.

4.    Performance Measures and Oversight Results. The FAA uses performance measures to aid in the evaluation of a designee in many of the oversight activities.

a.    Performance Measures. The three categories of performance measures are technical, procedural, and professional, and are detailed below for APDs and DFEEs. DMS provides appropriate fields to record the details for each of the oversight activities. The type of oversight activities will determine what performance measure attributes are considered by the managing specialist. For many of the oversight activities, the managing specialists will summarize the performance measures and make a final oversight activity result. See Figure 6-3, Performance Measures and Oversight Activities Results, for the general process flow. The managing specialist can select from:
(1)    Satisfactory;
(2)    Needs Improvement;
(3)    Unsatisfactory—Suspend; or
(4)    Unsatisfactory—Terminate.
b.    Follow-Up. If the managing specialist determines that the results of the event are “Needs Improvement,” “Unsatisfactory—Terminate,” or “Unsatisfactory—Suspended,” then the managing specialist determines and records in DMS any appropriate follow-up activity.

Figure 6-3.  Performance Measures and Oversight Activities Results

Figure 6-3. Performance Measures and Oversight Activities Results

c.    Performance Measures Details. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:
(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

(a)    Equipment and Materials. Does the examiner select or use the appropriate equipment, device, tools, and reference material, etc., when planning or conducting tests? (This performance measure is most appropriate for direct observation.)

(b)    Knowledge and Understanding. Does the examiner understand the technical terminology contained in FAA orders, the PTS, and other reference material used in planning, describing, or conducting airman testing? Does the APD or DFEE demonstrate an expert level of knowledge about the aircraft operation and systems? (This performance measure is appropriate for most types of oversight activities.)

(c)    Interpret and Apply. Does the APD or DFEE correctly interpret and apply the technical performance standards defined by the appropriate testing standard? (This performance measure is most appropriate for direct observation.)

(2)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.

(a)    Screening Applicants. Does the examiner follow the correct procedure when accepting applications and determining applicant eligibility?

(b)    Submittal of Information and Data to FAA. Does the examiner properly submit information, documents, or data to the FAA when it is required by FAA orders or by specific instructions provided by the FAA managing office?

(c)    Conducting Evaluations and Tests. Does the examiner follow the correct procedure when conducting, grading, and providing feedback to applicants during testing?

(d)    Issuing Certificate, Approval, Authorization, or Results to Applicant. Does the examiner follow the correct procedure when completing and issuing certificates, approvals, test results, or other findings to the applicant upon completion of the testing activity?

(3)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude, and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

(a)    Oral/Written Communication. The managing specialist should consider whether the designee effectively communicates either in writing or in conversation with the FAA or general public. The managing specialist should also determine if the designee provides feedback to the FAA with ways to improve the designee system.

(b)    Professional Representation of FAA (with the Public). The managing specialist should consider whether the designee demonstrates a positive reflection on the FAA and a willingness to comply with FAA policy and managing office instruction.

(c)    Cooperative Attitude with the FAA. The managing specialist should consider whether the designee is easy to work with and presents a positive attitude when interacting with the FAA. The managing specialist should also determine if the designee is responsive to the FAA and accessible to the FAA as required.

(d)    Ethics and Judgment. The managing specialist should consider whether the designee maintains high ethical standards and demonstrates good judgment in the conduct of authorized activities.

5.    Oversight Planning.

a.    Multi-Phase Oversight Plan. When developing an oversight plan, the managing specialist should follow the four phases for planning and executing oversight programs. Oversight will be accomplished in DMS and automatically incorporate the National Program Guidelines (NPG) items as a baseline. Events can be planned for the year and amended as necessary to address changes in oversight objectives.
(1)    Phase 1.

(a)    Develop an oversight plan by determining the types of inspections necessary and the frequency of inspections. An effective oversight plan begins with an evaluation of the designee, original documentation, authorizations, and previous oversight activities.

(b)    The managing specialist should evaluate the requirements for an initial designation on a reoccurring basis as part of the comprehensive inspection process. The development of an oversight plan requires planning at headquarters (HQ), the regional and district office, and individual inspector levels.

(c)    An oversight program may be based on the need to conduct routine and ongoing oversight, or the need to conduct special emphasis oversight as a result of certain events such as accidents, incidents, violations, and strikes. When planning an oversight program, FAA personnel should identify the program objectives, evaluate the resources available, and determine the specific types and numbers of inspections to support the program.

(d)    The NPG provides a base level of oversight requirements which must be evaluated. The results of the previous oversight plans should be used as a basis for planning future oversight programs. This information, along with other related information such as previous inspection reports, accident and incident information, compliance and enforcement information, and public complaints, should be used to determine the types and frequency of inspections. When developing an oversight program, inspectors must first consider NPG requirements. The NPG requirements only provide a base level of oversight data. Therefore, the inspector should consider a designee’s compliance status and other factors such as ongoing certification activities when developing an oversight program. It may be appropriate to change the emphasis or objectives of oversight programs by changing the types and numbers of inspections.

(2)    Phase 2. Conducting the Oversight Plan Inspections. During the oversight plan inspections, accurate and qualitative inspection reporting is essential. High-quality inspection reporting is necessary for the effective accomplishment of the third and fourth phases of an oversight program.
(3)    Phase 3. Analyzing Oversight Data. After reporting the inspection data, conduct an evaluation of the information obtained and related sources. The purpose of this evaluation is to identify the areas of concern and note areas such as the following:

(a)    Noncompliance with regulations or safe operating practices;

(b)    Positive and negative trends;

(c)    Isolated deficiencies or incidents; and

(d)    Causes of noncompliance, trends, or isolated deficiencies.

(4)    Phase 4. Determining Appropriate Course of Action. Managing specialists must use their professional judgment when deciding on the most effective course of action. The appropriate course of action depends on various factors. There are many choices that are available, including taking no action, informal discussion, counseling, sending a note through DMS, additional training, suspension or termination of designee authority, and initiation of an enforcement investigation. Consider the results of the evaluation of oversight data and the designee’s response to the course of action taken. Part of the fourth phase of an oversight program is for the FAA to determine, as a result of the information gathered from the program, what will become the inspection requirements for subsequent oversight programs. Depending on the situation, it may be appropriate to increase or decrease the rate at which the managing specialists conduct inspections during subsequent oversight plans.
b.    Oversight Planning Considerations and Tools.
(1)    Frequency and Timing. Although unannounced inspections are required and appropriate under some conditions, managing specialists should consider conducting inspections at a time coordinated with the APD or DFEE. Whenever practicable, the more encompassing a formal inspection is, the more it should be conducted during normal working hours (0800–1700). Routine daily or weekly inspections or observations should be conducted randomly, and conducted at locations and times to ensure compliance with the managing office’s oversight plan. Oversight plans for designees that operate around or nearly around the clock should include inspections throughout the designee’s operating hours.
(2)    Job Aids. Managing specialists can find job aids to assist with their inspection functions on the designee website. Inspection areas that do not have a job aid available should use the detailed guidance found in this order.
c.    Planning and Frequency of Specific Oversight Activities.
(1)    Direct Observations.

(a)    Managing specialists must ensure that each APD or DFEE observation is done by an appropriately qualified aviation safety inspector (ASI) (refer to the current edition of FAA Order 4040.9, FAA Aircraft Management Program). The responsibility for scheduling oversight lies with the managing specialist. They are responsible to establish procedures by which the APD or DFEE provides schedules of proposed activities as far in advance as is practical or required, except unscheduled observations.

(b)    The results of direct observations must be recorded in DMS and an outcome of the observation determined. Oversight results are determined by the managing specialist’s assessment of the defined performance measures and the consolidation of those observations in determining the result of the direct observation. Depending on the result, the managing specialist may require a follow-up action.

(c)    The following schedule defines the minimum frequency for direct observation events:

1.    Annually. If the APD or DFEE is qualified in more than one make and model aircraft or different category and class aircraft, the evaluator ability observations must be accomplished in the alternating aircraft. Up to 90 days prior to the annual due date of the observation, the managing specialist will observe the APD or DFEE conduct a complete practical test for at least one of the authorizations held. If the observation is done within 90 days of the due date, the observation can be considered completed in the month in which it was due for the purpose of scheduling the next observation.

2.    Unscheduled. A required annual direct observation can be conducted as an unscheduled event. The frequency of the unscheduled observations is at the discretion of the managing specialist.

(2)    Document Review. The managing specialist should review documents as they are received.
(3)    Applicant and Public Interview. As needed.
(4)    Feedback. As needed.
(5)    Counseling. This follow-up action is the result of a “Needs Improvement” rating or other event.
(6)    Performance Evaluation.

(a)    Annually.

(b)    When a deficiency has been identified and corrected.

(c)    Within seven days prior to the renewal date of the designee.

(7)    Additional Oversight.

(a)    If a managing specialist identifies a deficiency during an oversight event or performance evaluation, the managing specialist may plan additional oversight.

(b)    At any time, the managing specialist determines the need.

6.    Special Emphasis Oversight. Although oversight activities are designed to be implemented on a continuing and as needed basis, focused oversight is appropriate and may be required by the FAA in several situations. The need for additional oversight will be determined by the managing specialist. The following conditions may indicate the need for special emphasis oversight events:

a.    High Activity APD or DFEE. An APD or DFEE who conducts 50 or more events in a given quarter is considered a “high activity designee.”
b.    Low Activity. When an APD or DFEE has conducted less than three events per quarter, continued need and designee’s ability should be closely assessed.
c.    Practical Test Rating. When a practical test passing rate exceeds that expected.
d.    Certification File Error Rate. If a certification file error rate exceeds 10 percent, additional training or termination may be considered.
e.    Subject of Complaint. If an APD or DFEE becomes the subject of a valid public complaint, the managing specialist will determine if additional oversight is needed.
f.    Involved in Accident, Incident, or Violation. If an APD or DFEE is involved in an accident, incident, or violation of a 14 CFR, the managing specialist will determine if additional oversight or other action is needed.

7.    Oversight Activity Details and Procedures. Direct Observation—Evaluation Observation.

a.    The purpose of this observation is to evaluate the APD/DFEE’s ability to exercise their authority in accordance with testing requirements After the APD/DFEE candidate has successfully completed and documented all required training, a qualified inspector will observe the APD/DFEE candidate conducting the actual certification test consisting of oral, simulator, and aircraft portions (if authorized), as applicable.
b.    The oversight (which may be unannounced for reoccurring observations) will consist of the following events and conditions:
(1)    The evaluation must be conducted in accordance with the approved training program of the employing air carrier and appropriate for the evaluation authority being sought or held.
(2)    The applicant or APD or DFEE must also demonstrate the proper completion of the airman certification or qualification paperwork required by the employing air carrier as well as appropriate FAA documentation and reporting.
(3)    The security of controlled documents that has been provided by the FAA should be reviewed during this observation.
c.    If the APD or DFEE is qualified in more than one type of aircraft, alternating annual evaluation observation should be planned. If the aircraft are not in the same category and class, evaluations must be scheduled in each category and class annually.
d.    An FAA managing specialist will observe the APD or DFEE or candidate conducting an evaluation event with the following conditions:
(1)    Oral, simulator, aircraft portions, and associated briefings and debriefings, if authorized certification authority or an LOE for those APDs issued AQP authority as appropriate to the designation held.
(2)    If the designee will have authority in a simulator and aircraft, then an observation in both functions is required.
(3)    If the APD or DFEE is authorized to conduct a segment of the check or test in an aircraft, then it is acceptable for the managing specialist to conduct the observation entirely in the simulator. The events conducted in the aircraft must be observed in the simulator with the APD or DFEE in the crewmember position normally occupied when evaluating in the aircraft. If the APD’s normal position is in the right seat, then the managing specialist may act as the applicant in the PIC position if current and qualified. The APD or DFEE must still demonstrate in a simulator all tasks that would be evaluated in the simulator from the evaluator operating panel with an actual candidate.
e.    The following conditions must be applied when conducting an evaluator ability observation, in descending order of preference. The option method may not be used for an APD or DFEE candidate and must be used on a very limited basis.
(1)    An actual certification evaluation if certification authorization is requested or held. The observation will be of an airman employed by the air carrier applying for certification.
(2)    Option—Proficiency Check Evaluation. When circumstances make the observation of an actual certification test impractical, the managing specialist may observe the APD or DFEE candidate conducting an entire proficiency check. The managing specialist must provide justification in DMS stating the reasons why an actual certification event was not completed and justification for the continued need of the APD or DFEE.

Note:  A check in lieu of a certification event (option method described above) may not be repeated in two consecutive observations as a means of meeting the annual evaluator ability requirements.

Note:  See the air carrier website, DMS website, and DMS job aid tool bar for additional job aids.

f.    Document Results. See Volume 1.

8.    Applicant and Public Interview. The managing specialist may conduct interviews with individuals for whom the designee has interacted that could provide first-party information.

a.    Reason for Interview. The managing specialist may choose to conduct these interviews as a result of a specific event, third-party reports, or as a routine or random check.
b.    Document Results. Upon completion of the interviews, the managing specialist should document the results in DMS and identify any positive or negative performance implications.

9.    Performance Evaluations.

a.    General Performance Evaluation Information.
(1)    The performance evaluation is a consolidated review of oversight activities and other data available outside of DMS on a reoccurring basis. The performance evaluation results in an overall rating for the performance period and considers risk-based elements. Below is a high-level representation of the performance evaluation process.

Figure 6-4.  High-Level Performance Evaluation Process Flow

Figure 6-4. High Level Performance Evaluation Process Flow

(2)    The objective of the performance evaluation is to:

(a)    Identify performance trends that are:

1.    Specific to the designee;

2.    Local in nature as compared to other designees similar in authority locally; and

3.    National in nature as compared to designees similar in authority nationwide.

(b)    Determine if corrective action is needed.

(c)    Conduct a risk assessment of the designee.

(d)    Review all data for the current performance evaluation period.

(e)    Consider the safety significance based on managing specialist expert evaluation and frequency of the events that were reviewed. The cumulative result determines the severity of risk. The risk value for each of the performance categories is determined by assigning a rating description that is most appropriate. The risk value for each of the performance categories is accessed by the following criteria and is assigned a risk rating (see Table 6-1, Performance Categories for Performance Evaluation).

Table 6-1.  Performance Categories for Performance Evaluation

Table 6-1. Performance Categories for Performance Evaluation

*Total Risk Value = Technical + Procedural + Professional risk values

Note:  Select the risk value that is associated with the rating description for each of the three performance categories. Only one number should be listed for each category. Add the three numbers from the performance categories to determine total risk value.

(f)    Determine Causal Factor Classifications.

Unknowingly

The designee was not aware of the error.

Careless

As a result of the lack of action by the designee, an error was made.

Intentional

The designee, with disregard to policy, procedures, or regulatory requirements, inappropriately conducted an evaluation.

(g)    Determine Overall Performance Evaluation Result. Table 6-2, Overall Performance Evaluation Result and Action, provides a matrix that combines the total risk value as previously determined and the causal factor to determine an overall performance evaluation result: Satisfactory, Needs Improvement, or Unsatisfactory.

Table 6-2.  Overall Performance Evaluation Result and Action

 

Total Risk Value

(Use total value from Performance Categories and Ratings Table)

Causal Factor (Total Risk Value)

>6

5 or 6

1–4

Intentional

Result: Unsatisfactory

Result: Unsatisfactory

Result: Unsatisfactory

Action: Termination

Action: Termination

Action: Termination

 

Careless

Result: Unsatisfactory

Result: Unsatisfactory

Result: Needs Improvement

Action: Termination

Action: Suspension, Reduce Authority or Termination

Action: Suspension/Reduce Authority

 

Unknowingly

Result: Unsatisfactory

Result: Needs Improvement

Result: Satisfactory

Action: Termination

Action: Suspension/Reduce Authority

Action: None Required

Note: If the total risk value = “0”, no action is required.

(h)    Determine Required Follow-Up Actions (if any). If the managing specialist rates the designee’s performance evaluation as “Needs Improvement” or “Unsatisfactory,” the following actions must be taken:

For “Needs Improvement”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar‑months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Suspension)”

Suspension of the designee until follow-up action is successfully completed as determined by the managing specialist and performance evaluation within six calendar‑months, or reduce authority by selecting the reduce authority function in DMS and a performance evaluation within six calendar-months.

For “Unsatisfactory (Requiring Termination)”

The managing specialist must terminate the designee in DMS.

b.    Follow-Up Actions. The managing specialist must use professional judgment when deciding on the most effective course of action when a correctable condition exists. Follow-up action can be a result of an individual oversight activity or a performance evaluation.
(1)    The appropriate course of action depends on many factors such as risk, the ability to monitor future activity, and the ability to measure that the follow-up action has been effective. Through the use of counseling and additional training, many events that require follow-up action can be corrected.
(2)    DMS provides the managing specialist several indirect oversight methods to manage follow-up actions with use of functions found in Chapter 5, Responsibilities and Obligations of a Designee.
(3)    Follow-up action is also required for items identified in Chapter 10, Suspension of a Designation.
(4)    All follow-up action must have clearly defined objectives and standards recorded in DMS. This ensures that the APD or DFEE clearly understands the goals to be achieved to remove any limitations imposed and future requirements.
(5)    Counseling. The managing specialist may determine that appropriate follow-up action could be conducted in the form of a counseling event. The counseling event would normally consist of a one-on-one interaction with the APD or DFEE to address deficiencies. The appropriate use of counseling is limited to the following events:

(a)    Misunderstanding of policy changes.

(b)    Initial errors in administrative functions such as application errors not involving the disqualification of airman applicants.

(c)    Designee activity rates.

(6)    Additional Training. The managing specialist may determine that appropriate follow-up action should be additional training. However, requiring additional training is a rare event as APDs and DFEEs receive a significant amount of training prior to designation and through reoccurring training events. If additional training is utilized, validation of the effectiveness of the training is required (e.g., checkride). Typically, there are two types of events that may be the cause for the use of additional training as a follow-up action:

(a)    Performance deficiency found during extended absence, and

(b)    Training to prevent a deficiency after an extended absence.

c.    Other Designee Management Functions. DMS provides the managing specialist with various tools in the oversight of designees in the form of reports and the ability to compare similar type designees on a local and national level. When deficiencies are found during the oversight of a designee, managing specialists have several additional tools at their disposal. They include:
(1)    Expand Authorities or Change Limitations or Conditions. The functionality of DMS is available to the managing specialist to address changes in need and ability to manage requirements. The policy found in Volume 1, Chapter 4, Designee Appointment, continues to apply. Additionally, in cases where the managing specialist has determined the need and ability to designate an APD or DFEE with multiple aircraft authorities is justified, the requirements found in Chapter 3, Selection and Evaluation of a Designee Applicant, apply.
(2)    Reduce Authority. This functionality of DMS is available to managing specialist to address reductions in need of an APD or DFEE. Its use may also be required to carry out follow-up actions.
(3)    Record Note. See Volume 1.
(4)    Send Message to Designee. The managing specialist may use this tool to document an event or an action required on the part of the designee. This function provides a permanent record of the correspondence with the designee.
(5)    Record Feedback or Interaction with a Designee. See Volume 1.
(6)    Plan Oversight Activity. This planning tool allows the managing specialist to plan additional oversight as needed. The planning of oversight allows the managing specialist to mark an event that must be completed and set reminders on the workspace.
(7)    Set Preapproval Requirements. Preapproval allows the managing specialist to adjust the preapproval requirements that allow a designee to conduct authorized functions. The preapproval requirement can require the APD or DFEE to obtain approval from the managing specialist for each event, or assist the managing specialist in developing an unscheduled oversight plan of the designee.
(8)    Suspend. The suspension function must be used when the managing specialist determines that a designee’s action have exposed an unacceptable level of risk through any data available source. (See Chapter 10 for additional information.)

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of APD and DFEE designees and managing specialists. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the training of designees and managing specialists.

2.    General.

a.    APD and DFEE Training Considerations. The APD and DFEE must successfully complete the training conducted by the FAA before initial appointment and as required thereafter, in addition to the air carrier‑approved training developed in conjunction with the ADE program. The managing specialist will validate in DMS that the APD and DFEE has completed all required training before initial appointment, during each performance evaluation, and prior to the next training due date.
b.    APD and DFEE Training Limitations and Managing Specialist Actions.
(1)    The APD and DFEE must complete all ADE training program requirements.
(2)    The DMS will suspend the APD or DFEE who fails to meet FAA recurrent training requirement due dates.
(3)    The managing specialist must suspend the APD or DFEE who fails to complete training requirements.
(4)    The managing specialist may suspend or terminate an APD or DFEE who fails to complete safety standardization meetings or other meetings the managing specialist directs to attend.
(5)    The APD or DFEE may complete the initial training in lieu of the recurrent training in order to meet the recurrent training requirements.
(6)    An APD or DFEE will not exercise authority as a designee unless all training requirements are met.
c.    FAA-Conducted APD and DFEE Training and Meeting Requirements.
(1)    Initial APD and DFEE Training. Initial training is a course of instruction that is comprehensive and provided by FAA (usually the APM) for the APD and DFEE applicant prior to designation and observation of the designee applicant. The training provides the designee with formal understanding of all duties and responsibilities and will consist of at least the following:

(a)    The knowledge, abilities, and skill requirements for the original issuance of the certificate and added ratings, as applicable;

(b)    The procedures, methods, and techniques associated with administering the required certification tests;

(c)    Examiner responsibilities, authority, and limitations under 14 CFR and applicable FAA orders;

(d)    The use of FAA forms and job aids associated with the particular examiner function;

(e)    Administrative procedures and relationships that exist in an ADE program; and

(f)    Use of the DMS.

(2)    Recurrent Training and Meetings. Specialists will ensure competent performance by each APD and DFEE with respect to the handling of applicants, application of desired test standards, and accurate completion and processing of certification paperwork. APDs and DFEEs should be encouraged to contact their managing specialists in order to resolve questions or difficulties. Sufficient contact is essential, and will include regular and special meetings and annual briefings. The recurrent training must be completed in the month before or the month after the month it was due in order to be considered completed within the required timeframe. All training conducted by the FAA must be recorded in DMS.

(a)    Recurrent FAA-Conducted APD and DFEE Training. Recurrent training will be conducted by the FAA for APDs and DFEEs every 12 calendar-months. The APD and DFEE must attend recurrent training. The managing specialists will provide training to include the elements listed below. This training must be recorded in DMS.

(b)    Regular and Special Meetings. The APD and DFEE is required to attend regular safety standardization meetings and special safety standardization meetings.

1.    Regular Safety Standardization Meetings. These meetings must be attended at least annually and before initial appointment. The managing specialists will conduct regularly scheduled meetings with designated examiners to maintain desirable standards and effective working relationships. The managing specialists should review National Transportation Safety Board (NTSB) recommendations on those models or similar model aircraft. The managing specialists may exercise discretion in choosing which of those areas to emphasize during this meeting, which may be combined with recurrent training.

2.    Special Safety Standardization Meetings. The managing specialists will call for special meetings whenever a significant change affects the process of FAA airman certification or other functions deemed necessary by the managing specialists.

Table 6-3.  Training and Meeting Requirements

FAA-Conducted Recurrent Training and Meeting Elements

Regular Safety Standardization Meetings

Special Safety Standardization Meetings

Annual FAA Training/Briefing

Administrative procedures and relationships with supervisory inspectors.

X

 

X

Designee’s roles and responsibilities, sources of authority, representation of the FAA:

Company interface

FAA support options

Administrative discrepancies,

Applicable changes to 14 CFR,

New FAA policy and procedures,

Conduct of the practical test,

Review and updating test scenarios,

Feedback on approved training courses,

Testing Standards

Regional and National issues (trends, considerations, etc.).

Activity pass fail rates

Administrative procedures and relationships with supervisory inspectors.

DMS interface and requirements

Written Test

 

 

X

At least annually, specialists will conduct regularly scheduled meetings with designated examiners for the purpose of maintaining desirable standards and effective working relationships.

X

 

 

Specialists will call special meetings whenever a significant change affects the process of FAA airman certification with respect to air transportation examiners.

 

X

 

3.    Initial Training Requirements. Initial training requirements for air carrier ASIs (Operations) with managing specialist responsibilities for APDs include:

a.    Completion of the Indoctrination training required for Air Carrier Operations Aviation Safety Inspectors, or equivalent.
b.    Completion of AFS Designee Management for Personnel Certification initial course or AFS Designee Management initial course.

4.    Recurrent Training Requirements. Recurrent training requirements for FAA personnel serving as APD managing specialists must be completed within 24 calendar-months after initial appointment. Completion of recurrent courses listed in Flight Standards Training Needs Assessment (FSTNA) that are profile-specific and apply to designee management include completion of Personnel Certification Designee Management–Recurrent or AFS Designee Management–Recurrent.

Note:  For detailed information regarding the training of APMs managing designees in an ADE program, see Order 8900.1, Volume 13, Chapters 1 and 2.

Chapter 8.  Renewal of Designee Appointment

1.    Purpose. This chapter provides the policy related to the renewal of an APD or DFEE appointment. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy of renewing an APD or DFEE appointment.

2.    General. See Volume 1.

3.    Privilege, Not a Right. See Volume 1.

4.    Renewal Request Period. See Volume 1.

5.    Renewal Duration. The APD or DFEE’s renewal duration is normally 24 calendar-months. The managing specialist may reduce the renewal duration period of 24 months as warranted by risk. If renewal is reduced from 24 calendar-months, the managing specialist must document the reason for reduced duration in DMS.

Chapter 9.  Termination of a Designation

1.    Purpose. This chapter provides the policy related to the termination of an APD or DFEE designation. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy of terminating an APD or DFEE designation.

2.    General.

a.    Documentation. The managing specialist and appointing officials should ensure that documentation relating to designee deficiencies substantiate the termination, and include those documents in the designee’s DMS file.
b.    Falsification of Documents. If a designee holds or is applying for an additional designation, was found to have falsified documents, and was subsequently terminated or banned, then all APD or DFEE authorities must also be terminated immediately for cause.

3.    Voluntary Surrender.

a.    Voluntarily Surrendering a Designation. See Volume 1.
b.    Voluntary Surrender Process. If the voluntary surrender is by request of the air carrier where the APD or DFEE is associated, the managing specialist must upload the requested document into the APD or DFEE’s DMS record.
c.    Voluntarily Surrendering a Designation. Either the APD or DFEE or the associated air carrier may request a voluntary surrender of an APD or DFEE designation.

4.    FAA-Initiated Termination.

a.    Terminating a Designation. See Volume 1.
b.    Termination Process. In addition to the common designee policy considerations, the following events are completed and documented as completed in DMS:
(1)    Determine rationale for termination.
(2)    Gather data to support termination rationale.
(3)    Document rationale in DMS.
(4)    Start termination process in DMS.
c.    Types of Termination.
(1)    For Cause. Termination for cause may be a negative finding(s) based on a designee’s performance. The following are examples of deficiencies in a designee’s performance of duties that would be justification for termination:

(a)    Any action determined through oversight of an APD or DFEE that has been identified as an unacceptable level of risk.

(b)    Unsatisfactory performance in any phase of designee duties or responsibilities, including the inability to accept or carry out the managing FAA office’s instructions.

(c)    Any actions by the designee that may reflect poorly on the FAA, such as misuse of the designation and failure to maintain a reputation for integrity and dependability in the industry and the community.

(d)    Not supportive or noncompliance of FAA regulatory requirements, standards, and policy to the public.

(e)    The inability of the designee to work constructively with the FAA office personnel or the public.

(f)    Evidence that the designee’s general or professional qualifications and requirements were not met at the time of the original designation or at any time thereafter.

(g)    A designee’s inability to demonstrate satisfactory performance during a knowledge and skill evaluation, during an initial training or a recurrent training.

(h)    A designee’s failure to maintain or an inability to demonstrate qualifications for any certificate, rating, or examiner designation held.

(2)    Not for Cause. Termination not-for-cause can be for any reason not specific to a designee’s performance. Additional detail can be found in Volume 1.
d.    Documentation.
(1)    The managing FAA office must document any deficiencies in DMS prior to initiating a termination process.
(2)    Any correspondence relating to the designee’s deficiencies, including, but not limited to, corrective action taken or a record of additional training, must be recorded in DMS.

Chapter 10.  Suspension of a Designation

1.    Purpose. This chapter provides the policy related to the suspension of APDs and DFEEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the suspension of an APD or DFEE designation.

2.    General. The suspension of a designee is a significant change in status and occurs because an elevated level of risk has been identified by DMS or the managing specialist.

3.    FAA-Initiated Suspension. See Volume 1.

4.    Automatic Suspension. See Volume 1.

5.    Follow-Up Actions. A plan of action to correct the deficiency that initiated the suspension should comprise of the following elements and be recorded in DMS:

a.    Identify the Deficiency.
b.    Prescribe Corrective Action.
(1)    Elements proposed to correct the deficiency, and
(2)    Standards that must be achieved.
c.    Validate the Proposed Action. The corrective action, which could be in the form of a training record, proficiency check, or other direct observation, must validate that the deficiency identified has been corrected. The managing specialist must record the follow-up action in DMS.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban or termination for cause of APDs and DFEEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for appealing a ban or termination for cause by an APD and DFEE.

2.    General.

a.    Appeal Considerations.
(1)    The FAA office manager will forward the request to the regional division manager, who may ask another region not involved in the decision to oversee the appeal.
(2)    The regional division manager or a delegate overseeing the appeal will convene an appeal panel comprised of three members:

(a)    An AFS-200 HQ division representative;

(b)    A regional coordinator; and

(c)    An AFS manager or front-line supervisor not associated with the office that terminated the designee.

(3)    The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.
(4)    The regional appeal panel’s decision is final.
(5)    All documentation associated with the appeal (e.g., outcome, members of the appeal panel, and communication with the designee or the field office) should be included in the designee’s DMS file.
b.    Ban or Terminate Appeal Process. See Volume 1.
c.    Appointing and Selecting Official Responsibilities During Appeal. See Volume 1.
d.    Appeal Panel Responsibilities. See Volume 1.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other designee management functions for APDs and DFEEs, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for other designee management functions for APDs and DFEEs.

2.    Assign DMS Roles—FAA Roles. A role within DMS is not a position description of an employee. A role, as it relates to DMS, defines the functions that an individual will have available in the DMS system.

a.    Master Role Assigner. The master role assigner determines who at the office level is given role permissions in DMS. The master role assigner is typically the office manager. This function may be delegated to an FLM as warranted by the office business needs.
b.    Selecting Official. The selecting official is determined by the office manager or delegate. Typically, this will be a CMU or CMO manager or supervisor and should be at least an FLM. The selecting official should work closely with the APM to determine the need of the training center and ability of the APM to determine resource capabilities.
c.    Evaluating Specialist. The evaluating specialist must meet the minimum qualifications of a managing specialist.
d.    Appointing Official. The appointing official is typically the office manager but may be delegated an FLM as deemed appropriate.
e.    Managing Specialist. A managing specialist may be a:
(1)    POI;
(2)    APM;
(3)    PPM; or
(4)    Others assigned by the master role assigner.

3.    Send Message to Managing Specialist. The designee may use this tool to communicate with the managing specialist. This will remain a permanent record of correspondence within the designee’s file.

4.    Update Designee Profile. Designees must update their profile on an annual basis. DMS will notify the managing specialist when APDs or DFEEs make a change to their profile.

a.    Managing Specialist Input. Under the following conditions, DMS will require input from the managing specialist to accept the change:
(1)    When the APD or DFEE has requested a change in name, gender, nationality, or date of birth.
(2)    When there is an address change.
b.    Notification. DMS will also notify the managing specialist if designees make a change to their profile and, as a result of the change, no longer meet the minimum qualifications. At that time, DMS will notify the managing specialist that the designee no longer meets minimum qualifications.

Volume 7.  TCE DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

1.    General Information.

a.    Purpose. This volume supplements the common designee policy by providing specific guidance for the administration of the Training Center Evaluator (TCE) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.
b.    Audience. The primary audience for this volume is TCE, Training Center Evaluator (Flight Engineer) (TCE‑FE), and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees as appropriate.

Section 2.  Overview

1.    Overview of Designee Functions.

a.    TCE.
(1)    The regulatory basis for the designation of a TCE may be found in 14 CFR parts 183 and 142. The FAA considers TCEs with certification authority to be examiners as the term is used in 14 CFR part 183. Training centers certificated under 14 CFR part 142 are required to have sufficient personnel to support their training objectives, which includes the appointment of TCEs. Title 14 CFR part 142 also outlines the prerequisites, training requirements, operating procedures, and limitations of TCEs who are authorized by the center’s Training Center Program Manager (TCPM). A TCE may, with the approval of the operator’s principal operations inspector (POI), be authorized to act as a check airman for that operator.
(2)    Check airmen and their associated authorities are not part of the Designee Management System (DMS) or this policy. Check airman policy and regulatory information can be found in Order 8900.1 and the associated regulatory sections. TCEs are issued authority to conduct various evaluations based on the need and the FAA’s ability to manage the TCEs. The authorities may include certification of airmen for the original issuance of a certification and/or additional ratings; conducting the pilot in command (PIC) proficiency checks as required by 14 CFR § 61.58 Category (CAT) II/III authority; and in some cases, authority to conduct the internal evaluations required by 14 CFR part 142.
b.    TCE-FE. An individual authorized to conduct flight engineer certificates and ratings (for other than 14 CFR part 121 or part 125 purposes) to applicants who qualify in accordance with 14 CFR part 63 and, in some cases, authorized to conduct the internal evaluations required by 14 CFR part 142.

Section 3.  Roles and Responsibilities

1.    FAA Roles and Responsibilities.

a.    Selecting Official. The selecting official is determined by the office manager or a delegate. Typically, this will be a Flight Standards District Office (FSDO), Certificate Management Unit (CMU), or Certificate Management Office (CMO) manager and may be a Front Line Manager (FLM).
b.    Evaluating Specialist. The evaluating specialist must meet the minimum qualifications of a managing specialist and may also be the managing specialist.
c.    Appointing Official. The appointment of designees is the responsibility of FAA managers.
d.    Managing Specialists. Managing specialists are individuals assigned a role in DMS to perform required functions in the management of a TCE. The managing specialist is typically the TCPM, fleet training program manager, or another inspector assigned to the TCE. Responsibilities include:
(1)    Ensuring that examiners are trained in certification duties and procedures.
(2)    Verifying oversight is scheduled and conducted, and that examiners maintain certification standards. Management of the designee program must be data-driven.
(3)    Ensuring that, before designation, each examiner candidate is properly trained to conduct evaluations under the authority issued and is observed while conducting an evaluation in accordance with this order.
(4)    Determining through oversight that the training center is adequately staffed with appropriately qualified TCEs.
(5)    Monitoring TCEs to determine adequacy and quality of checking and testing.
(6)    Training and evaluation of TCEs for initial designation, continuing qualification, and standardization.
(7)    Approving TCEs for specific types of aircraft and simulators operated by the training center and ensuring that training specifications reflect the approved TCEs correctly.
(8)    Monitoring TCEs during the conduct of airman certification and recurring evaluations to ensure compliance with established standards, approved procedures, and TCE authorization letters.
e.    Office Managers.
(1)    Office managers are responsible for the personnel, training, and budget resources necessary to accomplish the oversight of designated examiners. Personnel, training, and budget forecasts must contain adequate provisions for the oversight of designated examiners.
(2)    Office managers should anticipate changes in personnel requirements due to either growth in operator programs or public demand.
(3)    Office managers are responsible for continually evaluating the effectiveness of the delegation program.
(4)    Office managers are required to ensure that inspectors and supervisory staff are assigned appropriate roles within DMS to carry out their assigned duties.
f.    Regional Flight Standards Division (RFSD). In general, the RFSD is responsible for ensuring that airman certification standards are upheld.
(1)    TCPMs have regulatory oversight responsibility for training centers and are responsible for overall FAA technical administration, certification, surveillance, and investigation.
(2)    The TCPM’s responsibilities also include the management of TCEs associated with the training center.
(3)    Depending on the FAA’s resource structure for training centers and the associated TCEs, the TCPM may hold multiple roles within DMS.
(4)    When a training center has several aircraft types or the volume of evaluations at the training center requires many TCEs, more than one managing specialist may be required. Since the TCPM has overall responsibility of the training centers and TCEs, the TCPM is generally the primary managing specialist within DMS.
(5)    To assist the TCPM in the management of the TCEs, additional managing specialists may also be assigned to a designee or designee applicant.

2.    TCEs Abroad.

a.    A TCE may be authorized to serve at locations outside the United States, provided the TCE will examine applicants trained under an approved 14 CFR part 142 training program.
b.    A designee serving internationally will generally be managed by an International Field Office (IFO), but may be assigned to a domestic FAA field office for training centers that have satellite facilities abroad.
c.    An individual who is not a U.S. citizen may be authorized as a TCE abroad only when the need cannot be filled by a U.S. citizen and the individual has met the U.S. certification requirements for the examining authority requested.

Chapter 2.  Application Process

1.    Purpose. This chapter describes the policy related to an individual applying to be a TCE or a TCE-FE. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the application process for a TCE and TCE-FE applicant.

2.    General.

a.    Application Considerations. The application process to designate a TCE is initiated by the employing 14 CFR part 142 training center.
(1)    The certificate holder must submit a request letter to the TCPM and have the TCE applicant complete the FAA TCE application in DMS. If a letter is not received from the training center, then the responsible office shall not process the application. The letter of request must contain the following:

(a)    Justification of need based on FAA criteria;

(b)    Identification of specific authority requested;

(c)    Projected timeline of internal evaluator curriculum completion;

(d)    Explanation of how this applicant is the most qualified of eligible applicants; and

(e)    Statement that training center management has determined that the applicant meets all eligibility and minimum qualification requirements for appointment.

(2)    Coordination between the TCPM will be made and a request letter provided to the TCE applicant for upload in DMS.
(3)    The TCE applicant must complete the TCE application in DMS.
b.    Who Should Apply. Employees of a training center that have been recommended for nomination as a TCE.
c.    Multiple Designations. See Volume 1.

3.    Minimum Qualifications for TCEs and TCE-FEs. To be eligible for consideration as a TCE and TCE‑FE designee, candidates must first meet the following requirements:

a.    Meet all requirements listed in Volume 1, this chapter, and DMS.
b.    Meet the instructor and evaluator eligibility, qualification, and training requirements of 14 CFR part 142 subpart C.
c.    Be currently designated as an instructor at the employing training center in each curriculum for which they have requested evaluation authority.
d.    Be qualified in each specific curriculum and the associated flight training equipment for which TCE privileges are requested.
e.    Have a history of cooperation with the FAA, and an excellent record as an airman regarding accidents and incidents. The TCPM must verify the airman information through the FAA’s recordkeeping system(s) before scheduling any training or qualification observations.
f.    Hold the required airman certificates (excludes medical for simulator only applicants) to be eligible to act as PIC for the aircraft in which the applicant seeks authority.
g.    Hold an unrestricted FAA type rating applicable to the make, model, and series (M/M/S) of aircraft in which the applicant seeks authority.
h.    Provide the managing specialist documentation through DMS that they are qualified in each curriculum and the associated flight training equipment for which TCE privileges are sought.
i.    Provide the managing specialist documentation through DMS that they have at least 1 year of training center experience as a simulator instructor, and that they have accumulated at least 100 hours of simulator and flight training device (FTD) operating experience within the previous 12 calendar-months in the same aircraft M/M/S and type (if type is applicable) of simulator or aircraft for which the designation is requested.
(1)    TCPMs may consider the candidate’s previous experience as an alternative to the 1 year experience requirement if such experience is appropriate, timely (within the last 36 calendars-months), and equivalent to the 1 year prerequisite.
(2)    When considering a candidate’s previous experience to determine its equivalency relative to the authorization(s) being requested, the TCPM must carefully evaluate the candidate’s overall experience in the type of operation and aircraft for which authorization is sought.
(3)    Examples of experience that may be considered include prior experience as a TCE, designated examiner (DE), 14 CFR part 91K check pilot, or a 14 CFR part 119 certified air carrier check airman.
j.    The 1-year training center experience or the 100-hour requirement is not required when the training center submits an initial cadre implementation plan.
k.    Provide the managing specialist documentation through DMS that the candidates requesting authorization to conduct evaluations in an aircraft while acting as a required crewmember has logged at least 100 hours as a PIC in the M/M/S of the aircraft, except when approved as initial cadre on newly certificated aircraft types or newly acquired aircraft for the employing center.
(1)    A Flight Engineer TCE must:

(a)    Hold an unrestricted Flight Engineer certificate with the associated rating for which TCE-FE authority is requested.

(b)    Meet the requirement of 14 CFR § 63.31.

4.    Disqualifiers. See Volume 1.

5.    Privilege, Not a Right. See Volume 1.

6.    Post Application. See Volume 1.

7.    Maintaining an Active Designee Application. See Volume 1.

8.    Approval of Initial Cadre TCE.

a.    Purpose of Initial Cadre Process. During the early phases of establishing a TCE program, initial cadre TCEs are required. Initial TCE candidates must first become fully qualified as flightcrew members and then be trained, evaluated, and approved as TCEs. Because the regulatory language of 14 CFR part 142 does not address a training process for an initial cadre TCE, this order provides the necessary guidance. The process that follows is valuable for startup operations or when a new aircraft type is introduced to a training center because it is a practical way to initiate and build a TCE program, and because it takes advantage of initial operations when the operator or applicant is under close FAA scrutiny (with desirable effects on the TCE program).
b.    Letter of Request from Operator. The overseeing inspector must arrange with the operator and applicant to approve one or more TCE candidates to form an initial cadre. The operator will submit a letter of request and an initial implementation plan. The letter comprises of the request for initial cadre TCE in detail. The implementation plan must include a description of the entire training, experience and checking that the initial cadre TCE(s) will undergo, and any associated administrative functions. Specifically, quality control measures, training curriculum, recordkeeping methods, and methods that will be used for the instructor to gain experience must be clearly identified, as well as any additional information required by the managing specialist or TCPM.
c.    Training, Startup, or New Aircraft Introduction. The operator must provide a full qualification process for the initial cadre of TCEs nominated.
d.    Initial Training and Certification. The certificate holder must first arrange to have the initial cadre TCE candidates trained and appropriately certificated. The certificate holder may provide the training internally with TCEs from a satellite training center, or by contracting with a manufacturer, or with another 14 CFR part 142 air agency, or with properly qualified individuals such as flight test pilots for a new aircraft type.
e.    Initial Cadre Experience Requirements. Initial cadre TCE applicants are required to acquire a minimum of 25 hours of operating experience after qualification on the aircraft, which can be acquired by any of the following:
(1)    Training flights as a crewmember or observer in an aircraft or simulator;
(2)    Aircraft repositioning flights;
(3)    Participation as a crewmember or observer during en route proving flights;
(4)    Conducting aircraft/simulator checks under supervision;
(5)    Overseeing the operating experience of other airmen in an aircraft or simulator;
(6)    Being checked; or
(7)    Completing approved Line-Oriented Flight Training (LOFT) as an instructor or as a participating crewmember.
f.    Gaining Proficiency as an Instructor. After the initial training and certification, initial cadre TCE candidates must become proficient in the operator’s proposed training program by instructing each other. During this training, an operator may arrange for a pilot from the manufacturer, from another operator, or from another source to act as the safety pilot or instructor pilot.
g.    Proficiency and Competency Checks. After the first initial cadre TCE candidates have become proficient as instructors, they may then begin the training and checking of other initial cadre TCEs candidates in accordance with the operator’s initially approved flight training and qualification curriculum segments.
(1)    Each check must be observed by an FAA inspector who holds the appropriate airman’s certificate and the appropriate type rating, when applicable.
(2)    If the inspector determines that the performance of an initial cadre TCE candidate conducting a certain check is satisfactory, the inspector will recommend to the overseeing inspector that the airman be approved as a TCE for that type of check.
(3)    One initial cadre TCE candidate may check another, repeating the process until each candidate has been approved as a TCE or has been terminated from the program. If only one individual is considered the initial cadre TCE, an inspector will observe that individual conducting a check of another airman.
(4)    The initial cadre TCE will provide a log of required operating experience completed and upload the document into DMS.
(5)    If the candidate’s performance is satisfactory, the evaluating specialist will recommend to the managing specialist that the TCE candidate be approved as a TCE with the training center and the appointment process completed in DMS.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of TCE designee applicants. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the selection and evaluation of TCE and TCE-FE applicants.

2.    General.

a.    Selection Process Flow. The selection process for a TCE or TCE-FE designee applicant is initiated by a company approaching the FAA (via the appropriate point of contact) and identifying the need for a designee. Following discussions between the two parties, the FAA selecting official will enter DMS to begin the selection process. Below is a high-level representation of the designee selection process.

Figure 7-1.  High‑Level Selection Process Flow

Figure 7-1. High Level Selection Process Flow

b.    Selection Considerations.
(1)    The training center should put forth recommendations of the most qualified applicants based on experience, knowledge, and ability.
(2)    The selecting official should review all information provided by the training center, TCPM, and the other managing specialists associated with the training center, when selecting the applicant for evaluation.
(3)    Preferred sources for TCE candidates are:

(a)    Military, air carrier, or foreign Civil Aviation Authority (CAA) evaluators (at a minimum) who are actively or have previously engaged in evaluation activities for which testing and/or checking was conducted.

(b)    Current designees, examiners, and others that have demonstrated a positive interaction with the FAA.

3.    Need and Ability to Manage. The local office must determine the need and ability to manage the designee. The selecting official should work closely with the TCPM and managing specialist that will likely be responsible for the designee in order to determine need and ability. The local office CMO or CMU must consider the following when determining and recording the FAA’s need for a designee and ability to manage the designee:

a.    Training Center Need Considerations.
(1)    The ability of the training center to provide checking or testing as soon as practical after training is completed but no later than 7 days.
(2)    The number of complaints from the public about the lack of availability of the training center to provide certification.
(3)    The ability of FAA to support the certification work or need with existing designees.
(4)    Activity at the training center is forecasted to increase, establishing the need for additional designees.
(5)    The FAA has lost an employee or designee resource that, in turn, necessitates a replacement designee(s).
(6)    Number and types of advanced FTDs and simulators.
(7)    Projected and historical number of evaluations at the training center.
(8)    The use of TCEs from satellite training centers.

Note:  The designation of a TCE must be based on an analysis of the certificate holder's need for the designation and the ability of the certificate-holding district office (CHDO) to provide the required oversight. A utilization review of all TCEs at the training center with similar authority should be accomplished when need is determined. If there is a large variation of activity between TCEs with similar authority, the ability of the training center to efficiently schedule TCEs should be assessed. A large variation of activity would normally prevent the designation of additional TCEs.

b.    Ability to Manage Considerations.
(1)    Funding (e.g., travel allocation) needed to oversee the designee workforce.
(2)    Number of satellites and geographical location with respect to available FAA surveillance.
(3)    The local office staff has the technical skills and knowledge to oversee the designee. The training required to meet the conditions under the Memorandum of Understanding (MOU) with the training center.
(4)    The existing and projected office workload allows the office to effectively manage the designee.
(5)    Will FAA employees require additional authorization, testing, or training to oversee the designee?

4.    Requesting Qualified Applicants.

a.    List of Qualified Applicants. See Volume 1.
b.    Minimum Qualification Deviations Request Process.
(1)    If an examiner applicant does not meet all of the minimum qualifications for appointment and a need is determined, the managing specialist may request that the field office manager petition the RFSD for a deviation from the minimum qualifications.
(2)    The field office manager will document and communicate the circumstances and justification for the deviation to the RFSD outside of the DMS.
(3)    The RFSD office, after a review supporting the deviation, will coordinate with the Air Transportation Division (AFS-200) for concurrence external to DMS. If in agreement with the RFSD recommendation, AFS-200 will document the circumstances and justification in DMS and affect the required DMS process to change the applicant’s status from “Unqualified” to “Qualified Active (Deviation Allowed).”

5.    Evaluation.

a.    Selection of a Designee Applicant. The FAA is required to determine the most qualified applicants for appointment as TCEs. If the training center presents more applicants than need and ability requirement can support, the FAA may establish an evaluation panel to further review and determine the best-qualified applicant to be evaluated. If need and ability can support the training center’s request for applicants, then the evaluation panel is not needed.
b.    Evaluation Panel (if utilized).
(1)    Evaluation Panel Composition. The evaluation panel must include at least two individuals:

(a)    The managing specialist who is expected to be assigned to the designee, and

(b)    The front-line supervisor or any other operations inspector.

(2)    Evaluation Panel Tasks. The panel should review all necessary information to determine the best‑qualified applicant and record their recommendation in DMS. The following may be considered:

(a)    Information obtained from contact with references;

(b)    The results of an interview of the applicant;

(c)    Review of qualification information provided by the applicant; and

(d)    Other information as deemed appropriate.

c.    Applicants Not Selected for Evaluation. DMS will notify applicants that are not selected.
d.    Evaluation Process. The evaluation specialist must:
(1)    Complete a review of the TCE candidate’s application;
(2)    Complete evaluation checklist requirements found in paragraph f below; and
(3)    Assess the candidate’s technical knowledge and skills as an evaluator and pilot, and the ability to represent the FAA as a designee.
e.    Previously Terminated. The FAA shall not consider for appointment an applicant that has been previously terminated for cause.
f.    Evaluation Checklist Requirements. The selecting official and personnel that are evaluating a candidate that has been selected will complete the checklist in DMS and the following:
(1)    Verify the identity of the designee applicant. Such identification must include an official photograph of the applicant, the applicant’s signature, and the candidate’s residential address, if different from the mailing address. This information may be presented in more than one form.

Note:  Acceptable methods of identification include, but are not limited to, driver’s licenses, government identification cards, and passports.

(2)    Verify that DMS has confirmed that the minimum qualifications have been met and other items not checked by DMS are satisfied (see Chapter 2, Application Process).
(3)    Review training center endorsement letter and determine if the request contains the required elements. Determine that the applicant is qualified to meet the TCE authorities requested.
(4)    Verify that the applicant holds an appropriate airman certificate, class rating, and type rating applicable to the M/M/S of the aircraft in which authority is sought.
(5)    Verify that the applicant is qualified in each curriculum and the associated flight training equipment for which TCE or TCE-FE privileges are sought.
(6)    Determine if the TCE duties will be accomplished in the aircraft and if a medical certificate is required.
(7)    Verify that a valid second-class medical certificate is held if the TCE will be authorized to exercise privileges in an aircraft from a required crewmember seat. If the evaluation is to be conducted from the jumpseat, verify that at least a valid third-class medical certificate is held.
(8)    TCE (Aircraft). A TCE who exercises their authority in an aircraft in those maneuvers and procedures unable to be accomplished in an approved simulator or FTD must meet the same qualifications and training/evaluation requirements that are specified for a simulator or FTD instructor, plus the additional training requirements stated in 14 CFR § 142.53(a)(5) and (6). In addition, if TCE authority is exercised from a required crewmember position, each TCE must hold a medical certificate, a current FAA flight instructor certificate with appropriate category, class, and type rating, and must maintain recency of flight experience as required by 14 CFR § 61.57. If the evaluation is provided from a noncrewmember position or observer seat, the PIC must be qualified and current as a flight instructor in the aircraft.
(9)    The evaluating specialist must conduct a review of the applicant’s history, including all airman certificates held by the individual.
(10)    Review the uploaded training center’s records of the applicant and verify that the applicant meets 14 CFR §§ 142.47 and 142.53 for each curriculum for which authority has been requested.
(11)    Verify that the following training has been completed successfully and that there is a record of each:

(a)    The AIR Agency’s approved TCE training and

(b)    The FAA TCE training. (See Training.)

(12)    Conduct and record in DMS the proficiency check required by 14 CFR § 142.55(a)(4). (See Chapter 6, Oversight and Management of a Designee, for additional details.)

(a)    A TCE must satisfactorily pass a proficiency check in the flight training equipment in each aircraft M/M/S for which they are authorized to conduct evaluations. With aircraft of the same model but different series, the need for separate checks is determined by the criteria found in Chapter 6.

(b)    The proficiency check must be taken in a simulator or flight simulation training device (FSTD) (as applicable), or in an aircraft that represents the M/M/S of the aircraft in which the TCE will be conducting evaluations.

(c)    If authorized to evaluate in the aircraft due to the limitations of the simulator or FTD for 100 percent testing and checking, the TCE must accomplish an annual proficiency check in the aircraft on the maneuvers that cannot be accomplished in the simulator or FTD.

(d)    The evaluating specialist that conducts the proficiency check must be qualified in the aircraft and current in accordance with the current edition of FAA Order 4040.9, FAA Aircraft Management Program.

(13)    Conduct Professional Ability Review.

(a)    Does the candidate possess an above-average level of knowledge, ability, and experience?

(b)    Are the candidate’s professional qualifications acceptable?

(c)    Is the candidate’s training record acceptable?

(d)    Does the applicant have a reputation for integrity and dependability in the industry and in the community?

(14)    Assesses each designee candidate’s knowledge and experience by:

(a)    Reviewing the application.

(b)    Consulting with others who are familiar with the designee candidate.

(c)    Observing the results from the evaluating specialist(s).

(d)    Reviewing comments from candidate’s references that may influence the decision to recommend or deny appointment. Comments should include positive and negative comments received from reputable internal and external sources.

(e)    Analyzing the results of the proficiency check.

(f)    Considering other means deemed appropriate by the evaluating specialist.

(15)    Complete Initial Direct Observation. Observe the TCE candidate conducting a complete certification test consisting of oral, simulator, and aircraft portions if required when certification authority is requested. If certification is not requested, then observe the check for the requested authority. (See Chapter 6 for detailed information.)

6.    Prepare Recommendation. At the conclusion of the evaluation events, the evaluating specialist will make a recommendation in DMS to the appointing official whether to appoint the applicant or not, and indicate what limitations or conditions should be included in the Certificate of Authority (COA). The recommendation must consider and be in accordance with the following:

a.    Demonstrated Abilities During All Evaluation Events. The evaluating specialist will determine if the applicant has satisfactorily completed all evaluation events to the appropriate standards.
b.    Background Experience. Will the background experience of the applicant support the FAA need for a designee in a positive manner?
c.    Other Qualifications. Does the designee candidate hold unique traits or qualifications that support the FAA goals?
d.    Needs of the Appointing Office. The appointing office must consider the type of activity at a training center to determine the type of authority that is needed in the selection of authorities and limitation contained within the Certificate Letter of Authority (CLOA) (i.e., certification quantity, recurrent checking quantity, and specialty checks).
e.    Appointment Duration. The initial duration of a designee’s appointment is up to 12 calendar-months but not more than 6 calendar-months if 14 CFR § 142.55(a)(4) authority is authorized.
f.    Multiple Aircraft Make, Model, or Series Considerations. Before a TCE or TCE-FE can be approved for a second aircraft, the TCPM must carefully evaluate the differences between the aircraft currently authorized and that of the second type requested. In many cases, an aircraft type rating will encompass a number of different models and series of aircraft within that type rating. Different models or series within a specific type may have vastly different operating characteristics and systems. Levels of differences (designated A–E) are described in Order 8900.1, Volume 3, Chapter 19. Because the TCE’s knowledge and skills directly affect the quality of an evaluation, the managing specialist must consider the following guidelines and limitations when determining the reasonable number of aircrafts in which a TCE may be authorized to conduct evaluations.
(1)    Considerations.

(a)    Authorization to conduct evaluations in an aircraft model or series that encompass Level A or B differences are relatively easy to accomplish (e.g., DHC-8-100 versus DHC-8-200) and may not affect the TCE’s ability to effectively transition between the two aircraft.

(b)    Authorization to evaluate in a model and series that requires Level C, D, E, or Flight Standards Board differences training will affect the complexity of the evaluation and must be considered before additional authority is granted.

(c)    Authorization to evaluate in aircraft that have a common type rating but require separate curriculum and/or flight training equipment should be considered essentially the same complexity as another type rating (e.g., DC-9-30 versus MD-88 or B717).

(d)    Evaluate in more than two aircraft types or two different models/series within the same type if they are significantly different. For example, LR-25 and LR-55 are considered significantly different aircraft and therefore are considered as two separate aircraft for the purposes of this order. It is appropriate to consider the LR‑28/29 as one type (that is, that no greater than Level B differences exist) for the purposes of determining the maximum number of TCE authorizations. Between all other models of aircraft covered by the LR-JET type rating, Level C or greater differences exist. See Chapter 4, Designee Appointment, for additional detail on differences determination.

(e)    Evaluations resulting from a specialty curriculum, such as CAT II, also affect overall complexity.

(f)    Consideration must also be given to the number of annual proficiency checks and training events required to maintain the TCE’s currency.

(2)    Limitations. FAA personnel may not authorize a TCE/TCE-FE to:

(a)    Conduct evaluations in training courses for two or more grades of pilot certificates.

(b)    Conduct evaluations in five or more different series of one (1) aircraft model.

(c)    Evaluate in more than two aircraft types or two (2) different models/series within the same type if they are significantly different.

(d)    Conduct evaluations in more than one aircraft type and one training course for non-type-rated aircraft or conduct evaluations in five or more different series of one aircraft model.

7.    Appointment Recommendations. There are two appointment recommendation types:

a.    Approve. The evaluation specialist recommends appointment recommendation and now must:
(1)    Identify recommended authorizations, and
(2)    Prepare recommendation for review by appointing official.

Note:  The initial duration of a designee’s appointment is up to 12 calendar-months except when 14 CFR § 142.55(a)(4) authority is recommended, which requires an appointment not to exceed 6 calendar-months.

b.    Disapprove. If the evaluation specialist recommends disapproval, they must provide justification in DMS.

8.    Additional Authorities. Authorities such as CAT II/III, 142 instructor evaluation, and internal proficiency check authority are not normally authorized during initial appointment and have additional requirements for their issuance. Additional information can be found in Chapter 6.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of TCE and TCE-FE designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the appointment for TCEs and TCE-FEs.

2.    General.

a.    Appointment Process Flow. Below is a high-level representation of the designee appointment process.

Figure 7-2.  High‑Level Appointment Process Flow

Figure 7-2. High Level Appointment Process Flow

b.    Appointment Considerations. The evaluating specialist will verify that the designee has successfully completed all appointment requirements in DMS and policy and make appropriate recommendation to the appointing official through DMS.

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    Appointment Duration. For initial appointments, a 1-year term is applied unless a short-term is required by policy or need by the managing specialist.

6.    Multiple Designations. An airman may be designated by the FAA to perform multiple certification services as a designee on behalf of the Administrator. The only limitation that should be considered is the effect of multiple designations on the ability of the TCE to perform functions appropriately. In addition, a designee may be designated to hold more than one type of designation.

7.    Forms and Supplies. The managing FAA office should provide each designee with supplies appropriate to the designation. The following supplies are necessary for the performance of TCE duties. The managing FAA office may issue some or all of the designee materials at the time of appointment. With the exception of FAA Form 8060-4, the following material can be found on the Internet, or through common sources such as the Government Printing Office (GPO).

    This order, FAA Order 8000.95, Designee Management Policy.

    FAA Order 8900.1, Flight Standards Information Management System (FSIMS).

    FAA Form 8710-1, Airman Certificate and/or Rating Application.

    FAA Form 8060-4, Temporary Airman Certificate.

    FAA Form 8060-5, Notice of Disapproval.

    Title 14 CFR Part 61, Certification of Airman.

    Title 14 CFR Part 142, Training Centers.

    Title 14 CFR Part 183, Representatives of the Administrator.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter describes the common policy associated with the responsibilities and obligations of a TCE. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the responsibilities and obligations of a TCE and TCE-FE.

2.    Designee Responsibilities. The TCE or TCE-FE is responsible and obligated to adhere to the following in addition to any requirement found in the Common Designee Policy:

a.    Conduct Approved Activities. The TCE or TCE-FE is authorized by the managing FAA office to conduct only those airman certification and checking activities approved by the FAA and found in DMS.
b.    Complete Preapprovals. Complete preapproval testing and checking requests as required by the managing specialist.
c.    Complete Post-Activity Reports. Designees are required to complete post-activity reports in DMS after performing certification functions. Post-activity reports provide the managing specialist with a record of the activity for that designee. These reports can aid in planning an appropriate level of oversight of the designee.
(1)    In the event that preapproval is required, if designees have post-activity reports that have passed the requisite 7-day submission deadline, DMS will not grant another preapproval number until all outstanding post‑activity reports have been submitted.
(2)    Access to post-activity reports will remain available to a designee for up to 5 working days after a termination, suspension, or expiration for the designee to record any results.
d.    Adhere to 8900.1. Conduct all practical tests in accordance with the applicable sections of this order, Order 8900.1, practical test standards (PTS), regulations, and approved qualification modules.
e.    Know This Order. Be knowledgeable about the contents of this order.
f.    Administrative Functions. The TCE or TCE-FE must complete the airman certification forms or entries in accordance with the requirements of FAA policy and regulatory requirements. The paperwork must be accurate, complete, and timely. All certification packages must be completed via the Integrated Airmen Certification and/or Rating Application (IACRA) or sent to the managing specialist within 7 calendar-days of completion.
g.    Complete DMS Entries. They must complete DMS entries for each test conducted.
h.    Conduct Appropriate Evaluations. Only conduct evaluations for students of the employing training center.
i.    Represent Administrator. Each designee must represent the Administrator in a manner that reflects positively on the FAA.
j.    Exhibit Positive Attitude. Each designee must continuously exhibit a positive personal attitude toward safety and present a positive image of the FAA in respect to aviation safety.
k.    Give Undivided Attention. Designees must give undivided attention to the applicant during the testing period.
l.    Assure Confidentiality. Designees must ensure that discussion following any test is private and confidential.
m.   Maintain Knowledge and Skill. A designee must maintain a high degree of knowledge and skill in the subject areas required for airman certification, evaluation, and testing techniques.
n.    Maximum Evaluation Time. Combined instruction and evaluation time in a simulator or FTD may not exceed 8 hours in a 24-hour period. This limitation does not include pre- and post-briefings associated with flight training.
o.    Maximum Evaluation Events. No more than four events may occur per calendar day. An event is a simulator evaluation of one applicant, or an oral evaluation of one applicant.
p.    Use English Language. Conduct tests in the English language.
q.    Issuance Requirements. Issue Temporary Airman Certificates to applicants who have been tested and found qualified for the certificate or rating sought.
r.    Amend or Alter Certificate. Amend or alter a certificate only:
(1)    When adding a rating to the certificate of an applicant that a designated examiner has tested and found to be competent.
(2)    When removing a restriction on a certificate which the examiner is authorized to issue. For example, a TCE, if authorized, may remove the restriction of “VMC circling approach CL-65” when the applicant has completed an approved course of training and the TCE has completed the appropriate qualification module.
(3)    When adding an “SIC Type Rating” to an airman’s certificate if the applicant has successfully completed an approved training curriculum that meets the requirements of 14 CFR § 61.55.
s.    Temporary Airman Certificates. A designee may not reissue or amend any expired Temporary Airman Certificate.
t.    Applicant Third Evaluation. The TCE or TCE-FE may not conduct an evaluation of an applicant for any certificate action if during the previous two attempts the applicant was issued a notice of disapproval.
u.    Two Different Models/Series. The TCE or TCE-FE may not evaluate in more than two aircraft types or two different models or series within the same type if they are significantly different.
v.    Five or More Different Series. Conduct evaluations in five or more different series of one aircraft model.
w.    Participation in Recent Flight Training. If the TCE or TCE-FE participated (as instructor, instructor evaluator, or crewmember) in one or more of the four flight training periods preceding the proposed evaluation, or when the TCE has recommended the applicant, the TCE or TCE-FE must not evaluate an applicant for a certificate, additional rating, or an amendment without the expressed permission documented in DMS from the managing specialist. Exceptions to this policy may be granted on a case-by-case basis after considering any unique or extenuating operational circumstances surrounding the particular request. Scheduling convenience or trainee availability are not valid reasons to grant such permission.
x.    Waivers, Special Medical Evaluations, Competency Tests.
(1)    The TCE or TCE-FE may not conduct special medical evaluations, tests for waivers, or any test for competency under Title 49 of the United States Code (49 U.S.C.) § 44709.
(2)    TCEs or TCE-FEs will instruct applicants for waivers, special medical evaluations, and competency tests under 49 U.S.C. § 44709 to an FAA flight FSDO.
y.    Graduates of Employing Training Center. TCEs or TCE-FEs may only conduct evaluations for graduates of the employing training center or satellite center(s).
z.    Examiners-at-Large. TCEs or TCE-FEs may not act as examiners-at-large by conducting practical tests or proficiency checks for the general pilot population.
aa.    Functioning as a Crewmember. A TCE or TCE-FE may not function as a required crewmember while conducting simulator evaluations.
bb.    Expired Authority. A TCE or TCE-FE must not conduct any evaluation after the expiration date listed in DMS.
cc.    Exemptions. A designee may not exempt any applicant from the testing or checking requirements in the applicable PTS and other qualification module requirements or document.
dd.    Teaching, Testing, and Checking. A designee may not combine teaching with testing during the testing or checking of an applicant.
ee.    Proof-of-Eligibility. A designee may not conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable 14 CFR part 61.
ff.    Airman Knowledge Test. A designee may not conduct oral and practical (O&P) tests unless the applicant has passed the required airman knowledge test.
gg.    Suspension. A designee may not temporarily suspend a test to allow the applicant further study, and then continue the same test later.
hh.    Evaluation Locations. A TCE or TCE-FE may not conduct evaluations at locations not listed as primary or satellite facility of the training center unless:
(1)    The training center requests authorization to conduct remote evaluations in writing to TCPM;
(2)    The training center provides the date and address of the testing site in writing;
(3)    The request is made in writing at least 3 working-days prior to the scheduled activity; or
(4)    The TCE receives approval from the designee’s managing specialist in DMS.
ii.    Outside the United States. A TCE or a TCE-FE of a U.S. domestic center, including Alaska and Hawaii, must not conduct any evaluation services outside the United States without the expressed permission of the assigned managing specialist. The managing specialist will coordinate all international activities (other than Canadian) with the applicable IFO or CHDO with geographic responsibility for the requested evaluation.
jj.    Security. Each TCE or TCE-FE is responsible for establishing and carrying out appropriate security procedures. The security of the controlled material is important to prevent compromising the issue of the airman certificate. The TCE or TCE-FE is encouraged to use common established training center security procedures and measures as accepted by the managing specialist.
(1)    The TCE or TCE-FE shall secure the aforementioned material in a manner that will not allow unauthorized access (e.g., a locked drawer, cabinet, or closet). Only authorized representatives of the FAA Administrator will receive access to secured material. The TCE must refer any public request for the secured material to the managing FAA office.
(2)    The TCE or TCE-FE must ensure adequate security of:

(a)    All knowledge element questions developed for the tests;

(b)    All skill element plans of action developed for the tests; and

(c)    Temporary Airman Certificates.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of TCEs and TCE-FEs. This designation type-specific policy and Volume 1, Common Designee Policy, constitute the overall policy for the oversight and management of a TCE and TCE-FE.

2.    General Oversight and Management Considerations.

a.    General Considerations. Effective oversight of TCEs and TCE-FEs is founded on a strategy of risk management in which safety management principles by a training center, and oversight by the FAA, includes a continual process of weighing the harm potential of any hazard against the likelihood of its occurrence, and taking appropriate preventive action.
b.    Regional Office, Managing Office, and Managing Specialist.
(1)    Regional Office. Each region is responsible for the performance of its respective FSDOs, CMOs, and CMUs in managing the designees authorized. Evaluations and corrective actions should be data-driven based on objective evidence and decisions or actions documented in DMS.
(2)    Managing Office and Managing Specialist.

(a)    The FAA must allocate sufficient resources, including manpower and funds, to ensure effective management and efficient oversight of any designee. FSDO, CMO, and CMU managers continually evaluate the effectiveness of the respective designee processes, and are responsible for prompt response and feedback to designees.

(b)    Maintaining an accurate oversight record in DMS is crucial not only to managing individual designees, but it allows for the identification of strengths and weaknesses in the entire system as well. Managing specialists are responsible for ensuring that the designees maintain airman certification and checking standards as prescribed by 14 CFR, by PTS, by approved training programs, and by applicable handbooks. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.

3.    Oversight and DMS. In DMS, the following oversight activities are available:

a.    Direct Observations.
(1)    Evaluator Ability Observation. Observe the designee to determine if the TCE or TCE-FE’s ability to test or check applicants is in accordance with FAA policy and regulatory requirements.
(2)    Proficiency Check Observation. Conduct or observe the TCE or TCE-FE performing the duties during a proficiency check.
(3)    Paperwork Review. This is an administrative function that allows the managing specialist to record the quality of the paperwork submitted by the TCE. Title 14 CFR § 183.17 requires that DEs make reports as prescribed by the Administrator. DEs will forward airman certification paperwork to the designated FSDO for review, processing, and transmittal to the Airman Certification Branch (AFS-760) when IACRA is not used. When multiple designations with more than one supervising office are involved, certification paperwork will be sent to the supervising office for each designation. This paperwork will only be submitted to, and processed by, the specified office; it may not be accepted by other offices.
(4)    Results of Investigation or Inquiry. This process provides a record of an investigation that has occurred that was not associated with the designee functions.
(5)    Designee Interaction. This process provides a record of any interaction that has occurred that the managing specialist deemed relevant and appropriate to be included in the designee’s file.
(6)    Applicant Interview Results. This allows the FAA managing specialist to record the results of a formal interview of an applicant.
(7)    Performance Evaluation. The performance evaluation provides a comprehensive review of data in DMS and other data sources regarding the TCE performance and qualifications.
(8)    Record Designee Training. This functionality allows the managing specialist to record training events in DMS.
(9)    Candidate Interview Results. This functionality allows the FAA specialist to record the results of a formal interview of a designee candidate.
(10)    Record Feedback. Record feedback allows external feedback related to a designee to be recorded.
(11)    Record Note. Record note allows the managing specialist the ability to make a personal note in the TCE’s file that only the managing specialist can view. This note does not remain a permanent part of the TCE file.
(12)    Message Center. The message center allows the managing specialist and the TCEs or TCE-FEs to send a DMS-recorded note to each other that will remain a part of the designee’s record.
(13)    Document Annual Meeting. The managing specialist can record the annual meeting within DMS and allow the results of multiple TCEs to be recorded simultaneously.

4.    Performance Measures and Oversight Results. The FAA uses performance measures to aid in the evaluation of a designee in many of the oversight activities.

a.    Performance Measures. The three categories of performance measures are technical, procedural, and professional and are detailed below for TCEs. DMS provides appropriate fields to record the details for each of the oversight activities. The type of oversight activities will determine what performance measure attributes should be considered by the managing specialist. For many of the oversight activities, the managing specialists will summarize the performance measures and make a final oversight activity result. See Figure 7-3, Performance Measures and Oversight Activity Results, for the general process flow. The managing specialist can select from:
(1)    Satisfactory;
(2)    Needs Improvement;
(3)    Unsatisfactory—Suspend; and
(4)    Unsatisfactory—Terminate.
b.    Follow-Up. If the managing specialist determines the events results rating of “Needs Improvement,” “Unsatisfactory—Terminate,” or “Unsatisfactory—Suspend,” then the managing specialist determines the appropriate follow-up activity and records it in DMS.

Figure 7-3.  Performance Measures and Oversight Activity Results

Figure 7-3. Performance Measures and Oversight Activity Results

c.    Performance Measures Details. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:
(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

(a)    Equipment and Materials. Does the examiner select or use the appropriate equipment, device, tools, and reference material, etc., when planning or conducting tests? (This performance measure is most appropriate for direct observation.)

(b)    Knowledge and Understanding. Does the examiner understand the technical terminology contained in FAA orders, the PTS, and other reference material used in planning, describing, or conducting airman testing? Does the TCE demonstrate an expert level of knowledge about the aircraft operation and systems? (This performance measure is appropriate for most types of oversight activities.)

(c)    Interpret and Apply. Does the examiner correctly interpret and apply the technical performance standards defined by the appropriate testing standard? (This performance measure is most appropriate for direct observation.)

(2)    Procedural. The designee demonstrates the ability to complete administrative functions correctly. The designee accurately completes and issues appropriate documentation, submits required data, follows established procedures, and complies with all regulations, orders, and directives.

(a)    Screening Applicants. Does the examiner follow the correct procedure when accepting applications and determining applicant eligibility?

(b)    Submittal of Information and Data to FAA. Does the examiner properly submit information, documents, or data to the FAA when it is required by FAA orders or by specific instructions provided by the FAA managing office?

(c)    Conducting Evaluations and Tests. Does the examiner follow the correct procedure when conducting, grading, and providing feedback to applicants during testing?

(d)    Issuing Certificate, Approval, Authorization, or Results to Applicant. Does the examiner follow the correct procedure when completing and issuing certificates, approvals, test results, or other findings to the applicant upon completion of the testing activity?

(3)    Professional. The designee conducts activities in an ethical, courteous, and conscientious manner reflecting highly on the Administrator. The designee presents a cooperative attitude, and demonstrates integrity, tact, and diplomacy when dealing with industry and the FAA. The designee communicates effectively in a manner that reflects positively on the FAA, both orally and written.

(a)    Oral and Written Communication. The managing specialist should consider whether the designee effectively communicates either in writing or in conversation with the FAA or general public. The managing specialist should also determine if the designee provides feedback to the FAA with ways to improve the designee system.

(b)    Professional Representation of FAA (w/Public). The managing specialist should consider whether the designee demonstrates a positive reflection on the FAA and a willingness to comply with FAA policy and managing office instruction.

(c)    Cooperative Attitude with the FAA. The managing specialist should consider whether the designee is easy to work with and presents a positive attitude when interacting with the FAA. The managing specialist should also determine if the designee is responsive to the FAA and accessible to the FAA as required.

(d)    Ethics and Judgment. The managing specialist should consider whether the designee maintains high ethical standards and demonstrates good judgment in the conduct of authorized activities.

d.    Oversight Planning.
(1)    Multi-Phase Oversight Plan. When developing an oversight plan, the specialist should follow the four phases for planning and executing oversight programs. Oversight will be accomplished in DMS and automatically incorporate the National Program Guidelines (NPG) items as a baseline. Events can be planned for the year and amended as necessary to address changes in oversight objectives.

(a)    Phase 1. Developing an oversight plan by determining the types of inspections necessary and the frequency of those inspections. An effective oversight plan begins with an evaluation of the designees, original documentation, authorizations, and previous oversight activities.

1.    Managing specialists should evaluate the requirements for initial designation on a reoccurring basis as part of the comprehensive inspection process. The development of an oversight plan requires planning at the headquarters (HQ), regional, district office, and individual inspector levels.

2.    An oversight program may be based on the need to conduct routine and ongoing surveillance, or the need to conduct special emphasis oversight as a result of certain events such as accidents, incidents, violations, and strikes. When planning an oversight program, FAA personnel should determine the program objectives, evaluate the resources available, and determine the specific types and numbers of inspections in support of that program.

3.    The NPG provides a base level of oversight data which should be evaluated. The results of the previous oversight plans should be used as a basis for planning future oversight programs. This information, along with other related information such as previous inspection reports, accident/incident information, compliance and enforcement information, and public complaints should be used to determine the types and frequency of inspections. When developing an oversight program, inspectors should first consider NPG requirements. The NPG requirements, however, only provide a base level of oversight data. Therefore, the inspector should consider a designee’s compliance status and other factors such as ongoing certification activities when developing an oversight program. It may be appropriate to change the emphasis or objectives of oversight programs by changing the types and numbers of inspections.

(b)    Phase 2. Conducting the Oversight Plan Inspections. During the oversight plan inspections, accurate and qualitative inspection reporting is essential. High quality inspection reporting is necessary for the effective accomplishment of the third and fourth phases of an oversight program.

(c)    Phase 3. Analyzing Oversight Data. After reporting the inspection data, conduct an evaluation of the information obtained from inspection reports and related sources. The purpose of this evaluation is to identify the areas of concern and note areas such as the following:

1.    Noncompliance with regulations or safe operating practices.

2.    Both positive and negative trends.

3.    Isolated deficiencies or incidents.

4.    Causes of noncompliance, trends, or isolated deficiencies.

(d)    Phase 4. Determining Appropriate Course of Action. The managing specialist must use professional judgment to decide the most effective course of action. The appropriate course of action depends on many factors. There are many choices that are available such as: taking no action, informal discussion, counseling, send a note through DMS, additional training, suspension or termination of designee authority, and initiation of an enforcement investigation. Consider the results of the evaluation of oversight data and the designee’s response to the course of action taken. Part of the fourth phase of an oversight program is for the FAA to determine, as a result of the information gathered from the program, what will become the inspection requirements for subsequent oversight programs. Depending on the situation, it may be appropriate to increase or decrease the rate at which the managing specialist conducts inspections during subsequent oversight plans.

e.    Oversight Planning Considerations and Tools.
(1)    Frequency and Timing. Although unannounced inspections are required and appropriate under some conditions, managing specialists should consider conducting inspections at a time coordinated with the TCE. Whenever practicable, the more encompassing formal inspections should be conducted during normal working hours (0800–1700). Routine daily or weekly inspections or observations should be conducted randomly and at times and locations to ensure compliance with the managing office’s oversight plan. Oversight plans for designees that operate around or nearly around the clock should include inspections throughout the designee’s operating hours.
(2)    Job Aids. Specialists can find job aids to assist with their inspection functions on the designee website. Inspection areas that do not have a job aid available should use the detailed guidance found in this order.
f.    Planning and Frequency of Specific Oversight Activities.
(1)    Direct Observations.

(a)    Managing specialists must ensure that each TCE is observed as required above by an appropriately qualified aviation safety inspector (ASI) (refer to Order 4040.9). Scheduling oversight is the responsibility of the managing specialists, who are responsible for establishing procedures by which the TCE provides schedules of proposed activities as far in advance as is practical or required, except for those unscheduled spot observations.

(b)    The results of direct observations must be recorded in DMS and an outcome of the observation determined. Oversight results are determined by the managing specialist’s assessment of the defined performance measures and the consolidation of those observations in determining the result of the direct observation. Depending on the result, the managing specialist may require a follow-up action. It is important to note that the TCE’s direct observations are not the same as the requirements for training center instructors.

(c)    The following schedule defines the minimum frequency for direct observation events.

1.    Annually—Evaluator Ability Observation. For TCEs with certification authority, or TCEs who are qualified in more than one make and model aircraft, or TCEs qualified in different category and class aircraft. For TCEs that hold authority in more than one aircraft type or category, the next evaluator ability observation must be accomplished in the alternate aircraft type or category. Up to 90 days before the annual due date of the observation, the managing specialist will observe the TCE conduct a complete practical test for at least one of the authorizations held. If the observation is done within 90 calendar-days of the due date, the observation can be considered completed in the month it was due for the purpose of scheduling the next observation.

2.    Additional Evaluator Ability Observations. Ten percent of the TCE population must receive an unscheduled direct observation. A required annual or biennial evaluator ability observation that is conducted as an unscheduled event may be used to satisfy this requirement.

3.    Biennially—Evaluator Ability Observation. For TCEs without certification authority. Up to 90 days before the observation due date, the managing specialist will observe the TCE conduct a complete proficiency check. If the observation is done within 90 calendar-days of the due date, the observation can be considered completed in the month it was due for the purpose of scheduling the next observation.

4.    Special Authorizations—Evaluator Ability Observation. TCEs that hold other authorizations such as CAT II and center line thrust removal that are not part of a core curriculum must be observed annually in addition to the annual or biennial requirements above.

5.    Annually—Proficiency Check Required by 14 CFR § 142.55(a)(4). This proficiency check is normally conducted by a managing specialist.

(i)    Each required proficiency check must have been accomplished within the 12 calendar‑months prior to the expiration date of the TCE designation, except when completion of the check in the calendar month before or the calendar month after the due month is considered to have been completed within the timeframe.

(ii)    The 14 CFR § 142.55(a)(4) check must be conducted by a managing specialist or by a TCE with specific authority to conduct the evaluation as listed in DMS.

(2)    Document Review. The managing specialist should review documents as they are received.
(3)    Applicant and Public Interview. As needed.
(4)    Feedback. As needed.
(5)    Counseling. A “Needs Improvement” rating or other event can warrant the need for counseling.
(6)    Performance Evaluation.

(a)    Annually.

(b)    Every 6 months if the TCE has been authorized to conduct 14 CFR § 142.55(a)(4) checks.

(c)    When a deficiency has been identified and corrected.

(d)    Within 7 calendar-days before the renewal date of the designee.

(7)    Other.

(a)    If a managing specialist identifies a deficiency during an oversight activity or performance evaluation and determines the need for additional oversight.

(b)    At any time that the managing specialist determines the need.

5.    Special Emphasis Oversight. Although oversight activities are designed to be implemented on a continuing and as needed basis, focused oversight is appropriate and required by FAA policy in several situations. The managing specialist is expected to conduct special emphasis oversight when designees:

a.    High Activity TCE. A designee who conducts 50 or more events in a given quarter is considered a “high activity designee.” In addition to the required annual inspection, high activity designees will undergo an evaluator ability observation at least one additional time during the year. This additional inspection requires that the managing specialist observe the TCE administer at least one complete event that is authorized in the designee’s CLOA.
b.    Low Activity TCE. When a TCE has conducted less than three events per quarter, the continued need and the designee's ability should be closely assessed.
c.    Practical Testing Rating. When a practical test passing rate exceeds that expected.
d.    Certification File Error. When a certification file error rate exceeds 10 percent, additional training or termination should be considered if not correctable or feasible.
e.    Subject of Complaint. When a TCE is the subject of a valid public complaint, determine if additional oversight is needed.
f.    Involved in Accident, Incident, or Violation of 14 CFR. When a TCE is involved in an accident, incident, or a violation of a 14 CFR regulation, determine if additional oversight is needed.

6.    Oversight Activity Details and Procedures.

a.    Direct Observation—Evaluation Observation. This type of observation is for a TCE candidate or a currently authorized TCE.
(1)    The purpose of this observation is to evaluate the TCE’s ability to exercise the authority in accordance with checking or testing requirements. The oversight (which may be unannounced) will consist of the following events and conditions:

(a)    The evaluation must be conducted in accordance with a core curriculum approved for the employing training center and appropriate for the evaluation authority being sought or held or an air carrier course if the managing specialist determines that the course is not materially different from the core curriculum and that an equivalently effective evaluation can be conducted.

(b)    The applicant or TCE must also demonstrate the proper completion of the airman certification or qualification paperwork required by the employing center as well as appropriate FAA documentation and reporting.

(c)    The security of controlled documents that have been provided by the FAA should be reviewed during this observation.

(d)    If the TCE is qualified in more than one type of aircraft, alternating annual evaluation observation should be planned. If the aircraft are not in the same category and class, evaluations must be scheduled in each category and class annually.

Note:  The TCE’s renewal evaluations are not the same as the requirement for each instructor to annually demonstrate instructional proficiency in a representative segment of each curriculum in which instruction is authorized (14 CFR § 142.53(a)(1)).

(2)    An FAA managing specialist will observe the TCE or candidate conducting an evaluation event with the following conditions:

(a)    An actual certification test consisting of an oral, simulator, aircraft portions, and associated briefings and debriefings, if authorized certification authority.

(b)    If the TCE candidate has not requested or does not currently hold certification authority, then the observation will be of the authority requested or held and must be observed in its entirety. The actual checking event must consist of an oral, simulator, aircraft portions, and associated briefings and debriefings.

(c)    If the designee will have authority in a simulator and aircraft, then an observation in both functions is required.

(d)    If the TCE is authorized to conduct a segment of the check or test in an aircraft, then it is acceptable for the managing specialist to conduct the observation entirely in the simulator. Those events conducted in the aircraft must be observed in the simulator with the TCE in the crewmember position normally occupied when evaluating in the aircraft. If the TCE’s normal position is in the right seat, then the managing specialist may act as the applicant in the PIC position if current and qualified. If this observation is conducted for other than an airplane, then the typical seat position should be used. The TCE must still demonstrate in a simulator all tasks that would be evaluated in the simulator from the evaluator operating panel with an actual candidate.

(3)    The option method may not be used for a TCE candidate and must be conducted on a very limited basis. The following conditions must be applied when conducting an evaluator ability observation, in descending order of preference:

(a)    An Actual Certification Evaluation if certification authorization is requested or held. If TCE does not currently hold or has not requested certification authority then a check/test of authority held or requested. The observation will be of a client of the training center; not an employee of the center.

(b)    Option Method—Proficiency Check Evaluation. When circumstances make the observation of an actual certification test impractical, the managing specialist may observe the TCE candidate conducting an entire stand-alone proficiency check for which authorization to conduct is granted. The managing specialist must provide justification in DMS as to why an actual certification event was not completed and justification for continued need for the TCE.

(4)    TCE Candidates. After the TCE candidate has successfully completed and documented all required training, a qualified inspector will observe the TCE candidate conducting an actual certification test (if certification authority is requested) consisting of oral, simulator, and aircraft portions, as applicable.

Note:  Use of any air carrier certification event: An observation of an air carrier event is used for an initial observation of a TCE candidate if the curriculum is essentially similar and the TCE candidate holds the appropriate check airman authority for the respective air carrier training program.

Note:  If credit is granted for the completion of either a 14 CFR §