7/14/15                                    FY15 FOURTH QUARTER EDITORIAL UPDATES                       8900.1 CHG 0

VOLUME 2  Air Operator AND AIR AGENCY Certification and ApplicATION PROCESS

CHAPTER 6  Title 14 CFR PART 125 CERTIFICATION AND OPERATING RULES

Section 7  Evaluate Part 125 Airplane Inspection Program and Maintenance

2-841    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Maintenance: 3341, 3342.

B.    Avionics: 5341, 5342.

2-842    OBJECTIVE. This section provides guidance on how to evaluate and approve an operator/applicant‑submitted Aircraft Inspection Program (AIP) and an engine maintenance program or revision.

2-843    GENERAL. This job task provides for interaction between the operator/applicant and the Federal Aviation Administration (FAA) from initial inquiry to approving the program/revision. It ensures that programs, systems, and intended methods of compliance are thoroughly reviewed, evaluated, and tested.

A.    FAA Approval. The FAA must approve an inspection program selected by an operator/applicant under Title 14 of the Code of Federal Regulations (14 CFR) part 125. Part 125, § 125.247(e) lists inspection programs that may be approved for use under this part. The FAA reviews the program to ensure that it meets regulatory requirements, is complete, and is appropriate for the intended operation.

B.    Airworthiness Aviation Safety Inspectors (ASI). ASIs should have as much knowledge of the operator/applicant’s operation as possible. This includes areas of operation, type of equipment, operating history, and maintenance/inspection organization(s).

NOTE:  An AIP is authorized for use in operations specifications (OpSpecs) and cannot be transferred.

2-844    AIRPLANE INSPECTION PROGRAM.

A.    Continuous Airworthiness Maintenance Program (CAMP). A part 125 operator may use a continuous inspection program that is a part of a current CAMP used under 14 CFR part 121 or 135. A CAMP is an all‑encompassing program that includes maintenance, inspections, continuing analysis and surveillance, and so forth. All elements are closely related and may not be as effective as “stand‑alone” programs. Lack of maintenance and quality control in the airworthiness maintenance program could have negative effects.

B.    Manufacturers’ Inspection Programs. The operator may use inspection programs currently recommended by the manufacturer of the airplane, aircraft engines, propellers, appliances, or survival and emergency equipment. The manufacturer’s inspection program might not cover survival equipment and avionics equipment. Additionally, the inspector should consider aircraft use before approving a manufacturer’s program. Many manufacturers offer a low‑use program if the normal aircraft use falls below certain parameters.

C.    Program Developed by Certificate Holder. The operator/applicant may use an inspection program developed by a certificate holder operating under part 125.

2-845    ENGINE MAINTENANCE. The operator/applicant must maintain engines in accordance with the overhaul intervals that the manufacturer recommends or a program that the administrator approves.

NOTE:  The current edition of Advisory Circular (AC) 125‑1, Operations of Large Airplanes Subject to Federal Aviation Regulations Part 125, defines proration as a procedure for determining the overhaul time expended under one maintenance system and to establish the time remaining to overhaul under a new program. Thus, proration permits further use of an affected item without need for immediate overhaul.

A.    Manufacturer‑Recommended On‑Condition/Trend Analysis Program. If the manufacturer does not have a recommended overhaul interval, the Administrator may approve a maintenance program that the manufacturer recommends as an on‑condition/trend analysis program.

B.    Operator‑Developed Program. The operator/applicant may develop an on‑condition or overhaul program for approval by the Administrator.

2-846    CHANGES TO APPROVED TIME INTERVALS.

A.    Operator‑Initiated Changes. The operator may request approval to amend inspection or overhaul intervals.

1)    The operator must justify the request using past operating experience, environmental conditions, airplane use, and other data necessary to substantiate changes.
2)    Teardown reports, manufacturer recommendations, and the operator’s experience may justify engine maintenance programs and overhaul intervals.
3)    Operator‑initiated time changes require revisions to both the AIP and OpSpecs.

NOTE:  Limitations specified for life‑limited items and Airworthiness Directives (AD) shall not be amended or extended unless authorized in writing by the appropriate FAA Aircraft Certification Office (ACO).

B.    Manufacturer Escalations.

1)    If a manufacturer extends the recommended inspection or overhaul interval, the operator may request approval to use the extension by submitting a revision to the AIP. The manufacturer’s recommendation must accompany the request.
2)    ASIs should not automatically approve a time escalation the manufacturer recommends, but should consider the operator’s airplane use and experience to ensure that the escalation will not compromise safety. For example, the operator could consider sampling programs to justify time escalation requests.

2-847    POLICY AND PROCEDURES MANUAL (PPM). The operator’s PPM must include the AIP. The operator should submit a manual revision (in accordance with manual revision procedures) at the same time the AIP/revision is submitted for approval. This allows the FAA to approve the AIP/revision and accept the manual concurrently, thus expediting the implementation of the program.

2-848    PREREQUISITES AND COORDINATION REQUIREMENTS.

A.    Prerequisites.

·    Knowledge of the regulatory requirements of part 125,

·    Previous experience with complex maintenance/inspection programs, and

·    Successful completion of the airworthiness inspector indoctrination course(s), or equivalent.

B.    Coordination. This task may require coordination with and/or assistance from Operations ASIs and/or regional specialists.

2-849    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Title 14 CFR Parts 25, 39, 43, 45, 47, 65, and 91;

·    Aircraft maintenance inspection notes;

·    AC 20‑42, Hand Fire Extinguishers for Use in Aircraft;

·    AC 20‑53, Protection of Aircraft Fuel Systems Against Fuel Vapor Ignition Caused by Lightning;

·    AC 20‑136, Aircraft Electrical and Electronic System Lightning Protection;

·    AC 91‑56, Continuing Structural Integrity Program for Airplanes; and

·    AC 125‑1, Operations of Large Airplanes Subject to Federal Aviation Regulations Part 125.

B.    Forms. None.

C.    Job Aids. Job Task Analyses (JTA): 2.3.49, 3.3.83, 3.3.201.

2-850    PROCEDURES.

A.    Schedule and Conduct Preliminary Meeting With Operator/Applicant, if Necessary.

1)    Advise the applicant of regulatory requirements and policies.
2)    For an existing operator, remind the operator that the PPM must include the AIP/revision.

B.    Plan and Coordinate Task.

1)    Determine if the airplane meets eligibility requirements.
2)    Review the operator/applicant file to identify any information concerning the AIP/revision and to determine its effect on other programs or procedures that the operator/applicant uses.
3)    If this task is performed as part of an original certification, review the Schedule of Events (SOE) to ensure that the task can be accomplished in accordance with the schedule.

NOTE:  When evaluating the program, ensure that all information is clear and easy to understand. It must identify the scope of each task and provide detailed, step‑by‑step procedures.

C.    Evaluate Proposed Program/Revision.

1)    Evaluate the instructions, procedures, and standards for conducting inspections.
a)    The inspection program must include:

·    Airframe,

·    Aircraft engines,

·    Propellers,

·    Appliances,

·    Survival and emergency equipment, and

·    Component parts for the above items.

b)    When establishing an inspection program for an aircraft to comply with § 125.247, the program should include installed avionics and instrument systems (appliances). These systems are not always installed by the aircraft manufacturers and may not be included in their recommended inspection programs.
c)    Inspection standards, procedures, methods, instructions, or other technical data may be included in the program by reference, eliminating the need to reprint them. Such references may be either the airframe manufacturer’s or the appliance manufacturer’s service data. However, when both the airframe manufacturer and the appliance manufacturer provide inspection data, that of the airframe manufacturer should be used. In this case, the inspector should ensure that the airframe manufacturer’s inspection data is applicable to the actual systems and equipment (make and model) installed on the aircraft.
d)    The avionics and instrument systems inspection should include a visual and functional check. Therefore, these definitions should be included in the program:
Indicates new/changed information.

1.    Visual Check. A visual examination of an interior or exterior area, installation, or assembly to detect obvious damage, failure, or irregularity. This level of inspection is made from within touching distance unless otherwise specified. A mirror may be necessary to enhance visual access to all exposed surfaces in the inspection area. This level of inspection is made under normally available lighting conditions, such as daylight, hangar lighting, flashlight, or drop-light and may require removal or opening of access panels or doors. Stands, ladders, or platforms may be required to gain proximity to the area being checked. Basic cleaning may be required to ensure appropriate visibility.

2.    Operational Check. An operational check is a task to determine that an item is fulfilling its intended purpose. This check does not require quantitative tolerances. This is a failure finding task.

3.    Functional Check. A quantitative check to determine if one or more functions of an item performs within specified limits. This test may require the use of appropriate test equipment.

e)    The avionics and instrument systems inspections should be incorporated into the basic airframe program. The visual inspection of the avionics and instrument systems should be accomplished at an interval corresponding to the airframe inspection interval (e.g., inspect avionics and instrument equipment, wiring, connectors, bonding straps, circuit breakers, and switches forward of the instrument panel) at the same interval that flight controls and other structural inspections are performed in that area.
f)    Functional checks of the avionics and instrument systems, using appropriate ramp test equipment, should be performed at intervals as a function of the aircraft operating environment (i.e., 1 year of the manufacturer’s design specifications). The term “avionics” means aviation electronics and includes the following systems:

·    Communications,

·    Navigation,

·    Electrical,

·    Instrument,

·    Lights, and

·    Autopilot/flight director system.

g)    The program should include maintenance/inspection requirements for protection of applicable electric/electronic systems from High Intensity Radio Frequency (HIRF) and lightning hazards. Such systems include, but are not limited to, power distribution and generating equipment and electromechanical devices, systems that use data buses for critical functions, electronic engine and flight controls, and associated interconnecting wiring or cables.
h)    All required tests and checks recommended by the aircraft or equipment manufacturer must be addressed.
2)    Identify the individuals responsible for performing the work.
3)    Ensure that the instructions, procedures, and standards are clear and easily understood. They must identify the scope of each task, provide a detailed outline of each step that must be accomplished to perform the inspection, and ensure that established standards are met.

D.    Evaluate Procedures for Controlling Life‑Limited Parts. The program must contain provisions to ensure that records are current. Life limits must be expressed by one of the following measures:

·    Length of time in service,

·    Number of cycles,

·    Number of landings,

·    Calendar time, or

·    A combination of the above measures.

E.    Evaluate Procedures for Scheduling Inspections. The program must list inspection intervals and describe personnel responsibilities for scheduling and performing inspections.

F.    Evaluate Procedures to Ensure Inspections Performed by Properly Certificated Personnel. Procedures must ensure that inspections are performed by properly certificated, qualified, trained, current, and authorized personnel. The program must identify, by title, the person responsible for ensuring that inspection personnel meet FAA requirements. The manual must list those persons whom the operator has arranged for inspection performance under part 125. The list must include the names and addresses of these persons.

G.    Evaluate Engine Maintenance/Overhaul Intervals. Ensure that engine overhaul periods correspond to the recommended overhaul intervals in the engine manufacturer’s manuals and/or Service Bulletins (SB).

H.    Evaluate Procedures for Reporting and Correcting Mechanical Irregularities. The program must include detailed instructions, procedures, and the necessary forms and documents for the recording and repair of mechanical irregularities. These instructions, procedures, and forms may appear elsewhere in the company manual, but their location(s) must be referenced in the maintenance manual and AIP.

1)    Within its manual, the operator/applicant should establish procedures to address continued operation of an aircraft with interim repairs and Structural Repair Manual (SRM) allowable damage. These procedures should also include provisions for a continuous feedback loop of timely information between the operator/applicant, FAA’s principal maintenance inspector (PMI), principal avionics inspector (PAI), ACO, Designated Engineering Representative (DER), and the manufacturer.
Indicates new/changed information.
2)    Manufacturers’ service documents (i.e., maintenance manuals, SBs, and Service Letters (SL)) communicate useful information on alterations, repair inspections, etc. Also, the manufacturer may provide service documents to the operator/applicant, upon request, that include statements that the data is “DER approvable” or that the manufacturer has “no technical objection” with the operator/applicant’s request. It is the air carrier’s responsibility to ensure that technical data is acceptable for minor repairs/alterations or approved for major repairs/alterations before implementing the information in these service documents. “No technical objection” and “DER approvable” letters, in most cases, are issued by the manufacturer’s technical representative and have no formal approval process within a manufacturer’s system. The FAA does not accept statements such as “DER approvable” or “no technical objection” without additional supporting data.
3)    It is recommended that PMIs and PAIs with certificate management responsibilities ensure that this information is brought to their operator/applicant’s attention. Any conflict should be resolved regarding what constitutes FAA‑approved data and when that data is required, regardless of what a manufacturer’s service document may say.

I.    Evaluate Instructions for Using AIP. Make sure the AIP includes instructions on its use.

J.    Analyze Findings. Evaluate findings to determine if program changes are required. Coordinate with other specialties before debriefing the operator/applicant.

K.    Conduct Debriefings.

1)    Before meeting with the operator/applicant, discuss initial findings with appropriate FAA personnel to determine the content of the briefing. Depending on the findings, it may be necessary to coordinate with the certification team, principal ASIs, regional specialists, or other FAA personnel.
2)    Brief the operator/applicant on the results of evaluation. Discuss any deficiencies.

2-851    TASK OUTCOMES.

A.    PTRS. Complete the PTRS.

B.    AIP/Revision. Approve or Reject the AIP/revision.

1)    For approval if the program or revision meets all regulatory requirements, proceed as follows:
a)    Ensure that the AIP or revision has been fully coordinated between maintenance and avionics and any other appropriate personnel.
b)    Indicate “Approved” by the amended OpSpecs. See Volume 3, Chapter 2, Exemptions, Deviations, Waivers, and Authorizations.

NOTE:  The date the AIP and engine maintenance program are approved must be the same as the date the OpSpecs are approved.

c)    Initial and date each page of the AIP or revision unless another approval control is used.
d)    Send the approved AIP/revision, the original, and one copy of the OpSpecs to the operator/applicant, as appropriate. Request that the operator/applicant retain the original and acknowledge receipt of the OpSpecs by signing and dating the copy and returning the copy to the district office.
e)    Update the district office file with copies of the acceptance letter, the signed and dated AIP/revision, and the receipted OpSpecs.
2)    For rejection if the AIP/revision is not acceptable, advise the operator/applicant by letter that the program is rejected. Return it to the operator/applicant along with the reasons for the rejection. Ensure that the letter accomplishes the following:

·    Confirms all agreements made during the debriefing;

·    Identifies the date the AIP/revision was submitted;

·    Shows the revision number and date;

·    Identifies and describes all deficiencies by chapter, section, page, etc.;

·    Refers each deficiency to the appropriate regulation;

·    Returns the original AIP; and

·    Reminds the operator not to implement the revision until it is approved.

NOTE:  If this review is performed as part of a certification, inform the applicant in the letter that issuance of the certificate will be withheld until deficiencies are corrected. If necessary, advise the applicant to revise the SOE.

2-852    FUTURE ACTIVITIES.

A.    SOE. In the case of original certification, review the SOE to determine if a revised schedule is necessary.

B.    PPM. Ensure that the PPM includes the approved AIP/revision.

RESERVED. Paragraphs 2‑853 through 2‑870.




7/16/15

 

8900.1 CHG 390

VOLUME 2  AIR OPERATOR AND AIR AGENCY CERTIFICATION AND APPLICATION PROCESS

CHAPTER 12 CERTIFICATION OF A PART  147 AVIATION MAINTENANCE TECHNICIAN SCHOOL

Section 1  General

2-1411    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Maintenance: 3230.

B.    Avionics: 5230.

2-1412    OBJECTIVE. This section provides guidance for certificating an Aviation Maintenance Technician School (AMTS) under Title 14 of the Code of Federal Regulations (14 CFR) part 147, Aviation Maintenance Technician Schools.

2-1413    GENERAL. This section prescribes procedures for evaluating applications for AMTS certification. The certification of an AMTS is not limited to schools physically located within the United States; however, the Administrator is not currently issuing certificates to schools physically located outside the United States.

NOTE:  An applicant for certification of a school physically located outside the United States must show that the need exists to certificate airmen to perform maintenance of U.S.‑registered civil aircraft and that no alternative through a bilateral agreement or similar agreement exists.

A.    Certification Process. The certification process provides for interaction between the applicant and the Federal Aviation Administration (FAA) from initial inquiry to issuance or denial of an AMTS certificate. It ensures the thorough review, evaluation and testing of programs, systems, and methods of compliance (see Figure 2-36, Certification Process Flowchart). The certification process consists of the following five phases:

·    Preapplication phase,

·    Formal application phase,

·    Document compliance phase,

·    Demonstration and inspection phase, and

·    Certification phase.

B.    Authority. Part 147 and Title 49 of the United States Code (49 U.S.C.) § 44707 provide regulatory and statutory authority for certificating an AMTS.

C.    Aviation Safety Inspector’s (ASI) Responsibility. ASIs should not become involved in determining the market need for the AMTS, the selection of resource personnel (consultants), or materials. ASIs must remain objective in evaluating the applicant’s facilities, personnel, and curriculum content.

Figure 2-36.    Certification Process Flowchart

Figure 2-36. Certification Process Flowchart

2-1414    PREAPPLICATION PHASE.

A.    Initial Inquiry. Upon initial contact from an applicant requesting part 147 certification, the receiving office must first find out if the AMTS will reside within the geographic boundaries of the Flight Standards District Office (FSDO). If the applicant has contacted a FSDO that does not have geographic responsibility, the applicant will be directed to the appropriate FSDO. The applicant is directed by the ASI as to which regulations he or she must meet and where he or she may obtain copies of the regulations. The FSDO should direct the applicant to the Web site at http://www.faa.gov/regulations_policies/ for applicable regulations; advisory circulars (AC); FAA orders, notices, and bulletins; and other pertinent information applicable to part 147 AMTS certification. The applicant should be provided with an initial overview of the certification process.

B.    The Preapplication Statement of Intent (PASI). The applicant is given a blank FAA Form 8400-6, Preapplication Statement of Intent, and should be provided instructions on how to complete it and where to send it. The submission of a PASI expresses intent by the applicant to initiate certification. It also allows the FAA to plan activities and commit resources. Therefore, a potential applicant should submit a completed PASI only after reviewing the appropriate regulations and advisory material to include applicable ACs, notices, and Order 8900.1 guidance. The applicant should consider the personnel, facility, equipment, and documentation requirements for certification and operation.

C.    FSDO Coordination with Regional Office (RO). Upon receipt of a completed PASI from the applicant, the FSDO manager or the office manager’s designee reviews the PASI for completeness and accuracy. When the PASI is determined to be complete, the preapplication phase can continue. Otherwise, the PASI will be returned to the applicant for correction.

1)    The FSDO manager should use the PASI to evaluate the complexity of the proposed operation and to ensure that trained and experienced ASIs are available to participate as certification team members.
2)    The FSDO manager notifies the RO of the PASI. The RO may use the PASI to assess the FSDO workload and forecast its staffing needs.

D.    Establish Certification Team. With RO authorization to proceed with the certification process, the FSDO manager or the airworthiness unit supervisor establishes the team members to conduct the certification. The team will consist of at least one Maintenance ASI from the certificating FSDO, one Avionics inspector, and, if required, one regional representative. Additional Airworthiness ASIs may be utilized as needed. One team member will be designated as the certification project manager (CPM). Regional and/or headquarters (HQ) participants may not serve as the CPM.

1)    The FSDO manager forwards one copy of the PASI and a list of certification team members and their particular areas of specialty to the RO.
2)    The FSDO will obtain a precertification number from the Aviation Data Systems Branch (AFS‑620).

NOTE:  Regional or HQ representatives may serve as active members or advisors of the certification team. These representatives should attend both the preapplication and the formal application meetings. They should also be present during facility inspections.

E.    Responsibilities of the CPM. The team member designated as the CPM must have completed appropriate training (FAA Course #21000113), and should preferably have previous experience in the certification of an AMTS under part 147.

1)    The CPM must serve as the primary spokesperson for the FAA throughout the certification process. Consequently, the CPM must thoroughly coordinate all certification matters with all other specialists assigned to the certification project.
2)    The CPM must be responsible for ensuring that all certification tasks are complete, and must coordinate all correspondence to and from the applicant.
3)    The CPM must notify the FSDO manager of any information that may significantly affect or delay the certification project.
4)    The CPM must ensure that individuals involved with the certification project and FSDO manager are kept fully informed of the current status of the certification.
5)    The CPM must keep the RO informed of any unusual aspects of the certification process.
6)    The CPM must ensure that an application for a certificate and rating, or for an additional rating, under part 147 is made on a form and in a manner prescribed by the Administrator, and submitted with:
a)    A description of the proposed curriculum;
b)    A list of the facilities and materials to be used;
c)    A list of its instructors, including the kind of certificate and ratings held and the certificate numbers; and
d)    A statement of the maximum number of students it expects to teach at any one time.

NOTE:  The CPM would benefit from the use of the AMTS Certification Process Guide located in the current edition of AC 147-3, Certification and Operation of Aviation Maintenance Technician Schools, Figure 4-1, to document the certification progress. The CPM may use their own checklist in the certification process as long as the requirements of the certification phases are met. The development of a working certification file or checklist containing the AMTS Certification Process Guide could assist the CPM in collecting, completing, and storing the documents as the certification process progresses. This could be completed and converted to the certification file required at the completion of certification.

F.    Responsibilities of the Certification Team Members. It is the responsibility of each team member to respond to a CPM request for assistance and keep the CPM informed of the status of the certification. Immediately bring any discrepancy that may delay the certification effort to the attention of the CPM.

G.    Aircraft Maintenance Division (AFS-300). When requested by the RO, AFS‑300 will determine if HQ’s participation is appropriate and, within 5 working days of receipt of the PASI, will notify the RO of the determination and the name(s) of any AFS‑300 participants. Regional and HQ representatives may serve as active members of the team or as advisors. These representatives may attend both the preapplication and the formal application meetings. They also may be present during facility inspections.

NOTE:  The CPM does not schedule a preapplication meeting until the applicant has reviewed these requirements and has completed the PASI.

H.    Preapplication Meeting and Discussion Topics. The FSDO manager or unit supervisor will advise the applicant of the necessity for a preapplication meeting. In preparation for the preapplication meeting, the CPM should remind the applicant that the key management personnel should attend the meeting and should be prepared to discuss, in general terms, various aspects of the applicant’s proposed operation.

1)    The preapplication meeting should be held in the FSDO that will have oversight responsibility for the AMTS. This will allow the applicant to become familiar with the FSDO personnel. However, if the applicant’s facility is available, the CPM may request to hold the meeting at the applicant’s facility to verify that it meets the requirements for the ratings requested.
2)    During the preapplication meeting, the applicant should provide the FAA with an AMTS point of contact (POC). Encourage the applicant to ask questions during the discussion. Applicants should be thoroughly familiar with the certification phase requirements before continuing with the certification process. It is important, therefore, that the CPM be thoroughly prepared to conduct the meeting.
3)    Open discussion of the applicant’s intent for AMTS certification should take place while the FAA offers answers to any questions the applicant has regarding the application process. At a minimum, the following should take place during the preapplication meeting:
a)    Discuss FAA expectations of the AMTS to include ethical considerations, meeting minimum regulatory compliance with part 147 to qualify for certification, and maintaining consistent regulatory compliance at all times after certification.
b)    Discuss the five phases of certification and the requirements of each phase.
c)    Discuss what the applicant may expect from the FAA during and after certification.
d)    Verify the applicant is aware of the regulatory requirements and FAA policies regarding certification and operation of an AMTS.
e)    Inform the applicant of the three types of air agency ratings that may be issued (i.e., airframe, powerplant, and Airframe and Powerplant (A&P)).
f)    Provide instruction on the completion of FAA Form 8310‑6, Aviation Maintenance Technician School Certificate & Ratings Application.
g)    Verify the applicant understands the purpose and content of the formal application documents.
h)    Discuss the AMTS requirement to provide written procedures on specific processes including tool control, use of cleaners, lubricants, and flammable liquids.
i)    Discuss AMTS procedures for administrative procedures and recordkeeping processes.
j)    Discuss and verify that the applicant understands part 147, § 147.31 regarding crediting students for previous training and experience.
k)    Inform the applicant that the school may not teach students before certification as an AMTS and then give credit for that training after certification (refer to §§ 147.3 and 147.31(c)(1)(iv)).
l)    Verify that the applicant understands that when granting credit for previous AMT experience (refer to § 147.31(c)(2) and (3)), only documentary evidence and testing is permitted, comparable to the required curriculum subjects.
m)    Explain to the applicant the various methods that may be used to determine the amount of credit to be given to students for previous training under § 147.31(c)(1).
n)    Discuss the requirements for a written approved system for minimum standards for graduation and methods of determining final grades (refer to § 147.31).
o)    Discuss the requirement for written approved procedures for recording and controlling attendance, and provisions for course makeup when curriculum subjects are missed.
p)    Discuss the procedures for taking FAA written knowledge tests, oral (knowledge) and practical (skill) tests, and for overall certification requirements found in the current edition of FAA Order 8900.2, General Aviation Airman Designee Handbook.
q)    Discuss the requirement for procedures to maintain, keep, and distribute student records and transcripts (§ 147.33).
r)    Discuss the significance and issuance of part 147 AMTS operations specifications (OpSpecs).
s)    Discuss the content of a compliance statement listing each applicable part 147 section and the necessity for providing either a brief narrative or a specific reference to a document that describes the manner of compliance with the part 147 regulation.
t)    Discuss with the applicant the purpose of the AMTS and its role in qualifying the student to perform the duties of an Aviation Maintenance Technician (AMT) for particular ratings or rating under 14 CFR part 65 subpart D.
u)    Discuss with the AMTS applicant the importance of the contribution made to aviation safety by a properly trained and certificated AMT.
v)    Discuss with the AMTS applicant the need to develop AMTS operating policies and procedures addressing allowances to deviate from the approved curriculum order of instruction on a case-by-case basis due to unexpected interruptions such as inoperative mockups, inclement weather, hospitalized instructor, etc.
w)    Discuss with the AMTS applicant the need for the AMTS to incorporate policies and procedures addressing the reporting of interruptions that cause deviations in the order of instruction in the approved curriculum to the principal inspector (PI).
x)    Discuss with the AMTS applicant the issuance of OpSpecs as dictated by the AMTS specific operations.
y)    Discuss program implementation requirements for distance learning if the AMTS intends to develop a distance learning curriculum as a teaching delivery method to enrolled AMT students. Distance learning is widely utilized for delivering instruction by lecture, visual demonstration, discussion, knowledge of general principles and, with the proper training support equipment, is a viable option for teaching some practical applications or developing fundamental manipulative skills.

NOTE:  Although encouraged, do not coerce applicants to exceed part 147 regulatory requirements.

I.    Preapplication Meeting Discussion of Documents.

1)    Inform the applicant of the following certification documents required to be submitted for review during the formal application meeting. It is important that the CPM be thoroughly prepared to conduct the meeting.
2)    Inform the applicant to develop the following:
a)    An event scheduling calendar developed by the applicant that identifies, documents and forecasts the step-by-step completion of the certification process as outlined in the five phases of certification.
b)    Two completed copies of FAA Form 8310‑6.
c)    A compliance statement listing each applicable part 147 section and providing either a brief narrative or a specific reference to a document that describes the manner of compliance with the regulations.
d)    A description of the proposed curriculum. Emphasize that the actual curriculum must receive approval before certification.

NOTE:  The event scheduling calendar should be developed in a way that ensures the certification process covers all phases of certification. The applicant should develop a schedule of events that ensures the certification process is sound, and is agreeable to the CPM. The applicant and the CPM should review the schedule periodically to make certain steps are not missed. A copy of the completed schedule of events should be retained by the CPM in the certification file.

NOTE:  For further guidance on curriculum requirements, see Volume 2, Chapter 12, Section 2.

e)    A student enrollment statement indicating the maximum number of students to be taught for each rating during each enrollment period. The FAA Form 8310‑6 application will also show this information.
f)    A written description of standards for graduation.
g)    A written description of attendance and missed course content makeup procedures.
h)    A written description of grading procedures.
i)    An inventory of the materials, equipment, and tools to be used. Advise the applicant to detail which tools the school will provide and which the students must furnish.
j)    A written description of the facilities to be used for instruction. Ask the applicant to provide detailed drawings with dimensions of classrooms and laboratory/shop facilities. The drawings should show the relative location of each school facility.
k)     A list of instructors showing any required certificate number(s), ratings, and subjects to be taught by each.

NOTE:  Each subject in the proposed curriculum must be accounted for on the instructor listing. Ensure that the applicant understands that technical maintenance courses other than certain general subjects must be taught by appropriately certificated airframe and/or powerplant AMTs. Inform the applicant that at least one certificated instructor is required for every 25 students in each shop or laboratory class (refer to § 147.23).

l)    A written description of the method that ensures access to appropriate and current technical data necessary for the rating(s) sought. The procedures should demonstrate the ability to access or possess the current information.
3)    The data should include the following:
a)    CFRs,
b)    Type Certificate Data Sheets (TCDS),
c)    Airworthiness Directives (AD),
d)    Supplemental Type Certificates (STC),
e)    Maintenance manuals, and
f)    ACs.

J.    Conduct Precertification Inspections. If possible, visit the proposed school before a formal application is filed. Inspect and make necessary recommendations regarding the following:

·    Classrooms,

·    Work areas,

·    Materials,

·    Laboratories,

·    Technical data,

·    Instructional aids,

·    Other areas as needed, and

·    Distance-learning-associated equipment, materials, and documents (if applicable.)

2-1415    FORMAL APPLICATION PHASE. The formal application phase requires a formal application meeting to present the required certification documents and discuss those issues relevant to the particular application.

A.    Schedule and Conduct Formal Application Meeting. The CPM meets with the official(s) representing the school. Review the submitted formal application and documents, including the schedule of events. Determine whether the applicant has submitted all documents, and if they are complete.

B.    Review the Following. If all documents are complete, review FAA Form 8310‑6, the compliance statement, the curriculum, standards for graduation, attendance and makeup procedures, grading procedures, facility layout, and the instructor qualifications for conformity to the regulations.

NOTE:  If discrepancies exist in the documents, return the documents to the applicant with a letter identifying the discrepancies. It should be clearly explained to the applicant the need to correct the document deficiencies in a timely manner to facilitate continuance of the certification process.

1)    Compliance Statement. To benefit the applicant, development of a compliance statement assists in the certification process by showing in writing how the applicant intends to meet the requirements of each section of the part 147 rule. The compliance statement must list each applicable part 147 section and provide a brief narrative or a specific reference to a manual or other document describing the planned method of compliance with the regulation.
2)    Curriculum. For guidance on curriculum requirements see Volume 2, Chapter 12, Section 2.
a)    Practical projects referring to § 147.21(d) include all functions specified in the curriculum that involve hands‑on tasks. Therefore, practical projects should include any task taught to level 2 or 3, as specified in part 147 appendices and OpSpecs, since all of these require some practical application.
b)    Section 147.38 addresses the maintenance of curriculum requirements. Title 14 CFR prescribes minimum standards for certification and operation. These standards may be exceeded beyond what the rule requires, but only as part of an approved curriculum.
3)    List of Instructors and Qualifications. The certificate number, ratings, and subjects must be listed for each instructor. There must be at least 1 certificated instructor for every 25 students in each shop or laboratory class (refer to § 147.23). Evaluate the suitability of noncertificated instructors to teach certain general courses on an individual basis.
4)    Student Enrollment Statement. This statement indicates the maximum number of students to be taught for each rating during each enrollment period. Do not count students enrolled in other non‑FAA‑approved courses toward the maximum allowable part 147 enrollment.

NOTE:  Non‑FAA‑approved courses may not detract from the part 147 schools ability to provide for a quality education (due to facility overcrowding, equipment over use, etc.). PIs must be cognizant of the effect non‑FAA‑approved courses may pose.

5)    Diagram and Description of Facilities. This description must include a facility layout plan indicating the relative location of classrooms to shops/laboratories, including dimensions, and the relative location of each facility to each other facility when there is more than one site or location for the school.
6)    Inventory of Equipment, Materials, and Tools. The inventory must detail which tools the school will provide and which tools the students must furnish.
7)    Accept or Deny Formal Application. Acceptance or denial of the formal application is based on inclusion of all required materials as detailed in the preapplication meeting. The proposed methods of compliance are not being evaluated at this stage. Based on the initial review of the formal application and any meetings with the applicant, accept or deny the application. Advise the applicant in writing of the results. If the application is denied, return the application and attachments with a letter stating the reasons for denial.

2-1416    DOCUMENT COMPLIANCE PHASE.

A.    Review Documents. Thoroughly review the applicant’s curriculum and other documents to ensure that each complies with the applicable regulations. Approve, accept, or deny each document as appropriate. Documents reviewed during this phase must include:

1)    FAA Form 8310‑6.
2)    Statement of Compliance.
3)    Curriculum (refer to § 147.21).
4)    Distance learning curriculum (if applicable).
5)    Instructor requirements and qualifications (refer to § 147.23).
Indicates new/changed information.
6)    For student verification purposes, applicants for an AMTS must have FAA‑accepted procedures to ensure they can provide confirmation of student graduation to the FAA, a requesting DME, or an approved testing center.
7)    Minimum standards for graduation and a method of determining final grades (refer to § 147.31).
8)    Procedures for recording and controlling attendance.
9)    Provisions for makeup classes (refer to § 147.31) covering the following:
a)    All missed projects, and assignments in a subject must be made up in order for the student to take the final exam and receive credit for the subject.
b)    All makeup work will be supervised or verified by an instructor qualified in that subject.
c)    Makeup assignments must be the material missed.
d)    Student makeup for lecture must be documented and will consist of at least one (or a combination of) the following:

·    Instructor presents the missed subject material to the student.

·    Student writes 300- to 500-word essay per missed lecture hour on the subject missed.

·    Student completes 10 to 15 questions, answers, and references on material missed in class per hour.

·    Student will write a 150-word outline per hour and make an oral presentation to the instructor on the subject area missed.

·    Student lecture through the use of an approved distance learning program.

e)    Student makeup for missed shop projects must be supervised by a qualified instructor.
f)    Makeup assignments, class assignments, and exams missed in a module must be completed by the last day of that module.
g)    Failure to complete all makeup assignments within the allotted time period may result in the student being required to repeat that subject. Any exceptions will be at the discretion of school officials.
10)    Written procedures for taking FAA written (knowledge), oral (knowledge), and practical (skill) tests and for certification requirements found in Order 8900.2.
11)    Procedures for maintaining, keeping, and distributing student records and transcripts (refer to § 147.33).
12)    Procedures for tool control.
13)    Procedures for updating the technical data library.
14)    Facility layout (refer to §§ 147.13 and 147.15).

B.    Document Deficiencies. If you find deficiencies in any document submitted by the applicant, return the document with a letter identifying the deficiency.

NOTE:  The certification team must be ready to offer suggestions, but not mandate how to improve the product but should avoid writing the applicant’s documents.

C.    If Necessary, Terminate the Certification Process. If the documents submitted are consistently found to be of insufficient quality, schedule a meeting with the applicant to discuss each deficiency in detail. Advise the applicant that continuing the certification process is impractical and the option for the applicant to reapply for certification.

1)    Complete item 13 of FAA Form 8310‑6, by marking the “Disapproved” box or by indicating that the application was withdrawn, as appropriate.
2)    Return the application with a letter advising the applicant of the reasons for termination. Advise the applicant that a new PASI is required to initiate the certification process again.
3)    Forward two copies of the letter to the regional Flight Standards division (RFSD).
4)    Notify AFS‑620 of the project’s termination.

2-1417    DEMONSTRATION AND INSPECTION PHASE. In this phase, the certification team makes an onsite inspection to determine whether the applicant’s proposed procedures and programs are effective. At this time, the applicant demonstrates that the facilities and equipment are safe and satisfactory (see Volume 2, Chapter 12, Section 3). Emphasis is on compliance with the regulations. Throughout the demonstration and inspection phase, the CPM must ensure that each aspect of the applicant’s required demonstration is first documented, then observed, and then either approved or disapproved.

A.    Evaluate Suitability of Facilities, Equipment, Tools, and Materials.

1)    Facility. The instructional aids, laboratory and shop equipment, and physical layout of the facilities must meet the requirements outlined in §§ 147.15, 147.17, and 147.19. The applicant should keep in mind that the facilities must constitute an environment suitable for learning. Excessive noise, dust, fumes, heat, cold, and clutter could distract the applicant during development of the AMTS facility. The ratings that the school proposes to obtain will influence the layout of the AMTS facility.
2)    Equipment. An AMTS is required to have sufficient shop equipment in place and in satisfactory operating condition to adequately serve the student enrollment and meet shop/project subject requirements. The equipment must be situated so students can operate it in a safe and efficient manner. (See criteria for distance learning, as applicable.)
3)    Tools. The AMTS must provide an inventory of special tools required to provide instruction. All special tools must be in satisfactory working condition for the purpose for which they are to be used. Section 147.19 requires the AMTS to furnish an adequate supply of special tools appropriate to the ratings and curriculum of the AMTS.
4)    Materials. The AMTS must provide a list of materials required for instruction. The school must have sufficient materials in stock and properly stored to provide for the approved student enrollment. (See criteria for distance learning, as applicable.)
5)    Quantities of Necessary Items. The amount of materials and the kinds of equipment and tools students will use also depends on the curriculum and number of students. For example, the applicant must demonstrate that the school has the appropriate tools and equipment to accomplish each project.

B.    Observe Demonstrations and Conduct Inspections. Verify that the applicant’s proposed procedures and programs are effective, and that facilities and equipment are safe and satisfactory. Follow the procedures in Volume 2, Chapter 12, Section 3. Verify compliance with the regulations as follows:

·    Facilities meet the requirements of §§ 147.13 and 147.15;

·    Instructional aids meet the requirements of § 147.17; and

·    Materials, tools, and shop equipment meet the requirements of § 147.19.

C.    Distance Learning Program Surveillance. As an alternative to classroom training, the distance learning instruction delivery method continues to develop utilizing distance learning technology. The initial implementation and subsequent surveillance of a distance learning program requires written policy and procedures and at a minimum, the following:

1)    An electronic Learning Management System (eLMS) of sufficient hardware and software technology to accomplish comprehensive storage, handling and tracking of all aspects of the distance learning program.
a)    Student online distance learning attendance tracking/recording.
b)    Student online distance learning participation tracking/recording.
c)    Student online distance learning performance measurement tracking/recording.
2)    Ensure the AMTS has been issued OpSpec A026, Authorizations/Limitations, prior to conducting distance learning.
3)    Distance learning course list availability.
Indicates new/changed information.
4)    FAA “read-only” access to the eLMS (to facilitate surveillance).
5)    Report availability for analysis of distance learning test scores in comparison to traditional classroom test scores.
6)    Report availability for analysis of distance learning course completion times in comparison to traditional classroom completion times.
7)    Verification by AMTS: Distance learning courses combined with traditional classroom AMTS courses meet at a minimum curriculum requirements defined by part 147.
8)    Identification of students that are not seeking certification but are enrolled in AMTS distance learning courses. Regulatory requirements would not apply to these students.

NOTE:  Deficiencies found within the distance learning program during surveillance must be identified, documented, and brought to the attention of the AMTS for necessary correction. An AMTS with approval to conduct distance learning must continually operate to meet the requirements of the approved distance learning program to enable continued approval authorization to conduct distance learning.

D.    Document Deficiencies. If deficiencies exist, provide a list of discrepancies to the applicant. Schedule a meeting to discuss in detail the appropriate corrective action to be taken. Place documentation in the certification file.

1)    If the applicant does not demonstrate compliance or if discrepancies cannot be resolved, send a letter of denial and a list of discrepancies.
2)    Inform the applicant that the CPM must be notified in writing of all corrective action taken.

2-1418    CERTIFICATION PHASE. An applicant is entitled to the issuance of an Air Agency Certificate with appropriate rating(s) and OpSpecs after accomplishing the following:

·    The certification process is completed;

·    Each unsatisfactory item has been corrected;

·    The FSDO has determined that the applicant has met all regulatory requirements and understands the related responsibilities;

·    The FSDO has determined that the applicant is capable of complying with 14 CFR on a continuing basis; and

·    The applicant has demonstrated capability of conducting operations in a safe manner.

A.    Issue Air Agency Certificate. When the applicant has met all regulatory requirements, the CPM will accomplish the following:

1)    Ensure all deficiencies have been documented and addressed.
2)    Ensure all items in the CPM file are closed and satisfactory.
3)    Review schedule of events for completeness.
4)    Complete item 13 of FAA Form 8310‑6.
5)    Approve the curriculum by signing and dating the List of Effective Pages (LEP) and revision pages, or issue a letter of approval indicating the date and revision status:

·    Obtain a final certificate number from AFS‑620.

·    Prepare FAA Form 8000‑4. Ensure that the FSDO manager signs the certificate. Give the original certificate to the new certificate holder. Make a copy for the certification file.

6)    Prepare (as applicable) part 147 AMTS OpSpecs:

·    A001, Issuance and Applicability (mandatory).

·    A002, Definitions and Abbreviations (mandatory).

·    A003, Ratings (mandatory).

·    A004, Summary of Special Authorizations and Limitations.

·    A005, Exemptions (optional).

·    A006, Management Personnel (mandatory).

·    A007, Designated Persons (mandatory).

·    A012, Affiliated Designated Mechanic Examiners (DME) (optional).

·    A013, Instructors (mandatory).

·    A025, Recordkeeping System (mandatory).

·    A026, Authorizations/Limitations (optional).

·    B002, Required Minimum Curriculum for General (Part 147 Appendix B) (mandatory).

·    B003, Required Minimum Curriculum for Airframe (Part 147 Appendix C) (mandatory for AMTS with either an airframe rating or combined A&P ratings) (optional).

·    B004, Required Minimum Curriculum for Powerplant (Part 147 Appendix D) (mandatory for AMTS with either a powerplant rating or combined A&P ratings) (optional).

B.    PI Drafts and Signs OpSpecs. The appropriate Airworthiness PI will draft and sign the OpSpecs showing the limitations issued. Issue all mandatory and any applicable optional FAA OpSpecs with appropriate ratings.

NOTE:  Air Agency Certificates and OpSpecs are legal documents. Language should clearly specify the authorizations, ratings, and/or limitations being approved. When filling out these forms, erasures, strikeovers, or typographical errors must not exist on the completed document.

C.    Prepare Certification File. Once the applicant receives AMTS certification, prepare a part 147 Air Agency Certification file to be kept at the FSDO for documented future review of the complete certification process. The file must include the name and title of each ASI who assisted in the certification. The CPM signs the file. The file must contain at least the following:

·    Copy of the PASI;

·    Completed FAA Form 8310‑6;

·    Letter of Compliance (i.e., statement of compliance (SOC));

·    Applicant’s schedule of events;

·    Copy of the signed FAA Form 8000-4, Air Agency Certificate issued;

·    Copy of the OpSpecs issued to the AMTS;

·    Copy of the approved curriculum;

·    List of the instructors, their qualifications, and the courses they will be teaching;

·    Facility layout;

·    Procedures for updating the technical data library; and

·    Summary of all discrepancies encountered during certification.

D.    Distribute Application FAA Form 8310‑6. Distribute FAA Form 8310‑6, retaining the original form in the FSDO and forwarding one copy to the RO.

2-1419    COORDINATION REQUIREMENTS. This task requires coordination with Maintenance ASIs, Avionics ASIs, the RFSD, and HQ.

2-1420    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Title 49 U.S.C. § 44707.

·    Title 14 CFR Part 147.

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

·    FAA Order 8900.2, General Aviation Airman Designee Handbook.

B.    Forms:

·    FAA Form 8000‑4, Air Agency Certificate.

·    FAA Form 8310‑6, Aviation Maintenance Technician School Certificate and Ratings Application.

·    FAA Form 8400‑6, Preapplication Statement of Intent.

C.    Job Aids. Job Task Analyses (JTA): 2.4.14, 3.4.32, 3.4.34, and 3.4.36.

2-1421    TASK OUTCOMES.

A.    Complete the PTRS Record.

B.    Complete the Task. Completion of this task will result in one of the following:

·    Issuance of an Air Agency Certificate and OpSpecs;

·    A letter to the applicant indicating the denial of the certificate; or

·    A letter to the applicant confirming termination of the certification process by the applicant.

C.    Document the Task. File all supporting paperwork in the certificate holder’s/applicant’s office file and update the enhanced Vital Information Database (eVID).

2-1422    FUTURE ACTIVITIES. Observe the school during the first 90 days of operation. Additional inspections may be necessary to determine compliance with the applicable CFRs. The ASI may direct changes in the methods or techniques of operation. Perform followup and surveillance inspections as required.

RESERVED. Paragraphs 2‑1423 through 2‑1445.




8/27/15

 

8900.1 CHG 233

VOLUME 3  GENERAL TECHNICAL ADMINISTRATION

CHAPTER 10  OPERATIONAL EMPHASIS ITEMS

Section 2  Operational Emphasis Item—Uncommanded High Thrust

3-280    PURPOSE. This section supports the overall Thrust Control Malfunction Airworthiness Program implemented to support the safety recommendation issued by the National Transportation Safety Board (NTSB). This section also requests aviation safety inspectors (ASI) assigned to any operator of turbine-powered aircraft to share this information.

3-281    BACKGROUND. As a result of the Saudi Arabian Airlines Boeing 737‑200 accident and associated NTSB recommendation A98-70, a joint Aerospace Industries Association (AIA)/European Association of Aerospace Industries (AECMA) committee, with support from the U.S., European, and Canadian airworthiness authorities, studied the risk associated with uncommanded high thrust failure on turbofan-powered transport category aircraft.

A.    Inability to Reduce Excess Engine Thrust/Power. These uncommanded high thrust failure conditions result in the flightcrew being unable to reduce excess engine thrust/power through normal means (e.g., throttle lever stuck or disconnected, fuel metering valve malfunctioning, engine control in “failed fixed” mode, etc.). Compliance with applicable airworthiness regulations has traditionally been based in part on accepting an assertion that the flightcrew can recognize and safely accommodate uncommanded high thrust conditions, including shutting down the affected engine via an independent fuel shutoff, as required.

B.    Uncommanded High Thrust Failure Conditions. Most traditional transport category turbine‑powered airplane type designs have some anticipated uncommanded high thrust failure conditions. Some trends, both in design and operation, are tending to increase the risks associated with uncommanded high thrust failures.

C.    Fuel Control Unit (FCU) and Full-Authority Digital Engine Control (FADEC). For transport category airplanes, the flightcrew normally controls engine thrust/power, either directly by means of a thrust/power/throttle lever through direct connection to the FCU or by a fly‑by‑wire FADEC system, or indirectly by means of an auto-throttle.

D.    The Effect of Traffic and Congestion. Increased traffic and congestion, as well as the increased use of parallel taxiways and runways, have increased the potential for an airplane experiencing uncontrollable thrust asymmetry to impact another airplane, ground support equipment, or terminal. The Federal Aviation Administration (FAA) is concerned that such a failure on one airplane could potentially affect the occupants of multiple airplanes, terminal spaces, and/or ground support personnel.

3-282    APPLICABILITY. This section applies to all ASIs.

3-283    ACTION. All principal maintenance inspectors (PMI) associated with air carriers operating under Title 14 of the Code of Federal Regulations (14 CFR) parts 121, 125, and 135 with aircraft certificated under 14 CFR part 25, and PMIs with responsibility for repair stations under 14 CFR part 145 that repair or overhaul FCUs, will do the following:

A.    Service Difficulty Report (SDR) Requirements. Encourage operators to report instances of uncommanded high thrust in accordance with the SDR requirements of part 121, § 121.703(a)(16) and (c); part 125, § 125.409; and part 135, § 135.415(a)(16) and (c). The operator should file the report with the FAA no later than 5 working-days after the occurrence. The repair station management should forward reports that are in accordance with part 145, § 145.221 to the air carrier/air operators certificate-holding district office (CHDO) for further processing in accordance with the Service Difficulty Reporting System (SDRS).

B.    Reporting Airplane Failure Modes. Report all related information in the Program Tracking and Reporting Subsystem (PTRS), as detailed in the reporting paragraph.

1)    Operators must report information concerning the airplane failure modes identified that could lead to uncommanded high thrust.
2)    If reporting information on FCUs or FADEC components, include:

·    Part number of the component,

·    Part number of the item that failed,

·    Original discrepancy that led to repair,

·    Final corrective action,

·    Total time and cycle of the component (if known),

·    Time since last shop visit, and

·    Please provide the last teardown summary report, if available.

3-284    REPORTING FOR THE FAA.

A.    Documentation. PMIs should document that they have read and conveyed this information to the appropriate operator and/or repair station accountable manager.

1)    Use PTRS activity code 3045 (special projects).
2)    Enter “8900UHT” (without quotes) into the “National Use” field.

B.    Information for Identifying Uncommanded High Thrust. Please report all failure modes and other information needed to identify uncommanded high thrust.

Indicates new/changed information.
1)    Use PTRS activity code 3460 in the “Numeric Misc” block.
2)    Enter “8900UHT” (without quotes) into the “National Use” field.
3)    The reported information will be available to the Aircraft Certification Service (AIR) for analysis.

3-285    REPORTING FOR THE AIR CARRIER OR AIR OPERATOR. The air carrier or air operator should document each incident in accordance with §§ 121.703, 125.409, 135.415, and SDRSs, and use
§ 121.703(a)(16) as a reporting vehicle.

RESERVED. Paragraphs 3-286 through 3-290.




9/17/15

 

8900.1 CHG 415

VOLUME 3  general technical administration

chapter 20  Check airman, instructor, and supervisor programs for TITLE 14 cfr parts 121 and 135 certificate holders

Indicates new/changed information.

Section 1  General—Part 121 and 125 Certificate Holders

Indicates new/changed information.

3-1386    INTRODUCTION. This section contains guidance concerning check pilot, check Flight Engineer (FE), air transportation instructor, and Air Transportation Supervisor (ATS) programs for Title 14 of the Code of Federal Regulations (14 CFR) parts 121 and 125 certificate holders. This section also addresses the roles and purposes of check pilots, check FEs, air transportation flight instructors, air transportation ground instructors, and ATSs. Also, in this section are regulatory requirements, qualifications, and functional responsibilities.

Indicates new/changed information.

A.    Section 2. Section 2 addresses Federal Aviation Administration (FAA) approval and surveillance of part 121 check pilots and check FEs.

B.    Section 3. Section 3 addresses FAA approval and surveillance of part 125 check pilots and check FEs.

Indicates new/changed information.

C.    Section 4. Section 4 addresses training requirements for part 121 check pilots, FEs, and air transportation flight instructors.

3-1387    REGULATORY REQUIREMENTS.

A.    Qualification and Training Requirements for Part 121 Certificate Holders.

1)    Part 121, § 121.401(a)(2) requires certificate holders to provide enough qualified ground instructors to conduct the ground training required by part 121.
2)    Section 121.401(a)(4) requires certificate holders to provide enough flight instructors, check pilots, and check FEs to conduct the flight training and flight checks required by part 121.
3)    Section 121.401(c) specifies that each instructor, supervisor, check pilot, or check FE responsible for a particular training subject or curriculum segment (including ground and flight training segments and flight checks or competency checks) shall certify as to the proficiency and knowledge of the individuals upon completion of that training or check.
4)    Section 121.402(a) specifies that each check pilot, check FE, air transportation ground instructor, air transportation flight instructor, or ATS must be working for, and under the direct operational control of the certificate holder, another part 121 certificate holder, or a 14 CFR part 142 training center.
5)    Sections 121.411 and 121.413 specify the qualification and training requirements for check pilots and check FEs.
6)    Sections 121.412 and 121.414 specify the qualification and training requirements for flight instructors.
7)    Section 121.421(b) requires that flight attendants (F/A) receive competency checks, given by appropriately qualified ATSs.
8)    Section 121.422(b) requires that aircraft dispatchers receive competency checks, given by appropriately qualified ATSs.
9)    Section 121.434(e) requires that F/As receive Operating Experience (OE) under the supervision of a qualified F/A supervisor.
Indicates new/changed information.

B.    Qualification and Training Requirements for Part 125 Certificate Holders.

1)    Part 125, § 125.295 permits a certificate holder to request approval of a check pilot and check FE.
2)    Part 125 certificate holders are not required to provide ground instructors, flight instructors, check pilots, or check FEs.

3-1388    DEFINITIONS. For purposes of standardization, the following definitions apply to check pilots, check FEs, air transportation flight and ground instructors, and ATSs.

A.    Check Pilot/Check Airman. A check pilot is an airman approved by the FAA who has the appropriate knowledge, training, experience, and demonstrated ability to evaluate and to certify the knowledge and skills of other pilots.

B.    Check FE/Check Airman. A check FE is an airman approved by the FAA who has the appropriate knowledge, training, experience, and demonstrated ability to evaluate and to certify the knowledge and skills of other FEs.

NOTE:  The new terms, “check pilot” and “check FE” are replacing the older term “check airman” in regulations and guidance, and are synonymous with “check airman.”

Indicates new/changed information.

C.    Air Transportation Flight Instructor. An air transportation flight instructor is an airman (designated by a part 121 certificate holder) who has the appropriate knowledge, training, experience, and demonstrated ability to instruct other flightcrew members in a flight training segment (curriculum segment) of that certificate holder’s training program.

Indicates new/changed information.

NOTE:  An air transportation flight instructor is not required to hold an FAA Flight Instructor Certificate when instructing in part 121 training programs.

Indicates new/changed information.

D.    Air Transportation Ground Instructor. An air transportation ground instructor is a person selected and qualified by a part 121 certificate holder who has the appropriate knowledge, experience, training, and demonstrated ability to instruct crewmembers or aircraft dispatchers in curriculum segments other than flight training.

Indicates new/changed information.

NOTE:  An air transportation ground instructor is not required to hold an FAA Flight Instructor Certificate or FAA Ground Instructor Certificate when instructing in part 121 training programs.

E.    Air Transportation Supervisor. For purposes of this handbook, an ATS is an individual employed by a part 121 certificate holder, who is authorized by that certificate holder to conduct competency checks for F/As or aircraft dispatchers, as applicable. F/A ATSs may also supervise F/A OE.

Indicates new/changed information.

3-1389    CHECK PILOT AND CHECK FE ROLE AND CHARACTERISTICS. The role of the check pilot and check FE is to ensure that the flightcrew member has met competency standards before the check pilot or check FE releases the flightcrew member from training and to ensure that the flightcrew member maintains those standards while remaining in line service. Effective training and use of check pilots and check FEs by a certificate holder ensures that flightcrew members are standardized in their job performance. A check pilot or check FE must be knowledgeable in the applicable requirements of 14 CFR parts 61, 63, 91, 110, 117, 119, 121, and 125; other applicable FAA policies; safe operating practices; and the certificate holder’s policies and procedures. A check pilot or check FE must have achieved and maintained a favorable record as a flightcrew member. Once approved, the check pilot’s or check FE’s manner and professional reputation should always reflect positively upon the employer and the FAA.

NOTE:  Under current regulations, there is no specified normal term of expiration for approvals of check pilots and check FEs. At his or her discretion, the principal operations inspector (POI) may grant, limit, or withdraw a check pilot’s or check FE’s approval.

3-1390    CLASSIFICATIONS OF CHECK PILOTS AND CHECK FEs. There are six classifications, five of which relate to pilots and one of which relates to FE. The six classifications are:

·    Proficiency Check Pilot–Aircraft.

·    Proficiency Check Pilot–Simulator.

·    Line Check Pilot–All Seats (left, right, and observer’s).

·    Line Check Pilot–Observer’s Seat Only.

·    Check Pilot–All Checks.

·    Check FE.

3-1391    PROFICIENCY CHECK PILOT—AIRCRAFT (INCLUDES FLIGHT SIMULATION TRAINING DEVICES (FSTD)).

A.    Eligibility. For initial and continuing approval as a proficiency check pilot (aircraft), an airman must meet the following eligibility requirements:

Indicates new/changed information.
1)    Hold the required Airman Certificate and ratings to serve as the pilot in command (PIC) of the specific aircraft in operations under parts 121 and 125, as applicable.
Indicates new/changed information.
2)    Hold a Class I or Class II medical certificate, as appropriate, if serving as a required flightcrew member. Part 121 and 125 check pilots not serving as a required flightcrew member are not required to hold a medical certificate.
3)    Be less than 65 years of age, if serving as a pilot flightcrew member in operations under part 121.
Indicates new/changed information.
4)    Have completed the certificate holder’s check pilot training required by §§ 121.411 and 121.413 and part 121 appendix H, as applicable. (See Volume 3, Chapter 20, Section 4 for guidance on part 121 check pilot training.)
5)    Have completed the training and currency requirements to serve as the PIC for that certificate holder, including ground and flight training, proficiency or competency checks, and 90‑day recency of experience.
Indicates new/changed information.
6)    For part 121 check pilots, at least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct a check or supervise OE, as applicable, to an FAA inspector or aircrew program designee (APD) employed by the certificate holder. The demonstration may be accomplished in an aircraft in flight, in a full flight simulator (FFS), in a flight training device (FTD), or in a combination, as appropriate.
7)    Be specifically approved by the FAA.

B.    Authorized Activities. A classification of proficiency check pilot (aircraft) authorizes a check pilot to conduct the following activities in an aircraft or FSTD (subject to the authorizations and limitations shown in the letter of approval):

Indicates new/changed information.
1)    For part 121 check pilots, pilot flightcrew member proficiency checks conducted in a qualification curriculum segment of the certificate holder’s training program, from either the left pilot seat, right pilot seat, or observer’s seat.
2)    For part 125 check pilots, pilot flightcrew member proficiency or competency checks conducted in a qualification curriculum segment of the certificate holder’s training program, from either the left pilot seat, right pilot seat, or observer’s seat.
3)    Flight instruction in the certificate holder’s training program, from either pilot seat or observer’s seat.
Indicates new/changed information.
4)    Supervision of the reestablishment of recency of experience. Parts 121 and 125 require a check pilot reestablish a pilot’s recency of experience.
5)    Special checks conducted as a qualification curriculum segment of the certificate holder’s training program, provided the check pilot is qualified in the specific activity for which he or she is conducting the special check (such as Category (CAT) II and CAT III approach operations).
6)    Certification of the satisfactory proficiency and knowledge of flightcrew members after completion of a flight training curriculum segment, flight training module, or proficiency or competency check.

3-1392    PROFICIENCY CHECK PILOT—SIMULATOR.

A.    Eligibility. To be eligible for initial and continuing approval as a proficiency check pilot (simulator), an airman must meet the following eligibility requirements:

Indicates new/changed information.
1)    Hold the required Airman Certificate and ratings, except medical certificate, to serve as the PIC of the specific aircraft in operations under parts 121 and 125, as applicable.
Indicates new/changed information.
2)    Have completed the certificate holder’s check pilot training as required by §§ 121.411 and 121.413 and part 121 appendix H, as applicable. (See Volume 3, Chapter 20, Section 4 for guidance on part 121 check pilot training.)
3)    Have completed the training requirements to serve as the PIC for the certificate holder including ground and flight training and the required proficiency or competency checks.
4)    For part 121 check pilots, within the preceding 12‑month period, fly at least two flight segments as a required flightcrew member for the type airplane, or complete an approved line observation program. See paragraph 3-1404 for guidance on line observation programs.
Indicates new/changed information.
5)    For part 121 check pilots, at least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct a check or supervise OE, as applicable, to an FAA inspector or APD employed by the certificate holder. The demonstration may be accomplished in an aircraft in flight, in an FFS, in an FTD, or in a combination, as appropriate.
6)    Be specifically approved by the FAA.

B.    Authorized Activities. Approval as a proficiency check pilot (simulator) authorizes a check pilot to conduct the following activities in an FSTD only (subject to the authorizations and limitations shown in the letter of approval):

1)    For part 121 check pilots, pilot flightcrew member proficiency checks conducted in a qualification curriculum segment of the certificate holder’s training program.
Indicates new/changed information.
2)    For part 125 check pilots, pilot flightcrew member proficiency or competency checks in a qualification curriculum segment of the certificate holder’s training program.
3)    Flight instruction in the certificate holder’s training program.
Indicates new/changed information.
4)    Supervision of the reestablishment of recency of experience. Parts 121 and 125 require that a check pilot reestablish a pilot’s recency of experience.
5)    Special checks conducted as a qualification curriculum segment of the certificate holder’s training program, provided the check pilot is qualified in the specific activity for which he or she is conducting the special check (such as CAT II and CAT III operations).
6)    Certification of the satisfactory proficiency and knowledge of flightcrew members, after completion of a flight training curriculum segment, flight training module, proficiency or competency check.
Indicates new/changed information.

3-1393    LINE CHECK PILOT—ALL SEATS (LEFT PILOT SEAT, RIGHT PILOT SEAT, AND OBSERVER’S SEAT), PART 121.

A.    Eligibility. For initial and continuing approval as a line check pilot (all seats), an airman must meet the following eligibility requirements:

Indicates new/changed information.
1)    Hold the required Airman Certificate and ratings to serve as the PIC of the specific aircraft in operations under part 121.
2)    Hold a Class I or II medical certificate, as appropriate, if serving as a required flightcrew member. If not serving as a required flightcrew member, hold a Class III medical certificate.
3)    Be less than 65 years of age, if serving as a pilot flightcrew member in operations under part 121.
Indicates new/changed information.
4)    Have completed the training and currency requirements to serve as the PIC for that certificate holder, including ground and flight training, proficiency check, and 90‑day recent experience.
Indicates new/changed information.
5)    Have completed the certificate holder’s check pilot training required by §§ 121.411 and 121.413, as applicable. See Volume 3, Chapter 20, Section 4 for guidance on part 121 check pilot training.
6)    At least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct a check or supervise OE, as applicable, to an FAA inspector or APD employed by the certificate holder. The demonstration may be accomplished in an aircraft in flight, in an FFS, in an FTD, or in a combination, as appropriate.
7)    Be specifically approved by the FAA.

B.    Authorized Activities. Approval as a line check pilot (all seats) authorizes a check pilot to conduct the following activities in an aircraft (subject to the authorizations and limitations shown in the letter of approval):

1)    Pilot flightcrew member line checks from either pilot seat or the observer’s seat.
2)    Training and checking in special operations as a module of the certificate holder’s approved training program, provided that the check pilot is qualified in the specific operations for which he or she is conducting training or checking (special airports or international routes).
3)    Supervision of pilot flightcrew member OE from either pilot seat.
Indicates new/changed information.
4)    Supervision of FE flightcrew member OE from the observer’s seat.

NOTE:  The check pilot may conduct supervision of pilot flightcrew member OE from the observer’s seat, in accordance with § 121.434(c)(ii), for a transitioning PIC if the transitioning PIC has made at least two takeoffs and landings in the type aircraft used; and has satisfactorily demonstrated to the check pilot that he is qualified to perform the duties of a PIC for that type aircraft.

3-1394    LINE CHECK PILOT—OBSERVER’S SEAT ONLY, PART 121.

A.    Eligibility. For initial and continuing approval as a line check pilot (observer’s seat only), an airman must meet the following eligibility requirements:

Indicates new/changed information.
1)    Hold the required Airman Certificate and ratings to serve as the PIC of the specific aircraft in operations under part 121. Part 121 check pilots are not required to hold a medical certificate.
2)    Have completed the training and currency requirements to serve as the PIC for that certificate holder, including ground and flight training, proficiency check, and the 90‑day recent experience.
Indicates new/changed information.
3)    Have completed the certificate holder’s check pilot training required by §§ 121.411 and 121.413, as applicable. See Volume 3, Chapter 20, Section 4 for guidance on part 121 check pilot training.
Indicates new/changed information.
4)    At least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct a check or supervise OE, as applicable, to an FAA inspector or APD employed by the certificate holder. The demonstration may be accomplished in an aircraft in flight, in an FFS, in an FTD, or in a combination, as appropriate.
5)    Be specifically approved by the FAA.

NOTE:  The certificate holder must have procedures published in the operations manual to be followed in the event a line check pilot (observer’s seat only) determines that a flightcrew member’s performance does not meet standards that would allow the individual to continue to operate the aircraft. The check pilot must not allow the flightcrew member to continue the flight or trip. If the line check pilot (observer’s seat only) does not meet the requirements to substitute for the flightcrew member, specific alternative procedures must be followed.

B.    Authorized Activities. Approval as a line check pilot (observer’s seat only) authorizes a check pilot to conduct the following activities in an aircraft (subject to the authorizations and limitations shown in the letter of approval):

1)    Pilot flightcrew member line checks from the observer’s seat.
2)    Training and checking in special operations as a module of the certificate holder’s approved training program from the observer’s seat, provided that the check pilot is qualified in the specific operations for which he or she is conducting training, or checking (such as special airports and international routes).
Indicates new/changed information.
3)    Supervision of FE flightcrew member OE from the observer’s seat.

3-1395    CHECK PILOT—ALL CHECKS.

A.    Eligibility. For initial and continuing approval as a check pilot (all checks) an airman must meet the eligibility requirements for a proficiency check pilot (aircraft), and for a line check pilot (all seats), in accordance with paragraphs 3‑1391 and 3‑1393.

B.    Authorized Activities. Approval as a check pilot (all checks) authorizes a check pilot to conduct all authorized activities of a proficiency check pilot (aircraft), and a line check pilot (all seats), in accordance with paragraphs 3-1391 and 3-1393.

3-1396    CHECK FE, PARTS 121 AND 125. The POI can approve a check FE to conduct activities in an aircraft and/or FSTD.

A.    Eligibility. For initial and continuing approval as a check FE, an airman must meet the following eligibility requirements:

1)    Hold the required Airman Certificate and ratings to serve as an FE on the specific aircraft in operations under part 121 or 125, as applicable.
2)    Hold at least a Class II medical certificate if serving as a required flightcrew member. If not serving as a required flightcrew member, check FEs are not required to hold a medical certificate.
Indicates new/changed information.
3)    Have completed the certificate holder’s check FE training required by §§ 121.411 and 121.413 and part 121 appendix H, as applicable. See Volume 3, Chapter 20, Section 4 for guidance on part 121 check FE training.
4)    Have completed the training requirements to serve as an FE for the certificate holder in the specific aircraft, including ground and flight training, and flight checks.
5)    For part 121 check FEs (only authorized to conduct checking activities in an FSTD), within the preceding 12‑month period, fly at least two flight segments as a required flightcrew member for the type aircraft, or complete an approved line observation program. See paragraph 3-1404 for guidance on line observation programs.
6)    For part 121 check FEs, at least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct a check or supervise OE to an FAA inspector or APD employed by the certificate holder. The demonstration may be accomplished in an aircraft in flight, in an FFS, in an FTD, or in a combination, as appropriate.
7)    Be specifically approved by the FAA.

B.    Authorized Activities. Approval as a check FE authorizes an airman to conduct the following activities (subject to the authorizations and limitations shown in the letter of approval):

1)    FE flight checks conducted as a qualification curriculum segment in the certificate holder’s training program.
2)    Flight instruction of FEs in the certificate holder’s training program.
3)    For part 121 check FEs, supervision of FE OE.
4)    FE flight checks to reestablish qualification in accordance with § 121.453.
5)    Special checks conducted as a qualification curriculum segment of the certificate holder’s training program, provided the check FE is qualified in the specific activity for which he or she is conducting the special check (such as CAT II and CAT III operations).
6)    Certification of the satisfactory proficiency and knowledge of flightcrew members after completion of a flight training curriculum segment, flight training module, or flight check.
Indicates new/changed information.

3-1397    AIR TRANSPORTATION INSTRUCTOR ROLE AND CHARACTERISTICS. An air transportation instructor is a person employed by a certificate holder for the purpose of training crewmembers and aircraft dispatchers in a part 121 certificate holder’s approved training program. Air transportation instructors must be knowledgeable in the applicable requirements of 14 CFR parts 61, 63, 65, 91, 110, 117, 119, and 121; other applicable FAA policies and safe operating practices; and the certificate holder’s policies and procedures. An air transportation instructor should possess effective communication skills and a manner that always reflects professionalism and a positive attitude toward safety.

3-1398    AIR TRANSPORTATION FLIGHT INSTRUCTOR—AIRCRAFT. An air transportation flight instructor (aircraft) may be a pilot instructor, an FE instructor, or both, and may conduct flight training in aircraft or FSTD.

A.    Eligibility. For initial and continuing authorization as a flight instructor (aircraft), an airman must meet the following eligibility requirements:

Indicates new/changed information.
1)    Hold the Airman Certificate and ratings required to serve as the PIC or FE, as applicable, on the specific aircraft in operations under part 121.
2)    For part 121 pilot instructors, hold a Class I or II medical certificate, as appropriate, if serving as a required flightcrew member. If not serving as a required flightcrew member, part 121 pilot instructors are not required to hold a medical certificate.
Indicates new/changed information.
3)    For FE instructors, hold a Class II medical certificate if serving as a required flightcrew member. If not serving as a required flightcrew member, FE instructors are not required to hold a medical certificate.
4)    Be less than 65 years of age, if serving as a pilot flightcrew member in operations under part 121.
Indicates new/changed information.
5)    For pilot instructors, have completed the training and currency requirements to serve as the PIC for the certificate holder, including ground and flight training, proficiency check, and 90‑day recent experience.
6)    For FE instructors, have completed the training requirements to serve as an FE for the certificate holder, including ground and flight training and flight checks.
Indicates new/changed information.
7)    Have completed the certificate holder’s flight instructor training required by §§ 121.412 and 121.414 and part 121 appendix H, as applicable. See Volume 3, Chapter 20, Section 4 for guidance on part 121 flight instructor training.
8)    At least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct flight instruction to an FAA inspector, check pilot, check FE, or APD employed by the certificate holder. The demonstration may be accomplished in an aircraft, an FFS, an FTD, or in a combination, as appropriate. Initial evaluation should include evaluation in an aircraft.

B.    Authorized Activities. An air transportation flight instructor (aircraft), when authorized by the certificate holder, may conduct the following flight instruction activities in an aircraft or FSTD:

1)    Flight instruction in the certificate holder’s approved training program from either pilot seat or observer’s seat.
2)    Certification of the satisfactory proficiency and knowledge of flightcrew members after completion of a flight training curriculum segment or flight training module.

3-1399    AIR TRANSPORTATION FLIGHT INSTRUCTOR—SIMULATOR. An air transportation flight instructor (simulator) may instruct in an FSTD and may be a pilot instructor, an FE instructor, or both.

A.    Eligibility. For initial and continuing authorization as a flight instructor (simulator), an airman must meet the following eligibility requirements:

Indicates new/changed information.
1)    Hold the Airman Certificate and ratings, except medical certificate, required to serve as a PIC or FE, as applicable, on the specific aircraft in operations under part 121.
Indicates new/changed information.
2)    Have completed the certificate holder’s flight instructor training required by §§ 121.412 and 121.414 and part 121 appendix H, as applicable. See Volume 3, Chapter 20, Section 4 for guidance on part 121 flight instructor training.
Indicates new/changed information.
3)    For pilot instructors, have completed the training requirements to serve as the PIC for the certificate holder, including ground and flight training and the required proficiency check.
4)    For FE instructors, have completed the training requirements to serve as an FE for the certificate holder, including ground and flight training, and flight checks.
5)    For part 121 instructors, within the preceding 12‑month period, fly at least two flight segments as a required flightcrew member for the type airplane or complete an approved line observation program. See paragraph 3‑1404 for guidance on line observation programs.
Indicates new/changed information.
6)    At least once every 24 calendar‑months, satisfactorily demonstrate the ability to conduct flight instruction to an FAA inspector, check pilot, check FE, or APD employed by the certificate holder. The demonstration may be accomplished in an FFS, an FTD, or both, as appropriate.

B.    Authorized Activities. An air transportation flight instructor (simulator), when authorized by the certificate holder, may conduct the following flight instruction activities in an FSTD only:

1)    Flight instruction in the certificate holder’s approved training program.
2)    Certification of the satisfactory proficiency and knowledge of a flightcrew member, after completion of a flight training curriculum segment or flight training module.

3-1400    AIR TRANSPORTATION GROUND INSTRUCTOR.

A.    Training and Qualification. An individual must meet the certificate holder’s training and qualification requirements to conduct ground instruction.

B.    Authorized Activities. An air transportation ground instructor, when qualified and authorized by the certificate holder, may conduct the following:

1)    Ground instruction in the certificate holder’s approved training program.
2)    Certification of the satisfactory proficiency and knowledge of crewmembers and aircraft dispatchers after completion of a ground training curriculum segment or module.

C.    Training and Qualification Records. The certificate holder must maintain documentation of the training and qualification for each air transportation ground instructor, and must make that documentation available for inspection by the FAA upon request.

3-1401    ATS ROLE AND CHARACTERISTICS. The role of the ATS is to ensure that the F/A or aircraft dispatcher meets the competency standards by demonstrating knowledge and ability in the training subjects required by part 121. An ATS must be knowledgeable in the applicable requirements of parts 65, 91, 110, 117, 119, and 121; other applicable FAA policies; safe operating practices; and the certificate holder’s policies and procedures.

3-1402    ATS—F/A.

A.    Training and Qualification. An air carrier operating under part 121 engaged in passenger‑carrying operations must establish and maintain a program to train and qualify F/A ATSs. An individual must successfully complete the appropriate training curriculum and the required competency check to qualify as an F/A ATS. To maintain qualification, F/A ATSs must successfully complete recurrent training, including competency checks.

B.    Authorized Activities. An F/A ATS, when qualified and authorized by the certificate holder, may conduct the following:

1)    Initial and recurrent F/A competency checks.
2)    Supervision of F/A OE.
3)    Certification of the satisfactory proficiency and knowledge of F/As after completion of the competency check.

C.    Training and Qualification Records. The certificate holder must maintain documentation of the training and qualification for each F/A ATS, and must make that documentation available for inspection by the FAA upon request.

3-1403    ATS—AIRCRAFT DISPATCHER.

A.    Training and Qualification. A certificate holder conducting part 121 domestic and/or flag operations must establish and maintain a program to train and qualify aircraft dispatcher ATSs. An individual must be current and qualified as an aircraft dispatcher for the certificate holder to qualify as an aircraft dispatcher ATS. For the purposes of this order, “current and qualified” with respect to an aircraft dispatcher ATS means an individual has successfully completed all training and qualification requirements in §§ 121.415, 121.422, and 121.427 (including competency checks), and any on‑the‑job training (OJT) requirements of the certificate holder.

NOTE:  To maintain qualification as an aircraft dispatcher ATS, an individual must remain current and qualified as an aircraft dispatcher by successfully completing recurrent training, including competency checks.

B.    Authorized Activities. An aircraft dispatcher ATS, when qualified and authorized by the certificate holder, may conduct the following:

1)    Initial and recurrent aircraft dispatcher competency checks.
2)    Certification of the satisfactory proficiency and knowledge of aircraft dispatchers after completion of the competency check.

C.    Staffing. In order to ensure continued qualification of each aircraft dispatcher ATS, part 121 certificate holders should employ at least two aircraft dispatcher ATSs. In rare cases, such as initial certification of an air carrier, or sudden temporary staff changes leading to the employment of only one aircraft dispatcher ATS, an Aviation Safety Inspector‑Aircraft Dispatcher (ASI‑AD) may administer an initial or recurrent competency check.

D.    Training and Qualification Records. The certificate holder must maintain documentation of the training and qualification for each aircraft dispatcher ATS, and must make that documentation available for inspection by the FAA upon request.

Indicates new/changed information.

3-1404    LINE OBSERVATION PROGRAM. The preferred method of compliance with the requirements of §§ 121.411(f) and 121.412(f) is to have flight instructors, check pilots, and check FEs fly a minimum of two flight segments during actual line operations in the aircraft. In lieu of actual line flying, flight instructors, check pilots, and check FEs can complete an approved line observation program. There are two types of line observation programs that a POI may approve: line observation from the observer’s seat or a Line‑Operational Simulation (LOS) program.

Indicates new/changed information.

A.    Line Observation from the Observer’s Seat. A certificate holder may comply with
§§ 121.411(f)(2) and 121.412(f)(2) by requiring flight instructors, check pilots, and check FEs to complete line observation from the observer’s seat. Prior to approving this type of line observation program, POIs must ensure the certificate holder’s proposed program requires each flight instructor, check pilot, and check FE to complete a minimum of two flight segments in the observer’s seat within each 12‑month period.

Indicates new/changed information.

B.    LOS Program. A certificate holder may comply with §§ 121.411(f)(2) and 121.412(f)(2) by conducting an LOS program. Prior to approving an LOS program, POIs must ensure the certificate holder’s proposed program complies with the following requirements:

1)    Ground Training. Ground training must include the following subjects:
a)    Clearances. Duties of a check pilot, check FE, or flight instructor with regards to the use of air traffic control (ATC) clearances in a training environment.

·    Format of clearances to accurately simulate ATC.

·    Ability to provide timeliness of responses typical of controllers.

·    Using clearances accurately to create a more realistic scenario in the training environment.

·    Accurately providing realistic clearances to enhance instructor credibility and professionalism.

·    Using clearances accurately to simulate correct ATC spacing and controller knowledge of aircraft system performance parameters.

b)    Terminology.

·    Common ATC terminology variations.

·    International language and terminology considerations (if applicable).

·    Realistic use in the training environment.

c)    Vectoring. Appropriate use and training benefits/pitfalls.

·    Commonly misused vectoring practices.

·    Training benefits and importance of correct vectoring to preserve realism.

·    Negative training and associated impact of inaccurate or unrealistic vectors/practices.

d)    International Civil Aviation Organization (ICAO) Differences. Applicable for those certificate holders that provide instruction for international operations.

·    Variations between FAA and ICAO terminology.

·    Foreign airport training and practices.

·    Transition altitudes.

e)    Runway (RW)/Taxiway Signage, Surface Movement Guidance and Control System (SMGCS), etc.

·    Recent changes in signage and markings.

·    Large airports/small airport variances.

·    RW markings.

·    Taxiway markings.

·    Ground and approach lighting systems.

·    SMGCS: who must comply, under what weather conditions it applies, and how to comply with clearances and procedures.

2)    Flight Training. Training must be conducted in an FFS and will be designed as an LOS event intended to provide replication of operations within the National Airspace System (NAS). It must be designed to realistically simulate (within the limitations of flight simulator technology) a view of the ATC environment that flightcrews may encounter when operating in the NAS. Flight training must include the following events, as applicable, that are tailored to reflect the operational environment of the certificate holder:

·    Normal operations;

·    ATC normal, abnormal, and emergency operations;

·    Low visibility taxi and takeoff (use of enhanced taxiway markings and ATC interactions);

·    Short approach request;

·    Tailwind landing request <10 knots;

·    Speed restrictions and expedite requests (e.g., 180 knots to the marker);

·    Expedite to an altitude (may be up or down);

·    Unexpected clearance to a new fix (flight management system (FMS) exercise);

·    Visual approach;

·    Special approaches (Required Navigation Performance (RNP) subject to special requirement, Localizer Performance with vertical guidance (LPV), precision runway monitor (PRM) etc.);

·    Traffic alert;

·    Traffic Alert and Collision Avoidance System (TCAS) alert;

·    Uncontrolled field approach;

·    Special airport operation;

·    Special route authorizations;

·    RNP approaches and departures;

·    Equipment failures affecting navigation reliability; and

·    Other events that the operator may deem appropriate.

3)    LOS Program Training Schedule. The certificate holder must develop sufficient LOS scenarios to ensure flight instructors, check pilots, and check FEs do not repeat the same scenario within four training cycles as defined within their approved training program. If the ground and flight training segments occur more than 30 days apart, then the operator must maintain a separate tracking record for each segment. Each segment will then have its own 12‑month currency cycle.

RESERVED. Paragraphs 3-1405 through 3-1420.




VOLUME 3  GENERAL TECHNICAL ADMINISTRATION

CHAPTER 20  CHECK AIRMAN, INSTRUCTOR, AND SUPERVISOR PROGRAMS FOR TITLE 14 CFR PART 121 AND 135 CERTIFICATE HOLDERS

Indicates new/changed information.

Section 2  Part 121 Check Pilot and Check Flight Engineer Approval and Surveillance

3-1421    GENERAL.

A.    Program Tracking and Reporting Subsystem (PTRS) Codes.

·    Approve Check Pilot: 1346.

·    Approve Check Flight Engineer (FE): 1347.

·    Remove Check Pilot: 1359.

·    Remove Check FE: 1360.

Indicates new/changed information.

·    Check Pilot Observation – Proficiency Check (Simulator): 1642.

·    Check Pilot Observation – Proficiency Check (Aircraft): 1643.

·    Check Pilot Observation – Line Check: 1644.

·    Check Pilot Observation – Operating Experience (OE): 1645.

·    Check FE Observation – Flight Check (Simulator): 1642.

·    Check FE Observation – Flight Check (Aircraft): 1643.

·    Check FE Observation – OE: 1645.

NOTE:  PTRS codes for surveillance of Advanced Qualification Program (AQP) evaluators are located in Volume 3, Chapter 21, Section 2.

Indicates new/changed information.

B.    Procedures.

1)    This section addresses procedures for approval and surveillance of check pilots and check FEs. All check pilots and check FEs must be approved by an operator’s principal operations inspector (POI). Approval is based on a candidate:

·    Having the proper certificates and ratings;

·    Being qualified in accordance with the operator’s approved initial, transition, or upgrade training program;

·    Having completed the operator’s approved check pilot or check FE training program for the appropriate check functions; and

·    Having demonstrated the ability to conduct a check and to evaluate the performance of flightcrew members to the satisfaction of a Federal Aviation Administration (FAA) inspector.

2)    The check pilot and check FE approval process follows the five phases described below.

3-1422    PHASE ONE—OPERATOR FAMILIARIZATION WITH REQUIREMENTS AND LETTER OF REQUEST.

A.    Beginning the Approval Process. The first phase of the check pilot and check FE approval process involves a discussion between the operator and the POI. The POI should ensure that the operator understands the regulatory check pilot and check FE training requirements and that a candidate must satisfactorily demonstrate the ability to perform check functions to an FAA inspector before approval. The POI should also ensure that the operator is prepared to submit the necessary documentation to initiate the approval process, which is as follows:

B.    Required Information. The letter of request constitutes the operator’s nomination. It originates from the operator, not a training center, candidate, or some other party. It includes:

·    Candidate’s name,

·    Business address,

·    Applicable Airman Certificate number,

·    Current flightcrew member position,

·    Requested check pilot or check FE classification,

·    Aircraft type,

·    Brief résumé of the candidate’s aviation background and experience, and

·    Copies of the candidate’s training records, including his or her initial, transition, or upgrade training in requested aircraft type; record of most recent applicable recurrent training; and record of check pilot or check FE training.

NOTE:  A POI may require that this information be expanded to suit circumstances.

3-1423    PHASE TWO—SUBMISSION OF DOCUMENTATION. Phase two begins when the operator submits the documentation listed in paragraph 3‑1422 to the POI for evaluation. The operator may transmit this submission by conventional mail, email, fax, or by other means mutually acceptable to the operator and the POI. The POI will initially review the information to determine if the candidate meets the basic qualification requirements for the classification of check pilot or check FE approval sought. (See Volume 3, Chapter 20, Section 1.)

A.    Unacceptable Submission. If the operator’s submission is unacceptable, the POI should return the submitted documentation with a statement of the reason for nonacceptance.

B.    Acceptable Submission. If the operator’s submission is acceptable, the POI should initiate phase three.

3-1424    PHASE THREE—REVIEW OF DOCUMENTATION.

A.    Verification. The POI will verify the candidate’s certificates and background using the enhanced Vital Information Database (eVID), the Safety Performance Analysis System (SPAS), PTRS, and local office procedures. The POI will then create a file for the individual in the check airman section of eVID.

NOTE:  Creation of the eVID file at this point in the process will allow for documentation of subsequent action regarding the individual without having the records rejected. During the upload/download process, check pilot and check FE surveillance records are cross‑checked (last name and certificate number) against the check airman ancillary file in the eVID file for the operator.

B.    Training Requirements. Before the POI can evaluate a candidate for approval as a check pilot or check FE, all required training must be completed. The candidate’s training records must show satisfactory completion of initial, transition, or upgrade training and all training required under the operator’s approved check pilot or check FE training program for the specified classification. The approved training program must contain all training required by Title 14 of the Code of Federal Regulations (14 CFR) part 121, §§ 121.411 and 121.413 and part 121 appendix H that is applicable to the approval being sought. When the candidate’s records show that the candidate has previously completed a required curriculum segment, the segment does not have to be repeated.

C.    Nonqualification. If, after reviewing the documentation, the POI determines that the candidate does not qualify as a check pilot or check FE, the POI will provide the operator with a statement of the reason for nonacceptance.

3-1425    PHASE FOUR—CHECK PILOT AND CHECK FE EVALUATION. In order to evaluate a candidate effectively, inspectors must become thoroughly familiar with the operator’s procedures. Inspectors must also become familiar with any special regulatory requirements affecting the operator, such as special conditions contained in the operations specifications (OpSpecs) and exemptions.

A.    Choosing Airmen as Subjects. The inspector conducting an evaluation for an original check pilot or check FE approval must observe the candidate conducting an actual check. The purpose of the evaluation is to ensure that the candidate has achieved the required skills for briefing, evaluating, and debriefing a flightcrew member. The flightcrew member receiving the check should be a line flightcrew member who is due for an evaluation. The flightcrew member will not be an instructor, check pilot, or check FE unless previous approval has been received from the POI. Such approval is reserved for unusual circumstances.

B.    Candidate’s Flying Skills. Except for an initial cadre approval, an evaluation does not entail an evaluation of the candidate’s flying skills in a flightcrew member duty position. An operator should not request approval of an individual as a check pilot or check FE when there is any question about the individual’s flying skills in a flightcrew member duty position. Should the POI have reason to question a candidate’s proficiency, the evaluation will not be conducted until the candidate’s proficiency is verified. An acceptable way to verify the candidate’s proficiency is to check the candidate. An inspector may conduct a proficiency check, a flight check, or a line check of the candidate, scheduled at some time before the official evaluation. (Such checks are not routinely required.)

C.    Satisfactory Evaluation. If the inspector determines that a candidate meets criteria for the requested approval, the inspector will inform the candidate that a recommendation of approval will be reported to the POI. In this case, the candidate will certify the proficiency of the flightcrew member receiving the check and complete the necessary recordkeeping tasks. The POI may permit the new check pilot or check FE to be scheduled immediately as a check pilot or check FE, even though processing of the letter of approval has not been completed, provided that a PTRS entry has been completed to document the satisfactory evaluation.

D.    Unsatisfactory Evaluation. If the inspector determines a candidate does not qualify for the requested approval, the inspector will inform the candidate that approval will not be granted. In such a case, the inspector must determine whether the flightcrew member receiving the check performed satisfactorily, and must certify the flightcrew member’s proficiency and complete the necessary records.

NOTE:  The failure of a candidate is uncommon and usually ends a candidate’s eligibility for check pilot or check FE status. In rare circumstances, the POI may allow a reevaluation. In such a case, the operator must conduct sufficient additional training, recertify the candidate’s proficiency, and arrange to have another evaluation conducted by an FAA inspector.

E.    Content of Check Pilot or Check FE Evaluation. The following guidance applies to an inspector’s evaluation in respect to each of the six classifications of check pilots and check FE.

1)    Proficiency Check Pilot—Aircraft. An inspector must evaluate this candidate while the candidate conducts a proficiency check in an aircraft in-flight. The inspector should observe the candidate conducting the entire check in the aircraft. The candidate must be evaluated on his/her ability to evaluate an individual while, at the same time, performing the flightcrew member activities normally associated with the seat the check pilot candidate occupies. With the approval of the POI, the inspector may observe part of the check in the aircraft and the remainder in a flight simulation training device (FSTD).
2)    Proficiency Check Pilot—Simulator. An inspector must evaluate this candidate while the candidate conducts the FSTD segment of an actual proficiency check. The candidate must be evaluated on his/her ability to evaluate an individual while, at the same time, demonstrating proficiency in operating the FSTD. Time management and the ability to adapt to events that might disrupt a planned sequence of events should be considered. If the entire proficiency check can be accomplished in a full flight simulator (FFS), the candidate must be observed conducting the entire check.
3)    Line Check Pilot—All Seats. An inspector will evaluate this candidate while the candidate conducts an actual line check from either pilot seat. Satisfactory performance will also permit the candidate to conduct a line check from the observer’s seat. A candidate for line check pilot—all seats must be qualified to be the pilot in command (PIC) for that operator and hold a first‑class medical certificate.

NOTE:  The operator must have procedures published in its operations manual that will be followed in the event that a line check pilot determines that a flightcrew member’s performance does not meet standards that would allow the individual to continue to operate the aircraft. The flightcrew member will not be allowed to continue the flight series or trip. If the line check pilot is not qualified to substitute for the flightcrew member, specific alternative procedures must be followed.

4)    Line Check Pilot—Observer’s Seat Only. An inspector must evaluate this candidate while he or she conducts an actual line check from the forward observer’s seat. If the aircraft is equipped with more than one observer’s seat, the evaluation must be conducted in the aircraft. When the evaluation is conducted during revenue service, in an aircraft with only one observer’s seat, a candidate who holds a second‑class medical certificate, who has not yet reached 65 years of age and is otherwise qualified for part 121 operations may be evaluated while conducting a line check from the right pilot seat. In this case, the PIC must be fully qualified and line current. When the evaluation is conducted during nonrevenue operations in an aircraft with only one observer’s seat, a candidate who holds at least a third‑class medical certificate and who is over 65 years of age and is otherwise qualified for part 121 operations may be evaluated while conducting a line check from the right pilot seat. If the candidate does not hold a medical certificate and the aircraft is equipped with only one observer’s seat, the evaluation may be conducted in a FFS during Line-Oriented Flight Training (LOFT). A check pilot who is approved to conduct line checks from the observer’s seat and who does not maintain line currency must be observed by an inspector at least once every 24 calendar-months. If an evaluation within this time period is not given, the check pilot is not authorized to conduct line checks.

NOTE:  The operator must have procedures published in its operations manual that will be followed in the event that a line check pilot determines that a flightcrew member’s performance does not meet standards that would allow the individual to continue to operate the aircraft. The flightcrew member must not be allowed to continue the flight series or trip. If the line check pilot is not qualified (including appropriate medical certificate) to substitute for the flightcrew member, specific alternative procedures must be followed.

5)    Check Pilot—All Checks. An inspector must evaluate this candidate in accordance with the preceding paragraphs. The evaluations for this approval may be treated cumulatively.

NOTE:  A pilot may have been a proficiency check pilot—aircraft for a number of years, and then qualify as a line check pilot—all seats. If the operator does not use FFSs in the training program, then upon satisfactory completion of the line check evaluation, the check pilot could be approved to conduct all of the forgoing checks.

6)    Check FE. An inspector must evaluate this candidate while the candidate conducts an FE flight check in a FSTD. In normal, abnormal, and emergency procedures, segments of the check are normally accomplished in a FSTD. In those instances when a check FE candidate is to conduct any portion of a check in an airplane in-flight, the check FE candidate must be a qualified and current FE and must be evaluated during actual flight.

F.    Conducting a Check Pilot or Check FE Evaluation.

1)    Preevaluation Briefing. An inspector conducting a check pilot or check FE evaluation must arrange to meet with the candidate in sufficient time for a preevaluation briefing. The inspector must explain the purpose of the evaluation and some ground rules, including:
a)    That the check should be conducted as if the candidate were fully qualified in the role of check pilot or check FE;
b)    That during the briefing, the inspector may ask questions of the check pilot or check FE candidate as part of the evaluation; and
c)    That the inspector will not ask questions while the check is in progress.
2)    Observing and Debriefing the Candidate. While the check is in progress, the inspector will observe, but should not interrupt or otherwise interfere with the check pilot or check FE candidate’s management of the check. The inspector must determine:

·    That all required events and maneuvers were conducted properly;

·    That the check pilot or check FE candidate’s evaluation of the flightcrew member’s performance was objective and accurate; and

·    That the check pilot or check FE candidate’s debriefing of the flightcrew member was thorough and constructive.

3-1426    PHASE FIVE—CHECK PILOT AND CHECK FE APPROVAL. All check pilots and check FEs approved for part 121 operations must be approved by the operator’s POI.

A.    Letter of Approval. POIs may only approve check pilots and check FEs for operators under their oversight. Approval of a check pilot or check FE will be in the form of a letter of approval addressed to a responsible official of the operator and signed by the POI, or a representative approved by the POI. This letter of approval may be transmitted to the operator by conventional mail, email, fax, or by other means acceptable to the operator and the POI. The POI should retain a copy of the letter of approval together with the operator’s original letter of nomination for the candidate. The letter of approval must contain the following:

·    Identification of the operator for which the approval is granted;

·    Check pilot’s or check FE’s name and applicable FAA Airman Certificate number;

·    Approved check pilot or check FE classification;

·    Specified category, class, or type of aircraft;

·    Authorizations and limitations; and

·    Effective date of each approval (since different approvals may occur at different times, this information simplifies record checks. The date on which the check pilot or check FE was recommended for approval by an inspector will be the effective date of approval). See Figure 3‑87, Sample Check Pilot Letter of Approval.

NOTE:  Under current regulations, no normal term of expiration is specified for approvals of check pilots or check FEs. A check pilot’s or check FE’s approval, however, may be given, limited, or withdrawn, in the discretion of the POI.

B.    Limitations. A check pilot or check FE will be approved only in the six classifications listed in this section.

NOTE:  Currently, a separate check airman file in the eVID must be entered into the system for each operator for which the check pilot or check FE holds approval. A forthcoming change to the eVID will result in a single file for each check pilot or check FE, and will permit the listing of all operator affiliations and classifications.

C.    Letter of Approval—Other Copies.

1)    The original of the letter of approval will be sent to the operator for which the check pilot or check FE has been approved.
2)    A copy of the letter of approval will be retained in the POI’s files, together with the operator’s original letter of request for the check pilot or check FE. Additional documentation submitted with the letter of request must also be retained if it is not accessible in an FAA database. The file must be maintained in the FAA office files of the overseeing inspector until 2 years after the approval is withdrawn or superseded.
3)    When the individual is a training center instructor or Training Center Evaluator (TCE) who is being approved to evaluate an operator’s personnel, and if the POI anticipates requesting assistance from the Training Center Program Manager (TCPM) with check pilot or check FE surveillance and oversight, a copy of the letter of approval should be forwarded to that TCPM for inclusion in his or her records.

D.    PTRS and eVID. The POI must ensure that a record of the approval is entered in the PTRS. Each time an approval is given or withdrawn, the POI must ensure that the operator’s eVID file accurately reflects:

1)    The current number of active check pilots and check FEs approved for the operator, and
2)    The correct status of the individual.

3-1427    APPROVAL OF INITIAL CADRE CHECK PILOTS AND CHECK FEs. During the early phases of establishing a check pilot and check FE program, initial cadre check pilots and check FEs are required. Initial cadre check pilot and check FE candidates must first become fully qualified as flightcrew members and then be trained, evaluated, and approved as check pilots and check FEs. Because the regulatory language of part 121 does not address a training process for initial cadre check pilots and check FEs, this section provides guidance. This process that follows is valuable for startup operations for at least two reasons:

·    It is a practical way to initiate and build a check pilot and check FE program; and

·    It takes advantage of proving flights, when the operator/applicant is under close FAA scrutiny—with desirable effects on the check pilot and check FE program.

A.    Letter of Request from Operator. The overseeing inspector must arrange with the operator/applicant to approve one or more likely candidates to form an initial cadre of temporary check pilots and check FEs. The operator/applicant will submit a letter of request, as described earlier in this section. This letter comprises the request for initial cadre check pilots and check FEs and a description of the training that they will undergo.

B.    Letter of Approval. The POI must approve the candidates using procedures described earlier in this section. Usually initial cadre are approved to function as check pilot—all checks or check FE, so that they may conduct all types of checks and supervise OE during the period that the startup operation is beginning. The initial cadre letter of approval is a temporary approval, to be replaced with a permanent letter of approval after the check pilot or check FE is fully qualified. The initial cadre letter must contain a statement similar to the following:

(Name) is approved as an initial cadre check (pilot or FE) to function as a (check pilot—all checks or check FE) for the purpose of initiating operations with the (type of aircraft) for (name or operator). This approval expires on (expiration date).

3-1428    TRAINING, CERTIFICATION, AND QUALIFICATION—STARTUP. The operator must provide a full qualification process for its initial cadre check pilots and check FEs.

A.    Initial Training and Certification. The operator must first arrange to have initial cadre check pilots and check FEs trained and appropriately certificated for their flightcrew member duty positions. The operator may provide the training by contracting with a manufacturer, with another operator of the same 14 CFR operating part, or with properly qualified individuals. An inspector or an aircrew program designee (APD) designated examiner may certificate the initial cadre, provided that the examiner is employed by a U.S. air carrier/operator.

B.    Gaining Proficiency as Instructors. After the initial training and certification, initial cadre check pilots and check FEs must become proficient in the operator’s proposed training program by instructing each other, or in the case of a single initial cadre check pilot or check FE, by self‑training. 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.

C.    Proficiency and Flight Checks. After the first initial cadre check pilots and check FEs have become proficient as instructors, they may then begin the training and checking of other initial cadre check pilots and check FEs in accordance with the operator’s initially approved flight training and qualification curriculum segments. Each check must be observed by an FAA inspector who holds the appropriate Airman Certificate, and the appropriate type rating, when applicable. If the inspector determines that the performance of an initial cadre check pilot or check FE conducting a certain check is satisfactory, the inspector will recommend to the overseeing inspector that the candidate be approved as an initial cadre check pilot or check FE for that type of check. One initial cadre check pilot or check FE may check another, with the process repeated until each candidate has been approved as an initial cadre check pilot or check FE or has been terminated from the program. If only one person is being considered to be the initial cadre check pilot or check FE, an inspector will observe that person conducting a check of another flightcrew member. If the candidate’s performance is satisfactory, the inspector must recommend to the POI that the candidate be removed from temporary status and approved for full‑time check pilot or check FE duty with the operator.

D.    OE.

1)    Initial cadre check pilots and check FEs will be permitted to acquire OE flight hours on any flight that can be credited toward the proving test flight‑hour requirement (including training flights, ferry flights, and representative en route proving flights). OE flight hours may be accrued by initial cadre check pilots and check FEs while they are:

·    Conducting aircraft checks,

·    Overseeing the OE of other flightcrew members,

·    Being checked, or

·    Acquiring OE under the supervision of other initial cadre check pilots or check FEs.

2)    Initial cadre check pilots must receive a line check and conduct a line check during an en route proving flight or a ferry flight. The same process (see above) will apply: one initial cadre check pilot line checks another while being observed by an FAA inspector. If the check pilot’s performance is satisfactory, the inspector may recommend that the person be removed from temporary status and approved for full‑time duty as a check pilot for the operator. If there is only one initial cadre check pilot, then the FAA inspector will conduct the line check.

3-1429    APPROVAL OF A CHECK PILOT OR CHECK FE IN MULTIPLE AIRCRAFT. Before a candidate may be approved as a check pilot or check FE in more than one type of aircraft, the operator must show that there is a need. The candidate must be fully qualified and current in each of the aircraft types. Overseeing inspectors must be judicious in approving check pilots and check FEs and vigilant in overseeing their performance. There are various acceptable combinations of check pilot and check FE approvals. Before a candidate may be approved as a proficiency check pilot—aircraft, line check pilot—all seats, check pilot—all checks, or check FE—aircraft in two commuter category aircraft types or two transport category types, the overseeing inspectors must ensure that the following conditions are met:

A.    Designated Related Aircraft with Different Type Certificates (TC).

1)    Proficiency Check Pilot—Aircraft. The candidate must have logged at least 100 hours as PIC in the base aircraft type and 100 hours as PIC in the designated related aircraft type.
2)    Line Check Pilot—All Seats. The candidate must have logged at least 25 hours as PIC in the base aircraft type and 25 hours as PIC in the designated related aircraft type.
3)    Check Pilot—All Checks. The candidate must have logged at least 100 hours as PIC in the base aircraft type and 100 hours as PIC in the designated related aircraft type.

NOTE:  See Volume 3, Chapter 19, Section 12, for additional information regarding related aircraft designation and related aircraft differences training.

NOTE:  There is no minimum PIC flight time requirement for proficiency check pilot—simulator.

B.    Aircraft with Different TCs Not Designated as Related.

1)    Proficiency Check Pilot—Aircraft. The candidate must have logged at least 500 hours as PIC in each type.
2)    Line Check Pilot—All Seats. The candidate must have logged at least 100 hours as PIC in each type and at least 1,000 hours as PIC in transport or commuter category airplanes.
3)    Check Pilot—All Checks. The candidate must have logged at least 500 hours as PIC in each type.
4)    Check FE—Aircraft. The candidate must have logged at least 500 hours as an FE in each type.

NOTE:  There is no minimum PIC flight time requirement for proficiency check pilot—simulator.

3-1430    APPROVAL OF A CHECK PILOT OR CHECK FE FOR MULTIPLE OPERATORS. This paragraph provides a standard method for approving a check pilot or check FE to serve multiple operators. The approval of a check pilot or check FE to serve more than one operator is limited to those cases in which the operator’s aircraft, aircraft operating manuals, procedures, and checklists are compatible in the judgment of the overseeing inspector(s). Provision for multiple check pilot or check FE approvals may be made for part 121 operators with programs that are compatible, in the judgment of the respective operator’s POI. An operator’s POI may also approve a check pilot or check FE to serve multiple part 121 operators on a temporary basis, when a startup operation is initiated or when new equipment is being introduced. Other multiple approvals may be made with the concurrence of the regional Flight Standards division (RFSD) when justified.

3-1431    TRAINING CENTER INSTRUCTORS/EVALUATORS APPROVED BY AN OPERATOR’S POI AS CONTRACT CHECK PILOTS OR CHECK FEs. Training centers have made FSTD training and checking available to a broad range of aviation users, including operators with smaller fleets and smaller aircraft. With the approval of an operator’s POI, an employee of a 14 CFR part 142 training center may serve one or more operators as a contract check pilot or check FE. The guidance contained in this paragraph applies to training center personnel who have been requested to serve as such contract check pilots or check FEs.

A.    POI Approves the Check Pilot or Check FE Candidate. Only the POI may approve a check pilot or check FE for use in an operator’s training program. Normal procedures apply, including a letter of request from the operator, and a letter of approval from the operator’s POI.

B.    TCPM Role. Without diminishing the responsibility or authority of the POI, experience has shown that the TCPM may be in the best position to make quality assessments at training centers on behalf of the Administrator. The TCPM continually assesses training programs conducted by a training center for certification of airmen under 14 CFR parts 61 and 63. Similarly, the TCPM assesses the instructors and TCEs employed by a training center. At the request of an operator’s POI, a center’s TCPM may therefore assist with the evaluation of an operator’s request to use the services of a center’s employee as a contract check pilot or check FE.

C.    Scheduling Multiple‑Use Check Pilots and Check FEs and Maintaining Check Pilot or Check FE Status. Before a multiple approval is made, the overseeing inspector must ensure that the operators understand that the scheduling and use of the check pilot or check FE is their responsibility. An operator entering into a multiple‑use arrangement may employ a check pilot or check FE on a part‑time basis, may contract with another operator or training center to provide a check pilot or check FE, or may contract directly with the check pilot or check FE.

NOTE:  Each operator is responsible for ensuring that the check pilot or check FE maintains currency as specified in their OpSpec A031, the appropriate operating rule, and Volume 3, Chapter 20, Section 1, and that he or she performs adequately when serving the operator.

D.    Issuing Additional Letters of Approval. An operator seeking check pilot or check FE approval for an individual who is serving as a check pilot or check FE for another operator must provide the necessary information to its POI. The operator’s POI must consider the means the operator will use to train, to qualify, and to maintain qualification of the contract check pilot or check FE candidate and the documentation that will be required. Contract check pilots and check FEs may be able to meet recurrent training requirements for more than one operator simultaneously. When the operator and the POI have agreed on the training and qualification necessary for the contract check pilot or check FE, the operator must submit a written letter of request to the POI, as described earlier in this section. When the second or subsequent POI approves the individual as a contract check pilot or check FE for his/her operator, that POI will issue an additional letter of approval following the procedures described above. Additionally, if the subject check pilot or check FE is an employee of a part 142 training center, the POI will forward a copy of the new approval letter to the center’s TCPM.

NOTE:  The check airman file in the eVID is being modified to allow for a single file for each individual who has been approved as a check pilot or check FE for an operator. This consolidated check airman eVID file will be linked to a unique airman identifying number, and will permit multiple entries for aircraft and operator combinations.

E.    Primary Oversight Responsibility. Each operator for which an individual is approved as check pilot or check FE, along with the operator’s POI, has responsibility for oversight of the contract check pilot or check FE. When the check pilot or check FE is employed by a training center, the FAA TCPM may provide assistance as requested by the POI with this responsibility. Any POI who has issued a letter of approval to the check pilot or check FE may, however, conduct surveillance activities at any time.

F.    Contract Check Pilot or Check FE Letter of Approval. When approved as a contract check pilot or check FE for an operator, the POI of that operator will issue a letter of approval showing the operator; the check pilot or check FE classification; the type(s) of aircraft authorized, and the type(s) of checks authorized (by regulatory reference). A sample contract check pilot letter of approval is provided on the FAA Air Carrier Training Systems and Voluntary Safety Programs Branch’s (AFS-280) Web site at http://www.faa.gov/pilots/training/part_142/media/check_pilot_loa.doc.

G.    Recordkeeping. Each operator is required by their operating rules to maintain training and qualification records for his/her check pilots and check FEs. This responsibility cannot be delegated. However, by agreement between the operator and the training center, a training center may keep a contract check pilot’s or check FE’s training and qualification records. This agreement must be documented in each operator’s recordkeeping system and approved by the POI. The POI must maintain a record in the operator’s file that documents the details of any such arrangement, including the location in the operator’s manual where such arrangement is described.

3-1432    FLIGHTCREW MEMBER FAILURE RATES. The repetitive failure of a single flightcrew member or the failure of several flightcrew members during proficiency or flight checks, may indicate a training program deficiency. Overseeing inspectors must establish procedures with their certificate holders that provide for FAA notification when flightcrew member unsatisfactory performance occurs. Identified deficiencies should be promptly investigated and corrective action taken.

3-1433    SURVEILLANCE OF CHECK PILOTS AND CHECK FEs. Overseeing inspectors must establish a surveillance program for each check pilot and check FE at the time of approval.

A.    Biennial Check Pilot or Check FE Observation of Approved Checking Activity or Supervising OE. The surveillance program for each office must include an observation by an FAA inspector or APD of each approved check pilot and check FE in his or her area of responsibility at least once every 24 months. Check pilot and check FE observations should be conducted while the check pilot or check FE is conducting an approved checking activity or supervising OE. For example, a check pilot approved to conduct proficiency checks, line checks, and supervision of OE, should be observed conducting a proficiency check in the aircraft or FSTD, conducting a line check, or supervising OE. At the discretion of the POI, an observation conducted by another POI or by a TCPM for a check under the same rule part need not be repeated. It is the responsibility of the operator to maintain records showing that this observation has been completed.

B.    Periodic Report by the Operator. The POI should arrange to have the operator provide the POI with a periodic report of each check pilot’s and check FE’s activities, including a pass/fail rate, to coincide with the POI’s periodic review (annual, semiannual, or other). POIs may arrange for these reports to arrive at a time that meets the POI’s needs. A check pilot or check FE should be active enough to retain the required knowledge and skills. This activity level may vary depending on the check pilot or check FE function, the size of the operator, and the number of approved check pilots and check FEs. Usually a check pilot or check FE should conduct at least eight authorized check pilot or check FE activities during a 12‑month period (including supervision of OE). The POI should specifically re‑assess the operator’s need for those check pilots and check FEs whose records indicate low activity levels.

C.    Withdrawing Check Pilot or Check FE Approval. The POI’s reasons for withdrawing the approval of a check pilot or check FE may include a lack of check pilot or check FE activity, a request by the operator, or an unsatisfactory performance on the part of the check pilot or check FE. To withdraw approval of a check pilot or check FE, the POI must notify the operator by letter that approval is withdrawn. The letter should include the name of the check pilot or check FE, the effective date of withdrawal, and the reason approval is being withdrawn. If the approval of a check pilot or check FE is withdrawn because of unsatisfactory performance, the letter of withdrawal must be sent to the operator by certified mail—return receipt requested. The POI must make a PTRS entry for the withdrawal or termination of a check pilot’s or check FE’s letter of approval.

NOTE:  Under current regulations, no normal term of expiration is specified for approvals of check pilots and check FEs. Contract check pilots and check FEs who are employees of a part 142 training center will have their term contingent upon continued employment with the training center and maintaining their instructor or evaluator qualification with the employing center.

D.    POI Authority. A check pilot’s or check FE’s approval may be given, limited, withdrawn, or terminated at the discretion of the POI.


Figure 3‑87.    Sample Check Pilot Letter of Approval

February 24, 2006

Mr. Sam A. Frost

Chief Pilot

Transcon Express, Inc.

48 Perimeter Rd.

Utica, OH 22032

Dear Mr. Frost:

John R. Smith, FAA certificate number 467120928, is approved as a check pilot. This check pilot is approved to conduct checks in the Douglas DC‑9 aircraft for employees of Transcon Express, Inc. This approval is applicable for the following checking functions:

[ ]      Proficiency Check Pilot—Aircraft                    Effective_____________

[X]    Proficiency Check Pilot—Simulator                 Effective         8/27/2009

[ ]      Line Check Pilot—All Seats                              Effective_____________

[X]    Line Check Pilot—Observer’s Seat Only          Effective         2/20/2009

[ ]      Check Pilot—All Checks                                   Effective_____________

Please retain a copy of this letter in Mr. Smith’s individual flight training records.

Sincerely,

James J. Jones

Principal Operations Inspector

FSDO (XXXX)

Figure 3‑88.    Check Pilot and Check FE Approval Job Aid

1.    Operator’s Letter Contains Necessary Information:

[ ]   Name of candidate.

[ ]   Business address of candidate.

[ ]   Flightcrew member duty position and aircraft type.

[ ]   Type of check pilot or check FE designation requested.

2.    Training Records (copies):

[ ]   Initial, transition, or upgrade to requested aircraft and flightcrew member duty position.

[ ]   Recurrent.

[ ]   Check pilot or check FE.

3.    [ ]   Resume of experience included.

4.    [ ]   eVID, SPAS, and PTRS verification satisfactory.

5.    [ ]   Open eVID file.

6.    [ ]   Check pilot or check FE evaluation scheduled.

7.    [ ]   Report of evaluation received from PTRS.

 

Favorable Report:

 

8.    Prepare Letter of Approval.

[ ]   Original letter to operator.

[ ]   Copy to operator file.

[ ]   Copy to other POI (if check pilot or check FE for another operator).

9.    [ ]   Update operator eVID file.

10.  [ ]   Complete PTRS.

 

Unfavorable Report:

 

11.  [ ]   Prepare letter to operator indicating disapproval.

12.  [ ]   Update operator eVID file.

13.  [ ]   Complete PTRS.

RESERVED. Paragraphs 3‑1434 through 3‑1450.




VOLUME 3  GENERAL TECHNICAL ADMINISTRATION

CHAPTER 20  CHECK AIRMAN, INSTRUCTOR, AND SUPERVISOR PROGRAMS FOR TITLE 14 CFR PART 121 AND 135 CERTIFICATE HOLDERS

Section 4  Part 121 Check Pilot, Check Flight Engineer, and Air Transportation Flight Instructor Training

3-1476    GENERAL. This section provides guidance concerning the training requirements for check pilots, check Flight Engineers (FE), and air transportation flight instructors.

Indicates new/changed information.

3-1477    CANDIDATES: SELECTION OF INSTRUCTORS, AND NOMINATION OF CHECK PILOTS AND CHECK FEs. The operator selects instructors and submits the selections for review by the principal operations inspector (POI). The operator nominates check pilots and check FEs and submits the nominees for approval by the POI. Because the experience levels of pilots and FEs vary among operators, it is impractical to specify minimum experience levels for candidates. In some cases, such as cases involving new operators, candidates may have relatively little flight experience. Regardless of experience levels, candidates must demonstrate high levels of knowledge and skill in the applicable job functions. POIs must ensure that adequate training for check pilots, check FEs, and air transportation flight instructors is completed and documented in the applicable records.

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

3-1478    TRAINING FOR FLIGHT INSTRUCTORS, CHECK PILOTS, AND CHECK FEs. To ensure that its flight instructors are adequately trained, each operator’s approved initial and transition flight instructor training program must include the training specified in Title 14 of the Code of Federal Regulations (14 CFR) part 121, §§ 121.412 and 121.414, and part 121 appendix H, as applicable. To ensure that its check pilots and check FEs are adequately trained, each operator’s approved initial and transition check pilot and check FE training program must include the training specified in §§ 121.411 and 121.413, and part 121 appendix H, as applicable. Check pilots, check FEs, and air transportation flight instructor candidates must satisfactorily complete the operator’s approved initial, transition, or upgrade training programs for the desired aircraft and flightcrew member duty position. In addition, instructors must complete the operator’s instructor training, and check pilots and check FEs must complete the operator’s instructor and check pilot or check FE training. If a flight instructor, check pilot, or check FE has satisfactorily completed a curriculum segment in previous training that applies to more than one flightcrew member duty position or aircraft, it is not necessary to repeat that segment.

A.    Ground Training.

1)    Ground training for air transportation pilot flight instructors (including flight instructors using flight simulation training devices (FSTD)), proficiency check pilots (including check pilots using FSTDs), and line check pilots must include the following topics:

·    Fundamental principles of the teaching–learning process,

·    Teaching methods and procedures, and

·    Instructor–student relationships.

Indicates new/changed information.
2)    Section 121.414(c)(7) provides that the aforementioned topics need not be included when the candidate holds a flight instructor certificate issued by the Federal Aviation Administration (FAA). These regulations do not relieve the operator of the responsibility for ensuring that instructors, check pilots, and check FEs remain proficient in these areas:

·    Regulatory and administrative functions of instructors, check pilots, and check FEs, as appropriate;

·    Applicable regulations;

·    The operator’s policies and procedures;

·    Methods, procedures, and techniques for conducting required checks;

·    Seat‑dependent tasks for the specific aircraft;

·    Analysis of flightcrew member performance, including identification of improper or insufficient training;

·    Crew Resource Management (CRM) concepts and vocabulary;

·    Appropriate corrective actions for unsatisfactory performance in training or evaluation;

·    Guidelines and safety measures for emergency situations likely to develop in conducting the required normal, abnormal, and emergency procedures in an aircraft and in a FSTD, as appropriate; and

·    The consequences of improper or untimely safety measures.

B.    Flight Training. Flight training for flight instructors—aircraft, proficiency check pilots—aircraft, and line check pilots must include:

1)    Enough flight training and practice in conducting training (and checks for check pilots) from the left and right pilot seats using the required normal, abnormal, and emergency procedures to ensure the individual’s competency in conducting the required flight training (and pilot checks if applicable). For an air transportation flight instructor—aircraft and proficiency check pilot—aircraft, training, and practice in the takeoff and landing events of the operator’s approved training program must be conducted in an aircraft; the remainder of the training may be conducted in a full flight simulator (FFS).
2)    For proficiency check pilot/line check pilot—aircraft, training in-flight in an aircraft supervising normal takeoffs and landings from either pilot seat. The operator must ensure that the check pilot candidate is thoroughly trained in second‑in‑command (SIC) functions and capable of accomplishing them competently, while supervising and evaluating a new pilot in command (PIC).
3)    Guidelines and safety measures for emergency situations likely to develop in conducting the required normal, abnormal, and emergency procedures in an aircraft.
4)    The consequences of improper or untimely safety measures.

C.    Flight Training – Flight Instructor, Check Pilot, and Check FE Who Conduct Training or Checking in an FSTD. Flight training for any flight instructor, check pilot, or check FE who conducts training or checking in an FSTD must include:

Indicates new/changed information.
1)    Training and practice in conducting instruction and/or checks in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight instruction and/or checks required by part 121. This training and practice must be accomplished in an FSTD.
Indicates new/changed information.
2)    Training in the operation of each kind of FSTD to be used to ensure competence to conduct the flight instruction and/or checks required by part 121.

D.    Flight Training—FE Flight Instructors. Flight training must include:

1)    Enough flight training and practice to ensure the instructor’s competency. Normal, abnormal, and emergency procedures must be covered. For an FE flight instructor, flight training may be completed entirely in an FSTD.
2)    Guidelines and safety measures for emergency situations likely to develop in conducting the required normal, abnormal, and emergency procedures in an aircraft and in an FSTD, as appropriate.
3)    Consequences of improper or untimely safety measures.

E.    Credit for Check Pilot or Check FE Training—Multiple Operators.

1)    A POI may approve a check pilot or check FE to serve more than one operator. The POI can determine whether equivalent training completed with one operator may be credited toward the check pilot or check FE training requirement for another operator. Creditable training may include parts of ground training and flight training. For example, a check pilot or check FE might be eligible for training credit under the following conditions:

·    Employed as a training center evaluator by a training center;

Indicates new/changed information.

·    Regularly performing proficiency checks; and

·    Using the same procedures for all operators.

2)    When procedures, aircraft, or types of operations differ, the POI must require that the check pilot or check FE candidate (for service with an additional operator) complete appropriate additional training. Appropriate additional training must address differences, and may comprise entire curriculum segments.
Indicates new/changed information.

RESERVED. Paragraphs 3‑1479 through 3‑1495.




VOLUME 3  General technical Administration

chapter 20  Check AIRMAN, instructor, and supervisor programs for TITLE 14 cfr part 121 AND 135 certificate holders

Indicates new/changed information.

Section 5  General—Part 135 Certificate Holders

Indicates new/changed information.

3-20-5-1   OBJECTIVE. This guidance specifically applies to check pilots and instructors within the training environment and as defined by Title 14 of the Code of Federal Regulations (14 CFR) part 135, §§ 135.321, 135.337, 135.338, 135.339, and 135.340. This guidance provides inspectors with information related to instructors, check pilots, and supervisor programs related to part 135 certificate holders.

3-20-5-3   INTRODUCTION. Sections 5 through 7 contain guidance concerning check pilots, air transportation instructors, and supervisor programs for part 135 certificate holders.

A.    Section 5. This section addresses the roles and purposes of check pilots, air transportation flight instructors, and air transportation ground instructors and supervisors. Also in this section are regulatory requirements, qualifications, and functional responsibilities.

B.    Section 6. This section addresses Federal Aviation Administration (FAA) approval and surveillance of part 135 check pilots.

C.    Section 7. This section addresses training requirements for part 135 check pilots and air transportation flight instructors.

3-20-5-5   REGULATORY REQUIREMENTS.

A.    Qualification and Training Requirements for Part 135 Certificate Holders.

1)    Section 135.323(a)(2) requires certificate holders to provide enough qualified ground instructors to conduct the ground training required by part 135.
2)    Section 135.323(a)(4) requires certificate holders to provide enough flight instructors and check pilots to conduct the flight training and flight checks required by part 135.
3)    Section 135.323(c) specifies that each instructor, supervisor, or check pilot responsible for a particular training subject or curriculum segment (including ground and flight training segments and flight checks or competency checks) shall certify as to the proficiency and knowledge of the individuals upon completion of that training or check.
4)    Section 135.324 specifies that each check pilot, air transportation ground instructor, or air transportation flight instructor must be working for, and under the direct operational control of, the certificate holder, another part 135 certificate holder, or a 14 CFR part 142 training center.
5)    Sections 135.337 and 135.339 specify the qualification and training requirements for check pilots (see Figure 3-20-5A).
6)    Sections 135.338 and 135.340 specify the qualification and training requirements for flight instructors (see Figure 3-20-5A).
Indicates new/changed information.

Figure 3-20-5A.    Qualification and Training Requirements for Check Pilots and Flight Instructors

Figure 3-20-5A. Qualification and Training Requirements for Check Pilots and Flight instructors.


3-20-5-7   DEFINITIONS. For purposes of standardization, the following definitions apply to check pilots, air transportation flight and ground instructors, and supervisors.

A.    Check Pilot/Check Airman. A check pilot is an airman approved by the FAA who has the appropriate knowledge, training, experience, and demonstrated ability to evaluate and to certify the knowledge and skills of other pilots.

NOTE:  The new terms “check pilot” and “check Flight Engineer (FE)” are replacing the older term “check airman” in regulations and guidance, and are synonymous with “check airman.”

B.    Air Transportation Flight Instructor. An air transportation flight instructor is an airman (designated by a part 135 certificate holder) who has the appropriate knowledge, training, experience, and demonstrated ability to instruct other flightcrew members in a flight training segment (curriculum segment) of that certificate holder’s training program.

NOTE:  An air transportation flight instructor is not required to hold an FAA Flight Instructor Certificate when instructing in part 135 training programs.

C.    Air Transportation Ground Instructor. An air transportation ground instructor is a person selected and qualified by a part 135 certificate holder who has the appropriate knowledge, experience, training, and demonstrated ability to instruct crewmembers or aircraft dispatchers in curriculum segments other than flight training.

NOTE:  An air transportation ground instructor is not required to hold an FAA Flight Instructor Certificate or FAA Ground Instructor Certificate when instructing in part 135 training programs.

D.    Supervisor. For purposes of this section, a supervisor is an individual employed by a part 135 certificate holder who is authorized by that certificate holder to conduct testing for flight attendants (F/A).

3-20-5-9   CHECK PILOT ROLES AND CHARACTERISTICS. The role of the check pilot is to ensure that the flightcrew member has met competency standards before the check pilot releases the flightcrew member from training and to ensure that the flightcrew member maintains those standards while remaining in line service. Effective training and use of check pilots by a certificate holder ensures that flightcrew members are standardized in their job performance. A check pilot must be knowledgeable in the applicable requirements of 14 CFR parts 61, 91, 110, 119, and 135; other applicable FAA policies; safe operating practices; and the certificate holder’s policies and procedures. Once approved, the check pilot’s manner and professional reputation should always reflect positively upon the employer and the FAA.

NOTE:  Under current regulations, there is no specified normal term of expiration for approvals of check pilots. At his or her discretion, the principal operations inspector (POI) may grant, limit, or withdraw a check pilot’s approval.

3-20-5-11  CLASSIFICATIONS AND FUNCTIONS OF CHECK PILOTS.

A.    Check Pilot Categories. Qualification and training are established by the regulatory requirements of §§ 135.337 and 135.339 and are specific to the categories of the check pilots. The regulations organize check pilots into two categories with specific qualification requirements for each. The categories of check pilots are:

·    Check Pilot—Aircraft, and

·    Check Pilot—Simulator.

B.    Functions. The specific functions for which a check pilot may be authorized are not defined by part 135 to allow for flexibility during the issuance of check pilot approvals. The available check pilot approvals are:

1)    Check Pilot—Aircraft.
a)    Section 135.293 competency check and § 135.297 proficiency check, with an optional § 135.293(a)(1) and (4) through (8) written or oral test for multiple aircraft.
b)    Section 135.299 line check and § 135.244 Operating Experience (OE), if applicable, observer’s seat only or all seats (left, right, observer’s), with optional § 135.293(a) written or oral test and/or § 135.293(a)(1) and (4) through (8) written or oral test for multiple aircraft.
2)    Check Pilot—Simulator. Section 135.293 competency check and § 135.297 proficiency check, with an optional § 135.293(a)(1) and (4) through (8) written or oral test for multiple aircraft.
3)    All Check Pilots.
a)     Special checks conducted as a qualification curriculum segment of the certificate holder’s training program, provided the check pilot is qualified in the specific activity for which he or she is conducting the special check (such as Category (CAT) II and CAT III operations).
b)    Training and checking in special operations as a module of the certificate holder’s approved training program, provided that the check pilot is qualified in the specific operations for which he or she is conducting training or checking (special airports or international routes).

3-20-5-13  AIR TRANSPORTATION INSTRUCTOR ROLE AND CHARACTERISTICS. An air transportation instructor is a person employed by a certificate holder for the purpose of training crewmembers in a part 135 certificate holder’s approved training program. Air transportation instructors must be knowledgeable in the applicable requirements of parts 61, 91, 110, 119, and 135; other applicable FAA policies; safe operating practices; and the certificate holder’s policies and procedures. An air transportation instructor should possess effective communication skills and a manner that always reflects professionalism and a positive attitude toward safety.

3-20-5-15  AIR TRANSPORTATION FLIGHT INSTRUCTORS. An air transportation flight instructor (aircraft) may conduct flight training in aircraft or a flight simulation training device (FSTD). An air transportation flight instructor (simulator) may conduct flight training only in an FSTD.

A.    Qualifications and Training. For initial and continuing authorization as a flight instructor (aircraft or simulator), an airman must meet the qualification and training requirements found in §§ 135.338 and 135.340 as applicable to the instructor functions requested.

B.    Authorized Activities. An air transportation flight instructor (aircraft or simulator), when authorized by the certificate holder, may conduct the following flight instruction activities when properly trained for the function. Instructors may provide:

1)    Flight instruction in the certificate holder’s approved training program.
2)    Certification of the satisfactory proficiency and knowledge of flightcrew members after completion of a flight training curriculum segment or flight training module.

3-20-5-17  AIR TRANSPORTATION GROUND INSTRUCTOR.

A.    Training and Qualification. An individual must meet the certificate holder’s training and qualification requirements to conduct ground instruction.

B.    Authorized Activities. An air transportation ground instructor, when qualified and authorized by the certificate holder, may conduct the following:

1)    Ground instruction in the certificate holder’s approved training program.
2)    Certification of the satisfactory proficiency and knowledge of crewmembers and aircraft dispatchers after completion of a ground training curriculum segment or module.

C.    Training and Qualification Records. The certificate holder must maintain documentation of the training and qualification for each air transportation ground instructor, and must make that documentation available for inspection by the FAA upon request.

3-20-5-19  SUPERVISOR ROLE AND CHARACTERISTICS. The role of the supervisor is to ensure that the F/A meets the competency standards by demonstrating knowledge and ability in the training subjects required by part 135. A supervisor must be knowledgeable in the applicable requirements of parts 91, 110, 119, and 135; other applicable FAA policies; safe operating practices; and the certificate holder’s policies and procedures.

A.    Training and Qualification. An air carrier operating under part 135 engaged in passenger‑carrying operations may be required or desire to establish and maintain a program to train and qualify F/A supervisors. An individual must successfully complete the appropriate training curriculum and testing to qualify as an F/A supervisor. To maintain qualification, F/A supervisors must successfully complete recurrent training and testing.

B.    Authorized Activities. An F/A supervisor, when qualified and authorized by the certificate holder, may conduct the following:

1)    Initial and recurrent F/A testing.
2)    Certification of the satisfactory proficiency and knowledge of F/As after completion of testing.

C.    Training and Qualification Records. The certificate holder must maintain documentation of the training and qualification for each F/A supervisor, and must make that documentation available for inspection by the FAA upon request.

3-20-5-21 through 3-20-5-35 RESERVED.




VOLUME 3  GENERAL TECHNICAL ADMINISTRATION

CHAPTER 20  CHECK AIRMAN, INSTRUCTOR, AND SUPERVISOR PROGRAMS FOR TITLE 14 CFR PART 121 AND 135 CERTIFICATE HOLDERS

Indicates new/changed information.

Section 6  Part 135 Check Pilot Approval and Surveillance

3-20-6-1   OBJECTIVE. This section establishes Federal Aviation Administration (FAA) procedures for the approval and surveillance of check pilots. All check pilots must be approved by an operator’s principal operations inspector (POI). The check pilot approval process follows the five phases described in this section.

3-20-6-3   APPROVAL BASIS. Approval is based on a candidate:

·    Satisfying the qualifications and training requirements found in Title 14 of the Code of Federal Regulations (14 CFR) part 135;

·    Having the proper certificates and ratings;

·    Being qualified in accordance with the operator’s approved initial, transition, or upgrade training program;

·    Having completed the operator’s approved check pilot training program for the appropriate check functions; and

·    Having demonstrated the ability to conduct a check and to evaluate the performance of flightcrew members to the satisfaction of an FAA inspector.

Indicates new/changed information.

3-20-6-5   PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) CODES.

·    Approve Check Pilot: 1346.

·    Remove Check Pilot: 1359.

·    Check Pilot Observation—Proficiency Check Oral or Part 135, § 135.293(a) Knowledge Test: 1641.

·    Check Pilot Observation—Proficiency or Competency Check (Simulator): 1642.

·    Check Pilot Observation—Proficiency or Competency Check § 135.293(b) or § 135.297 (Aircraft): 1643.

·    Check Pilot Observation—Line Check § 135.299: 1644.

·    Check Pilot Observation—Operating Experience (OE): 1645.

Indicates new/changed information.

3-20-6-7   PHASE ONE—OPERATOR FAMILIARIZATION WITH REQUIREMENTS AND LETTER OF REQUEST.

A.    Beginning the Approval Process. The first phase of the check pilot approval process involves a discussion between the operator and the POI. The POI should ensure that the operator understands the regulatory check pilot training requirements and that a candidate must satisfactorily demonstrate the ability to perform check functions to an FAA inspector before approval. The POI should also ensure that the operator is prepared to submit the necessary documentation to initiate the approval process, which is as follows.

B.    Required Information. The letter of request constitutes the operator’s nomination. It originates from the operator, not a training center, candidate, or some other party. It includes:

·    The candidate’s name;

·    Business address;

·    Applicable Airman Certificate number;

·    Current flightcrew member position;

·    Requested check pilot classification and functions;

·    Aircraft type(s);

·    Brief résumé of the candidate’s aviation background and experience; and

·    Copies of the candidate’s training records, including his or her initial, transition, or upgrade training in requested aircraft type; most recent applicable recurrent training; and check pilot training.

NOTE:  See paragraph 3-20-6-33, Affidavit Use, for additional training record options. Applicable only to contract check pilots associated with 14 CFR part 142 training centers.

NOTE:  A POI may require that this information be expanded for unique circumstances.

3-20-6-9   PHASE TWO—SUBMISSION OF DOCUMENTATION. Phase two begins when the operator submits the documentation listed in paragraph 3‑20-6-7 to the POI for evaluation. The operator may transmit this submission by conventional mail, email, fax, or by other means mutually acceptable to the operator and the POI. The POI will initially review the information to determine if the candidate meets the basic qualification requirements for the classification of check pilot approval sought (see Volume 3, Chapter 20, Section 5.)

A.    Unacceptable Submission. If the operator’s submission is unacceptable, the POI should return the submitted documentation with a letter defining the reason for non-acceptance.

B.    Acceptable Submission. If the operator’s submission is acceptable, the POI should initiate phase three.

3-20-6-11  PHASE THREE—REVIEW OF DOCUMENTATION.

A.    Verification. The POI will verify the candidate’s certificates and background using the enhanced Vital Information Database (eVID), the Safety Performance Analysis System (SPAS), PTRS, other sources, and local office procedures. The POI will then create a file for the individual in the check airman section of eVID.

NOTE:  Creation of the eVID file at this point in the process will allow for documentation of subsequent action regarding the individual without having the records rejected. During the upload/download process, check pilot surveillance records are cross‑checked (last name and certificate number) against the check airman ancillary file in the eVID file for the operator.

B.    Training Requirements and Considerations. Before the POI can evaluate a candidate for approval as a check pilot, all required training must be completed. The candidate’s training records must show satisfactory completion of initial, transition, or upgrade training and all training required under the operator’s approved check pilot training program for the specified classification and functions requested. The approved training program must contain all training required by §§ 135.337 and 135.339 that is applicable to the approval being sought.

C.    Check Pilot Expansion of Approved Functions. Check pilot training requirements are identified in § 135.339. When additional check pilot functions are requested, the operator must ensure the respective check pilot training is completed.

D.    Nonqualification. If after reviewing the documentation the POI determines that the candidate does not qualify as a check pilot, the POI will provide the operator with a statement identifying the reason for nonqualification.

3-20-6-13  PHASE FOUR—CHECK PILOT EVALUATION GENERAL. In order to evaluate a candidate effectively, inspectors must become thoroughly familiar with the operator’s procedures. Inspectors must also become familiar with any special regulatory requirements affecting the operator, such as special conditions contained in the operations specifications (OpSpecs) and exemptions.

A.    Choosing Airmen as Subjects. The inspector conducting an evaluation for an original check pilot approval must observe the candidate conducting an actual check. The purpose of the evaluation is to ensure that the candidate has achieved the required skills for briefing, evaluating, and debriefing a flightcrew member. The flightcrew member receiving the check should be a line flightcrew member who is due for an evaluation. The flightcrew member will not be an instructor or check pilot, unless previous approval has been received from the POI. Such approval is reserved for unusual circumstances.

B.    Candidate’s Flying Skills. Except for an initial cadre approval, an evaluation does not entail an evaluation of the candidate’s flying skills in a flightcrew member duty position. An operator should not request approval of an individual as a check pilot when there is any question about the individual’s flying skills in a flightcrew member duty position. Should the POI have reason to question a candidate’s proficiency, the evaluation will not be conducted until the candidate’s proficiency is verified. An acceptable way to verify the candidate’s proficiency is to check the candidate. An inspector may conduct a proficiency check, a competency check, or a line check of the candidate, scheduled at some time before the official evaluation. (Such checks are not routinely required.)

C.    Satisfactory Evaluation. If the inspector determines that a candidate meets criteria for the requested approval, the inspector will inform the candidate that a recommendation of approval will be reported to the POI. In this case, the candidate will certify the proficiency of the flightcrew member receiving the check and complete the necessary recordkeeping tasks. The POI may permit the new check pilot to be scheduled immediately as a check pilot, even though processing of the letter of approval has not been completed, provided that a PTRS entry has been completed to document the satisfactory evaluation.

D.    Unsatisfactory Evaluation.

1)    If the inspector determines a candidate does not qualify for the requested approval, the inspector will inform the candidate that approval will not be granted. In such a case, the inspector must determine whether the flightcrew member receiving the check performed satisfactorily, and must certify the flightcrew member’s proficiency and complete the necessary records.
2)    The failure of a candidate is uncommon and usually ends a candidate’s eligibility for check pilot status. In rare circumstances, the POI may allow a reevaluation. In such a case, the operator must conduct sufficient additional training, recertify the candidate’s proficiency, and arrange to have another evaluation conducted by an FAA inspector.

3-20-6-15  PHASE FIVE—CHECK PILOT APPROVAL. All check pilots approved for part 135 operations must be approved by the operator’s POI.

A.    Check Pilot Letter of Approval. All check pilots approved to conduct part 135 checks must be approved by the operator’s POI. Approval of a check pilot will be in the form of a letter of approval found in Figure 3-20-6B, Sample Check Pilot Letter of Approval, addressed to a responsible official of the operator, and signed by the POI or a representative approved by the POI. This letter of approval may be transmitted to the operator by conventional mail, email, fax, or by other means acceptable to the operator and the POI. The certificate-holding district office (CHDO) must retain a copy of the check pilot letter of approval together with the operator’s original letter of nomination for the candidate.

B.    Check Pilot Approval Renewal Requirements. Regulations do not require renewal or a term of expiration for the approvals of check pilots. However, check pilots must continue to demonstrate competency and ability in those functions authorized. Since check pilot oversight requirements have defined intervals, the need to reissue approvals is unwarranted, inefficient, and thus not required. Inspectors make performance assessments of the check pilot on an ongoing basis and address deficiencies as needed. Check pilots are selected, appointed, and trained to serve the needs of the operator to meet regulatory requirements to augment the FAA’s safety mission. Therefore, a check pilot’s approval may be given, limited, or withdrawn at the discretion of the POI for any reason considered appropriate by the Administrator. Check pilots who are performing poorly as a check pilot or as a pilot in line operations, or require excessive resources to manage may have their approval withdrawn to ensure continued effectiveness of the check pilot program. The check pilot letter of approval must contain the following (see Figure 3‑20-6B):

·    Name and certificate number of the operator for which the approval is granted;

·    Check pilot’s name and applicable FAA Airman Certificate number;

·    Approved check pilot classification;

·    Specified category, class, or type of aircraft;

·    Authorizations and limitations; and

·    Effective date of each approval. (Since different approvals may occur at different times, this information simplifies record checks. The date on which the check pilot was recommended for approval by an inspector will be the effective date of approval.)

C.    Letter of Approval—Other Copies.

1)    The original letter of approval will be sent to the operator for which the check pilot has been approved.
2)    A copy of the letter of approval will be retained in the POI’s files, together with the operator’s original letter of request for the check pilot. Additional documentation submitted with the letter of request must also be retained if it is not accessible in an FAA database. The file must be maintained in the FAA office files of the overseeing inspector until 2 years after the approval is withdrawn or superseded.
3)    When the individual is a training center instructor or Training Center Evaluator (TCE) who is being approved to evaluate an operator’s personnel, and if the POI anticipates requesting assistance from the Training Center Program Manager (TCPM) with check pilot surveillance and oversight, a copy of the letter of approval may be forwarded to that TCPM for inclusion in his or her records.

D.    PTRS and eVID. PTRS and eVID entries are required whenever there is a change in the approval status of the check pilot. The POI must ensure that a record of the initial approval or when additional functions are added, a PTRS is completed. Each time an approval is given or withdrawn, the POI must ensure that the check pilot eVID file reflects the classification of check pilot and approved functions.

1)    Recording Check Pilot Functions in the eVID. Check the following boxes in the eVID Configuration Check Airman Information Panel (see Table 3-20-6A, Configuration Check Airman Information Panel). In addition, add comments in eVID when optional functions are approved.

Table 3-20-6A. Configuration Check Airman Information Panel

eVID Selection Options

Check corresponding eVID box when authorized

Pilot-All Checks

§ 135.293, § 135.297, § 135.299 checks

Pilot-Proficiency Aircraft

§ 135.293, § 135.297–Aircraft

Pilot-Proficiency Simulator

§ 135.293, § 135.297–Simulator

Pilot Line All Seats

§ 135.299–when authorized in all seats

Pilot Line Observers (Jump) Seat Only

§ 135.299–when limited to observer seat only

2)    Issuing Functions. Comment entries:
a)    When issuing functions that allow § 135.293(a)(1) and (4) through (8) written or oral tests for other multiple aircraft (applicable for all check pilots types), enter a comment in eVID as follows:
“§ 135.293(a)(1) and (4) through (8) multiple aircraft, (list aircraft type(s)).”
b)    When issuing functions that allow § 135.293(a) written or oral tests (applicable only to line check pilots), enter a comment in eVID as follows: “§ 135.293(a) written or oral tests, (list aircraft type(s)).
3)    Initial Approval and/or Additional Functions. When the POI determines the initial approval of the check pilot or adds additional functions, it must be recorded in the PTRS using code 1346.

3-20-6-17  PREVIOUSLY ISSUED LETTERS OF APPROVAL. Previously issued letters of approval will remain in effect until replaced. All approval letters must be updated with the format found in this order within 24 months of August 3, 2015. Approval letters for contract check pilots do not need to be updated at this time.

3-20-6-19  APPROVAL OF INITIAL CADRE CHECK PILOTS. During the early phases of establishing a check pilot program, initial cadre check pilots are required. Initial cadre check pilot candidates must first become fully qualified as flightcrew members and then be trained, evaluated, and approved as check pilots. Because the regulatory language of part 135 does not address a training process for initial cadre check pilots, this section provides guidance. This process that follows is valuable for startup operations for at least two reasons:

·    It is a practical way to initiate and build a check pilot program; and

·    It takes advantage of proving flights, when the operator/applicant is under close FAA scrutiny, with desirable effects on the check pilot program.

A.    Letter of Request from Operator. The overseeing inspector must arrange with the operator/applicant to approve one or more likely candidates to form an initial cadre of temporary check pilots. The operator/applicant will submit a letter of request, as described earlier in this section. This letter comprises the request for initial cadre check pilots and a description of the training that they will undergo.

B.    Letter of Approval. The POI must approve the candidates using procedures described earlier in this section. The initial cadre letter of approval is a temporary approval, to be replaced with a permanent letter of approval after the check pilot is fully qualified. The initial cadre letter must contain a statement similar to the following:

(Name) is approved as an initial cadre check pilot with the following functions for the purpose of initiating operations with the (type of aircraft) for (name or operator). This approval expires on (expiration date).

C.    Training, Certification, and Qualification—Startup. The operator must provide a full qualification process for its initial cadre check pilots.

D.    Initial Training and Certification. The operator must first arrange to have initial cadre check pilots trained and appropriately certificated for their flightcrew member duty positions. The operator may provide the training by contracting with a manufacturer, with another operator of the same 14 CFR operating part, or with properly qualified individuals. An inspector or an aircrew program designee (APD) designated examiner may certificate the initial cadre, provided that the examiner is employed by a U.S. air carrier/operator.

E.    Gaining Proficiency as Instructors. After the initial training and certification, initial cadre check pilots must become proficient in the operator’s proposed training program by instructing each other, or in the case of a single initial cadre check pilot, by self‑training. 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.

F.    Proficiency and Competency Checks. After the first initial cadre check pilots have become proficient as instructors, they may then begin the training and checking of other initial cadre check pilots in accordance with the operator’s initially approved flight training and qualification curriculum segments. Each check must be observed by an FAA inspector who holds the appropriate Airman Certificate, and the appropriate type rating, when applicable. If the inspector determines that the performance of an initial cadre check pilot conducting a certain check is satisfactory, the inspector will recommend to the overseeing inspector that the candidate be approved as an initial cadre check pilot for that type of check. One initial cadre check pilot may check another, with the process repeated until each candidate has been approved as an initial cadre check pilot or has been terminated from the program. If only one person is being considered to be the initial cadre check pilot an inspector will observe that person conducting a check of another flightcrew member. If the candidate’s performance is satisfactory, the inspector must recommend to the POI that the candidate be removed from temporary status and approved for full‑time check pilot duty with the operator.

G.    OE.

1)    Initial cadre check pilots will be permitted to acquire OE flight hours on any flight that can be credited toward the proving test flight‑hour requirement (including training flights, ferry flights, and representative en route proving flights). OE flight hours may be accrued by initial cadre check pilots while they are:

·    Conducting aircraft checks,

·    Overseeing the OE of other flightcrew members,

·    Being checked, or

·    Acquiring OE under the supervision of other initial cadre check pilots.

2)    Initial cadre check pilots must receive a line check and conduct a line check during an en route proving flight or a ferry flight. The same process (see above) will apply: one initial cadre check pilot line checks another while being observed by an FAA inspector. If the check pilot’s performance is satisfactory, the inspector may recommend that the person be removed from temporary status and approved for full‑time duty as a check pilot for the operator. If there is only one initial cadre check pilot, then the FAA inspector will conduct the line check.

3-20-6-21  APPROVAL OF A CHECK PILOT IN MULTIPLE AIRCRAFT. Before a candidate may be approved as a check pilot in more than one type of aircraft, the operator must show that there is a need. The candidate must be fully qualified and current in each of the aircraft types. Overseeing inspectors must be judicious in approving check pilots and vigilant in overseeing their performance. There are various acceptable combinations of check pilot approvals.

A.    All Single‑Engine, Normal, or Commuter Category Airplanes. A check pilot may be approved to serve in all single‑engine, normal, or commuter category airplanes that an operator operates under part 135.

B.    Helicopters. A check pilot may be approved to serve in two different types of helicopters.

C.    More Than One Aircraft Family. A check pilot may be approved to serve in a combination of two of the following aircraft families:

·    One series of multiengine, normal, or commuter category airplanes;

·    Single‑engine, normal, or commuter category airplanes; or

·    Helicopters.

D.    More Than One Commuter or Transport Category Aircraft Type. Before a candidate may be approved as a check pilot—aircraft, in two commuter category aircraft types or two transport category types, the overseeing inspectors must ensure that the following conditions are met:

1)    Check pilots with § 135.293 or § 135.297 authority. The candidate must have logged at least 500 hours as pilot in command (PIC) in each type.
2)    Check pilot with only § 135.299 authority—all seats. The candidate must have logged at least 100 hours as PIC in each type and at least 1,000 hours as PIC in transport or commuter category airplanes.

3-20-6-23  APPROVAL OF A CHECK PILOT OR FOR MULTIPLE OPERATORS. This paragraph provides a standardized method for approving a check pilot to serve multiple operators. When the following considerations are satisfied a letter of approval may be issued by the certificate holders POI. Only one certificate holder may be listed on a check pilot’s letter of approval.

A.    Limitations. The approval of a check pilot to serve more than one operator is limited to those cases in which the operator’s aircraft, aircraft operating manuals, procedures, and checklists are compatible in the judgment of the overseeing inspector(s).

B.    Multiple Check Pilot Approvals. Provision for multiple check pilot approvals may be made for part 135 single‑pilot operators, part 135 single PIC operators, and part 135 operators with programs that are compatible, in the judgment of the respective operator’s POI.

C.    Temporary Check Pilot Approval. An operator’s POI may also approve a check pilot on a temporary basis, when a startup operation is initiated or when new equipment is being introduced.

D.    Other Situations. Other multiple approvals may be made with the concurrence of the regional Flight Standards division (RFSD) when justified.

E.    Unique Situations. For unique situations FAA Air Transportation Division (AFS‑200) may be consulted for additional information.

3-20-6-25  TRAINING CENTER INSTRUCTORS/EVALUATORS APPROVED BY AN OPERATOR’S POI AS CONTRACT CHECK PILOTS. Training centers have made flight simulation training device (FSTD) training and checking available to a broad range of aviation users, including operators with smaller fleets and smaller aircraft. With the approval of an operator’s POI, an employee of a part 142 training center may serve one or more operators as a contract check pilot. The guidance contained in this paragraph applies to training center personnel who have been requested to serve as such contract check pilots.

A.    POI Approves the Check Pilot Candidate. Only the POI may approve a check pilot for use in an operator’s training program. Normal procedures apply, including a letter of request from the operator, and a letter of approval from the operator’s POI.

B.    TCPM Role. Without diminishing the responsibility or authority of the POI, experience has shown that the TCPM may be in the best position to make quality assessments at training centers on behalf of the Administrator. The TCPM continually assesses training programs conducted by a training center for certification of airmen under 14 CFR part 61. Similarly, the TCPM assesses the instructors and TCEs employed by a training center. At the request of an operator’s POI, a training center’s TCPM may therefore assist with the evaluation of an operator’s request to use the services of a center’s employee as a contract check pilot.

C.    Scheduling Multiple Use Check Pilots and Maintaining Check Pilot Status. Before a multiple‑use approval is made, the overseeing inspector must ensure that the operators understand that the scheduling and use of the check pilot is their responsibility. An operator entering into a multiple‑use arrangement may employ a check pilot on a part‑time basis, may contract with another operator or training center to provide a check pilot, or may contract directly with the check pilot.

NOTE:  Each operator is responsible for ensuring that the check pilot maintains currency as specified in the appropriate operating rule, and in Volume 3, Chapter 20, Section 5, and that he or she performs adequately when serving the operator.

D.    Issuing Additional Letters of Approval. An operator seeking check pilot approval for an individual who is serving as a check pilot for another operator must provide the necessary information to its POI. The operator’s POI must consider the means the operator will use to train, to qualify, and to maintain qualification of the contract check pilot candidate and the documentation that will be required. Contract check pilots may be able to meet recurrent training requirements for more than one operator simultaneously. When the operator and the POI have agreed on the training and qualification necessary for the contract check pilot the operator must submit a written letter of request to the POI, as described earlier in this section. When the second or subsequent POI approves the individual as a contract check pilot for his/her operator, that POI will issue an additional letter of approval following the procedures described above. Additionally, if the subject check pilot is an employee of a part 142 training center, the POI will forward a copy of the new approval letter to the center’s TCPM.

E.    Primary Oversight Responsibility. Each operator for which an individual is approved as check pilot along with the operator’s POI, has responsibility for oversight of the contract check pilot. When the check pilot is employed by a training center, the FAA TCPM may provide assistance as requested by the POI with this responsibility. Any POI who has issued a letter of approval to the check pilot may, however, conduct surveillance activities at any time.

F.    Contract Check Pilot or Letter of Approval. When approved as a contract check pilot for an operator, the POI of that operator will issue a letter of approval showing the operator, the check pilot classification, the type(s) of aircraft authorized, and the type(s) of checks authorized (by regulatory reference). A sample contract check pilot letter of approval is provided on the FAA Air Carrier Training Systems and Voluntary Safety Programs Branch’s (AFS‑280) Web site at: http://www.faa.gov/pilots/training/part_142/media/check_pilot_loa.doc.

G.    Recordkeeping. Each operator is required by their operating rules to maintain training and qualification records for their check pilots. This responsibility cannot be delegated. However, by agreement between the operator and the training center, a training center may keep a contract check pilot’s training and qualification records. This agreement must be documented in each operator’s recordkeeping system and approved by the POI. The POI must maintain a record in the operator’s file that documents the details of any such arrangement, including the location in the operator’s manual where such arrangement is described.

3-20-6-27  FLIGHTCREW MEMBER FAILURE RATES. The repetitive failure of a single flightcrew member or the failure of several flightcrew members during proficiency or competency checks, may indicate a training program deficiency. Overseeing inspectors must establish procedures with their certificate holders that provide for FAA notification when flightcrew member unsatisfactory performance occurs. Identified deficiencies should be promptly investigated and corrective action taken.

3-20-6-29  OVERSIGHT OF CHECK PILOTS. Responsible inspectors must establish a surveillance program for each check pilot at the time of approval.

A.    Biennial Check Pilot Observation.

1)    Observation of Approved Checking Activity or Supervising OE. The surveillance program for each office must include an observation by an FAA inspector or APD of each approved check pilot in his or her area of responsibility at least once every 24 months. Check pilot observations should be conducted while the check pilot is conducting an approved checking activity or supervising OE. For example, a check pilot approved to conduct proficiency checks, line checks, and supervision of OE, should be observed conducting a proficiency check in the aircraft or FSTD, conducting a line check, or supervising OE. At the discretion of the POI, an observation conducted by another inspector or by a TCPM for a check under the same rule part need not be repeated. It is the responsibility of the operator to maintain records showing that this observation has been completed. See paragraph 3-20-6-31, Check Pilot Oversight and Surveillance, for additional details regarding the 24-month observation required by § 135.339.
2)    Constraints of Aircraft with Two Pilot Seats. Inspectors may encounter difficulties in conducting the surveillance of check pilots whose activities are restricted to two‑place airplanes or helicopters. In such cases, it may not be possible for an inspector to observe the check pilot conducting actual checks. In lieu of these observations, the POI may review the check pilot’s activities and arrange for an inspector to administer the check pilot’s competency and line checks.

B.    Periodic Report by the Operator. The POI should arrange to have the operator provide the POI with a periodic report of each check pilot’s activities, including a pass/fail rate, to coincide with the POI’s periodic review (annual, semiannual, or other). A POI may arrange for these reports to arrive at a time that meets the POI’s needs. A check pilot should be active enough to retain the required knowledge and skills. This activity level may vary depending on the check pilot function, the size of the operator, and the number of approved check pilots. The POI should specifically reassess the operator’s need for those check pilots whose records indicate low activity levels or when deficiencies are observed when performing authorized functions.

C.    Withdrawing Check Pilot Approval. The POI’s reasons for withdrawing the approval of a check pilot may include a lack of check pilot activity, a request by the operator, or an unsatisfactory performance on the part of the check pilot. To withdraw approval of a check pilot, the POI must notify the operator by letter that approval is withdrawn. The letter should include the name of the check pilot, the effective date of withdrawal, and the reason approval is being withdrawn. If the approval of a check pilot is withdrawn because of unsatisfactory performance, the letter of withdrawal must be sent to the operator by certified mail—return receipt requested. The POI must make a PTRS entry identifying the reason for the withdrawal or termination of a check pilot’s letter of approval.

NOTE:  Under current regulations, no normal term of expiration is specified for approvals of check pilots. Contract check pilots who are employees of a part 142 training center will have their term contingent upon continued employment with the training center and maintaining their instructor or evaluator qualification with the employing center.

D.    POI Authority. A check pilot’s approval may be given, limited, withdrawn, or terminated at the discretion of the POI.

3-20-6-31  CHECK PILOT OVERSIGHT AND SURVEILLANCE. This paragraph will explain the surveillance methods available to inspectors as well as general oversight considerations.

A.    Elements of a Check Pilot Evaluation. Maintaining an accurate surveillance records in the Enhanced Flight Standards Automation System (eFSAS) is crucial to long term management of individual check pilots.

B.    Surveillance Event Types. Inspector surveillance events are described below.

1)    Check Pilot Observation. Refer to § 135.339(a)(2). This observation conducted by the FAA or APD is to determine if the check pilot has the ability to perform the function(s) authorized in accordance with the operator’s training program and regulatory requirements. Use PTRS activity codes 1641–1645.
2)    Records Review. Records review is an administrative function that allows the POI to review the quality of the records submitted by the check pilot, whether paper or electronic.
3)    Check Pilot Interaction. This is a record of any interaction that has occurred with the check pilot that the POI deems relevant enough to include in the check pilot’s file.

C.    Check Pilot Observations. Section 135.339(a)(2) requires that check pilots are observed by an inspector or an Aircrew Designated Examiner (ADE) within the preceding 24 calendar‑months. Check pilots are required to be observed conducting the applicable proficiency or competency checks in addition to optional functions that are issued. The observation check required by § 135.339(a)(2) is considered to have been completed in the month required if completed in the calendar‑month before, or the calendar‑month after, the month in which it is due. If the observation check is not conducted, the individual may no longer serve as a check pilot.

D.    Check Pilot with Optional Function Approval(s). The following oversight applies to the content of the inspector’s evaluation of the check pilot when additional functions have been approved. The content of the evaluation is dependent upon the approval(s) requested.

1)    Written or Oral Test Approval (available to § 135.299 check pilots only). As part of the § 135.339 observation check, an inspector must evaluate the candidate while the candidate conducts a complete written/oral test required by § 135.293(a).
2)    Written or Oral Test Multiple Aircraft Approval (available to all check pilots except contract check pilots). As part of the § 135.339 observation check, an inspector must evaluate the check pilot conducting an oral/written test required by § 135.293(a)(1) and (4) through (8) as authorized in their approval letter.

E.    Check Pilot Performance Measures. The performance measures below have been established to aid in the consistent evaluation of all check pilots. The three categories of performance measures are technical, procedural, and professional (see Figure 3-20‑6A, Performance Measure Consolidation). The type of oversight activities conducted will determine the performance measure attributes considered by the inspector.

Figure 3-20-6A.  Performance Measure Consolidation

Figure 3-20-6A. Performance Measure Consolidation

1)    Technical. The check pilot must demonstrate a superior level of technical knowledge, skill, and ability in order to conduct authorized tasks.
a)    Equipment and Materials. Does the check pilot select or use the appropriate equipment, device, tools, and reference material when planning or conducting checks?
b)    Knowledge and Understanding.

1.    Does the check pilot understand the technical terminology contained in the operator manual, the training program, and other reference material used in planning, describing, or conducting pilot checks?

2.    Is the check pilot thoroughly familiar with the operator’s standard operating procedures, authorizations/limitations, checklists, and other items used by the operator?

3.    Does the check pilot demonstrate an expert level of knowledge about the aircraft operation and systems?

c)    Interpret and Apply.

1.    Does the check pilot correctly interpret and apply the technical performance standards defined by the appropriate training program standard?

2.    Does the check pilot demonstrate effective questioning techniques?

2)    Procedural. The check pilot must demonstrate compliance with the operator policies and procedures contained within the operator’s manuals and applicable regulations used to conduct approved functions. Factors in determining procedural proficiency:
a)    Does the check pilot properly submit information, documents, or data to the operator when required by operator procedures and FAA regulations?
b)    While conducting the check:

·    Does the check pilot follow the correct procedures when conducting, grading, and providing feedback to pilots during checks or observations?

·    Does the check pilot have a plan of action to conduct the check?

·    Do pre-briefings contain clear objectives, safety briefing elements, and completion standards?

c)    Does the check pilot:

·    Complete required events?

·    Demonstrate effective workload management?

·    Identify deviations from applicable standards and procedures?

·    Demonstrate knowledge and observation of the operator’s procedures?

·    Conduct the check and ensure safe operation of aircraft or proper operation of the FSTD?

·    Use proper air traffic control (ATC) phraseology?

·    Conduct a debriefing that is accurate, appropriate, clear/concise and informative?

·    Demonstrate the proper use of training aids and FSTDs that are realistic and contain appropriate scenario progression?

·    Utilize training aid and FSTD capabilities?

·    Demonstrate the ability to efficiently use FSTDs?

d)    Does the check pilot follow the correct procedure(s) when completing approvals, recording results, or other administrative items upon completion of the checking activity?
3)    Professional. Professionalism means compliance with ethical and technical standards that indicate a professional representation of a person approved by the Administrator. This includes the quality, completeness, and timeliness of oral and written communications and the continual demonstration of integrity, tact, and diplomacy with pilots, industry, and the FAA. Factors in determining professionalism are:
a)    Oral/Written Communication. There are no reported issues of deficient communications between the check pilot, operator, and FAA.
b)    Professional Representation of the Operator and the FAA. The POI should consider whether the check pilot demonstrates a positive reflection of the approval provided by the FAA and a willingness to comply with FAA requirements and operator policies and procedures.
c)    Cooperative Attitude. The POI should consider whether the check pilot works effectively with and presents a positive attitude when interacting with pilots, operators, and the FAA.
d)    Ethics and Judgment. The POI should consider whether the check pilot maintains the highest standards and demonstrates good judgment in the conduct of authorized activities.

F.    Overall Oversight Assessment. In determining the overall oversight assessment, the inspector considers the frequency, causal considerations, and safety significance of the three performance measure criteria.

1)    Frequency of Deficiencies. The frequency of deficiencies is based on the inspectors evaluation with the following considerations applied:
a)    No performance related issues noted.
b)    Few or minor performance related issues noted.
c)    Some issues noted, but were corrected and/or were of minimal impact to safety.
d)    Some significant issues were noted and were safety related.
2)    Causal Considerations.
a)    Unknowingly—the check pilot was not aware of the error.
b)    Carelessly—as a result of inattention by the check pilot, an error was made.
c)    Intentionally—the check pilot demonstrates a disregard for policy, procedures, or regulatory requirements.
3)    Safety Significance.
a)    Because the role of the check pilot is to ensure that the pilot has met competency and safety standards required by regulations and the operator, the position requires an exceptional level of integrity, dedication, knowledge, and professionalism. With high initial standards required, any deficiencies should be carefully noted, reviewed, and appropriate action taken.
b)    There is minimal tolerance for the display of safety deficiencies, less tolerance for careless acts, and no tolerance for the intentional disregard of safety standards by check pilots. The inspector must carefully consider the cumulative safety significance of deficiencies and causal factors when determining the overall assessment of the check pilot. If the inspector determines that the level of performance expected of the check airman is unsatisfactory, actions must be taken to rescind the check pilot’s approval.
4)    Recording the Observation. Upon completion of the check pilot observation, the inspector must record the result of the inspection in PTRS by using the appropriate activity codes 1641–1645. If the POI determines that the results of the event require additional review, the POI should determine and record in eFSAS any appropriate followup activity.

3-20-6-33  AFFIDAVIT USE. This paragraph is applicable only to contract check pilots and instructors associated with part 142 training centers.

A.    Lost or Unattainable Records. A POI may accept an affidavit for initial training records if a contract instructor or contract check pilot is unable to produce all required records because:

·    The records are lost;

·    The air carrier is defunct; or

·    The air carrier remains in existence, but no longer has the records.

B.    Supporting Documentation. The pilot and the air carrier/operator or program manager for which the contract instructor or contract check pilot nomination has been requested may submit a signed and notarized statement (affidavit) attesting to the completion of training identified in Volume 3, Chapter 54, Section 5, subparagraph 3-4415F3) as the basis for having completed the training. The statement must be substantiated by all available evidence, such as completed check ride forms, available training records, logbook entries and other records attesting to flight operation participation, associated pay stubs, W‑2 forms (with financially confidential information redacted), tax returns, a statement from a current or former employee of the air carrier/operator or program manager, and other proofs of employment. The pilot and the air carrier/operator or program manager representative must read, sign, and submit a notarized statement containing the information found in Figure 3‑20‑6D, Contract Instructor and Contract Check Pilot Nominee Training Records Affidavit, and Figure 3‑20‑6E, Nominating Air Carrier/Operator Affidavit for Lost/Unobtainable Pilot Training Records, and provide supporting documentation to the POI. If the affidavit and documentation that reasonably support the affidavit are provided, the POI may accept the information as meeting the initial new‑hire training requirement. An affidavit without supporting documentation must not be accepted.

C.    False Statements. A pilot who has lost or is unable to obtain training records should be reminded that any fraudulent or intentionally false statements concerning these records are a basis for enforcement action in accordance with Title 18 of the United States Code (18 U.S.C.) § 1001 and part 61 that could result in a fine, imprisonment, and action against any certificate or rating held.

D.    Supporting Documentation Review. The POI should consider the following when determining the acceptability of the documentation provided:

1)    Review Records. Review and determine the validity of the records.
2)    Ensure Clarity. Ensure that records clearly identify the air carrier/operator and associated employment.
3)    Review FAA Database(s). Review FAA database(s) to determine if the air carrier/operator or program manager has records to verify its existence.
4)    Review PTRS Records. Review PTRS records that may support the nominee’s activities with the air carrier/operator or program manager. (This is not required, but could be used for confirmation in some cases.)
5)    Review Evidence. Review the evidence the nominee has provided that confirms the air carrier/operator or program manager no longer retains the records or has not responded to a record request for an air carrier/operator or program manager that currently remains in existence.
6)    Review Participation and Qualification. Review records or supporting documents (e.g., logbooks, dispatch releases, evidence of employment, or a statement from a current or former employee of the air carrier/operator or program manager) that attest to or confirm the nominee’s flight program participation and qualification as a pilot for the air carrier/operator or program manager.
7)    Recordkeeping Requirements. For a contract check pilots only, the POI must maintain a copy of the affidavits in the FAA’s check airman file.

Figure 3-20-6B.    Sample Check Pilot Letter of Approval

April 19, 2013

Mr. Sam A. Frost

Chief Pilot

Transcon Express, Inc.

48 Perimeter Rd.

Utica, OH 22032

Dear Mr. Frost:

John R. Smith, FAA certificate number 467120928, is approved as a check pilot. This check pilot is approved to conduct checks for Transcon Express, certificate number A1BC, and their pilots. This approval is applicable for the following checking functions:

 

Classification and Types

Effective Date

Simulator M/M/S(s)

Aircraft Type(s)

Section 135.293 competency check

N/A

N/A

N/A

Section 135.297 proficiency check

N/A

N/A

N/A

Section 135.299 line check

Observer’s seat only, or

 

N/A

N/A

All seats

 

BBD-700

05/01/2013

Optional functions when § 135.299 or § 135.293 is also approved

 

Aircraft Type(s)*

Effective Date

Section 135.293(a) written or oral test

(Not used when check pilot has § 135.293 approval)

BBD-700 only

05/01/2013

Section 135.293(a)(1) nd (4) through (8) written or oral test for pilots assigned to the following aircraft

G-V, CL-604, multiengine Cessna reciprocating-series airplanes

05/01/2013

N/A = Not approved

Please retain a copy of this letter in Mr. Smith’s individual flight training records.

Sincerely,

James J. Jones

Principal Operations Inspector

FSDO (XXXX)

Figure 3-20-6C.    Check Pilot Approval Job Aid

1.    Operator’s Letter Contains Necessary Information:

[ ]   Name of candidate.

[ ]   Business address of candidate.

[ ]   Flightcrew member duty position and aircraft type.

[ ]   Check pilot classification and functions requested.

2.    Training Records (copies):

[ ]   Initial, transition, or upgrade to requested aircraft and flightcrew member duty position.

[ ]   Recurrent.

[ ]   Check pilot training.

3.    [ ]  Résumé of experience included.

4.    [ ]  eVID, SPAS, and PTRS verification satisfactory.

5.    [ ]  Open eVID file.

6.    [ ]  Check pilot evaluation scheduled.

7.    [ ]  Report of evaluation received from PTRS.

Favorable Report:

8.    Prepare Letter of Approval:

[ ]   Original letter to operator.

[ ]   Copy to operator file.

[ ]   Copy to other POI (if check pilot for another operator).

9.    [ ]   Update operator eVID file.

10.  [ ]   Complete PTRS.

Unfavorable Report:

11.  [ ]   Prepare letter to operator indicating disapproval.

12.  [ ]   Update operator eVID file.

13.  [ ]   Complete PTRS.

Figure 3-20-6D.    Contract Instructor and Contract Check Pilot Nominee Training Records Affidavit

STATE OF ___________________________________

COUNTY OF _________________________________

[Name of Applicant], being duly sworn, says:

1. On [today’s date], I, [Name of Applicant], certify that I have been unable to find or obtain the training records documenting my completion of initial training with [name of air carrier/operator/program manager] on [date].

2. I acknowledge that any fraudulent or intentionally false statements concerning aeronautical experience are a basis for suspension or revocation of any certificate or rating I hold.

Considering the above, I offer the following statement in lieu of the actual records:

I, [Name of Applicant], hereby attest that I successfully completed initial training as a pilot for [name air carrier/operator/program manager], a 14 CFR part [121/135/91K] [air carrier/operator/program manager] based in [city, state, country], on [date training completed].

______________________________________________________________________________

Airman’s Signature

______________________________________________________________________________

Airman’s Name (Printed) and Pilot Certificate Number

SUBSCRIBED AND SWORN TO before me this ________ day of _______________, _______

[Seal]

Notary Public in and for

County________________________________________________________________________

State of _______________________________________________________________________

My Commission expires on _______________________________________________________

Figure 3-20-6E.    Nominating Air Carrier/Operator Affidavit for Lost/Unobtainable Pilot Training Records

STATE OF ___________________________________

COUNTY OF _________________________________

[Name of Company Representative], being duly sworn, says:

1. On [today’s date], I, [Company Representative], [Company Name], certify that I have been unable to find or obtain the training records documenting that [Nominated Contract Check Pilot’s Name] completed the initial training curriculum with [Company Name] on [date].

2. I have made a good faith effort to obtain such training records. Notwithstanding this effort, I have been unable to find such records. I do not know where such records presently are, or where they may be found. I believe them to be lost or destroyed.

3. I acknowledge that any fraudulent or intentionally false statements concerning aeronautical experience are a basis for suspension or revocation of any certificate or rating I hold, as well as revocation or suspension of this [air carrier certificate/operating certificate/management specifications].

For the above reason, I offer the below statement in lieu of the actual records:

I, [Company Representative], on behalf of [Company Name], attest the information above is accurate, and therefore [Name of Nominated Contract Check Pilot] meets the baseline requirements of a(n) [instructor/check pilot] as set forth in FAA Order 8900.1, Volume 3, Chapter 54, Section 5; and 14 CFR part [91K/121/135].

Company Representative’s Signature________________________________________________

Company Representative’s Pilot Certificate Number (if applicable)________________________

Company Representative’s Name (Print)_____________________________________________

Company Name and Certificate Number_____________________________________________

SUBSCRIBED AND SWORN TO before me this ________ day of _______________, _______

[Seal]

Notary Public in and for

County___________________________________________________

State of __________________________________________________

My Commission expires on __________________________________

3-20-6-35 through 3-20-6-49 RESERVED.




VOLUME 3  GENERAL TECHNICAL ADMINISTRATION

CHAPTER 20  CHECK AIRMAN, INSTRUCTOR, AND SUPERVISOR PROGRAMS FOR TITLE 14 CFR PART 121 AND 135 CERTIFICATE HOLDERS

Indicates new/changed information.

Section 7  Part 135 Check Pilot and Air Transportation Flight Instructor Training

Indicates new/changed information.

3-20-7-1   GENERAL. This section provides guidance concerning the training requirements for check pilots and air transportation flight instructors.

3-20-7-3   PURPOSE. To provide inspectors guidance that supports the review and contents of instructor and check pilot training programs. The guidance will provide reference information that will assist the inspector in determining if the certificate holder develops and maintains a training program required by Title 14 of the Code of Federal Regulations (14 CFR) part 135, § 135.323 that ensures that each flight instructor and check pilot is adequately trained to perform his or her assigned duties. Prior to implementation, the certificate holder must obtain Federal Aviation Administration (FAA) approval of the respective training.

3-20-7-5   INSTRUCTOR AND CHECK PILOT TRAINING OVERVIEW.

A.    Instructor and Check Pilot Training. Instructors and check pilots are a primary pillar in the success of any training program. Without adequately trained and qualified individuals, the training program will not be successful. The applicant must devote the appropriate time and resources to the qualification and continuing qualification of these positions.

B.    Development and Approval. The instructor and check pilot training and associated curricula will follow the same design philosophy of that development for the pilots found in Volume 3, Chapter 19.

C.    Curricula Outlines. As with all training programs the associated curricula within contains an associated training outline. Specific to instructor and check pilot curricula, it must contain the information specified in Volume 3, Chapter 19, Section 2 and address all the requirements §§ 135.339 and 135.340, as applicable. An overview of instructor or check pilot training requirements can be found in Figure 3-20-7A, Qualification and Training Requirements for Check Pilots and Flight Instructors.

Indicates new/changed information.

Figure 3-20-7A.    Qualification and Training Requirements for Check Pilots and Flight Instructors

Title: Figure 3-20-7A. - Description: Qualification and Training Requirements for Check Pilots and Flight Instructors

D.    Candidates: Selection of Instructors, and Nomination of Check Pilots. The operator selects instructors and submits the selections for review by the principal operations inspector (POI). The operator nominates check pilots and submits the nominees for approval by the POI. Because the experience levels of pilots vary among operators, it is impractical to specify minimum experience levels for candidates. In some cases, such as cases involving new operators, candidates may have relatively little flight experience. Regardless of experience levels, candidates must demonstrate high levels of knowledge and skill in the applicable job functions. POIs must ensure that adequate training for check pilots and air transportation flight instructors is completed and documented in the applicable records.

E.    Single Pilot‑in‑Command (PIC) Operators. Operators using aircraft with a single PIC present questions about training that are not addressed in regulations. For such operators, a check pilot who performs competency and line checks may qualify and maintain currency by one of three methods:

1)    The check pilot may receive competency and line checks from a check pilot from another operator or a training center approved by the operator’s POI to conduct the air carrier’s training;
2)    If a Level B, C, or D full flight simulator (FFS) that replicates the aircraft being used is available and is approved for use in that operator’s training program, the check pilot may receive competency checks in that FFS from a check pilot from another operator or training center approved by the operator’s POI; or
3)    The check pilot may receive competency and line checks from an FAA inspector.

3-20-7-7   TRAINING FOR FLIGHT INSTRUCTORS AND CHECK PILOTS. To ensure flight instructors are adequately trained, each operator’s approved initial and transition flight instructor training program must include the training specified in §§ 135.338 and 135.340, as applicable. To ensure that its check pilots are adequately trained, each operator’s approved initial and transition check pilot training program must include the training specified in §§ 135.337 and 135.339, as applicable. Check pilots and air transportation flight instructor candidates must satisfactorily complete the operator’s approved initial, transition, or upgrade training programs for the desired aircraft and flightcrew member duty position. In addition, instructors must complete the operator’s instructor training, and check pilots must complete the operator’s instructor and check pilot training. If a flight instructor or check pilot has satisfactorily completed a curriculum segment in previous training that applies to more than one flightcrew member duty position or aircraft, it is not necessary to repeat that segment.

A.    Ground Training.

1)    Ground training for air transportation pilot flight instructors (including flight instructors using flight simulation training devices (FSTD)) and check pilots (including check pilots using FSTDs) must include the following topics:

·    Fundamental principles of the teaching–learning process,

·    Teaching methods and procedures, and

·    Instructor–student relationships.

2)    Section 135.340(c)(7) provides that the aforementioned topics need not be included when the candidate holds a flight instructor certificate issued by the FAA. These regulations do not relieve the operator of the responsibility for ensuring that instructors, check pilots, remain proficient in these areas:

·    Regulatory and administrative functions of instructors and check pilots, as appropriate;

·    Applicable regulations;

·    The operator’s policies and procedures;

·    Methods, procedures, and techniques for conducting required checks;

·    Seat‑dependent tasks for the specific aircraft;

·    Analysis of flightcrew member performance, including identification of improper or insufficient training;

·    Crew Resource Management (CRM) concepts and vocabulary;

·    Appropriate corrective actions for unsatisfactory performance in training or evaluation;

·    Guidelines and safety measures for emergency situations likely to develop in conducting the required normal, abnormal, and emergency procedures in an aircraft and in an FSTD, as appropriate; and

·    The consequences of improper or untimely safety measures.

B.    Flight Training. Flight training for flight instructors—aircraft and check pilots—aircraft must include:

1)    Enough flight training and practice in conducting training (and checks for check pilots) from the left and right pilot seats using the required normal, abnormal, and emergency procedures to ensure the individual’s competency in conducting the required flight training (and pilot checks if applicable). For an air transportation flight instructor—aircraft and check pilot—aircraft, training, and practice in the takeoff and landing events of the operator’s approved training program must be conducted in an aircraft; the remainder of the training may be conducted in an approved FSTD.
2)    For check pilots—aircraft, training in-flight in an aircraft supervising normal takeoffs and landings from either pilot seat. The operator must ensure that the check pilot candidate is thoroughly trained in second‑in‑command (SIC) functions and capable of accomplishing them competently, while supervising and evaluating a new PIC.
3)    Guidelines and safety measures for emergency situations likely to develop in conducting the required normal, abnormal, and emergency procedures in an aircraft.
4)    The consequences of improper or untimely safety measures.

C.    Flight Training—Flight Instructor and Check Pilot who Conduct Training or Checking in an FSTD. Flight training for any flight instructor or check pilot who conducts training or checking in an FSTD must include:

1)    Training and practice in conducting instruction and/or checks in the required normal, abnormal, and emergency procedures to ensure competence to conduct the flight instruction and/or checks required by part 135. This training and practice must be accomplished in an FSTD.
2)    Training in the operation of each kind of FSTD to be used to ensure competence to conduct the flight instruction and/or checks required by part 135.

D.    Check Pilot Training—Multiple Operators.

1)    A POI may approve a check pilot to serve more than one operator. The POI can determine whether equivalent training completed with one operator may be credited toward the check pilot training requirement for another operator. Creditable training may include parts of ground training and flight training. For example, a check pilot might be eligible for training credit under the following conditions:

·    Employed as a training center evaluator by a training center;

·    Regularly performing proficiency or competency checks;

·    Using the same procedures for all operators; and

·    The operators adopting common check pilot training programs.

2)    When procedures, aircraft, or types of operations differ, the POI must require that the check pilot (for service with an additional operator) complete appropriate additional training. Appropriate additional training must address differences, and may comprise entire curriculum segments.
Indicates new/changed information.

E.    Check Pilot Training—Additional Functions. When additional check pilot functions are requested, the operator must ensure the respective training is provided to that check pilot.

F.    Check Pilot Training—Optional Functions.

1)    Training Evaluation. For operators requesting the additional optional check pilot functions for § 135.293(a) written or oral test and/or § 135.293(a)(1) and (4) through (8) written or oral test for multiple aircraft, as identified in Volume 3, Chapter 20, Section 5, paragraph 3‑20-5-11, the POI must evaluate the adequacy of the additional training proposed with emphasis on:

·    The additional check pilot duties, functions, and responsibilities associated with § 135.293(a) authority specific to those pilots to be checked;

·    The applicable 14 CFR provisions, operators’ policies, procedures, and operations specifications (OpSpecs);

·    The operator’s applicable methods, procedures, and techniques for conducting the required checks; and

·    Proper evaluation of student performance including the detection of improper and insufficient training and use of corrective action in the case of unsatisfactory checks.

2)    Operational Differences.
a)    The operator’s check pilot training must address how a check pilot who does not hold the same type rating as the pilot being checked will conduct the oral/written test. The training and associated procedures the operator develops must address operational differences for all pilots the check pilot will be evaluating. In addition to the above requirements, the training must address critical differences, such as but not limited to:

·    Applicable regulatory OpSpecs and relevant manual differences (e.g., domestic and international operations, and approach authorizations);

·    Navigational differences between aircraft operations and types;

·    Differences in air traffic control (ATC) procedures that may be used by the various aircraft;

·    Differences associated with high altitude operations;

·    New equipment, procedures, or techniques as appropriate; and

·    Other items deemed appropriate by the POI or operator.

b)    Because of the potential for a wide variation in the fleet composition of an operator, the associated training that a check pilot would require could be equally diverse. The scope and breadth of training will be dependent upon the operator’s fleet diversity and the associated check pilot’s functions and limitations. For example, an operator may request that the check pilot administer knowledge tests to pilots of other aircraft (§ 135.293(a)(1) and (4) through (8)) that are similar in operational characteristics (e.g., Global Express and a G-V pilot or between a Lear Jet and Hawker). In such a case, the training scope and depth would be limited. Conversely, the check pilot training required to conduct a § 135.293(a)(1) and (4) through (8) to a G-V pilot and the operator’s helicopter pilots or reciprocating engine aircraft would be more complex. The POI and the operator must conduct a thorough review to determine the necessary training scope and depth.
c)    Due diligence is required on the part of an operator and during review of the check pilot training to ensure that the check pilot is adequately trained to perform his or her duties. To establish a clear understanding of the training requirements, POIs should discuss these points with the operator to ensure that each check pilot is adequately trained to perform their assigned duties.

3-20-7-9    LINE OBSERVATION PROGRAM. The preferred method of compliance with the requirements of §§ 135.337(f), and 135.338(f) is to have flight instructors and check pilots fly a minimum of two flight segments during actual line operations in the aircraft. In lieu of actual line flying, flight instructors and check pilots can complete an approved line observation program. There are two types of line observation programs that a POI may approve: line observation from the observer’s seat or a Line‑Experience Module (LEM) program.

A.    Line Observation from the Observer’s Seat. A certificate holder may comply with
§§ 135.337(f)(2) and 135.338(f)(2) by requiring flight instructors and check pilots to complete line observation from the observer’s seat. Prior to approving this type of line observation program, POIs must ensure the certificate holder’s proposed program requires each flight instructor and check pilot to complete a minimum of two flight segments in the observer’s seat within each 12‑month period.

B.    Line-Experience Module (LEM). For the purpose of meeting the LEM requirements in an FSTD, the following guidance should be utilized. The design of LEM contains many of the characteristics and attributes of Line Operational Simulation that is described in the current edition of AC 120-35, Flightcrew Member Line Operational Simulations: Line-Oriented Flight Training, Special Purpose Operational Training, Line Operational Evaluation, and at the same time is unique in that it is designed to supplement those instructors and check pilots unable to conduct an observation from an observer’s seat. The training session is conducted in a “line environment” setting designed to afford the instructor or check pilot the opportunity to experience line operation similar to that of a line pilot. The LEM provides an environment that allows the benefits of real-time simulation experience and participation as a line crewmember. Instruction and training is based on learning objectives, behavioral observation, and assessment of performance progress and instructor or check pilot debriefing or critique (feedback). The training objectives with LEM are proficiency objectives that include both technical and CRM elements. In an LEM aircrew technical and CRM performance are evaluated and reviewed during the debriefing. This reinforces the skills and knowledge associated with the instructor and check pilot assessment of a trainee. The associated maneuvers and procedures that are defined in the other segments of the air carriers training program should be fully integrated in the LEM. POIs must ensure the certificate holder’s proposed program requires each flight instructor and check pilot to complete the LEM Program in accordance with §§ 135.337(f) and 135.338(f) as applicable.

1)    Approval. A certificate holder may comply with §§ 135.337(f)(2) or 135.338(f)(2) by conducting an LEM program. Prior to approving an LEM program, POIs must ensure the certificate holder’s proposed program includes the following concepts and elements in addition to elements that are unique to the certificate holder’s operations.
2)    Ground Training. Ground training must include the following subjects:
a)    Clearances. Duties of a check pilot or flight instructor with regards to the use of air traffic control (ATC) clearances in a training environment.

·    Format of clearances to accurately simulate ATC.

·    Ability to provide timeliness of responses typical of controllers.

·    Using clearances accurately to create a more realistic scenario in the training environment.

·    Accurately providing realistic clearances to enhance instructor credibility and professionalism.

·    Using clearances accurately to simulate correct ATC spacing and controller knowledge of aircraft system performance parameters.

b)    Terminology.

·    Common ATC terminology variations.

·    International language and terminology considerations (if applicable).

·    Realistic use in the training environment.

c)    Vectoring. Appropriate use and training benefits/pitfalls.

·    Commonly misused vectoring practices.

·    Training benefits and importance of correct vectoring to preserve realism.

·    Negative training and associated impact of inaccurate or unrealistic vectors/practices.

d)    International Civil Aviation Organization (ICAO) Differences. Applicable for those certificate holders that provide instruction for international operations.

·    Variations between FAA and ICAO terminology.

·    Foreign airport training and practices.

·    Transition altitudes.

e)    Runway/Taxiway Signage, Surface Movement Guidance and Control System (SMGCS), etc.

·    Recent changes in signage and markings.

·    Large airports/small airport variances.

·    Runway markings.

·    Taxiway markings.

·    Ground and approach lighting systems.

·    SMGCS: who must comply, under what weather conditions it applies, and how to comply with clearances and procedures (if applicable).

3)    Flight Training. Training must be conducted in a FFS and will be designed as an LEM event intended to provide replication of operations within the National Airspace System (NAS) with emphasis on the crew’s interaction and functions. It must be designed to realistically simulate (within the limitations of flight simulator technology) a view of the ATC environment that flightcrews may encounter when operating in the NAS. Flight training must include the following events, as applicable, that are tailored to reflect the operational environment of the certificate holder:

·    Normal operations;

·    ATC normal, abnormal, and emergency operations;

·    Low visibility taxi and takeoff (use of enhanced taxiway markings and ATC interactions);

·    Short approach request;

·    Tailwind landing request <10 knots;

·    Speed restrictions and expedite requests (e.g., 180 knots to the marker);

·    Expedite to an altitude (may be up or down);

·    Unexpected clearance to a new fix (flight management system (FMS) exercise);

·    Visual approach;

·    Special approaches (e.g., Required Navigation Performance (RNP) subject to special requirement, Localizer Performance with vertical guidance (LPV), and precision runway monitor (PRM));

·    Traffic alert;

·    Traffic Alert and Collision Avoidance System (TCAS) alert;

·    Uncontrolled field approach;

·    Special airport operation;

·    Special route authorizations;

·    RNP approaches and departures;

·    Equipment failures affecting navigation reliability; and

·    Other events that the operator may deem appropriate.

4)    Line Observation Program Training Schedule. The certificate holder must develop sufficient LEM scenarios to ensure flight instructors and check pilots do not repeat the same scenario within four training cycles as defined within their approved training program. If the ground and flight training segments occur more than 30 days apart, then the operator must maintain a separate tracking record for each segment. Each segment will then have its own 12‑month currency cycle.

C.    Line Operations and CRM. The essential areas that should be presented during a FFS LEM should include a NAS-like environment and associated CRM-related skill assessment that emphasizes communications, decisionmaking, team building and maintenance, workload management, and situational awareness, in addition to maintaining traditional technical proficiency. Teaching and evaluating specific observable actions that are required in the execution of specific activities at designated points during normal flight operations, as well as during abnormal or emergency conditions, can enhance the crew’s ability to communicate effectively, plan, and manage their workload, and solve problems during flight operations. Many aspects of CRM can be supported by the demonstration of standard operating procedure (SOP), which increases CRM’s operational significance and provides crews with a standard form of CRM. CRM procedures are typically embedded in a range of crew activities through the different phases of flight, reducing distractions to the Pilot Flying (PF) in both normal and abnormal situations. Also, providing structure to briefings with a checklist format can enhance the crew’s performance and improve the transfer of critical information. See the current edition of AC 120-51, Crew Resource Management Training, for methods in developing and evaluating CRM behaviors.

3-20-7-11 through 3-20-7-25 RESERVED.




VOLUME 4  AIRCRAFT EQUIPMENT AND OPERATIONAL AUTHORIZATIONS

chapter 14  GENERAL OPERATING AND FLIGHT RULES—MAINTENANCE ISSUES

Section 11  Testing of Powerplants After Overhaul

4-1601    GENERAL. This section provides guidance to ensure that powerplant overhaul facilities accomplish the testing of powerplants after overhaul per the maintenance procedures recommended by the engine manufacturer.

A.    Manufacturer Recommended Procedures. Powerplant manufacturers are very specific in their recommended procedures for powerplant testing after overhaul. This testing is required to run‑in new parts, check powerplant performance, and check the quality of the work performed during overhaul. The procedures to be followed in overhaul testing of a powerplant vary by make and model, but are clearly outlined in the manufacturer’s manual.

B.    Practices Acceptable to the Administrator. Title 14 of the Code of Federal Regulations (14 CFR) part 43, § 43.13 requires that each person performing maintenance must use methods, techniques, and practices acceptable to the Administrator. If special equipment or test apparatus is recommended by the powerplant manufacturer, that equipment or apparatus (or an equivalent acceptable to the Administrator) must be used.

Indicates new/changed information.

C.    Certificated Repair Stations. Title 14 CFR part 145, § 145.109 requires repair stations to possess the equipment, tools and materials required to perform maintenance in accordance with part 43, to include § 43.13. Repair stations performing powerplant tests required by § 43.2 after overhaul must ensure the methods, techniques and practices prescribed in the current manufacturer’s maintenance manual, or instructions for continued airworthiness (ICA) prescribed by the manufacturer, or other methods, techniques and practices acceptable to the Administrator, are used. The testing may be performed by the repair station itself or may be accomplished by an outside maintenance organization, as allowed by § 145.217. The repair station will be responsible for the final acceptance of the tested engine if the maintenance organization performing the test did not issue an approval for return to service per § 43.9.

D.    Outside Agencies Performing Overhaul Testing. A certificated repair station may utilize an outside maintenance organization to perform the required testing after overhaul provided:

·    The agency that is to perform the test has the information necessary to complete the test properly;

·    The powerplant records will be maintained per § 145.219;

·    That until the required test procedures have been completed by a person authorized by § 43.7, the powerplant has not been tested and is not considered airworthy; and

·    The person authorized by § 43.7 is responsible for the final acceptance of the tested powerplant.

E.    Powerplant Overhaul Testing Environment.

1)    Turbine Engine Testing. Since the performance of a turbine engine is greatly affected by the surrounding atmospheric conditions, most turbine engine manufacturers recommend that powerplant testing after overhaul be accomplished in the controlled conditions of a test facility/cell equipped as outlined in the manufacturer’s overhaul manual.
2)    Reciprocating Engine Testing. The manufacturers of reciprocating engines allow the airframe to be considered a suitable test stand for the running‑in of overhauled engines, provided the following requirements are observed:

·    A test club is used in place of a flight propeller;

·    A suitable cooling shroud or scoop is used to gather and direct cooling air over the cylinders;

·    A cylinder head temperature pickup is installed on each cylinder to monitor individual cylinder temperature; and

·    All necessary calibrated gauges are installed independent of the aircraft gauges.

3)    Additional Testing Methods. When other methods for testing come to the attention of aviation safety inspectors (ASIs), the methods should be evaluated to determine if they are equivalent to the previously stated requirements. When noncompliance with § 43.13 is evident, corrective action must be initiated to correct any discrepancies.
Indicates new/changed information.

NOTE:  When performing an engine overhaul, especially if it includes any kind of engine modification, all of the work must be accomplished in accordance with approved data.

RESERVED. Paragraphs 4‑1602 through 4‑1620.




Volume 5  Airman certification

Chapter 1  DIRECTION, GUIDANCE, AND PROCEDURES FOR TITLE 14 cfr PARTS 121/135 AND GENERAL AVIATION

Section 4  Considerations for the Practical Test

5-76    GENERAL. Although the practical test for each type of certificate or rating is discussed in other sections within Volume 5, there is general information an aviation safety inspector (ASI) should know.

Indicates new/changed information.

A.    Conduct of Practical Tests. All practical tests shall be conducted in accordance with Title 14 of the Code of Federal Regulations (14 CFR), practical test standards (PTS), operating limitations of the aircraft, and procedures prescribed in the Airplane Flight Manual (AFM) or Rotorcraft Flight Manual (RFM), as applicable. Efforts to standardize testing procedures shall not result in procedures contrary to those specified by the AFM or RFM. If an inspector becomes aware of a procedure in any AFM or RFM that is potentially hazardous or contrary to Federal Aviation Administration (FAA) policies, the procedure should be brought to the attention of the appropriate Aircraft Certification Office (ACO) through regional channels.

B.    When Tests may be Given. An inspector may administer airman certification practical tests only while on duty, within the scope of the job description, and while being compensated by the FAA. Unless the approval of a supervisor is obtained, inspectors shall not administer tests while on other than normal duty.

C.    Airman Test Reports. An inspector conducting a practical test shall note the failed areas coded on the applicant’s airman test report to identify possible deficiencies that may affect the applicant’s flight performance. Authorized instructors may endorse the airman test report form, attesting that an applicant has received instruction in areas missed on the test.

D.    English Language Requirements.

1)    Early in the process of the pilot/instructor certification process, it must be determined whether the applicant can read, speak, write, and understand English. The current edition of Advisory Circular (AC) 60‑28, English Language Skill Standards Required by 14 CFR Parts 61, 63 and 65, explains how to determine English language abilities required for pilot certification.
2)    If the applicant cannot read, speak, write, or understand English, then the pilot/instructor certification process should be terminated unless the reason is because of a medical disability. If the reason for the applicant not being able to read, speak, write, and understand English is because of a medical disability (meaning a hearing impairment or speech impairment that is medically substantiated by a certified medical physician), then an operating limitation may be placed on the person’s pilot/instructor certificate. A medical disability of this kind may require an operating limitation to be placed on the person’s pilot certificate that prohibits the pilot from operating in airspace that requires the use of communication radios. However, as a matter of clarification, this limitation would not necessarily prohibit a pilot from operating in airspace that requires the use of communication radios if the pilot has received prior authorization from the jurisdictional air traffic facility where the flight is being conducted, and the pilot is able to receive instructions from that air traffic facility via light signals or some other form of electronic means of communication.

5-77    PRACTICAL TEST PREFLIGHT BRIEFING.

A.    Preflight Briefings. To ensure the highest degree of safety during practical tests, the inspector must conduct a preflight briefing on safety procedures, duties, and responsibilities before each practical test. The plan of action prepared for the practical test may be used as the briefing checklist. The briefing checklist must include a preflight briefing.

1)    This briefing must be given regardless of the abilities of the crewmembers and their previous experience flying together.
2)    The briefing must inform all participants of their respective duties during the flight. This is particularly important in situations when many individuals are involved. For example, during a practical test in a turbojet aircraft requiring two pilots—when the practical test also involves an examiner candidate—up to four people may have responsibilities. The applicant for the certificate or rating and a qualified industry pilot may occupy the two pilot seats. In this case, the qualified industry pilot would function as safety pilot. The test would be administered by an examiner candidate, while a qualified inspector observes both the examiner candidate and the applicant.
Indicates new/changed information.
3)    The preflight briefing must inform the participants in the practical test of the guidelines and standards the inspector or examiner intends to use to determine if the applicant has passed or failed the maneuver. This would include a discussion of the appropriate PTS standards, the circumstances under which maneuvers could be repeated (see paragraph 5‑90), and other similar issues.

B.    Safety Pilot. One person must be designated as safety pilot for the practical test, and must occupy a pilot station during the practical test. When an inspector occupies one of the pilot stations, the inspector may perform the role of safety pilot and must do so in certain circumstances (e.g., applicant under the hood). In cases when the inspector does not occupy a pilot station, then a qualified industry pilot must be designated safety pilot.

C.    Safety Pilot Duties. The safety pilot must be briefed on his or her duties prior to the practical test. These duties include the following:

1)    Physically intervening on the controls before a maneuver or procedure deteriorates to an unsafe level,
2)    Ensuring overall safety of the flight to whatever extent necessary, and
3)    Ensuring safety in whatever manner would be effective if a particular maneuver cannot be executed safely.

D.    Inspector’s Role. The inspector or examiner, when not occupying a pilot station, must rely on the safety pilot to interfere and override any decision by the inspector, examiner candidate, applicant, or other person if safety requirements demand it.

5-78    DUAL CONTROLS IN A PRACTICAL TEST OR FLIGHT TESTING. This guidance concerns the intent of “dual controls” as it applies to civil aircraft being used for either flight instruction or practical tests in accordance with 14 CFR part 91, § 91.109.

A.    Required Control. Neither previous nor current 14 CFR part 61, § 61.45 nor § 91.109 have listed brakes as “required control” in a civil aircraft when used for either flight instruction or a practical test.

B.    Airplanes Without Dual Brakes. The FAA has held that both flight instruction and practical tests may be conducted in an airplane without dual brakes when the instructor/examiner determines that the instruction or practical test, as applicable, can be conducted safely in the aircraft. Further, numerous makes and models of both single- and multiengine civil aircraft not equipped with two sets of brakes or a central handbrake have been used to provide flight instruction required for virtually all certificate and rating areas authorized under part 61.

C.    Brake Requirements. The FAA has responded to a request for an interpretation of the requirement for brakes on the right side to be equal to the brakes on the left. The policy is that the brakes on the right side do not have to be a duplicate or equal to the brakes on the left side.

1)    Section 91.109(a) states, in part, that no person may operate a civil aircraft that is being used for flight instruction unless that aircraft has fully functioning dual controls.
Indicates new/changed information.
2)    Title 14 CFR part 141, § 141.39(a) provides that each aircraft used in flight training must have at least two pilot stations with engine power controls that can be easily reached and operated in a normal manner from both pilot stations.
3)    Section 61.45(b)(1)(i) provides that an aircraft used for a practical test must have the equipment for each area of operation required for the practical test. For example, an examiner may conduct a flight instructor practical test with an applicant in the right seat without brakes on that side. If a task requires the applicant to use the brakes, he or she may either switch seats with the examiner to perform the task, or ask the examiner to apply and release the brakes at the applicant’s request.
Indicates new/changed information.
4)    Section 61.45(c) provides that an aircraft (other than lighter than air aircraft and gliders without an engine) used for a practical test must have engine power controls and flight controls that are easily reached and operated in a conventional manner by both pilots, unless the examiner determines that the practical test can be safely conducted in the aircraft without the controls within easy reach.
Indicates new/changed information.
5)    Dual brakes are not a requirement in §§ 91.109(a), 141.39(a), 61.45(b)(1)(i), and 61.45(c).

5-79    STRUCTURE OF THE PRACTICAL TEST. The practical test consists of a demonstration of aeronautical knowledge and a demonstration of aeronautical skill or flight proficiency. These demonstrations are not intended to be separate tests; rather, they are intended to be conducted concurrently. However, circumstances may occasionally exist in which separate knowledge and skill demonstrations are both more practical and acceptable (see paragraph 5‑82).

Indicates new/changed information.

A.    The Oral Portion. The demonstration of aeronautical knowledge consists of a question and answer exchange between the ASI and the applicant. The knowledge which should be tested is identified in the applicable PTS and in part 61. It is required that the oral portion of the practical test precede the flight/flight simulation training device (FSTD) portion of the practical test.

Indicates new/changed information.
1)    The questions asked of an applicant should be clearly stated and have only one correct response. The correct response to the question should reflect that the applicant has a clear understanding of the subject. Trick questions should be avoided. The correct answers to all questions should be available in the regulations, AFM, RFM, or other acceptable sources.
2)    Maintaining an unintimidating atmosphere is important, since it allows the applicant to relax and ultimately improves performance. Care should be taken, however, not to give the applicant “ground school.” If questions are consistently missed, or if the applicant gives confused or unrelated answers, the examination must be ended and a notice of disapproval issued.

B.    Group Testing. Except in the circumstances listed below, applicants must be tested individually and separately. The FAA has determined this practice of restricting simultaneous testing ensures confidentiality and the quality of the test. Simultaneous testing may be approved only under the following conditions:

1)    Simultaneous testing must be limited to the oral portion of an aircraft type rating practical test.
2)    No more than two applicants may be tested simultaneously, and only if they were trained in the same aircraft and training course. If an applicant prefers to be tested separately, the examiner must conduct the test individually.
3)    Simultaneous testing may not be permitted for the original issuance of the grade of pilot certificate (i.e., private pilot certificate, Commercial Pilot Certificate, or Airline Transport Pilot (ATP) Certificate).
4)    An example in which simultaneous testing may be permitted is a practical test for aircraft type rating for a Learjet 35 (meaning an aircraft that requires two pilot crewmembers) that involves two applicants.

C.    The Flight Portion. The demonstration of skill is the flight portion of the practical test, in which the applicant demonstrates proficiency in the aircraft for which the certificate or rating is sought.

1)    The PTS detail specific objectives, tasks, operations, and expected results for a certificate or rating. If the applicant does not meet the standards of performance of any task performed, the associated area of operation is failed, and the practical test is failed. The applicant is not eligible for the certificate or rating until the failed area of operation is passed on a subsequent test.
2)    The inspector, examiner, or applicant may discontinue the test at any time after the failure of an area of operation makes the applicant ineligible for the certificate or rating sought. If the test is discontinued, the applicant shall receive credit only for those areas of operation successfully performed. During the retest and at the discretion of the inspector or examiner, any task may be reevaluated, including those previously passed. However, inspectors and examiners testing applicants on all areas of operation during a retest is not appropriate.

D.    Retest in the Event of Failure. An applicant who fails the practical test may reapply for a retest after meeting the following conditions:

1)    The applicant must receive the necessary training from an authorized instructor who has determined that the applicant is proficient to pass the test, and
2)    The entire practical test must be completed within the first 60 days.

NOTE:  As a result of the revision to § 61.49, there are no more provisions for an applicant to retest without receiving training and an endorsement from an authorized instructor. The 30‑day waiting period provision is eliminated. In addition, the maximum time between retests is 60 days. As a result of the revision to § 61.43, the retest must be completed within a 60‑day period beginning on the date of the original application.

5-80    PREREQUISITES FOR PRACTICAL TESTS. To be eligible for a practical test, an applicant must meet the following prerequisites:

A.    Knowledge Test Requirement. The applicant must have passed the required knowledge test (1) within the 24 calendar-months preceding the practical test, if one is required, or (2) within the 60 calendar‑months preceding the practical test for an ATP Certificate with an airplane category multiengine class rating, or an ATP Certificate obtained concurrently with an airplane type rating after having completed the ATP Certification Training Program (CTP) in § 61.156. Extending the validity period for ATP knowledge tests may be permitted per § 61.39, and is discussed further in Volume 5, Chapter 3, Section 1. Refer to § 61.35 for knowledge test prerequisites and passing grades.

NOTE:  For an applicant applying for an ATP Certificate with an airplane category multiengine class rating or an ATP Certificate obtained concurrently with an airplane type rating, an ATP knowledge test report certified July 31, 2014 or earlier is valid for 24 calendar-months. A knowledge test report certified after July 31, 2014 is valid for 60 calendar-months.

B.    Medical Certificate Requirements. An applicant for a practical test, except for practical tests involving a test for a glider or a balloon rating that require no medical certificate, must have at least a third‑class medical certificate.

Indicates new/changed information.

NOTE:  A third‑class medical certificate is the only medical certificate required for the applicant to apply for a practical test. However, to exercise the privileges of a Commercial Pilot Certificate or ATP Certificate, the person must have the appropriate class medical certificate per § 61.23. No medical certificate is required when an applicant is taking a test or check for a certificate, rating, or authorization in an FSTD.

C.    Documentation. Documentation must be presented by the applicant verifying that all aeronautical experience prerequisites are met. This includes endorsements, if required, and a written record of ground and flight time. The applicant must also present an appropriately completed FAA Form 8710‑1, Airman Certification and/or Rating Application.

NOTE:  Refer to § 61.39(d) for additional documents that may be required for those applicants for an ATP Certificate with an airplane category multiengine class rating or an ATP Certificate obtained concurrently with an airplane type rating.

5-81    PTS. The FAA publishes PTS, which have replaced the previous flight test guides. The regulations specify the areas in which knowledge and skill must be demonstrated by an applicant before a certificate can be issued. The PTS contain the specific tasks in which knowledge and competency must be demonstrated. When necessary, the FAA shall add, delete, or revise these tasks to enhance flight safety.

A.    Practical Test Correlation to Part 61. The areas of operations specified in part 61 for each grade of certificate are contained in the PTS. Specific procedures and maneuvers used to ensure competence within each area of operation are addressed in the applicable PTS.

B.    Public Availability. The public may purchase copies of the PTS from the U.S. Government Publishing Office (GPO), Superintendent of Documents, Washington, DC 20401. FAA inspectors receive copies and revisions through regular FAA distribution channels. Copies can also be found on the Internet at: http://www.faa.gov/training_testing/testing/test_standards/.

C.    PTS Introduction. The introductory section of the PTS gives detailed instructions on the use of the standards for conducting a practical test.

1)    The standards are arranged into sections with “Areas of Operation.” Areas of Operation are phases of flight in a logical sequence, beginning with preflight preparation and ending with the flight’s conclusion.
2)    Practical tests must be conducted according to the requirements of the applicable PTS.
3)    The inspector should not allow the conduct of practical tests to evolve into a predictable pattern that can or will be recognized by students or instructors.
4)    Evaluation of an applicant’s performance shall be based on the applicant’s ability to satisfactorily meet the objectives of each required task.

5-82    SEGMENTED PRACTICAL TESTS (PLANNED).

A.    Segmented/Normal Sequence.

Indicates new/changed information.
1)    A segmented practical test normally involves conducting a practical test when an aircraft and an FSTD are used. It is required that the oral portion of the practical test precede the FSTD portion of the practical test. After the applicant has satisfactorily completed the oral portion of the practical test, the applicant should be administered the FSTD portion of the practical test. After the applicant satisfactorily completes the FSTD portion of the practical test, the applicant should be administered the flight/aircraft portion of the practical test. However, the FAA recognizes that there may be times when inclement weather or aircraft maintenance discrepancies may cause the order of testing to be altered from the recommended and preferred method.
Indicates new/changed information.
2)    The applicant has 60 days from the date the oral portion of the practical test was passed to satisfactorily accomplish the FSTD and flight portions of the practical test. An ASI may use oral questioning at any time during the practical test. The applicant is required to present FAA Form 8710‑1 with the appropriate endorsements as proof that portion of the test was satisfactory.
Indicates new/changed information.
3)    ASIs may request that the applicant perform maneuvers in the aircraft that were completed satisfactorily during the FSTD portion of the test if they desire or need to further test the applicant’s competency and proficiency on those maneuvers.
Indicates new/changed information. Indicates new/changed information.

B.    Nonsegmented Normal Sequence. Except for the ATP practical test, there is no formal division between the knowledge portion and FSTD or actual flight portion of any pilot or flight instructor practical test. Oral questioning is conducted throughout the testing process. However, there are numerous tasks that are only knowledge tasks, and are not normally tested during the flight portion. Additionally, there are skill tasks for which good judgment and safety of flight dictate that significant knowledge be determined before continuing to the actual flight portion (e.g., stalls, steep turns, emergencies). Therefore, during the conduct of pilot/flight instructor practical testing, inspectors/examiners must conduct the oral, FSTD (if applicable), and actual flight portions of the practical test, in that order. This does not mean that oral questioning cannot continue throughout the flight and after the aircraft is shut down on the ramp. However, subjects that might normally be expected to require continued testing at this point would be postflight and/or areas of knowledge incompletely tested in the latter stage of the flight portion.

C.    Unusual/Abnormal Sequence. In unusual circumstances, it may be more practical and/or desirable to conduct certification testing over more than one day (e.g., balloon tests where late morning/afternoon winds may interfere with the normally planned testing timeframe, or climates where early morning/afternoon/evening temperatures may make flight testing extremely uncomfortable or even unsafe). In these cases, the inspector should issue a letter of discontinuance.

5-83    CARRIAGE OF PASSENGERS DURING PRACTICAL TESTS. The practice of carrying persons is limited only to individuals who have a legitimate interest in the practical test.

A.    Authorized Persons. These individuals may include the following:

1)    Persons preparing for a similar flight test,
2)    Flight instructors assigned to similar flight training activities,
3)    Designated Examiners (DE) who are authorized to conduct similar flight tests or examiner candidates,
4)    Chief pilots or instructors for flight schools and executive operators,
5)    Owners/operators of the aircraft, and
6)    Other inspectors.

B.    Unauthorized Persons. Examples of unauthorized persons are non‑flying relatives, persons not involved in a flight training program, non‑flying employees, or friends of the owner or operator.

C.    Consent for Passenger Carriage. The carriage of authorized persons must have the consent of the owner/operator, the practical test applicant, and the inspector.

Indicates new/changed information.

D.    Additional Crewmembers. In some large aircraft, practical tests may include operations (e.g., simulated equipment failures or engine fires) that may divert the attention of both pilots. In such cases, the inspector shall request the applicant to provide a qualified observer on the flight deck to assist in maintaining a constant watch for other air traffic.

5-84    AIRCRAFT AND EQUIPMENT USED DURING PRACTICAL TESTS. Section 61.45 states that an applicant for an Airman Certificate or added rating must furnish an Airworthy aircraft appropriate for the certificate or rating sought. This includes military aircraft or properly certificated aircraft of foreign registry.

Indicates new/changed information.

A.    Aircraft Incapable of Performing Certain Tasks on a Practical Test. Per § 61.45(b)(2), it is permissible to use a Cessna 336 or 337 for an Airplane Multiengine Land (AMEL) rating. The Cessna 336 and 337 series airplanes do not have a published minimum controllable airspeed with the critical engine inoperative (VMC) and thus cannot perform the VMC demonstration task. The Ercoupe 415 series does not have published stall speeds and cannot perform the stall or spin task. Further examples are found in Figure 5‑10, Examples of Certificate Endorsements for Aircraft That Are Incapable of Performing Certain Tasks on a Practical Test.

B.    Aircraft Airworthiness Status Requirements for Airman Certification Practical Tests.

1)    Historically, applicants for addition of airman certificate or a rating to that certificate have been required to furnish an aircraft in an Airworthy condition for each flight test that they are required to take. Title 14 CFR part 21 subpart H prescribes appropriate requirements for the issuance of airworthiness certificates for aircraft of U.S. registry found to be Airworthy, and §§ 61.45(a)(2)(i) and 61.45(a)(2)(ii) provide regulatory guidance concerning the acceptable airworthiness status for aircraft of U.S. registry and foreign registry. However, clarification is necessary regarding the use of military and former military aircraft for certification practical tests under § 61.45(a)(2)(iii). A recent change to § 61.45(a)(2)(iii) states, “at the discretion of the examiner who administers the practical test, the applicant may furnish a military aircraft of the same category, class, and type, if aircraft class and type are appropriate, for which the applicant is applying for a certificate or rating.” The General Aviation and Commercial Division (AFS‑800) is aware of the misunderstanding regarding the meaning of military aircraft as described in § 61.45(a)(2)(iii). Therefore, the following policy is intended to clarify the airworthiness status necessary for these military aircraft.
Indicates new/changed information. Indicates new/changed information.
2)    Flight Standards (AFS) ASIs should understand that for use in conducting airman certification practical tests (by either inspectors or examiners), an acceptable military aircraft is one that is in operational status and under the direct operational control of the Armed Forces (i.e., Active or Reserve component). An Airworthy former military aircraft is issued either a standard, limited, or other type of airworthiness certificate by the FAA; is maintained in accordance with 14 CFR parts 21, 43, and 91; continues to meet its original type design or approved altered condition; and is in condition for safe flight. Therefore, former military aircraft that do not comply with the above requirements may not be used to administer airman certification practical tests since they are no longer in an operational status and under operational control of the Armed Forces (regular, reserve, or guard). It should also be noted that former military aircraft used in public aircraft operations that do not hold an airworthiness certificate may not be used for airman certification practical tests.
Indicates new/changed information.

NOTE:  If the aircraft has a Special Airworthiness Certificate in the restricted category, an exemption to portions of § 91.313 may be required in order to conduct practical tests.

C.    Aircraft and Equipment for the Practical Test.

1)    The FAA has become aware of a recreational pilot certificate that was erroneously issued for the Airplane Single‑Engine Land (ASEL) rating because the practical test was conducted in an experimental category amateur-built, flex-wing aircraft with weight-shift controls.
a)    AFS‑800’s concern is that the requirements of §§ 61.45(b) and 61.45(c) may not have been fulfilled by this unconventional aircraft (i.e., an experimental category amateur‑built, flex-wing aircraft with weight-shift controls) presented for the practical test. This aircraft had both unconventional flight controls and/or operating characteristics, as described above. The use of this and similar aircraft may prevent the applicant from performing all of the tasks required for the practical test, and any pilot certificate issued as a result of that practical test would have to contain appropriate limitations when deemed appropriate (i.e., as required by § 61.45(b)(2)). In the subject case, no limitations were placed on the certificate nor were any deemed appropriate.
b)    FAA ASIs and examiners are responsible for ensuring that an applicant adequately meets all the appropriate training and certification requirements of part 61 before issuing the pilot certificate. It is especially important that, before issuing a pilot certificate, applicants perform all required tasks outlined in the appropriate PTS for the aircraft category and class rating and at the appropriate pilot certification level sought. If not, the pilot certificate must contain appropriate operating limitations. In the current edition of FAA Order 8900.2, General Aviation Airman Designee Handbook, as well as in this order, guidance that is related to the scope of airman training or certification permitted or prohibited in hang gliders, ultralights, and similar vehicles will be upgraded to reflect advances made in aircraft technology and their authorized use under part 61.
2)    Except as provided in § 61.45, an aircraft used on a practical test must be equipped for each area of operation and task required by the appropriate PTS. The equipment shall have no operating limitations that would prohibit the aircraft’s use in any of the required areas of operation and tasks. The aircraft must have at least two pilot stations with adequate visibility for safe operation and, when the examiner is in a jump seat, the aircraft’s flight deck and outside visibility must be adequate to permit the examiner to evaluate the applicant’s performance.

D.    View Limiting Device. During the practical test for an instrument rating or other ratings requiring a demonstration of instrument proficiency, the applicant must provide equipment, satisfactory to the inspector, which prevents flight by visual reference.

E.    Single Controls. At the discretion of the inspector, an aircraft furnished by the applicant may have a single set of flight controls. In this situation, the inspector observes the applicant from the ground or from another aircraft.

1)    Tests for the addition of aircraft class or type ratings to private and commercial pilot certificates may be conducted in single-control or single-place aircraft under §§ 61.45(e)(1) and 61.45(e)(2).
2)    Pilot certificates issued following successful completion of a flight check conducted in a single‑place gyroplane in accordance with § 61.45(e)(2) must bear the following limitation: “PRIVATE PILOT, ROTORCRAFT SINGLE‑PLACE GYROPLANE ONLY” or, for a certificate of a higher grade than private, “ROTORCRAFT SINGLE‑PLACE GYROPLANE, PRIVATE PILOT PRIVILEGES ONLY.”

F.    Self-Launching Gliders. Aircraft certificated as gliders with self‑launching capability cannot be used for any airplane practical test, since there are no dual airplane‑glider category designations. Inspectors can determine the category of an aircraft by examining the airworthiness certificate.

5-85    PRACTICAL TEST DISCONTINUATION. Environmental, mechanical, or personal situations can occur that cause the practical test to be discontinued. If these occur, the inspector shall assure the applicant that he or she has not failed the practical test, and shall attempt to reschedule the test as soon as possible. The most frequent reasons for discontinuance of a practical test are weather, unforeseen mechanical problems, and applicant incapacitation.

A.    Weather. A test could be postponed by rapidly changing weather. For example, at the conclusion of the knowledge demonstration portion of the practical test, the inspector and the applicant may discover that lowered ceilings or visibility would preclude a safely conducted flight.

B.    Mechanical Problems. The applicant may discover, during preparation for the flight portion of the test, a mechanical problem that would preclude safe conduct of the flight. For example, preflight examination could reveal that the wrong grade of fuel had been placed in the aircraft. In this case, an appropriate inspector should issue an aircraft condition notice or a special flight permit (SFP) to the owner/operator after inspection of the aircraft.

C.    Medical Problems. The applicant or inspector could experience medical problems (e.g., severe headaches or sinusitis because of pressure changes) after the test has begun. The test should be discontinued immediately at either the applicant’s or the inspector’s suggestion.

D.    Letter of Discontinuance. When a practical test is discontinued for reasons other than unsatisfactory performance, FAA Form 8710‑1 and the airman test results will be returned to the applicant. At that time, the inspector signs and issues a letter identifying the portions of the practical test that were successfully completed (see Figure 5‑11, Letter of Discontinuance).

1)    A copy of the letter should be retained by the inspector for recording work accomplishment.
2)    The applicant may use the letter to show an inspector or examiner which portion of the practical test was successfully completed, provided that another test is attempted within 60 days. When the test is resumed, the letter shall be forwarded to the Airmen Certification Branch (AFS‑760) and made a part of the airman’s certification file. Inspectors shall reexamine the applicant on any area of the operation where the inspector doubts the applicant’s competence.
3)    When more than 60 days have elapsed since the original practical test and issuance of a letter of discontinuance, the credit conveyed by the letter of discontinuance is no longer valid and the inspector shall examine all required areas of operation.

5-86    IMPLEMENTATION OF SPECIAL FEDERAL AVIATION REGULATION (SFAR) 73: ASI RESPONSE TO AUTHORIZATION AND ENDORSEMENT REQUESTS. SFAR 73 establishes special training and experience requirements for pilots operating the Robinson model R‑22 or R‑44 helicopters. The FAA has determined that this SFAR is needed to respond to a number of accidents involving the Robinson model R‑22 and R‑44 helicopters. The intended effect of this action is to increase awareness of the potential hazards of particular flight operations in the Robinson helicopters. Many of these accidents are attributed to pilot performance or experience leading to low rotor revolutions per minute (rpm) or low G conditions that resulted in mast bumping or rotor/airframe contact accidents. Its small size and relatively low operating costs result in its use as a training or small utility aircraft and operation by a significant population of relatively inexperienced helicopter pilots.

5-87    ENGINE SHUTDOWN ON MULTIENGINE AIRPLANES DURING THE PRACTICAL TEST.

A.    Preflight Discussion Item. Examiners and ASIs who conduct practical tests in a multiengine airplane must discuss methods of simulating engine failure with the applicant during the required preflight briefing. Examiners or ASIs, as appropriate, and the applicant must discuss and follow the aircraft manufacturer's recommended procedures.

B.    Feathering Propellers. An appropriately equipped airplane must be provided by the applicant.

1)    The feathering of one propeller must be demonstrated in flight in multiengine airplanes equipped with propellers which can be feathered and unfeathered. However, as is the case for all practical tests, the PTS require that the applicant bring an aircraft that is “capable of performing all appropriate tasks for the certificate or rating and have no operating limitations that prohibit the performance of those tasks.”
2)    If, due to environmental considerations, the feathering demonstration cannot be safely performed, a letter of discontinuance must be issued.
3)    A propeller that cannot be unfeathered during the practical test must be treated as an emergency.
4)    Feathering and engine shutdown must be performed at altitudes, in areas, and from positions where safe landings on established airports can be readily accomplished.

C.    Simulated Engine Failure. At altitudes lower than 3,000 feet above the surface, simulated engine failure must be performed by adjusting the throttle to simulate zero thrust. This safety provision does not negate the PTS that require testing of the task “Maneuvering with One Engine Inoperative” 3,000 feet above the surface.

5-88    PRACTICAL TESTS IN MILITARY AIRCRAFT. Inspectors are occasionally required to administer practical tests in military aircraft. The aircraft provided by the applicant must be equipped to perform all maneuvers required on the test.

Indicates new/changed information.

A.    Aircraft Authorization. After a request for a practical test is received, an appointment for the test is arranged between the inspector and applicant. At the time of the request, the applicant should be informed that he or she will be required to present a letter from the commanding officer or the operations officer of the military organization, stating that the applicant is authorized to use the aircraft for a practical test from the FAA, and that all maneuvers required for the test are authorized to be conducted in the aircraft. Without the official, original letter accompanying the application, no part of the test (e.g., oral, FSTD check, or preflight operations) should be given.

B.    Delineation of Responsibility. A clear understanding of responsibility among the inspector, district office manager, and military organization must be maintained, so that no question of accident or injury claim liability exists. The Federal Employees Compensation Act requires managers to certify whether an employee was on official government duty whenever a claim for an injury or death is submitted. Employee official travel must be identified by the date and time of its beginning and end. An FAA inspector must be on “official FAA duty” while conducting such practical tests.

C.    ATP Practical Tests. An area of concern is the administration of an ATP certification practical test in a large aircraft for which there is no civil counterpart. Current policy provides for inspectors to give such tests with an appropriate class rating, even though an aircraft type rating is not concurrently issued. Emphasis is placed on ensuring that the aircraft is properly equipped to perform all flight maneuvers and that all equipment is functional before flight. Additionally, the aircraft must be properly equipped for the inspector (e.g., jump seat, communications panel, oxygen provisions). At the conclusion of the flight test, the inspector should enter the appropriate category or class rating on the certificate with any appropriate limitation, such as center thrust only, visual flight rules (VFR) only, etc.

D.    Examiners. Designated Pilot Examiners (DPE) who are asked to conduct practical tests in military aircraft should follow the above guidelines.

E.    Limited to Center Thrust Limitation.

1)    The military aircraft listed below have no VMC established by the manufacturer. Other military multiengine airplanes may exist now or in the future for which there is no published data on VMC. Military pilots who can only show qualification in those kinds of multiengine airplanes may only be issued a multiengine airplane rating with the limitation “Limited to Center Thrust.”
a)    T‑2B/C Rockwell Buckeye.
b)    T‑37 Cessna 318.
c)    T‑38 Northrop Talon.
d)    F‑4 McDonnell‑Douglas Phantom.
e)    F‑111 General Dynamics F‑111.
f)    F‑18 Northrop‑McDonnell‑Douglas Hornet.
Indicates new/changed information.
g)    A‑6 Grumman American Intruder.
h)    A‑10 Fairchild Republic Thunderbolt II.
i)    F‑15 McDonnell‑Douglas Eagle.
j)    F‑14 Grumman F‑14.
k)    F‑117 Lockheed Stealth.
l)    F‑22 Boeing/McDonnell F‑22.
Indicates new/changed information.
2)    The “Limited to Center Thrust” limitation is not placed on a pilot certificate when the airplane has a VMC published on the airplane’s Type Certificate Data Sheet (TCDS) or approved AFM.
3)    If the holder of a pilot certificate with the limitation “Limited to Center Thrust” can show the limitation was issued in error, the limitation may be removed upon reapplication. A Temporary Airman Certificate is issued without the limitation.
4)    Multiengine airplanes may be added or deleted from the above list as necessary. Any questions about other multiengine airplane makes and models that are “Limited to Center Thrust” should be directed to the Airmen Certification and Training Branch (AFS‑810).
5)    An applicant who requests issuance of a multiengine airplane rating in a multiengine airplane not listed in subparagraph 5-88E1) above may inquire directly to AFS‑810, to determine if any limitations are necessary.
Indicates new/changed information.

5-89    REMOVAL OF LIMITED TO CENTER THRUST LIMITATION FROM THE AMEL RATING. The “Limited to Center Thrust” limitation for the AMEL rating is issued to applicants who complete the practical test for the AMEL rating in an aircraft that does not have a manufacturer’s published VMC. The following policy is established to ensure that proper and standardized procedures are followed when conducting a practical test for removal of the “Limited to Center Thrust” limitation from the AMEL. When conducting a practical test for the purpose of removing the “Limited to Center Thrust” limitation from the AMEL rating, the applicant must be tested using the current edition of the applicable PTS and per the following conditions:

A.    Private Pilot Certificate. Removal of the “limited to center thrust” limitation at the private pilot certificate level will require an applicant to satisfactorily perform the following areas of operation and tasks from the Private Pilot Practical Test Standards for Airplane (FAA‑S‑8081‑14) during the practical test in a multiengine airplane that has a manufacturer’s published VMC.

Indicates new/changed information.
1)    Area of Operation I: Preflight Preparation, includes:

·    Task H: Principles of Flight - Engine Inoperative.

2)    Area of Operation X: Emergency Operations, includes:

·    Task B: Engine Failure During Takeoff Before VMC (Simulated).

·    Task C: Engine Failure After Lift-Off (Simulated).

·    Task D: Approach and Landing with an Inoperative Engine (Simulated).

3)    Area of Operation XI: Multiengine Operations, includes:

·    Task A: Maneuvering with One Engine Inoperative.

·    Task B: VMC Demonstration.

B.    Commercial Pilot Certificate. Removal of the “Limited to Center Thrust” limitation at the Commercial Pilot Certificate level will require an applicant to satisfactorily perform the following areas of operations and tasks from the current Commercial Pilot Practical Test Standards for Airplane (FAA‑S‑8081‑12) during the practical test in a multiengine airplane that has a manufacturer’s published VMC.

1)    Area of Operation I: Preflight Preparation, includes:

·    Task H: Principles of Flight¾Engine Inoperative.

Indicates new/changed information.
2)    Area of Operation VIII: Emergency Operations, includes:

·    Task B: Engine Failure During Takeoff Before VMC (Simulated).

·    Task C: Engine Failure After Lift-Off (Simulated).

·    Task D: Approach and Landing with an Inoperative Engine (Simulated).

Indicates new/changed information.
3)    Area of Operation X: Multiengine Operations, includes:

·    Task A: Maneuvering with One Engine Inoperative.

·    Task B: VMC Demonstration.

C.    ATP Certificate. Removal of the “Limited to Center Thrust” limitation at the ATP Certificate level will require an applicant to perform satisfactorily the following area of operations and tasks from the current Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Airplane (FAA‑S‑8081‑5), and also the following areas of operation and tasks from the FAA‑S‑8081‑12 during the practical test in a multiengine airplane that has a manufacturer’s published VMC.

1)    From the Airline Transport Pilot and Aircraft Type Rating Practical Test Standards for Airplane (FAA‑S‑8081‑5).
a)    Area of Operation III, Takeoff and Departure Phase, includes:
Indicates new/changed information.

·    Task F: Powerplant Failure During Takeoff.

·    Task G: Rejected Takeoff.

b)    Area of Operation IV, Inflight Maneuvers, includes:

·    Task C: Powerplant Failure¾Multiengine Airplane.

c)    Area of Operation VI, Landings and Approaches to Landings.

·    Task C: Approach and Landing with (Simulated) Powerplant Failure—Multiengine Airplane.

2)    From FAA‑S‑8081‑12.
Indicates new/changed information.
a)    Area of Operation I, Preflight Preparation, includes:

·    Task H: Principles of Flight¾Engine Inoperative.

b)    Area of Operation X, Multiengine Operations, includes:

·    Task A: Maneuvering with One Engine Inoperative.

·    Task B: VMC Demonstration.

NOTE:  For the guidance contained in subparagraph 5-89C, an applicant may use an FSTD that is representative of a multiengine airplane that has a manufacturer’s published VMC and used in accordance with a program approved for a 14 CFR part 142 certificate holder.

5-90    REPEATING MANEUVERS ON PRACTICAL TESTS. A maneuver that is not performed to the required standard during a practical test may not be repeated unless one of the following conditions applies:

A.    Discontinuance. Discontinuance of a maneuver for valid safety reasons (e.g., a go‑around or other procedure necessary to modify the originally planned maneuver).

B.    Collision Avoidance. Inspector intervention on the flight controls to avoid another aircraft the applicant could not have seen due to position or other factors.

C.    Misunderstood Requests. Legitimate instances when applicants do not understand an inspector’s request to perform a specific maneuver. An applicant’s failure to understand the nature of a specified maneuver being requested is not grounds for repeating a maneuver.

D.    Other Factors. Any condition under which the inspector was distracted to the point that he or she could not adequately observe applicant performance of the maneuver (e.g., radio calls, traffic).

5-91    ACCIDENTS AND INCIDENTS DURING PRACTICAL TESTS.

A.    Inspector’s Responsibilities. In the event that an accident or incident should occur during a practical test, the inspector must follow the prescribed procedures in Volume 7, Chapter 1, Section 1. The safeguarding of lives and property should be the highest priority following an accident or incident.

B.    Additional Procedures. In addition to the procedures in Volume 7, Chapter 1, Section 1, the inspector must observe the following procedures in the event of an accident or incident during a practical test:

1)    Do not make any statements to investigators, such as National Transportation Safety Board (NTSB) representatives, other inspectors, FAA attorneys, or reporters as to the course or circumstances of the accident/incident without clearance from the FAA Office of the Chief Counsel for Litigation and General Law (AGC‑400).
2)    Refer reporters, if any, to the FAA Office of Public Affairs.
3)    Call AGC‑400 as soon as practical after involvement in an accident/incident.
4)    Call the regional communications center as soon as practical after involvement in an accident or incident.
Indicates new/changed information.

5-92    DOCUMENTATION PHASE. There are documentation requirements that must be completed after each phase of the testing process. Documentation requirements are specified in the section applicable to each certificate and are listed on appropriate job aids. After completing all phases of the testing process, the inspector or examiner shall complete a Program Tracking and Reporting Subsystem (PTRS) entry. The inspector or examiner shall collect the required documents and attach them to the completed application form. Inspectors shall forward the certification paperwork through their supervisors to AFS‑760. Examiners shall forward the appropriate certification paperwork to the appropriate certificate‑holding district office (CHDO).

Figure 5-8.     Reserved

Figure 5-9.     Reserved

Figure 5-10.   Examples of Certificate Endorsements for Aircraft That Are Incapable of Performing Certain Tasks on a Practical Test

A.    The person is using a Cessna 336 to add an Airplane Multiengine Land (AMEL) rating onto a commercial pilot certificate for which the applicant already holds an Airplane Single‑Engine Land (ASEL) rating. This airplane does not have a minimum controllable airspeed with the critical engine inoperative (VMC) established by the manufacturer and thus cannot perform the VMC demonstration task. Specific guidance on the limitations to place on the applicant’s pilot certificate is as follows:

Commercial pilot

ASEL and AMEL limited to center thrust

NOTE:  When the applicant completes a commercial pilot practical test in a multiengine airplane that has a published VMC, the limitation may be removed.

B.    The person is using a Cessna 336 to add an airplane multiengine rating onto a Flight Instructor Certificate for which the applicant already holds an Airplane Single Engine (ASE) rating. No limitations need to be placed on the applicant’s Flight Instructor Certificate since the person’s Flight Instructor Certificate is limited by the privileges on his or her pilot certificate (refer to Title 14 of the Code of Federal Regulations (14 CFR) part 61, § 61.195(b)). Therefore, an applicant who applies for an airplane multiengine rating to be added on his or her Flight Instructor Certificate and performs the practical test in a Cessna 336 and whose Commercial Pilot Certificate contains the “Limited to Center Thrust” limitation would be also be held to that limitation when flight instructing. The Flight Instructor Certificate would still read as follows:

Flight instructor

ASE and airplane multiengine

Valid only when accompanied by pilot certificate No. 12345678

Expires 02/28/2000.

NOTE:  To flight‑instruct in a multiengine airplane that has a VMC established by the manufacturer, the person would merely need to complete training and certification at a pilot certificate level of at least the commercial pilot level in a multiengine airplane that has a published VMC, and then the limitation would be removed from his or her pilot certificate.

C.    The person is using a Cessna 337 to qualify for an additional AMEL rating onto his or her existing private pilot certificate and instrument privileges in a multiengine airplane for which the applicant already holds an ASE rating and instrument airplane rating. This airplane does not have a VMCestablished by the manufacturer and thus cannot perform the tasks “Engine failure during straight and level flights and turns” and “Instrument approach one engine inoperative.” Specific guidance on the limitations to place on the applicant’s private pilot certificate is as follows:

Private pilot

ASEL and AMEL Limited to Center Thrust

Instrument - Airplane

NOTE:  When the applicant completes the training, endorsements, and the instrument tasks required by the practical test standards (PTS) in a multiengine airplane that has a published VMC, the limitation may be removed.

D.    The person is using an Ercoupe 415B for a private pilot certificate for an ASEL rating. This airplane does not have published stall speeds and cannot perform the stall or spin task. Specific guidance on the limitations to place on the applicant’s private pilot certificate is as follows:

Private pilot

ASEL limited to Ercoupe 415

Indicates new/changed information.

NOTE:  When the applicant completes a private pilot practical test in a single engine airplane that has published stall speeds and stalling capabilities, the limitation may be removed.

Figure 5-11.     Letter of Discontinuance

FAA Letterhead

[date]

[applicant’s name and address]

Dear [applicant’s name]:

On this date, you successfully completed the oral portion of the practical test for a [indicate grade] certificate with an [indicate category] and [indicate class] class rating. The practical test was discontinued because of [indicate reason].

If application is made by [indicate date 60 days from date of letter], this letter may be used to show the following portions of the practical test which have been completed satisfactorily:

[Indicate areas of operation completed on the test.]

After [indicate expiration date], you must repeat the entire practical test.

Sincerely,

[signature of inspector conducting practical test of examiner candidate]

Indicates new/changed information.

RESERVED. Paragraphs 5‑93 through 5‑110.




VOLUME 5  Airman certification

CHAPTER 5  Title 14 CFR PART 65—AIRMEN OTHER THAN FLIGHT CREWMEMBERS

Section 4  Certificate Part 65 Repairman/Added Privileges

5-1191    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Maintenance: 3510.

B.    Avionics: 5510.

5-1192    OBJECTIVE. This section provides guidance and describes procedures for certificating applications for repairman certificates and added privileges in accordance with Title 14 of the Code of Federal Regulations (14 CFR) part 65, § 65.103.

5-1193    GENERAL.

A.    Eligibility. Applicants for repairman certification are employed by repair stations or air carriers. Practical experience of at least 18 months or formal training appropriate for the position, as well as the satisfaction of the Administrator, are the basis for issuance of a repairman certificate. Applicants must be at least 18 years of age and able to read, write, speak, and understand English.

B.    Personnel Requirements. According to 14 CFR part 121, § 121.709; part 135, § 135.443; and part 145, § 145.159, an applicant may choose to use repairmen to meet the applicable personnel requirements within the air carrier or repair station. This use is limited to the specific job for which the air carrier or repair station has employed the person to perform or supervise.

1)    Repairman certificates are not required for repair stations located outside the United States.
2)    An air carrier or repair station may assign an applicant employee to a position requiring at least one of the following:

·    Responsibility for the work of a shop or department that performs maintenance;

·    Authorization to sign the Airworthiness Release, Maintenance Record Entry according to the air carrier’s manual, or authorization for return to service for the repair station in accordance with the repair station manual; or

·    Performance of inspections required by the air carrier’s manual, if applicable.

3)    A repairman employed by an air carrier that also holds a repair station certificate may apply for one certificate if the duties are the same in both operations. The Airmen Certification Branch (AFS‑760) will issue one certificate with the same privileges listing each operation in the limitations section. If a repairman is employed at either the operator or the repair station and subsequently wishes to be added to the other, certification will be handled as an added privilege.
4)    A repairman employed and certificated by more than one repair station or by more than one operator, where the employers are distinctly different business entities, will need a separate airman certificate for each repair station or operator.
5)    A repairman employed by a repair station using stations at different locations may serve in any station in that system in accordance with part 145, § 145.107(b).

C.    Required Documentation. With each request for a certificate/rating, an applicant should submit the following:

1)    One copy of Federal Aviation Administration (FAA) Form 8610‑2, Airman Certificate and/or Rating Application, with items I through IV completed. Applicants should check the box for “Repairman Certificate” and indicate the privileges sought.
Indicates new/changed information.
2)    One completed Pilot’s Bill of Rights (PBR) Written Notification of Investigation contained in Figure 7-23, Written Notification to an Airman Applicant, of Volume 7, Chapter 8, Section 1.
3)    A positive form of picture identification, such as a current driver’s license, current passport, or current military ID presented in person at the time of application and temporary certificate issue. The provided identification must include the applicant’s signature and residential address. Aviation safety inspectors (ASI) should record the identification method in the remarks section on the back of FAA Form 8610-2 along with any noted expiration date.
4)    A letter of recommendation from the applicant’s employer clearly stating that the applicant meets the requirements of 14 CFR part 65, § 65.101. The letter should describe the specialized jobs the applicant will perform or supervise as a repairman.

D.    Ratings. Ratings for an applicant employed by an air carrier or repair station should coincide with ratings issued at the repair station limited to the specific job for which the person is employed to perform or supervise.

1)    In no instance should anyone issue a repairman certificate with an airframe and/or powerplant rating to circumvent the process of obtaining a mechanic certificate. If someone has issued a repairman certificate with airframe and/or powerplant ratings, request that the airman surrender the certificate. Issue a repairman certificate with the appropriate privileges and limitations.
2)    Reserve repairman certificates for applicants that have special skills, such as:

·    Argon heliarc welding,

·    Cylinder plating,

·    Nondestructive testing,

·    Propeller overhaul,

·    Electrical system analysis and repair (reserve this type of certificate for specific systems only, such as flight guidance data bus and power distribution), or

·    Radio and/or instrument repair (for these repairman certificates, you may enter the applicable privileges as “radio and instrument” or “radio” or “instrument”).

NOTE:  This list is not all-inclusive. It provides examples of skills whose scope is in keeping with a repairman rating.

5-1194    COORDINATION REQUIREMENTS. This task may require coordination between maintenance and avionics ASIs.

5-1195    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Advisory Circular (AC) 65‑24, Certification of a Repairman (General).

·    FAA Order 8900.2, General Aviation Airman Designee Handbook.

Indicates new/changed information.

·    Volume 7, Chapter 8, Section 1, General.

B.    Forms:

·    FAA Form 8610‑2, Airman Certificate and/or Rating Application.

·    FAA Form 8060‑4, Temporary Airman Certificate.

Indicates new/changed information.

·    Written Notification to an Airman Applicant (Volume 7, Chapter 8, Section 1, Figure 7-23), in the Pilot’s Bill of Rights (PBR) Written Notification of Investigation.

C.    Job Aids:

·    Table 5-4, Instructions for Completing FAA Form 8610-2.

·    Figure 5-137A, Sample Temporary Airman Certificate (Repairman).

·    Figure 5-137B, Sample Application Form (Repairman).

·    Figure 5-137C, Sample Letter of Recommendation (Repairman).

·    Figure 5‑138, Instructions for Completing a Temporary Airman Certificate.

·    Job Task Analysis (JTA) 3.1.23, Issue a Repairman Certificate or Added Privilege.

5-1196    PROCEDURES.

A.    Verify Eligibility. Ensure that the applicant is at least 18 years of age and reads, writes, speaks, and understands English.

NOTE:  All applicants for airman certificates must apply in person and present positive identification at the time of application. Such identification must include an official photograph of the applicant, the applicant’s signature, and the applicant’s residential address, if different than the mailing address. Acceptable forms of identification include a valid U.S. current driver’s license, current passport, or current military identification. Record this information in the remarks section of FAA Form 8610‑2 along with any noted expiration date.

B.    Review Application and Letter of Recommendation.

1)    Ensure that the applicant checks the box for Repairman Certificate and indicates the privilege(s) sought on the front of FAA Form 8610‑2. Determine if the applicant meets the requirements of part 65.

NOTE:  AFS‑760 no longer requires that the “Applicant’s Certification,” A or B, on the reverse side of FAA Form 8610‑2, be filled out for a Repairman Certificate unless the date of issue on the temporary certificate and the applicant’s certification in block IV are not the same.

NOTE:  The date on the temporary certificate and the date of the applicant’s certification statement on either the front side (section IV) or back side (A and B) of FAA Form 8610-2 (as applicable) must coincide.

NOTE:  The temporary certificate FAA Form 8060-4 provided to the applicant may be completed in dark ink and hand written, however the temporary certificate provided to AFS-760 must be typewritten.

2)    Verify that the letter of recommendation contains the following elements:

·    A statement certifying that the applicant meets the requirements of the privilege(s)/limitation(s) sought (e.g., “John Doe has met the requirements under 14 CFR § 65.101.”), and

·    A statement recommending the applicant for the privilege(s)/limitation(s) sought (e.g., “Mr. John Frank Johnson is being recommended for radio and instrument ratings.”).

3)    Ensure the repairman ratings shown on the temporary airman certificate match the ratings shown in the letter of recommendation.

NOTE:  “Duties” do not need to be shown in the Letter of Recommendation, only the appropriate repairman ratings that coincide with the repairman ratings sought and shown on the FAA Form 8060‑4, Temporary Airman Certificate.

4)    It is acceptable for the letter of recommendation to show the applicant’s identification method.
Indicates new/changed information.
5)    FAA inspectors must complete their portion of the documentation of the applicant’s receipt of the written notifications (Volume 7, Chapter 8, Section 1, Figure 7-23) regardless of whether the applicant signs the acknowledgment of receipt.

Table 5-4     Instructions for Completing FAA Form 8610-2

Section I -Applicant Information:

A.  Name: First, Middle, Last – Applicant must enter his/her legal name.

B.  Social Security Number – Disclosure of the Social Security number is optional; however, item B cannot be left blank. Enter a U.S. Social Security number, “DO NOT USE,” or “NONE.”

Indicates new/changed information.

C.  DOB – Applicant must enter his/her date of birth using 8-digit format Month/Day/Year (MM/DD/YYYY).

D.  Height – Applicant must enter his/her height in inches.

E.   Weight – Applicant must enter his/her weight in pounds.

F.   Hair – Applicant must spell out his/her hair color. Acceptable colors are bald, brown, black, blond, gray, and red.

G.  Eyes – Applicant must spell out his/her eye color. Acceptable colors are brown, black, blue, hazel, gray, and green.

H.  Sex – Enter M for male or F for female.

I.    Nationality (Citizenship) – Applicant enters the country in which he/she maintains citizenship.  If dual citizenship, enter one on the application and the certificate will show the other as a limitation (e.g., “Dual citizenship includes Canada.”).

J.    Place of Birth – Applicant enters the city and state if born in the United States. If the city is unknown, enter the county and state. If the applicant was born outside the United States, enter the name of the city and country, or province and country. If the applicant was not born in a city and country or a province and country, enter that information in the “REMARKS” area.

K.  Permanent Mailing Address – Applicant enters the number and street, city, State, and ZIP Code.

NOTE:  A post office address is not acceptable for the purpose of applying for an airman certificate, unless the applicant resides on a rural route, a boat, or in some other manner that requires the use of a post office box, rural route, or a personal mailbox for an address. If the applicant uses a P.O. Box, rural route, personal mailbox, or business address as the preferred mailing address, the applicant must furnish a map or written directions to his/her residence or furnish the actual residence address.

NOTE:  These directions are not required for APO/FPO type addresses.

L.   Have you ever had an airman certificate suspended or revoked? – Applicant must check either the YES box or the NO box. (A student pilot certificate is a pilot certificate.)

M.  Do you now, or have you ever, held an FAA airman certificate? – Applicant must check either the YES box or the NO box. If YES, specify the type of certificate held.

Indicates new/changed information.

N.  Have you ever been convicted for violation of any federal or state statutes pertaining to narcotic drugs, marijuana, and depressant or stimulant drugs or substances? – Applicant must check either the YES box or the NO box. If YES, the applicant must give the DATE OF FINAL CONVICTION using 8-digit format Month/Day/Year (MM/DD/YYYY). Refer to § 65.12.

Section II – Certificate or Rating Applied for on Basis of:

The applicant shall check Box C – Letter of Recommendation

Section III – Record of Experience:

Indicates new/changed information.

The applicant completes the “FROM” and “TO” boxes (under “Dates – Month and Year”) by entering his/her dates of employment, using 6-digit format Month/Year (MM/YYYY). The applicant must have at least 18 months of experience or formal training acceptable to the Administrator to be eligible for a repairman certificate.

Indicates new/changed information.

NOTE:  If the dates are close to the 18-month requirement, AFS-760 requires the 8-digit format Month/Day/Year (MM/DD/YYYY) that will have to be hand written in.

The applicant then enters the employer’s name and location (city and state) and the type of work performed. If the applicant is applying based on formal training, then he/she should indicate a statement in this area or as an attachment.

Section IV – Applicant’s Certification:

Item A – Signature: The applicant signs FAA Form 8610-2 as he/she normally signs his/her name above or beside his/her typed or printed name. For verification purposes, the inspector will require the applicant to provide identification showing a photograph. (e.g., a current driver’s license, current military identification, current passport, etc.). Record the name and number of the document used for verification in the “REMARKS” section.

NOTE:  If the applicant uses a driver’s license as the verification method, the “REMARKS” section must include the state that issued the license and expiration date.

5-1197    TASK OUTCOMES.

A.    Complete the PTRS Record.

B.    Issue Certificate. When you have determined that the applicant meets all the requirements for certification, sign the application as approved and complete FAA Form 8060‑4, Temporary Airman Certificate, in duplicate.

Indicates new/changed information.

NOTE:  The inspector’s approval date must be the same date as shown on the temporary certificate, using 8-digit form Month/Day/Year (MM/DD/YYYY) for both dates.

1)    The term “Pending” on FAA Form 8060‑4 is a valid certificate number when the applicant has not held a permanent numbered certificate. Otherwise, enter the permanent certificate number.
2)    Do not use Social Security numbers.

NOTE:  The reverse side of FAA Form 8060‑4 contains conditions of issuance and further states it is an interim certificate subject to approval of the FAA pending issue of a certificate of greater duration. As such, the FAA considers the use of “Pending” during this interim period equivalent to a digital numbered certificate for the purpose of the recording requirements found in 14 CFR part 43.

3)    Check the “Airman Information” portion of the National Vital Information Subsystem (NVIS) to determine whether the applicant already possesses a certificate. An applicant seeking added privileges to a specific certificate must surrender the applicable superseded certificate held at the time of application approval.
4)    Give the applicant a copy of FAA Form 8060‑4. Both the applicant and the ASI must print and sign this form.
Indicates new/changed information.
5)    Complete the “FAA Inspector’s Report” portion on the reverse side of FAA Form 8610‑2. Ensure you have marked the “Approved” box, along with the approval date (same date and 8-digit format as the Temporary Airman Certificate), inspector’s printed name, signature, and the FAA district office. Ensure you have shown the airman’s method of identification in the “Remarks” section.

NOTE:  If the FAA Form 8610-2 is on a two-page application (duplex printing was not used), ensure the airman’s name, certificate number or pending and date of birth is annotated on the second page.

NOTE:  Mark the “Approved” box when the temporary certificate is issued.

6)    Send the following to AFS-760:

·    The original FAA Form 8610‑2,

·    The letter of recommendation,

·    The airman certificate (for an added privilege, as applicable),

Indicates new/changed information.

·    PBR written notification of investigation, and

·    The original FAA Form 8060‑4.

C.    Deny Certificate. If you disapprove the application, return it to the applicant with a letter explaining the denial. The ASI must sign, date, enter the “FAA District Office” identifier and check the “Disapproved” box within the “FAA Inspector’s Report” area on page 2 of the FAA Form 8610-2.

5-1198    FUTURE ACTIVITIES.

A.    Records Review. Review repair station and air carrier records to determine if the scope of the applicant’s employment is consistent with the job described in the letter of recommendation.

B.    Surrendered Certificates. Send airman certificates surrendered in accordance with § 65.15(c) to AFS‑760 with a brief statement relating to the circumstances.

NOTE:  Due to the new scanning system at AFS-760, you must annotate all cancellation requests with only one airman per page. AFS-760 can no longer accept a list of repairmen for cancellation. AFS-760 will return all lists to the Flight Standards District Office (FSDO) for correction.

C.    Change of Address, Name, Gender, or Nationality.

1)    Change of Address. The holder of an airman certificate issued under part 65 must notify the FAA in writing within 30 days after any change in permanent mailing address. The certificate holder may submit the change of address by using Aeronautical Center (AC) Form 8060‑55, Change of Address, a letter, or the online services on the AFS-760 Web site (http://www.faa.gov/licenses_certificates/airmen_certification/). Also, ensure the certificate holder furnishes directions or a map if using a post office box or rural route.
Indicates new/changed information.
2)    Change of Name. The certificate holder must make the application for a name change on a certificate in person at a FSDO. The certificate holder makes the application by completing section I and section IV of FAA Form 8610‑2, and a PBR written notification of investigation. The application package should include appropriate documents verifying the change, such as a court order stating name or gender change, copy of marriage license, divorce decree, birth certificate, or other state-approved document upholding the name change. The applicant’s current certificate should accompany the application. Issue the applicant a temporary certificate for use while awaiting the changes.
Indicates new/changed information.
3)    Change of Gender. The certificate holder must make an application for a change of gender on a certificate in person at a FSDO. The certificate holder makes this application by completing FAA Form 8610-2, and a PBR written notification of investigation. The application package should include:
a)    A court order issued by a court of the U.S. or its territories stating that the applicant has changed his/her gender, or
b)    A statement from a physician or clinical psychologist treating the applicant that contains:

·    Identification of the applicant by name and address, or

·    Verification that the applicant is undergoing treatment that has altered or will alter the applicant’s gender, and

c)    The applicant’s current certificate. Issue the applicant a Temporary Airman Certificate to use while awaiting the changes.
Indicates new/changed information.
4)    Change of Nationality. The certificate holder must make an application for a change to nationality in person at a FSDO. The certificate holder makes this application by completing FAA Form 8610-2, and a PBR written notification of investigation. The application will indicate the name and location of the court, the date of naturalization, and the docket number. Under no circumstances will anyone copy the naturalization papers. The applicant’s current certificate should accompany the application. Issue the applicant a Temporary Airman Certificate to use while awaiting the changes.

D.    Reconstruction of Lost Certification Files.

Indicates new/changed information.
1)    A copy of the original FAA Form 8610-2 and FAA Form 8060-4, with signature on both forms, is required. If no copy exists, provide the information that appeared on the original application on a new FAA Form 8610-2 and FAA Form 8060-4, complete with new signatures but with the original dates (applicant and inspector), and a PBR written notification of investigation.
2)    In the upper right-hand block of the FAA Form 8610-2, Airman Certificate and/or Rating Application, place the wording “Reconstructed File” in red ink.
3)    Forward all information regarding the certification file through the FSDO to: FAA, Attn: Airmen Certification Branch (AFS-760), P.O. Box 25082, Oklahoma City, OK 73125-4940.

NOTE:  You do not need to mail an emergency field-issue temporary certificate with the reconstructed file package. You can maintain these at the FSDO.

Figure 5-137A.    Sample Temporary Airman Certificate (Repairman)

Title: Figure - Description: Figure 5-137A, Sample Temporary Airman Certificate (Repairman)

Figure 5-137B. Sample Application Form (Repairman)

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

Title: Figure - Description: Figure 5-137B, Sample Application Form (Repairman)

Figure 5-137B.     Sample Application Form (Repairman) (Continued)

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

Title: Figure - Description: 5-137B, Sample Application Form (Repairman) (Continued)

Figure 5-137C.     Sample Letter of Recommendation (Repairman)

XYZ Airlines
1234 Airport Road
Anywhere, USA 23250

Phone: (404) 305-7200
Fax:     (404) 305-7201

Mr. Joe Inspector
FAA FSDO EA 21
0000 Huntsman Rd
Richmond, VA 23250

XYZ Airlines would like to recommend John Howard Brown for certification as a Repairman with ratings of Radio and Instrument.

Mr. Brown has demonstrated his abilities in the areas of radio components and instrument components. His duties and responsibilities include technical supervision of technicians performing repairs at this location.

Mr. Brown meets the qualification requirements of Title 14 of the Code of Federal Regulations (14 CFR) part 65, § 65.101.

Sincerely,

[signature]

Figure 5‑138.     Instructions for Completing a Temporary Airman Certificate

To issue FAA Form 8060-4, Temporary Airman Certificate, for an application to work at a repair station/air carrier, fill out the form as indicated below:

A. In Item III, type the word “Pending.” As of June 2002, all original certificates will be assigned a unique certificate number. Enter “Pending” if original. A unique nine-digit certificate number will be assigned; do not use a social security number as a certificate number.

B. In Item IX, type the word “Repairman.”

C. In Item XII, type the following: “Certificate privileges of 14 CFR part 65, § 65.103 valid for [applicable privileges] while employed by [name of repair station or air carrier, city, state].”

D. In Item XIII, type the repair station or air carrier certificate number.

E. Check the box for an original issuance or the box for a reissuance of certificate, whichever is applicable.

F. If an added rating or an exchange, ensure the date of superseded certificate is shown.

G. In Item X, ensure the date of issuance is the same as the inspector’s approval date in the “FAA Inspector’s Report.”

H. In Item X, ensure the inspector printed his/her name, signed his/her name, and provided the region identifier and FAA district office identification.

I. The term “PENDING” on the FAA Form 8060-4 is a valid certificate number when the applicant has not held a permanent numbered certificate. Otherwise, enter the permanent certificate number.

Forward all information regarding the certification file through the FSDO to:

FAA

Airmen Certification Branch, AFS-760

P O Box 25082

Oklahoma City, OK 73125-0082

RESERVED. Paragraphs 5‑1199 through 5‑1215.




VOLUME 6  SURVEILLANCE

CHAPTER 9  PART 145 INSPECTIONS

Section 24  Surveillance of a Repair Station Located in the United States for an EASA Part 145 Approval Under the U.S./EU Aviation Safety Agreement

6-2125    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Maintenance: 3669.

B.    Avionics: 5669.

6-2126    OBJECTIVE. This section provides guidance to aviation safety inspectors (ASI) on the procedures used to conduct surveillance and inspections of Title 14 of the Code of Federal Regulations (14 CFR) part 145 repair stations located within the United States that hold a European Aviation Safety Agency (EASA) Part 145 approval. ASIs must use this section with the Maintenance Annex Guidance (MAG). However, the MAG supersedes this section if conflicts exist between the two documents. The ASI should also accomplish surveillance per the ASI’s annual work program for surveillance of 14 CFR part 145 repair stations located in the United States.

6-2127    BACKGROUND.

A.    U.S./EU Aviation Safety Agreement.

1)    The Agreement, which was signed on June 30, 2008, is between the United States and the European Union (EU) to cooperate in regulating civil aviation safety. The Agreement’s official title is “Agreement Between the United States of America and the European Community on Cooperation in the Regulation of Civil Aviation Safety.” The Agreement contains two annexes. Annex 1 addresses airworthiness and environmental certification, and Annex 2 pertains to maintenance. This section focuses on the Federal Aviation Administration’s (FAA) responsibilities with respect to Annex 2.
2)    The Agreement enables the FAA and EASA to use their surveillance systems interchangeably, minimize duplication of efforts, increase efficiency, and conserve resources as much as possible. The Agreement calls for successful completion of regularly scheduled FAA inspections. The FAA and EASA must be satisfied that repair stations located in the United States and EU-based Approved Maintenance Organizations (AMO) meet the conditions of Annex 2.
3)    Annex 2 enables EASA and the FAA to accept each other’s standards, systems, and approvals relating to repair stations located in the United States and EU‑based AMOs that maintain civil aviation products. Annex 2 also explains how to establish points of communication and cooperation when urgent or unusual situations develop.

B.    MAG. The MAG is the general term for the document’s official title, which is “Maintenance Annex Guidance Between the Federal Aviation Administration for the United States of America and the European Aviation Safety Agency for the European Union.” The MAG, a separate document from the Agreement, explains how to implement the Agreement and its Annex 2.

NOTE:  Both the MAG and the Agreement are located at http://www.faa.gov/aircraft/repair.

6-2128    SPECIAL CONDITIONS. A certificated U.S.-based repair station performing maintenance, preventive maintenance, and alterations on European-registered aircraft and parts must comply with the special conditions identified in Section A of the MAG. The repair station must also hold an EASA Part 145 approval. The repair station’s annual surveillance should include the EASA special conditions and evidence-of-need requirements. Surveillance of a repair station must also satisfy FAA and EASA conditions per the MAG.

6-2129    PREREQUISITES AND COORDINATION REQUIREMENTS.

A.    Prerequisites:

·    Knowledge of 14 CFR parts 43 and 145 requirements;

·    Knowledge of EASA Part 145 approval requirements of repair stations located in the United States;

·    Previous experience with certification or surveillance of 14 CFR part 145 repair stations;

·    Completion of FAA Course FAA21058, Certification and Surveillance of Part 145 Repair Stations; and

·    Completion of Web-based FAA Course FAA27100066, Understanding the U.S./EU Aviation Safety Agreement.

B.    Coordination. This task requires coordination with:

·    The applicant repair station;

·    The applicant repair station’s ASI (this could include the principal maintenance inspector (PMI) or principal avionics inspector (PAI));

·    An FAA regional EASA coordinator; and

·    FAA headquarters (HQ), Regional Offices (RO), and district offices, as appropriate.

6-2130    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Title 14 CFR Parts 43 and 145.

·    FAA Order 8900.1, Volumes 2, 6, and 12, as appropriate.

·    Advisory Circular (AC) 00-58, Voluntary Disclosure Reporting Program.

·    Agreement Between the United States of America and the European Community on Cooperation in the Regulation of Civil Aviation Safety (the Agreement).

·    Maintenance Annex Guidance Between the Federal Aviation Administration for the United States of America and the European Aviation Safety Agency for the European Union (the MAG).

B.    Forms:

·    FAA Form 8000-4, Air Agency Certificate.

·    FAA Form 8000-4-1, Repair Station Operations Specifications (OpSpecs).

·    EASA Form 3, Approval Certificate.

·    EASA Form 9, FAA Status Report on EASA Approved Part 145 Repair Station, or EASA Form 16, Application Form.

C.    Job Aids:

·    Part 145 Repair Station Inspection Checklist at http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs300.

·    EASA Form 9 at http://easa.europa.eu/approvals-and-standardisation/organisation-approvals/CAO-foreign-part-145-organisations-located-in-the-united-states.php.

·    Repair Station Assessment Tool (RSAT) at https://apt.avs.faa.gov/.

·    Risk management process (RMP) at https://apt.avs.faa.gov/.

6-2131    REPORTING CHANGES TO THE EASA PART 145 APPROVAL. During the repair station’s 2‑year EASA approval period, the ASI must report to EASA any change in the status of the repair station’s 14 CFR part 145 certificate per the MAG, Section B, Part III. If changes require surveillance, complete EASA Form 9. This step will ensure continued compliance with EASA requirements.

NOTE:  ASIs must still process an enforcement action for findings of noncompliance to 14 CFR. If ASIs find noncompliance of any EASA special conditions, but not a violation of 14 CFR part 145, they cannot process an enforcement action against the special condition.

6-2132    DOCUMENTATION REQUIREMENTS. The Flight Standards District Office (FSDO) will retain repair station EASA records, including a copy of the EASA supplement, for 5 years.

6-2133    SURVEILLANCE.

A.    Conduct an In-Briefing. Brief the certificate holder on the purpose of the inspection. This in-brief may take place at the beginning of the inspection or at the beginning of each day. The ASI can find detailed instructions for conducting this briefing in Volume 6, Chapter 9, Section 5.

B.    Surveillance of Repair Stations Holding an EASA Approval. The ASI will conduct surveillance per the MAG using EASA Form 9.

NOTE:  Surveillance performed using the FAA Part 145 Repair Station Checklist is required for EASA renewal.

NOTE:  Per the Agreement, EASA recognizes the FAA self-disclosure process when a repair station meets the guidance provided in AC 00‑58. Freedom of Information Act (FOIA) restrictions will not apply to EASA notification of a corrective action plan (CAP). The findings may directly impact the repair station’s EASA certificate. Complete EASA Form 9, which identifies the findings, and attach the CAP.

C.    Prepare, Review, and Complete EASA Form 9. The ASI must use EASA Form 9 during surveillance of the repair station. All items in EASA Form 9 must have applicable blocks marked “Yes,” “No,” or “N/A.” For a block marked “No,” the ASI must identify the finding and/or corrective action on the last page of EASA Form 9 in the findings/discrepancies block “Non-recommendation.”

D.    Analyze and Document Any Deficiencies.

1)    If ASIs note deficiencies, they must brief an appropriate representative of the repair station at the end of the inspection, confirm any findings, and notify the repair station in writing. The ASI can find detailed instructions for conducting this briefing in Volume 6, Chapter 9, Section 5.
2)    The ASI may allow the repair station to submit a plan for corrective action, depending on the nature of the deficiencies. The ASI will accept the CAP, if satisfactory, and file it with the completed EASA Form 9. The CAP should not exceed 6 months. ASIs can find additional information on the CAP acceptance in Volume 2, Chapter 11, Section 3.

6-2134    FAA ACTIONS.

A.    Recommendation. Any enforcement action under 14 CFR parts 43 and 145 with an acceptable CAP will not prevent the FAA from providing EASA with a recommendation for renewal of the repair station’s EASA Part 145 approval. The CAP must be attached to EASA Form 9. EASA recommends that the following items should not prevent a positive recommendation to EASA when the repair station has taken corrective action, or has submitted a plan for corrective action that the FAA has accepted:

·    Serious failure to comply with EASA requirements;

·    Overall failure to comply with the EASA special conditions;

·    Failure to use FAA-approved data for major repairs/alterations/modifications; and

·    Failure of the repair station to maintain a working quality assurance (QA) system.

B.    Non-Recommendation. The FAA shall provide EASA with a non-recommendation when the FAA has found significant safety issues using the above criteria, and either corrective action has not been taken, or the FAA has not accepted a plan for corrective action. EASA may elect not to authorize renewal of the approval, or suspend/limit an EASA approval, until either corrective action has taken place, or a plan for corrective action has been accepted by the FAA and submitted with EASA Form 9.

NOTE:  Termination of FAA certification will result in termination of EASA approval, since EASA certification is based on compliance with 14 CFR part 145 and EASA special conditions. The Agreement obligates the FAA to inform EASA of the termination of the FAA Air Agency Certificate.

NOTE:  The non-recommendation package should contain a Letter of Investigation (LOI) sent by the FAA and an applicant’s response to the LOI, if any. The non-recommendation does not necessarily lead to certificate action by EASA.

6-2135    EXCHANGE OF SAFETY DATA. Article 9 of the Agreement stipulates that the FAA and EASA will exchange, on request and in a timely manner, any information regarding accidents/incidents involving civilian aeronautical products or regulated entities, and other safety information. Per the Agreement, the FAA agrees to share Safety Performance Analysis System (SPAS) data with EASA, restricted to:

·    The repair station’s profile, attached to EASA Form 9, and

·    Information documented in the PTRS related to repair station findings on EASA Form 9.

6-2136    TASK OUTCOMES.

Indicates new/changed information.

A.    Complete the PTRS Record.

1)    Section IV of the PTRS Record. Enter an “E” in the “Primary Area” block. List all deficiencies, findings, and irregularities noted during the inspection, using the appropriate keywords in the drop-down menu of the “Keyword” block. For each keyword used, write a brief description of the concern in the “Comment” block.
2)    PTRS Activity Code 3669/5669, Overall Subsystem Evaluation. In Section I, the “Assessment” block, select the appropriate word picture number 1 through 10 in the drop‑down menu that best describes the condition of the repair station for the completed inspection. Activities closed with an assessment of less than “3” must be resolved using the RMP. For guidance on the use of this tool, see Volume 6, Chapter 9, Section 2, Repair Station Risk Management Process.

B.    Complete the Task. Completion of the task may result in:

·    Sending a letter to the operator documenting all deficiencies and initiating an Enforcement Investigation Report (EIR), if necessary;

·    An assessment rating on the PTRS record of “1” or “2,” which will require initiating an RMP record;

·    Opening the appropriate PTRS record to track deficiency corrective actions; or

·    A satisfactory inspection with no deficiencies.

C.    Document the Task. The ASI will place all supporting paperwork in the certificate holder’s office file, including:

Indicates new/changed information.
1)    The completed applicable section (3669/5669 Activity Code) of the Repair Station Inspection Checklist, which must remain in the certificate holder’s office file until an inspection of this activity code is repeated;
2)    The update to the enhanced Vital Information Database (eVID), as required; and
3)    The completed EASA Form 9. The ASI will send a copy to EASA and the FAA regional EASA coordinator in the renewal year.
Indicates new/changed information.

6-2137    FUTURE ACTIVITIES. The ASI will schedule and conduct follow-up inspections, as applicable.

RESERVED. Paragraph 6‑2138 through 6‑2139.




VOLUME 6  surveiLlance

CHAPTER 14  Technical data

Section 1  Inspect a Maintenance Provider’s Technical Data

6-2956    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Maintenance: 3656.

B.    Avionics: 5656.

6-2957    OBJECTIVE. This section provides guidance for inspecting the data used by persons performing maintenance, preventive maintenance, and alterations to which Title 14 of the Code of Federal Regulations (14 CFR) part 43 applies. This review will confirm the following regarding that data:

·    Definitions of technical data, methods, techniques, and practices acceptable to the Federal Aviation Administration (FAA); and

·    Verification of when technical data must be approved and the availability, currency, and appropriateness of the work being performed.

6-2958    GENERAL. Persons performing maintenance, preventive maintenance, or alterations must use methods, techniques, and practices acceptable to the Administrator (refer to part 43, § 43.13(a)). However, persons approving work on an article for return to service following a major repair or alteration must ensure that the FAA approved the technical data supporting the methods, techniques, and practices (refer to 14 CFR part 43, §§ 43.7(d) and 43.17(e)(2); part 65, § 65.95(a)(1); part 121, § 121.379(b); part 135, § 135.437(b); and part 145, § 145.201(c)).

A.    Maintenance Providers. Persons authorized to perform maintenance, preventive maintenance, and alterations are defined in § 43.3. They include individuals certificated under part 65, certain air carriers certificated under parts 121 and 135, and repair stations certificated under part 145. A manufacturer may approve any aircraft, airframe, aircraft engine, propeller, appliance, or component part for return to service that the manufacturer has worked on under § 43.3(j), however, that manufacturer may not perform maintenance or preventive maintenance without another certificate.

B.    Technical Data. The FAA has determined that technical data consists of the drawings and specifications, including a list of drawings and specifications, necessary to define the configuration and design features of a particular article, repair, or alteration. Typically, this includes information on materials, dimensions, and processes that are necessary to define structural strength, any required airworthiness limitations (AL), and any other data that is necessary to determine the airworthiness, noise characteristics, fuel venting, and exhaust emissions (as applicable) of the altered or repaired aircraft. Technical data also includes test data, engineering analyses, and other engineering information, such as engineering handbooks or approved military or industry specifications. It may also include operational and service experience, maintenance and alteration experience, reliability data, and other documented factual information that are directly applicable to the airworthiness of the article (refer to 14 CFR part 21, § 21.31).

Indicates new/changed information.
1)    The FAA approves technical data through the certification process under part 21 when the FAA issues a design approval. Design approvals include, but are not limited to, type certificates (TC), Supplemental Type Certificates (STC), Parts Manufacturer Approvals (PMA), Technical Standard Order Authorizations (TSOA), and other approvals issued under § 21.8.
2)    Technical data that supports the methods, techniques, and practices used to perform maintenance, preventive maintenance, and alterations can be approved. The approval takes place as part of the certificate process or in support of major repairs and alterations. Examples include a field approval by an FAA inspector authorizing the approval in block 3 of FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller, or Appliance), by a Designated Engineering Representative (DER) on FAA Form 8110‑3, Statement of Compliance with Airworthiness Standards, or pertinent Organization Designation Authorization (ODA) on FAA Form 8100‑9, Statement of Compliance with Airworthiness Standards.
3)    In addition to producing technical data necessary for obtaining a design approval, the holder of a design approval issued after January 28, 1981 must prepare instructions for continued airworthiness (ICA) that contain certain methods, techniques, and practices for performing maintenance, preventive maintenance, and alterations. While some portions of the ICAs are specifically approved, such as the “Airworthiness Limitations” section, most of the ICAs do not require separate FAA approval, rather, the agency understands that those documents contain the acceptable methods, techniques, and practices referenced in § 43.13(a).
Indicates new/changed information.
4)    Manufacturers’ service documents (i.e., maintenance manuals, service bulletins, and service letters) communicate useful information on alterations, repair inspections, etc. Also, the manufacturer may provide service documents to the operator/applicant, upon request, that include statements that the data is “DER approvable” or that the manufacturer has “no technical objection” with the operator/applicant’s request. It is the air carrier’s responsibility to ensure that technical data is acceptable for minor repairs/alterations or approved for major repairs/alterations before implementing the information in these service documents. “No technical objection” and “DER approvable” letters, in most cases, are issued by the manufacturer’s technical representative and have no formal approval process within a manufacturer’s system. The FAA does not accept statements such as “DER approvable” or “no technical objection” without additional supporting data.
5)    Prior to approving a major repair or alteration on an article (aircraft, aircraft engine, propeller, appliance, or component part) for return to service, a maintenance provider (including an air carrier) must ensure that the work was done in accordance with technical data approved by the FAA.
6)    The technical data that supports a major repair or alteration are informally referred to as “approved technical data.” In spite of similarity to the term “acceptable data,” the term “approved technical data” refers to a fundamentally different genre of information. While “acceptable data” refers to how‑to instructions, “approved technical data” refers to the design and other engineering information used to show compliance with the airworthiness standards contained in the certification rules applicable to the product.
7)    The how‑to instructions contained in the design approval holder’s (DAH) ICAs are based on technical data that was approved upon issuance of the design approval. Accordingly, the technical data in which the manufacturer’s (the DAH) ICAs are based do not require further FAA approval prior to approving the work on an article for return to service following a major repair or alteration, provided the data is specific to that repair or alteration.

NOTE:  Technical data alone, however, may not fulfill the requirements of the performance standards set forth in part 43. Drawings, specifications, and other engineering data seldom contain the how‑to instructions (methods, techniques, and practices) for performing maintenance, preventive maintenance, rebuilding, or alterations. For example, it may not contain disassembly, inspection criteria, or repair procedures. A DAH’s ICAs or maintenance information contains methods, techniques, and practices considered acceptable to the FAA based on technical data approved by the FAA.

C.    Methods, Techniques, and Practices Acceptable to the Administrator. Section 43.13(a) requires that maintenance, preventive maintenance, and alterations must be performed using “the methods, techniques, and practices prescribed in the current manufacturer’s maintenance manual or Instructions for Continued Airworthiness prepared by its manufacturer, or other methods, techniques, and practices acceptable to the Administrator...”

1)    The how‑to instructions (methods, techniques, and practices) are informally referred to as “acceptable data.”
2)    While minor repairs or alterations do not need to be supported by FAA‑approved technical data, they are usually based upon such data, particularly when contained in the manufacturer’s ICAs or maintenance or alteration information.
3)    The how‑to instructions do not need to have any specific FAA acceptance or approval as long as the person using them has a reasonable expectation that the FAA will find it acceptable for the purpose for which it was created, when and if the FAA reviews it. In other words, all maintenance, preventive maintenance, rebuilding, and alterations must return an article to at least its original or properly altered condition with respect to the work performed. Therefore, the work must be done in an acceptable manner using methods, techniques, and practices acceptable to the FAA.
4)    As stated in § 43.13(c), for air carriers operating under 14 CFR part 121, 129, or 135 holding operations specifications (OpSpecs) that require the use of a Continuous Airworthiness Maintenance Program (CAMP), the method techniques and practices contained in that carrier’s maintenance manual (or the maintenance part of that air carrier’s manual) are acceptable. Additionally, fractional ownership operators (14 CFR part 91 subpart K (91K)) being maintained under a CAMP must prepare a manual containing maintenance information and instructions in whole (or in part) that is acceptable to the FAA.
5)    The current edition of Advisory Circular (AC) 43.13‑1, Acceptable Methods, Techniques, and Practices—Aircraft Inspection and Repair, also contains acceptable methods, techniques, and practices.

D.    Major Repairs and Alterations. In addition to the general performance rules contained in § 43.13, the regulations governing maintenance providers require that when approving work on an article for return to service following a major repair or alteration, the technical data used to support the methods, techniques, and practices must be approved by the FAA (refer to §§ 43.17(e)(2), 65.95(a)(1), 121.379(b), 135.437(b), and 145.201(c)).

6-2959    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Title 14 CFR Parts 21, 43, 65, 121, 135, 145, and 183; and

·    FAA Order 8100.15, Organization Designation Authorization Procedures.

B.    Forms:

·    FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller, or Appliance);

·    Form 8100‑9, Statement of Compliance with Airworthiness Standards; and

·    Form 8110‑3, Statement of Compliance with Airworthiness Standards.

C.    Job Aids. None.

6-2960    PROCEDURES.

A.    Performing Surveillance. When performing surveillance on a maintenance provider, the principal inspector (PI) should perform the following tasks:

1)    Verify that the appropriate “acceptable data” (methods, techniques, and practices required by § 43.13(a)) are available to the maintenance provider.
a)    Manufacturer’s ICAs/Manuals/Data. The manufacturer’s ICAs, manuals, and other maintenance or alteration information are developed using technical data that was approved during the product’s design approval. These manuals contain approved technical data as well as acceptable methods, techniques, and practices. If the manufacturer’s ICAs, manuals, and other maintenance or alteration information do not specifically cover a repair or alteration, then the maintenance provider must make a determination if the repair or alteration is major.

NOTE:  If deviation from a manufacturer’s maintenance manual is necessary, an assessment will be required to determine if the deviation is major or minor in nature (i.e., would it constitute a major repair or alteration on its own?). Minor deviations will only require method, techniques, and practices that are acceptable to the Administrator. However, if the deviation is deemed major, that technical data must be approved by the FAA prior to approving the product for return to service.

b)    Acceptance/Approval by the Air Carrier. If a maintenance provider is performing maintenance, preventive maintenance, or alterations for an air carrier, then the air carrier must either make the major/minor determination, or the maintenance provider must verify that the air carrier agrees with the determination.
c)    Designee Approved Data. A properly authorized DER may approve technical data supporting major repairs or alterations developed by the maintenance provider. Technical data approved by a DER must contain all of the data necessary to show that the repaired or altered product conforms to the airworthiness standards applicable to that product. In addition, given the proper authorizations, an ODA may also approve technical data supporting major repairs or alterations.

NOTE:  Repair Specification DERs (RS‑DER) and major repair, alteration, and airworthiness (MRA) functions ODA administrators have the authority to approve repair specifications. Repair specifications provide an alternative to the methods, techniques, and/or practices contained in a manufacturer’s manuals, Service Bulletins (SB), or ICAs. They are required when the repair will be used for multiple‑use, non‑serial number‑specific, non‑DAH repairs. They include step‑by‑step, how-to instructions for performing the repair.

d)    Air Carrier’s Approved Technical Data. An air carrier may have a process for the FAA to approve technical data supporting major repairs or alterations. The air carrier has the responsibility to determine if the repair or alteration is major. Once the air carrier determines the repair or alteration to be major, it should provide the maintenance provider with documentation that the technical data supporting that repair or alteration has received approval.
e)    FAA‑Approved Technical Data. FAA data such as Airworthiness Directives (AD), field approvals, repair specifications, and installation instructions emanating from STCs are similar to manufacturer’s maintenance manuals in that they generally contain not only approved technical data, but the methods, techniques, and practices necessary to complete a given maintenance or alteration procedure.
2)    Verify that the technical data is appropriate for the maintenance or alteration being performed.
3)    When performing surveillance on a part 145 certificate holder, verify that the repair station has a procedure under § 145.211(c)(1)(v) for determining that the data required by §§ 43.13(a) and 145.109(d) is current, accurate, and complete.
a)    If the repair station has a contract with a provider for the documents listed in § 145.109(d), it should have instituted a system for ensuring currency and ability to conduct proper work with the new information.

1.    The document/data should be reviewed for any necessary changes to:

·    Housing,

·    Facilities,

·    Tools/tooling,

·    Equipment (including test equipment),

·    Materials,

·    Technical training, and

·    Routers/travelers.

2.    If no changes are necessary, the new data should be implemented as soon as practicable.

3.    If changes need to be implemented, they should be completed within a reasonable timeframe (e.g., 90 days after the receipt of the updated document or data). The implementation timeframe will depend on the complexity of the revision with respect to variables such as procurement of special test equipment, tooling, etc.

b)    If the repair station does not have a contract with a provider of the listed documents and data, it should have instituted a system for ensuring currency and ability to conduct proper work with the new information. The system should ensure the following:

1.    Regular review of the TC/Production Certificate (PC) holders’ Web sites for current publication listings. If the document or data is not contained on or in the TC/PC holders’ listing, the repair station should find the DAH/Production Approval Holder (PAH) (PMA, Technical Standard Order (TSO), etc.) that does list the document. These sources should be checked on a regular interval, but should not exceed a biannual review to determine the current revision level. If the DAH/PAH is no longer in business, the last revision it provided would be considered acceptable to the FAA.

2.    The document/data should be reviewed for any necessary changes to:

·    Housing,

·    Facilities,

·    Tools/tooling,

·    Equipment (including test equipment),

·    Materials,

·    Technical training, and

·    Routers/travelers.

3.    If no changes are necessary, the new data should be implemented as soon as practicable.

4.    If changes need to be implemented, they should be completed within a reasonable timeframe (e.g., 90 days after the receipt of the updated document or data). The implementation timeframe will depend on the complexity of the revision with respect to variables such as procurement of special test equipment, tooling, etc.

NOTE:  The requirements of §§ 145.109(d) and 145.211(c)(1)(v) differ from the requirements of part 43. Due to the specific language in § 43.13(a) that allows use of “other methods, techniques, and practices” the FAA would have to show that the use of the prior version was unacceptable in order to prove a violation. If the FAA could not show how the prior version was unacceptable, the FAA could not prove a violation of this section. The requirement for current data in § 145.109(d) is attained by the repair station by showing compliance with part 43 and having a system for ensuring that the data is not only current but used appropriately under § 145.211(c)(1)(v).

B.    Manufacturer Repair Stations. Repair stations associated with (or part of) a PAH facility often use the DAH’s technical data to perform repairs and alterations. This technical data may not meet the requirements of § 43.13(a) because it may not contain the how‑to instructions (methods, techniques, and practices) necessary to complete the maintenance or alteration action. In addition, caution these repair stations that parts manufactured by the production side of the facility must receive FAA approval through a PMA, TSO, TC/PC, direct ship authority, or other means before being eligible for installation during maintenance or alteration activities.

6-2961    TASK OUTCOMES.

A.    Complete the PTRS Record.

1)    Section IV of the PTRS Record. Enter the appropriate code in the “Primary Area” block. List all deficiencies, findings, and irregularities noted during the inspection using the appropriate keywords that the drop‑down menu of the “Keyword” block allows. For each keyword used, write a brief description of the concern in the “Comment” block.
2)    PTRS Activity Code 3642/5642 or 3656/5656 (overall subsystem evaluation). In section I, the “Assessment” block, select 1–10 in the drop‑down menu that best describes the condition of the maintenance provider for the completed inspection.

B.    Complete the Task. Completion of this task will result in one of the following:

·    Sending a letter to the operator confirming the result of the inspection and initiating an Enforcement Investigation Report (EIR), if necessary; or

·    A satisfactory inspection with no deficiencies.

6-2962    FUTURE ACTIVITIES. Schedule and conduct follow-up inspections (as applicable).

RESERVED. Paragraphs 6‑2963 through 6‑2977.




VOLUME 7  INVESTIGATIONS

chapter 1  ACCIDENT AND INCIDENT INVESTIGATION AND REPORTING

Section 1  Accident Investigations

7-1    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Operations (Operations, Cabin Safety, and Dispatch): 1702/1703/1761.

B.    Maintenance: 3702/3703/3761.

C.    Avionics: 5702/5703/5761.

7-2    COORDINATION REQUIREMENTS. This task requires coordination with unit supervisors, the Regional Operations Center (ROC), the appropriate Flight Service Station (FSS), and the National Transportation Safety Board (NTSB) investigator‑in‑charge (IIC), as applicable. For an accident involving a Title 14 of the Code of Federal Regulations (14 CFR) part 121 air carrier certificate holder, contact a Post Accident Assistance Team (PAAT) for support. The manager of the affected regional Flight Standard division (RFSD) or the office manager of the affected field office may contact Flight Standards National Field Office (AFS‑900) division manager of the need for a PAAT. Paragraph 7‑14 further describes the type of support provided by the PAAT.

NOTE:  For the purposes of this section, the term Flight Standards District Office (FSDO) will be used to describe an FAA field office. Certificate management offices (CMO) and certificate‑holding district offices (CHDO) are considered FAA field offices. Therefore, the acronym FSDO is meant to include CMOs and CHDOs.

7-3    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions):

·    Office Procedures and Policy Manual;

·    Federal Aviation Administration (FAA) Order 1270.1, Freedom of Information Act Program;

·    FAA Order 2150.3, FAA Compliance and Enforcement Program;

·    FAA Order 8020.11, Aircraft Accident and Incident Notification, Investigation, and Reporting; and

NOTE:  The FAA expects aviation safety inspectors (ASI) to be familiar with Order 8020.11 and to have completed part one of Aircraft Accident Investigation training before acting as an FAA IIC during accident investigations.

·    Volume 7, Chapter 7.

B.    Forms. See the FAA Order 8020.11, appendix 1, for a complete listing.

C.    Job Aids. None.

7-4    GENERAL.

A.    Definitions.

1)    Aircraft Accident. An aircraft accident is an occurrence associated with the operation of an aircraft that:

·    Takes place between the time the first person boards the aircraft with the intention of flight and the last person has disembarked;

·    Results in death or serious injury; or

·    Causes substantial damage to the aircraft.

NOTE:  See Title 49 of the Code of Federal Regulations (49 CFR) part 830, § 830.2.

2)    Aircraft Incident. An aircraft incident is an occurrence, other than an accident, associated with the operation of an aircraft that affects or could affect the safety of operations.
3)    Serious Injury. A serious injury is any injury that:

·    Requires hospitalization for more than 48 hours, within 7 days from the date an injury was received;

·    Results in a fracture of any bone (except simple fractures of fingers, toes, or nose);

·    Causes severe hemorrhages and/or nerve, muscle, or tendon damage;

·    Involves second- or third-degree burns, or burns affecting more than 5 percent of the body surface; and

·    Involves damage to any internal organ.

4)    Substantial Damage. Substantial damage is a damage or failure that adversely affects the structural strength, performance, or flight characteristics of the aircraft, and would normally require major repair or replacement of the affected component.
a)    For the purpose of this task, exceptions to this definition include:

·    Engine failure or damage limited to an engine;

·    Bent fairings or cowling;

·    Dented skin or small puncture holes in the skin or fabric;

·    Ground damage to rotor or propeller blades; and

·    Damage to landing gear, wheels, brakes, tires, flaps, engine accessories, or wing tips.

b)    ASIs are urged to fully consider all aspects of these exceptions before making a final “substantial damage” determination that would classify the occurrence as an accident.

B.    Compliance and Enforcement. The FAA compliance and enforcement program promotes aviation safety and protects the public interest by seeking compliance with the regulatory requirements through the use of education, surveillance, and enforcement.

C.    Fair and Equal Treatment. Agency actions, from investigation to disposition, must ensure fair and equal treatment for all involved individuals. This requires FAA employees to approach work objectively and pursue each step of the process without delay.

7-5    AUTHORITIES AND RESPONSIBILITIES.

A.     Title 49 of the United States Code (49 U.S.C.). The NTSB and the FAA are both governed by 49 U.S.C. The NTSB is responsible for conducting investigations into each civil aircraft accident within the United States and is the agency assigned to execute the U. S. Government’s responsibilities under the International Civil Aviation Organization (ICAO) Convention, Annex 13, Aircraft Accident and Incident Investigation. The products of an NTSB investigation are findings, conclusions, a statement of probable cause, and, as appropriate, recommendations.

B.    FAA Responsibilities in the U.S. National Airspace System (NAS). The FAA has responsibilities for the safety of operations in the NAS and for safety of U.S. aircraft and operators outside the NAS. Title 49 U.S.C. § 1132(c) requires the NTSB to provide for the participation of the Secretary of Transportation in any aviation accident investigation conducted by the NTSB. This requirement is also illustrated in 49 CFR part 831, § 831.11(a)(4). The means whereby the NTSB fulfills the statutory and regulatory requirements for FAA participation in an accident investigation is by designating the FAA as a party to the NTSB investigation.

C.    FAA Form 8020-23, FAA Accident/Incident Report. The product of an FAA accident or incident investigation is the FAA Form 8020-23 report. In that report, the FAA IIC makes a determination whether any of the of the FAA’s nine responsibilities (refer to subparagraph 7‑8A) had any bearing on the event. In addition, the completed FAA Form 8020‑23 contains the FAA IIC’s identification of corrective actions planned or initiated. These actions include no action, counseling, the issuance of an FAA Safety Recommendation, re-examination of a certificate holder under 49 U.S.C. § 44709, or the issuance of a Service Difficulty Report (SDR) or Malfunction or Defect Report, or other action that the FAA IIC may identify. FAA Safety Recommendations issued as a result of an accident or incident investigation have initiated rulemaking actions, issuance of Airworthiness Directives (AD), and revision of policies, standards, and procedures.

D.    Flight Standards Inspector Response to Accidents. While the NTSB officially investigates all civil aircraft accidents, and will issue an accident report for each aircraft accident under its jurisdiction, the NTSB often does not travel to the accident scene due to their limited investigator resources. In those cases, the FAA Flight Standards inspector responding to the accident represents the FAA and, as a party to the NTSB investigation, will share information with the NTSB IIC, as required by 49 CFR §§ 831.5 and 831.13.

E.    Other Parties. In addition to the involvement of the NTSB and the FAA, other parties may participate in the investigation of an accident. Company safety personnel, manufacturing representatives, union representatives, and others may be onsite to assist in the investigation. It is important that all personnel involved with the accident investigation be aware of the other parties and their teams in order to establish communication channels for obtaining and exchanging information.

F.    Responsibility for Accident Investigation. This section incorporates information that was previously published in FAA N1100.327, Establishment of the Office of Accident Investigation and Prevention, which established The Office of Accident Investigation and Prevention (AVP). Among AVP’s responsibilities are those for accident investigations, special accident/incident investigations and analyses, the analysis of accident/incident trends, managing NTSB and FAA Safety Recommendation Programs, and establishing FAA accident and incident investigation policy.

Indicates new/changed information.

NOTE:  AVP was formally known as the Office of Accident Investigation (AAI).

NOTE:  The exception is near midair collision (NMAC). Refer to Volume 7, Chapter 4.

7-6    ACCIDENT INVESTIGATION DIVISION (AVP‑1). The Director, AVP‑1, has the overall responsibility to develop FAA policy and procedural instructions for accident investigation and reporting. The primary element of AVP for accident and incident investigation policy is the Accident Investigation Division (AVP‑100). AVP‑100 does the following:

·    Serves as focal point for the Administrator in coordination with the public, aviation industry, military, foreign governments, and representatives of accident investigation interests on those matters under the direct purview of the office;

·    Apprises associate and assistant administrators, regions, centers, and other FAA organizations on safety issues and programs related to accident and incident investigation findings and analyses;

·    Develops, coordinates, manages, evaluates, and executes FAA accident investigation program policies, procedures, practices, and quality assurance (QA) programs;

·    Serves as the primary FAA organization for interaction with the NTSB dealing with accident and incident investigations;

·    Identifies and provides the FAA IIC for major accident and incident investigations (refer to subparagraph 7-6A);

·    Operates the FAA Accident Investigation Duty Room; and

·    Operates the FAA Flight Data Laboratory.

A.    Notification and Coordination Procedures. Headquarters (HQ) is notified through the command centers of an accident. AVP‑100 determines whether AVP‑100 or RFSD personnel will investigate the accident. If AVP‑100 decides to send their own personnel, the regional FAA IIC will remain on the scene to provide support and assistance until relieved by the HQ FAA IIC.

B.    The “Go‑Team.” FAA involvement with the NTSB investigations of accidents or incidents of national or international attention will normally be handled by the Washington HQ, AVP‑100. The FAA investigator coordinates with the NTSB and other divisions within the FAA. This investigator will accompany the NTSB “Go‑Team.” AVP‑100 is responsible for designating the FAA IIC and will determine which accidents AVP‑100 will investigate.

7-7    LEGAL BASIS FOR INVESTIGATIONS. Title 49 U.S.C. provides for FAA participation, as appropriate, in aircraft accident investigations conducted by the NTSB, and contains the two general responsibilities of the FAA pertinent to aircraft accidents and incidents. These responsibilities are as follows:

A.    Recordation, Evaluation, and Prevention of Accidents. To ensure that all facts and circumstances leading to the accident are recorded and evaluated, and that action is taken to prevent similar accidents.

B.    Enforcement of 14 CFR for Certification and Compliance. To promulgate and enforce 14 CFR for certifying civil aircraft airworthiness, for certifying airmen and air carrier certificate holders, for certifying airports used by certificate holders utilizing aircraft with more than 30 passenger seats, and for ensuring compliance with certain safety standards.

C.    Special Circumstances. FAA personnel may encounter special circumstances during an accident or incident investigation. The FSDO and RFSD personnel should consult with AVP‑100 if they encounter any circumstance in which there is a question concerning the FAA’s authority to investigate. Refer to the examples provided in subparagraphs 7‑7C1) and 2).

1)    For example, there is a requirement for the U.S. Military to provide for the participation of the Secretary of Transportation (delegated to the Administrator) in the investigation of an aircraft accident in which a duty of the Secretary may be involved. This could include the involvement of an air traffic facility operated by the FAA, or an accident involving an aircraft which is similar to an FAA type-certificated (TC) aircraft (i.e., a United States Air Force (USAF) C‑37A, a derivative of the Gulfstream G‑V).
2)    Another example would be investigation of an accident involving a U.S.‑registered aircraft holding an FAA airworthiness certificate operated by a military service of the United States (i.e., U.S. Army TH‑67/Bell 206B helicopter).

7-8    FAA INVESTIGATIONS. Depending on the occurrence, accident investigation may involve local resources, one or more RFSDs, or participation from HQ divisions other than Flight Standards Service (AFS), including Security, Airway Facilities (AF), Air Traffic Organization (ATO), Aviation Medicine, Chief Counsel, Aircraft Certification Office (ACO), Public Affairs Offices, or International Aviation. The responsibility for coordinating the level of FAA involvement rests with the FAA IIC.

A.    Nine Responsibilities of the FAA. FAA Order 8020.11 lists nine specific responsibilities in all accident investigations conducted by the FAA. The FAA investigations must determine whether or not the following were a factor in the accident:

·    The performance of FAA facilities or functions;

·    The performance of non‑FAA‑owned and operated air traffic control (ATC) facilities or Navigational Aids (NAVAID);

·    The airworthiness of FAA‑certified aircraft;

·    The competency of FAA‑certified airmen, air agencies, commercial operators, or air carriers;

·    The CFRs were adequate;

·    The airport certification safety standards or operations were involved;

·    The airport security standards or operations were involved;

·    The airman medical qualifications were involved; and/or

·    There was a violation of the 14 CFRs.

B.    Parallel Investigation. The preferred method of conducting a concurrent and parallel investigation with the NTSB is for AFS to assign another inspector other than the FAA IIC to conduct the FAA investigation. If manpower resources do not permit another FAA inspector to conduct a separate investigation, then the FAA IIC will both assist the NTSB and represent the FAA.

NOTE:  No enforcement action should be initiated by the FAA until the NTSB has completed the field investigation. Exceptions can be made in the interest of safety, such as an emergency revocation of a certificate. If any action is taken, it must be coordinated with the NTSB IIC and the RFSDs.

1)    Because of the differences in the responsibilities of the NTSB (to determine probable cause) and the FAA (to enforce compliance with regulations), administrative law rules of evidence do not allow evidence obtained by the FAA under direction of the NTSB IIC to be used by the FAA against a defendant in legal enforcement proceedings.
2)    It is important to note that, in conducting these investigations, there will be times when the FSDO needs additional information not required by the NTSB. For example, if, as the result of an investigation, it is determined that a regulation was violated by the flightcrew, the FAA IIC is required to gather sufficient evidence to prove the allegation in court, even though the evidence might not be required by the NTSB to determine the probable cause of the accident. In gathering that evidence, the FSDO will coordinate with the NTSB IIC in a manner that does not interfere with the investigation.
3)    When FAA inspectors collect evidence for use against an airman, certificate holder, or commercial operator, there must be no question in the mind of the person from whom the evidence is being requested that the inspector is not working under the direction of the NTSB. For example, witness or crewmember statements should never be written on NTSB forms. The rules of evidence do not, however, prohibit FAA inspectors and NTSB investigators from gathering information simultaneously, such as when interviewing a witness, as long as the witness is aware that the information is being given to both the NTSB and to the FAA separately.

7-9    PRINCIPAL INSPECTOR (PI) NOTIFICATION AND INVOLVEMENT. Principal operations inspectors (POI), principal maintenance inspectors (PMI), and principal avionics inspectors (PAI) assigned to a certificate holder or commercial operator involved in an accident must be available to the FAA IIC as soon as possible after notification of the accident. The FAA IIC is responsible for determining the extent of the PI involvement with the investigation. This decision will be made by the FAA IIC after consulting with the PI, the district office manager, and/or the appropriate Flight Standards division manager.

NOTE:  The FAA IIC should avoid using a PI for investigations involving that inspector’s assigned certificate holders or operators if possible.

7-10    ACCIDENT NOTIFICATION. Normally, a FSDO is made aware of aircraft accidents through the ROC; however, an FAA employee who becomes aware of an accident through other means will report the accident to the nearest air traffic facility (such as an air route traffic control center, an airport, a terminal facility, or an FSS). This facility will initiate FAA Form 8020‑9, Aircraft Accident/Incident Preliminary Notice (refer to appendix 3 of FAA Order 8020‑11) and will make the appropriate notifications, including one to the local ROC. The ROC will notify the FSDO having geographic jurisdiction over the area of the accident. Normally, the ROC will coordinate a conference telephone call between the NTSB, the FAA, and the air traffic facility initiating the notification. During this initial conversation, the FSDO inspector taking the information should do the following:

·    Be prepared to copy initial information from the air traffic representative (the information to be given is on FAA Form 8020‑9);

·    Determine if the accident involves a certificate holder; and

·    Request that the ATC statements and voice tapes be prepared and sent to the FSDO.

7-11    INSPECTOR FUNCTIONS. After being notified by the ROC of an accident, the FSDO in the geographic area of responsibility will designate an inspector as the FAA IIC. The inspector may be acting in different roles and performing different functions during the course of a certificate holder accident investigation. The inspector is usually at the scene of the accident prior to the arrival of either the NTSB or AVP‑100 and should follow the guidelines in FAA Order 8020.11.

A.    FAA IIC. Until relieved by the NTSB or an AVP‑100 air safety investigator, the FSDO inspector will act as the FAA IIC. The FAA IIC is normally either an ASI or an AVP‑100 air safety investigator assigned to supervise and coordinate all FAA participation in an accident or incident investigation conducted by the NTSB or the military services. The FAA IIC is responsible for the following:

·    Assembling the team of technical specialists to conduct the investigation;

·    Managing all FAA resources at the scene; and

·    Determining if FAA responsibilities were involved in the occurrence.

B.    FAA Coordinator. This job title is used by the NTSB and the military services when referring to the FAA IIC.

C.    FAA Participants. FAA participants consist of FAA personnel assigned to assist the FAA IIC and the NTSB IIC. The FAA participants report to the FAA IIC for their group assignments under the NTSB group chairman and directly to the FAA IIC when conducting FAA investigations.

7-12    AIRCRAFT ACCIDENT REPORT. For investigations conducted by the NTSB, the FAA IIC is responsible for obtaining a copy of completed accident reports prepared by the NTSB IIC. The FAA IIC then includes any FAA attachments, except for autopsy reports, which are opinions, and completes FAA Form 8020‑23 (refer to appendix 2 of FAA Order 8202.11). The completed package must then be sent to at least the following offices:

·    The flight standards division in the region of the occurrence;

·    The operator’s (certificate holder) FSDO;

·    The aircraft certification directorate responsible for the aircraft type involved; and

·    AVP‑100.

NOTE:  If obtained by the FAA IIC, autopsy reports are sent (unfolded) to the NTSB IIC in an envelope marked “FOR OFFICIAL USE ONLY.” These reports should be kept in a separate envelope in the office accident file.

7-13    PTRS INPUT.

A.    Use of PTRS Activity Codes. The PTRS will be used to track FAA‑conducted investigations and the activities of FAA inspectors during the course of NTSB accident investigations. Either the XX02 or XX03 activity codes will be used to track FAA IIC assistance, and NTSB activity code XX61 (Technical Support Function) will be used by FAA participants.

B.    PTRS Record. The FAA IIC will open a PTRS record with activity code XX02 (Accidents On‑Site), whether the NTSB IIC conducts an on-scene investigation or not. If the FAA IIC does not travel on scene (usually when the aircraft is missing and presumed to have been involved in an accident, or a known accident site is not accessible), the FAA IIC will open a PTRS record with activity code XX03 (Accident‑Other). During the course of the investigation, the PTRS record should remain open, using section IV (Comments) to log inspector activities until completion of the NTSB field investigation. Close this PTRS record with a “C.” FAA participants of the same specialty providing investigative support will use activity code XX61 (Technical Support Functions) to record their activities. Close this PTRS record with a “C.” Do not use an “A” to close this report.

NOTE:  The tracking field on the PTRS data sheet, for the inspectors providing technical support, will contain the activity code XX02 or XX03 to link the activity to the investigation.

1)    FAA participants providing investigative support at the accident site will use activity code XX61 (Technical Support Functions) to record their activities. This PTRS record must be closed with a “C” at the conclusion of the support activity.
2)    FAA participants providing investigative support not at the accident site will use activity code XX03 (Accident—Other) to record their activities. This PTRS record must be closed with a “C.” Activity code XX02 must be used in the tracking field to connect the activity to the investigation.

7-14    PAAT. The PAAT is comprised of ASIs who are available to assist a FSDO in the event of a fatal accident involving a part 121 air carrier certificate holder. When an accident occurs, the affected FSDO experiences an increase in demand and workload, along with a high volume of requests for information, often for a period of days or weeks. FSDO staffing may not allow for the timely accommodation and coordination of these demands while continuing to accomplish the required day-to-day activities necessary for effective oversight of the certificate holder(s) assigned to the FSDO. A PAAT can provide immediate, temporary resources and provide assistance to the FSDO with the management of the information demands resulting from an accident.

·    The PAAT will report to the office manager of the FSDO and will interface only with FAA personnel and will function in a supporting role only. The PAAT will not conduct an internal evaluation or independent investigation.

·    For more details refer to the AFS‑900 Quality Management System (QMS) document AFS‑900‑001‑W3.

RESERVED. Paragraphs 7‑15 through 7‑30.




VOLUME 8  GENERAL TECHNICAL FUNCTIONS

CHAPTER 5  GENERAL AIRWORTHINESS AND AVIONICS TECHNICAL FUNCTIONS

Section 12  Ground Operator Aircraft

8-541    PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A.    Maintenance: 3350.

B.    Avionics: 5350.

8-542    OBJECTIVE. This section provides guidance for grounding an aircraft used in air transportation under the provisions of Title 49 of the United States Code (49 U.S.C.) § 44713.

8-543    GENERAL.

A.    Inspecting and Determining Unsafe Conditions. Aviation safety inspectors (ASI) should visually inspect the aircraft, aircraft engine, propeller, or appliance. If a suspected unsafe condition exists, ASIs must use their experience, ability, knowledge, skills, and professional judgment to analyze and assess the identified concern in order to determine the extent or nature of the unsafe condition. By doing so, ASIs may determine the severity of the condition and its impact on safety.

B.    Issuance of Grounding Notice. An inspector must be able to substantiate a grounding action with factual justification of an unsafe condition. The grounding notice must not be issued unless it is clear to the inspector that, if operated in this condition, the aircraft would be subject to the probable danger of accident and likely to cause injury or damage to persons or property.

C.    Imposing Grounding Provision. An inspector will seldom have to impose the 5‑day grounding provisions of 49 U.S.C. § 44713. The knowledge that the inspector has this authority and is not reluctant to use it is usually sufficient to cause an operator to take the necessary corrective actions.

8-544    INSPECTOR RESPONSIBILITY. An inspector who becomes aware of an unsafe condition in an aircraft that is being operated or about to be operated and fails to act under the provisions of 49 U.S.C. § 44713 is in dereliction of duty. This duty is placed specifically by Congress upon the inspector rather than on the Administrator. If the inspector, after due consideration, still has any doubts regarding whether or not to ground the aircraft, the grounding notice should be issued.

NOTE:  ASIs should consult with the operator throughout the decisionmaking process. ASIs who are not on the operator’s oversight certificate should also consult with the oversight principal inspector (PI). When first noting the unsafe condition the ASI should immediately contact the air carrier’s station manager or any other person in the air carrier’s chain of command. The responsibility for the airworthiness of the aircraft rests with the air carrier (refer to Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.363 and part 135, § 135.413), and they must correct any unsafe condition before the aircraft returns to service.

8-545    PREREQUISITES AND COORDINATION REQUIREMENTS.

A.    Prerequisites.

·    Completion of the Airworthiness Inspectors Indoctrination Course or equivalent.

·    Knowledge of 49 U.S.C. § 44713.

Indicates new/changed information.

B.    Coordination. This task will require coordination between the ASI, district office supervisor, region, Regional General Counsel, and operator’s PI.

8-546    REFERENCES, FORMS, AND JOB AIDS.

A.    References (current editions). FAA Order 2150.3, FAA Compliance and Enforcement Program.

B.    Forms. None.

C.    Job Aids. Figure 8‑3, Aircraft Grounding Form.

8-547    PROCEDURES.

A.    Determine the Extent of the Problem. In order to issue a grounding notice, the inspector must reach the following conclusions:

·    The aircraft is not in a condition for safe operation;

·    The operator intends to put the aircraft into revenue service in an unsafe condition; and

·    This unsafe condition constitutes a hazard to persons and/or property.

B.    If Time Permits, Consult With the Principal Maintenance Inspector (PMI)/Regional Office (RO). This coordination must not interfere with any immediate action necessary to ground an unsafe aircraft that is expected to operate.

1)    Before notifying an operator that an aircraft is being grounded temporarily, the inspector may, if circumstances permit, consult by phone with the appropriate RO through the district office supervisor.
2)    If the inspector performing the task is not the PMI assigned to the operator, the inspector should, if time permits, consult with that individual.

C.    Notify Appropriate Personnel That the Aircraft is Grounded.

1)    Immediately after discovering the unsafe condition, verbally notify the pilot in command (PIC) or other operator personnel, who have the authority to keep the aircraft on the ground, of the following:

·    The aircraft cannot not be operated for 5 days or until the unsafe condition is corrected;

·    The reasons for the grounding action;

·    That necessary precautions must be taken to ensure that the aircraft is not operated; and

·    The authority of 49 U.S.C. § 44713.

2)    In the event that the operator’s representative insists upon written notification of the grounding as a prerequisite to taking the aircraft out of service, provide a letter containing as much information as possible.

D.    Debrief the RO. Provide details of the grounding to the appropriate RO in accordance with regional procedures.

E.    Ensure That the Appropriate Operator Personnel Receives Written Notification. Obtain a receipt for the written notification. The word “received” as well as the date and signature of an operator representative on a copy of the notification is sufficient.

F.    Determine if Violation Action is Necessary. If the unsafe condition was a result of failure to comply with Federal aviation regulations, initiate violation action in accordance with established office procedures.

8-548    TASK OUTCOMES.

A.    Complete the PTRS Record.

B.    Confirm Verbal Grounding in Writing. As soon as possible, confirm the verbal grounding in writing. Include the following information:

·    Time and date when verbal grounding notification was given;

·    Person(s) to whom verbal grounding notification was given;

·    A statement of unsafe condition(s) that caused the temporary grounding action;

·    A statement that 49 U.S.C. § 44713 was used as the authority for the grounding action; and

·    A statement that the 5‑day grounding period began when the inspector first verbally notified the operator.

C.    File Copies with the RO.

1)    Mail two copies of the written grounding confirmation to the RO.
2)    When applicable, provide the details of the grounding and a copy of the grounding confirmation to the operator’s assigned PMI.

D.    Document the Task. File all supporting paperwork in the operator’s office file.

8-549    FUTURE ACTIVITIES.

A.    Inspector.

1)    Closely follow the action taken by the operator to correct the unsafe condition. If the condition is corrected and the aircraft is made safe for operation before 5 days elapse, notify the operator in writing that the aircraft may now be operated.
Indicates new/changed information.
2)    If the unsafe condition is not corrected, and there is good reason to expect the operator will operate the aircraft after the 5 days elapse, inform the RO of this situation. Request that a formal order be issued by the Regional General Counsel suspending or revoking the Certificate of Airworthiness. This action should be initiated in time to allow such an order to be issued effective immediately upon termination of the 5‑day grounding period.

B.    RO.

Indicates new/changed information.
1)    The appropriate RO, after receiving the details of the temporary grounding, will notify the Regional General Counsel as promptly as possible. The Regional General Counsel will be given all pertinent details, including a copy of the written confirmation of grounding given to the operator by the inspector.
2)    If there is a possibility that the operator will contest the grounding action, the manager of the Aircraft Maintenance Division (AFS‑300) should be informed promptly of the conditions and circumstances involved.

Figure 8‑3. Aircraft Grounding Form

THIS IS TO INFORM YOU THAT AIRCRAFT MAKE___________, MODEL__________, SERIAL #___________________, N‑_________ WAS FOUND TO BE UNSAFE FOR OPERATION DUE TO THE FOLLOWING CONDITION:

__________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________ __________________________________________________________________________________________

AS A RESULT OF THIS UNSAFE CONDITION AND DUE TO THE FACT THAT ________________________________________________________________ AIRLINES INTENDS TO OPERATE N‑___________ IN REVENUE SERVICE, THE FEDERAL AVIATION ADMINISTRATION (FAA) EXERCISES THE TEMPORARY GROUNDING AUTHORITY OF TITLE 49 OF THE UNITED STATES CODE (49 U.S.C.) § 44713.

VERBAL NOTIFICATION OF THE TEMPORARY GROUNDING OF N‑____________ HAS BEEN GIVEN TO (NAME) _______________________ ON (DATE) ___________________________ AT (TIME) ___________________. UNDER THE PROVISIONS OF 49 U.S.C. § 44713, AIRCRAFT, N‑___________ IS GROUNDED FOR A PERIOD OF 5 DAYS AND CANNOT NOT BE USED IN AIR TRANSPORTATION UNLESS FOUND BY THE FAA TO BE IN A CONDITION FOR SAFE OPERATION. THE TEMPORARY GROUNDING STARTED AT THE TIME OF THE VERBAL NOTIFICATION BEING GIVEN.

AVIATION SAFETY INSPECTOR

______________________________________________________

FLIGHT STANDARDS DISTRICT OFFICE

______________________________________________________

RECEIVED BY (NAME)

______________________________________________________

OPERATOR NAME

______________________________________________________

DATE ________________________________________________

**LOCAL REPRODUCTION**

RESERVED. Paragraphs 8‑550 through 8‑551.




VOLUME 11  flight standards programs

CHAPTER 8  PART 135 COMMUTER AND ON-DEMAND: TURBINE-POWERED AIRPLANE OPERATIONS AND ALL AIR AMBULANCE AIRPLANE OPERATIONS

Section 1  Turbine‑Powered Airplane Operations and All Air Ambulance Airplane Operations

11-274    BACKGROUND. The Federal Aviation Administration (FAA) is continuing to review the exercise of operational control by operators conducting or seeking to conduct operations under Title 14 of the Code of Federal Regulations (14 CFR) part 135. This review involves all operators conducting or making an application to conduct operations using turbine-powered airplanes and any airplanes in air ambulance operations.

11-275    DEFINITIONS.

Indicates new/changed information.

A.    Turbine‑Powered Airplane. Turbine-powered airplanes include turbopropeller, turbojet, and turbofan airplanes.

Indicates new/changed information.

B.    Air Ambulance Airplane. Air ambulance airplanes include any airplane (regardless of type of powerplant) used, equipped, or intended to be used in air ambulance service. Air ambulance airplanes are usually equipped with at least medical oxygen, suction, and a stretcher, incubator, or other approved patient restraint/containment device. The airplane need not be used exclusively as an air ambulance airplane and the equipment need not be permanently installed to fall within the subject group.

Indicates new/changed information.

C.    Air Ambulance Operations. Air ambulance operations involve the air transportation of a person with a health condition that requires medical personnel, as determined by a health care provider, or holding out to the public as willing to provide air transportation to a person with a health condition that requires medical personnel, as determined by a health care provider.

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

D.    Holding Out to the Public. Holding out to the public includes, but is not limited to, advertising, solicitation, or association with a hospital or medical care provider. Holding out to the public can occur even without notification in advertising and solicitation that the air transportation service may or may not be provided by one or more FAA‑approved certificate holders. In other words, holding out to the public can occur even when the advertisement or solicitation does not actually state the name of the entity involved in the transportation of the patient. Helicopter operations associated with helicopter air ambulances (HAA) are not included in this definition of holding out.

11-276    PRINCIPAL INSPECTOR (PI) RESPONSIBILITIES.

Indicates new/changed information.

A.    Reporting Information. Report required information to the Air Transportation Division (AFS-200) through the dedicated FAA email address 9‑AWA‑AVS‑AFS‑250‑840085@faa.gov.

B.    AFS‑200 Concurrence. PIs must receive AFS-200’s concurrence before authorizing the airplane on the operations specifications (OpSpecs).

11-277    INSPECTOR PROCEDURES.

Indicates new/changed information.

A.    Contact AFS‑200. Before adding any affected airplanes (turbine‑powered and air ambulance) to the OpSpecs of any operator or applicant seeking authorization to conduct airplane air ambulance operations, PIs must provide AFS-200 through the dedicated FAA email address 9‑AWA‑AVS‑AFS‑250‑840085@faa.gov, with the following information:

1)    The air operator’s or applicant’s name (as applicable).
2)    The air operator’s 14 CFR part 119 certificate number.
3)    The airplane registration number.
4)    The airplane serial number.
Indicates new/changed information.

B.    Receive Concurrence. PIs must receive AFS-200’s concurrence before they add the airplane to the OpSpecs.

Indicates new/changed information.

C.    Exemption for Newly Manufactured Airplanes. Newly manufactured airplanes delivered directly to the certificate holder are exempted from the notification requirements of this section and may be added to the certificate holder’s OpSpecs without approval from AFS‑200.

RESERVED. Paragraphs 11-278 through 11-399.




VOLUME 17  Safety management system

CHAPTER 2  ACCEPTING A CERTIFICATE HOLDER’S SMS

Section 1  Description and Methods

17-2-1-1    GENERAL.

A.    Purpose. This chapter provides guidance for Federal Aviation Administration (FAA) Flight Standards Service (AFS) personnel on the acceptance of Title 14 of the Code of Federal Regulations (14 CFR) part 121 certificate holders’ Safety Management Systems (SMS), as required by 14 CFR part 5, §§ 5.1(a) and
5.3(a).

B.    Scope. This chapter explains “what” a Certificate Management Team (CMT) should evaluate regarding a certificate holder’s SMS and “how” it should evaluate and record the acceptance of the SMS.

17-2-1-3    REGULATORY REQUIREMENT. Part 5 requires a certificate holder authorized to conduct operations in accordance with the requirements of part 121 to have an SMS that meets the requirements of part 5 and is acceptable to the Administrator by March 9, 2018.

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17-2-1-5    SMS ACCEPTANCE TOOLS. Air Transportation Oversight System (ATOS) Data Collection Tools (DCT) and National SMS Implementation Constructed Dynamic Observation Reports (ConDOR).

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A.    System Attributes. Because an SMS is a complete system, system attributes (e.g., controls, interfaces, and measures) are built into the SMS Safety Attribute Inspections’ (SAI) procedures section questions. As the other system attribute sections are addressed in the procedures section, they require no separate input. Additionally, SMS DCT questions are “system‑oriented.” This means that most SMS questions ask about an entire system, process, or policy. In all other aspects, SMS DCTs follow Volume 10 functionality.

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B.    National SMS Implementation.

1)    ConDOR. To aid inspectors in the completion of SMS validation activities, ATOS System 8 SAIs and National SMS ConDOR templates have been created using the System 8 SAI questions.
2)    Integration. The CMT is responsible for ensuring that the certificate holder’s SMS‑documented processes have been integrated into its system.

17-2-1-7    HOW TO EVALUATE A CERTIFICATE HOLDER’S SMS FOR ACCEPTANCE. This paragraph provides standardized guidance for the evaluation process. The CMT and the certificate holder or applicant may come to an agreement upon any type of SMS that suits the certificate holder’s unique business needs, provided that the result meets the requirements of part 5.

A.    Follow the Certificate Holder’s Implementation Plan. The certificate holder’s implementation plan should describe how it intends to comply with part 5 requirements. This may include plans for new systems, processes, or procedures, as well as incorporation of existing programs and processes.

1)    The Certificate Holder’s Approved Implementation Plan.
a)    Following approval of an implementation plan, the certificate holder will begin to develop and implement its SMS. For part 5 requirements with which it is not yet compliant, the certificate holder will describe its intended compliance action(s), name the organization/group and/or individual(s) responsible for the action(s), and provide an estimated completion date for compliance.
b)    Adjustment of estimated completion dates during the implementation process is expected, especially during the first year or two. As the certificate holder proceeds with its SMS implementation, it may need to reconsider various facets of its SMS and make revisions. Such revisions may necessitate delay of estimated completion dates. Some extension of estimated completion dates may be considered acceptable, but an excessive number of delays in estimated completion dates may impact the CMT’s ability to effectively review and evaluate the certificate holder’s proposed SMS. Changes to the certificate holder’s approved implementation plan must be submitted to the CMT as soon as is practical, and may or may not be approved.

NOTE:  It should be made clear to the certificate holder that CMT approval of modified estimated completion dates in no way negates the certificate holder’s responsibility to have an SMS that meets the requirements of part 5 and is acceptable to the Administrator by March 9, 2018.

2)    Determine that the Certificate Holder Complies with Part 5 Requirements.
a)    The CMT will evaluate certificate holder documentation to ensure the design of the certificate holder’s SMS is in compliance with part 5 requirements.
b)    Examples of documentation include:

·    References to an organizational manual that describes the policy, procedures, controls, interfaces, etc. of the process that complies with part 5 requirements.

·    Other documents, such as training materials, records, interviews, observations, correspondence (e.g., emails or memos), organizational charts, or meeting minutes.

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c)    To assist the recording of evaluations, CMTs may utilize the ATOS System 8 SAI DCTs and National SMS Implementation ConDORs, per Volume 10 (ATOS), Chapter 2, Procedures for Design and Performance Assessment and Volume 10, Chapter 5, Data Collection, Data Reporting, and Data Review. The result of CMT evaluations should be maintained in accordance with these procedures. There is no requirement to attach copies of certificate holder documents to the ConDOR. See further discussion below.
d)    National SMS Implementation ConDORs can be opened and closed relatively quickly, allowing the principal inspector (PI) the flexibility to assign them as the need arises. This allows the PI to gather oversight information across different time intervals as the certificate holder presents SMS processes for evaluation. For example, it may take some certificate holders the full 3 years allowed by part 5 to implement their SMS; however, keeping an SAI open for 3 years would be impractical. Using one or more National SMS Implementation ConDORs and assigning them at different timeframes might be a viable option.
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e)    The certificate holder may implement the same SMS processes in different departments or areas of functional responsibility within its organization. For example, the certificate holder may have a Safety Risk Management (SRM) process at the corporate level, at the maintenance division level, and within an engine repair department. This may be the same process (e.g., SRM) that has been implemented at the same carrier at three different levels of the organization: corporate, division, and department. Evaluate the manner in which the SRM process is implemented at each level. Do not assume that an SRM process implemented at the corporate level reflects equivalent implementation of this process at other levels. A certificate holder is under no obligation to implement SRM or any other SMS process at multiple levels of its organization, nor is there an obligation for an SMS to apply to non‑aviation‑safety‑related processes. The SRM process is a certificate holder’s responsibility; CMT evaluation should focus on establishment and utilization of the SRM process. When a certificate holder implements an SMS, the CMT will not provide assistance or evaluation on processes beyond part 5 requirements.
f)    In the example above, a PI may want to construct a National SMS Implementation ConDOR from available questions in the appropriate database.
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g)    Certificate holders who have implemented an SMS on their own may present their entire SMS to the CMT for part 5 acceptance. Evaluation of an entire SMS, even for a small certificate holder, is a time‑ and resource‑intensive activity for the CMT. The CMT should develop a validation plan and monitor progress against it. The plan should include the evaluation process steps, assign responsibility for evaluating sections of the SMS to individual CMT inspectors, and set a realistic schedule for completing the evaluation. For assistance in developing a validation plan, see Volume 3, Chapter 1, Section 1, subparagraph 3-4F, Phase Four Planning. The CMT should monitor progress and take appropriate action (e.g., add/reduce resources, extend or contract the timeline) for the evaluation schedule to ensure that the SMS is adequately evaluated within a reasonable time. Should noncompliance issues be found, the CMT should provide timely feedback to the certificate holder and hold that evaluation step open until it is satisfied. The schedule should be amended accordingly. Within ATOS, the Corrective Action Tracking Tool (CATT) can be used to track initial noncompliance issues that have been discovered.
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h)    The number and frequency of National SMS Implementation ConDORs (in ATOS) is up to the CMT and the PIs. Once the PIs have verified that all SAI questions for an SMS component have been satisfactorily answered through National SMS Implementation ConDORs, they can then complete the corresponding ATOS System 8 SAIs using the information documented in the National SMS Implementation ConDORs. When all requirements of part 5 have been satisfactorily validated, the CMT manager can accept the certificate holder’s SMS. See paragraph 17-2-1-9, Accepting a Certificate Holder’s SMS, for acceptance procedures.
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B.    Unsatisfactory Submissions. Section 5.1(a) requires a certificate holder to “have a Safety Management System that meets the requirements of this part and is acceptable to the Administrator by March 9, 2018.” Unsatisfactory submissions by the certificate holder do not imply that the CMT is obligated to accept the submissions if they do not comply with part 5, even if the deadline for acceptance is drawing near. Appropriate records of submissions and discrepancy findings (e.g., National SMS Implementation ConDORs, CATT) by the CMT should be maintained, as should evidence of evaluation timeliness on the part of the CMT. Differences of opinions between the certificate holder and the CMT on the acceptability of the SMS should be referred to the normal chain of authority, through the respective FAA Regional Office (RO) and then the Flight Standards National Field Office (AFS‑900). The Safety Management System Program Office (SMSPO) is available at all stages of the SMS development process to provide technical assistance to the CMT.

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17-2-1-9    ACCEPTING A CERTIFICATE HOLDER’S SMS. Procedures for acceptance of the certificate holder’s SMS implementation should follow guidance contained in Volume 3, Chapter 1, The General Process for Approval or Acceptance of Air Operator Applications.

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A.    Recording Acceptance of SMS Implementation. Once the CMT has determined that the certificate holder’s SMS is satisfactorily implemented the CMT manager (office, unit, frontline, etc.) who is the approving entity for all collective decisions of the team) will accept (per Volume 3, Chapter 1, Section 1, paragraph 3‑6, Phase Five) the certificate holder’s SMS in a timely manner and ensure that SMS implementation acceptance information is entered into the Program Tracking and Reporting Subsystem (PTRS) as follows:

1)    Use activity code 1045.
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2)    Enter “SMSACCEPT” in the “National Use” box.
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B.    SMS Acceptance Failures. Failure of the certificate holder to implement an SMS by March 9, 2018 should be addressed in the same way as a noncompliance with any other 14 CFR requirement. The CMT should document and justify any rejection(s) of the certificate holder’s SMS per Volume 3, Chapter 1, Section 1, subparagraph 3‑3B, Incomplete or Unacceptable Proposal, and/or office policy. The result of the ATOS National SMS Implementation ConDOR evaluations may be helpful in the development of this justification (see subparagraph 17‑2‑1‑7B, Unsatisfactory Submissions).

17-2-1-11 through 17-2-1-25 RESERVED.