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

ORIGINAL SIGNED by

/s/ Jodi Baker

Acting Deputy Associate Administrator for Aviation Safety

Table of Contents

    Paragraph                                                                                                                                               Page

Volume 1. Common Designee Policy.......................................................................................................		1-1
	Chapter 1. General Information...........................................................................................................	1-1
	Chapter 2. Application Process...........................................................................................................	1-7
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	1-10
	Chapter 4. Designee Appointment......................................................................................................	1-12
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	1-13
	Chapter 6. Oversight and Management of a Designee........................................................................	1-15
	Chapter 7. Training..............................................................................................................................	1-22
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	1-23
	Chapter 9. Termination of a Designation............................................................................................	1-25
	Chapter 10. Suspension of a Designation..........................................................................................	1-29
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	1-31
	Chapter 12. Other Designee Management Functions........................................................................	1-33
	Chapter 13. Administrative Information..............................................................................................	1-35
Volume 2. AME Designee Policy.............................................................................................................		2-1
	Chapter 1. Introduction.......................................................................................................................	2-1
	Chapter 2. Application Process...........................................................................................................	2-2
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	2-5
	Chapter 4. Designee Appointment......................................................................................................	2-7
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	2-10
	Chapter 6. Oversight and Management of a Designee........................................................................	2-14
	Chapter 7. Training..............................................................................................................................	2-20
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	2-22
	Chapter 9. Termination of a Designation............................................................................................	2-23
	Chapter 10. Suspension of a Designation..........................................................................................	2-26
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	2-27
	Chapter 12. Other Designee Management Functions........................................................................	2-28
Volume 3. DPE, Admin PE, and SAE Designee Policy............................................................................		3-1
	Chapter 1. General Information...........................................................................................................	3-1
	Chapter 2. Application Process...........................................................................................................	3-11
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	3-22
	Chapter 4. Designee Appointment......................................................................................................	3-26
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	3-28
	Chapter 6. Oversight and Management of a Designee........................................................................	3-33
	Chapter 7. Training..............................................................................................................................	3-49
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	3-53
	Chapter 9. Termination of a Designation............................................................................................	3-54
	Chapter 10. Suspension of a Designation..........................................................................................	3-55
	Chapter 11. Appealing a Termination for Cause................................................................................	3-56
	Chapter 12. Other Designee Management Functions........................................................................	3-57
Volume 4. DADE Designee Policy..........................................................................................................		4-1
	Chapter 1. General Information...........................................................................................................	4-1
	Chapter 2. Application Process...........................................................................................................	4-5
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	4-8
	Chapter 4. Designee Appointment......................................................................................................	4-14
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	4-16
	Chapter 6. Oversight and Management of a Designee........................................................................	4-22
	Chapter 7. Training..............................................................................................................................	4-34
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	4-39
	Chapter 9. Termination of a Designation............................................................................................	4-40
	Chapter 10. Suspension of a Designation..........................................................................................	4-41
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	4-42
	Chapter 12. Other Designee Management Functions........................................................................	4-43
Volume 5. DME, DPRE, and DAR-T Designee Policy............................................................................		5-1
	Chapter 1. General Information...........................................................................................................	5-1
	Chapter 2. Application Process...........................................................................................................	5-12
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	5-22
	Chapter 4. Designee Appointment......................................................................................................	5-26
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	5-29
	Chapter 6. Oversight and Management of a Designee........................................................................	5-35
	Chapter 7. Training..............................................................................................................................	5-53
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	5-56
	Chapter 9. Termination of a Designation............................................................................................	5-57
	Chapter 10. Suspension of a Designation..........................................................................................	5-58
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	5-59
	Chapter 12. Other Designee Management Functions........................................................................	5-60
Volume 6. APD Designee Policy.............................................................................................................		6-1
	Chapter 1. General Information...........................................................................................................	6-1
	Chapter 2. Application Process...........................................................................................................	6-8
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	6-10
	Chapter 4. Designee Appointment......................................................................................................	6-15
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	6-17
	Chapter 6. Oversight and Management of a Designee........................................................................	6-20
	Chapter 7. Training..............................................................................................................................	6-29
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	6-33
	Chapter 9. Termination of a Designation............................................................................................	6-34
	Chapter 10. Suspension of a Designation..........................................................................................	6-35
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	6-36
	Chapter 12. Other Designee Management Functions........................................................................	6-37
Volume 7. TCE Designee Policy.............................................................................................................		7-1
	Chapter 1. General Information...........................................................................................................	7-1
	Chapter 2. Application Process...........................................................................................................	7-8
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	7-13
	Chapter 4. Designee Appointment......................................................................................................	7-18
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	7-20
	Chapter 6. Oversight and Management of a Designee........................................................................	7-25
	Chapter 7. Training..............................................................................................................................	7-37
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	7-42
	Chapter 9. Termination of a Designation............................................................................................	7-43
	Chapter 10. Suspension of a Designation..........................................................................................	7-44
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	7-45
	Chapter 12. Other Designee Management Functions........................................................................	7-46
Volume 8. DMIR and DAR-F Designee Policy.......................................................................................		8-1
	Chapter 1. General Information...........................................................................................................	8-1
	Chapter 2. Application Process...........................................................................................................	8-2
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	8-14
	Chapter 4. Designee Appointment......................................................................................................	8-17
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	8-21
	Chapter 6. Oversight and Management of a Designee........................................................................	8-23
	Chapter 7. Training..............................................................................................................................	8-32
	Chapter 8. Annual Request for Extension of a Designee’s Authorization...........................................	8-34
	Chapter 9. Termination of a Designation............................................................................................	8-35
	Chapter 10. Suspension of a Designation..........................................................................................	8-39
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	8-41
	Chapter 12. Other Designee Management Functions........................................................................	8-42
Volume 9. DER Designee Policy.............................................................................................................		9-1
	Chapter 1. General Information...........................................................................................................	9-1
	Chapter 2. Application Process...........................................................................................................	9-12
	Chapter 3. Selection and Evaluation of a Designee Applicant...........................................................	9-26
	Chapter 4. Designee Appointment......................................................................................................	9-28
	Chapter 5. Responsibilities and Obligations of a Designee...............................................................	9-32
	Chapter 6. Oversight and Management of a Designee........................................................................	9-33
	Chapter 7. Training..............................................................................................................................	9-40
	Chapter 8. Renewal of a Designee Appointment..............................................................................	9-42
	Chapter 9. Termination of a Designation............................................................................................	9-43
	Chapter 10. Suspension of a Designation..........................................................................................	9-44
	Chapter 11. Appealing a Ban or Termination for Cause....................................................................	9-45
	Chapter 12. Other Designee Management Functions........................................................................	9-46
Appendix A. Definitions..........................................................................................................................		A-1
Appendix B. Acronym List.......................................................................................................................		B-1

 

List of Tables

      Table                                                                                                                                                     Page

	Table 1-1. Offices Responsible for Designee Policy..........................................................................	1-2
	Table 1-2. Overall Performance Result...............................................................................................	1-18
	Table 3-1. Type of Designees.............................................................................................................	3-2
	Table 3-2. Certificate Level Testing/Checking Authorizations...........................................................	3-3
	Table 3-3. Aircraft Category/Class/Privileges Testing/Checking Authorizations..............................	3-5
	Table 3-4. Administrative Authorizations...........................................................................................	3-7
	Table 3-5. Specific Eligibility Requirements for Designation as a PE and/or a CE...........................	3-15
	Table 3-6. Specific Eligibility Requirements for Designation as an LAE, a CIRE, an ATPE, a PPE, and/or a Type Rating Examiner.............................................................................	3-16
	Table 3-7. Specific Eligibility Requirements for Designation as an SPE...........................................	3-17
	Table 3-8. Specific Eligibility Requirements for Designation as a VAE, VFEE, and EAE...............	3-19
	Table 3-9. PIC Experience Requirements...........................................................................................	3-31
	Table 5-1. Standard Airworthiness Certification Function Codes....................................................	5-2
	Table 5-2. Standard Airworthiness Certification Function Codes—Primary and Restricted Categories.........................................................................................................................	5-3
	Table 5-3. Limited Category Function Codes....................................................................................	5-4
	Table 5-4. Experimental Category for the Purposes of Market Survey, R&D, or Crew Training Function Codes..................................................................................................	5-4
	Table 5-5. Experimental Category for the Purposes of Exhibition and/or Air Racing Function Codes................................................................................................................	5-5
	Table 5-6. Experimental Category for the Purposes of Operating Amateur-Built Aircraft Function Codes................................................................................................................	5-6
	Table 5-7. Light-Sport Category and Experimental Category for the Purpose of Operating Light‑Sport Aircraft Function Codes..............................................................................	5-7
	Table 5-8. Export Approvals Function Codes..................................................................................	5-8
	Table 5-9. Domestic Approval of Engines, Propellers, and Articles Function Codes.....................	5-8
	Table 5-10. Other Authorizations Function Codes.............................................................................	5-9
	Table 6-1. Certificate Level Testing Authorizations..........................................................................	6-2
	Table 6-2. Aircraft Category and Class Authorizations.....................................................................	6-3
	Table 6-3. Administrative Authorizations......................................................................................	6-4
	Table 6-4. Special Authorizations.....................................................................................................	6-4
	Table 6-5. FAA-Conducted Training and Meeting Requirements.................................................	6-31
	Table 7-1. Certificate Level Testing and Checking Authorizations.................................................	7-2
	Table 7-2. Aircraft Category and Class Authorizations.....................................................................	7-3
	Table 7-3. Administrative Authorizations......................................................................................	7-4
	Table 7-4. Special Authorizations.....................................................................................................	7-4
	Table 7-5. TCE Training Requirements..........................................................................................	7-38
	Table 7-6. FAA-Conducted Training and Meeting Requirements.................................................	7-40
	Table 8-1. Minimum Qualification Requirements..........................................................................	8-7
	Table A-1. Designee Management Definitions—Common.............................................................	A-1
	Table A-2. Designee Management Definitions—AME...................................................................	A-3
	Table A-3. Designee Management Definitions—DPE, Admin PE, and SAE..................................	A-4
	Table A-4. Designee Management Definitions—DADE...................................................................	A-6
	Table A-5. Designee Management Definitions—DME, DPRE, and DAR-T..................................	A-6
	Table A-6. Designee Management Definitions—APD...................................................................	A-8
	Table A-7. Designee Management Definitions—TCE...................................................................	A-8
	Table A-8. Designee Management Definitions—DMIR and DAR-F............................................	A-9
	Table A-9. Designee Management Definitions—DER...................................................................	A-12

 

List of Figures

      Figure                                                                                                                                                   Page

	Figure 3-1. High-Level Selection Process Flow..................................................................................	3-22
	Figure 3-2. High-Level Appointment Process Flow...........................................................................	3-26
	Figure 4-1. High-Level Selection Process Flow..................................................................................	4-8
	Figure 4-2. High-Level Appointment Process Flow...........................................................................	4-14
	Figure 4-3. DADE Checklist.............................................................................................................	4-20
	Figure 4-4. Performance Measures and Oversight Activity Results.................................................	4-29
	Figure 4-5. Sample Designated Aircraft Dispatcher Examiner Surveillance Checklist....................	4-33
	Figure 4-6. Sample Annual Meeting—Combined Safety Standardization Meeting, FAA Briefing, and Recurrent Training Agenda..............................................................	4-37
	Figure 5-1. High-Level Selection Process Flow..................................................................................	5-22
	Figure 5-2. High-Level Appointment Process Flow...........................................................................	5-26
	Figure 5-3. Designee Post-Activity Attachments................................................................................	5-51
	Figure 6-1. High-Level Selection Process Flow..................................................................................	6-10
	Figure 6-2. High-Level Appointment Process Flow...........................................................................	6-15
	Figure 6-3. Performance Measures and Oversight Activity Results.................................................	6-26
	Figure 7-1. High-Level Selection Process Flow..................................................................................	7-13
	Figure 7-2. High-Level Appointment Process Flow...........................................................................	7-18
	Figure 7-3. Performance Measures and Oversight Activity Results.................................................	7-33
	Figure 8-1. High-Level Selection Process Flow..................................................................................	8-14
	Figure 8-2. High-Level Appointment Process Flow...........................................................................	8-17
	Figure 8-3. Performance Measures and Oversight Activity Results.................................................	8-26

VOLUME 1.  COMMON DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

1.    Purpose of This Order. This order establishes policy for integrated designee management across the Office of Aerospace Medicine (AAM), Aircraft Certification Service (AIR), and Flight Standards Service (FS) as well as the use of the Designee Management System (DMS), which is a web-based tool designed to standardize the management of designees.

a.    This order consolidates orders across Aviation Safety (AVS) Services and Offices and establishes a common policy section for all designees and provides respective volumes for the specific designee types. These policy changes are global in nature and, therefore, are not listed individually.

b.    All users of this order must familiarize themselves with its contents and comply with the instructions and guidance contained herein. Many of the procedural functions are not included in the order since they are now incorporated into the functionality of DMS.

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

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

4.    What This Order Cancels. This order cancels FAA Order 8000.95 CHG 5, Designee Management Policy, dated September 9, 2019.

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

6.    Implementation. Compliance with this order will be phased in by designee type(s) and achieved in accordance with the implementation plans established by each Service/Office for their respective designee types. Implementation will involve transition from existing management and information systems and designee management policies to the DMS policy and automation. Affected employees and designees will be notified through directive/memo or other means of communication when each implementation will begin and end, as well as when full compliance with this policy is required. FAA employee access and designee login credentials and instructions will be provided at the beginning of each implementation. Timing for release and completion of each implementation plan will depend upon:

a.    Availability of the DMS policy and automation for the respective designee type.

b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials, if required.

7.    Authority to Change This Order. AAM, AIR, and FS have the authority to revise material in this order. Depending on the change, the appropriate office (AAM, AIR, or FS) will initiate the change and coordinate with the other organizations to ensure consistency with DMS policy. Requests to deviate from this order will be sent to the responsible AVS Service/Office for evaluation and approval/disapproval. Deviation requests affecting more than one organization or that may require changes to the automation will be coordinated across the affected organizations and with the DMS program office.

8.    Responsible Offices for Designee Policy.

Table 1-1. Offices Responsible for Designee Policy

9.    Directive and Guidance Information.

a.    Directive Information.

(1)    This type of information is directive in nature and contains terms such as “shall,” “will,” or “must.” These words indicate that the actions are mandatory. “Shall not” prohibits the action.

(2)    The use of these terms does not allow for flexibility.

b.    Guidance Information.

(1)    This type of information is considered guidance and contains terms such as “should,” “can,” or “may.”

(2)    These terms indicate actions that may not be mandatory; however, they are strongly encouraged, permissive, and allow flexibility.

10.    Designation of a Designee Authorization.

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

b.    Designation Authority. Title 14 of the Code of Federal Regulations (14 CFR) Part 183, Representatives of the Administrator, prescribes the requirements for designating a private person or an organization to act as a representative of the Administrator.

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

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

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

Section 2.  Designee Overview

1.    Legal Authority. Title 49 U.S.C. § 44702(d) is the statutory authority to delegate private persons to perform certain authorized functions on behalf of the FAA. These persons are called designees. The designee’s function is vital to enhancing the FAA’s public service role and improving overall safety in the National Airspace System (NAS). The FAA appoints designees to provide airman and aircraft certifications and other services to the public in accordance with FAA policy, guidance, and regulations.

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

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

a.    Privilege. Designation is a privilege, not a right.

b.    Knowledgeable. Designees must be knowledgeable, qualified, and competent.

c.    Risk-Based Approach. Management of designation programs must employ a risk-based approach.

d.    Essential. Designation programs are essential.

e.    Need and Ability. A need for and ability to manage a designee must exist for all designees.

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

a.    Office of Aerospace Medicine (AAM).

(1)    Aviation Medical Examiner (AME).

(a)    Civilian.

(b)    Military.

(c)    Federal.

(d)    Official.

b.    Flight Standards Service (FS).

(1)    Air Transportation Designee.

(a)    Aircrew Program Designee (APD).

(b)    Designated Aircraft Dispatcher Examiner (DADE).

(c)    Training Center Evaluator (TCE).

(2)    Administrative Pilot Examiners (Admin PE).

(a)    Airman Certification Representative (ACR) for a 14 CFR Part 141 Pilot School with Examining Authority (ACR-141).

(b)    ACR for a Flight Instructor Refresher Course (ACR-FIRC).

(3)    Designated Pilot Examiner (DPE).

(a)    Private Pilot Examiner (PE).

(b)    Commercial Pilot Examiner (CE).

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

(d)    Flight Instructor Examiner (FIE).

(e)    Pilot Proficiency Examiner (PPE).

(4)    Specialty Aircraft Examiners (SAE).

(a)    Sport Pilot Examiner (SPE).

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

(c)    Experimental Aircraft Examiner (EAE).

(d)    Vintage Flight Engineer Examiner (VFEE).

(e)    Vintage Aircraft Examiner (VAE).

(f)    Limited Aircraft Examiner (LAE).

(5)    Designated Airworthiness Representative (DAR)—Maintenance (DAR-T).

(6)    Designated Mechanic Examiner (DME).

(7)    Designated Parachute Rigger Examiner (DPRE).

c.    Aircraft Certification Service (AIR).

(1)    Designated Engineering Representatives (DER).

(a)    Company (DER-Y).

(b)    Consultant (DER-T).

(2)    Airworthiness Designee.

(a)    DAR—Manufacturing (DAR-F).

(b)    Designated Manufacturing Inspection Representative (DMIR).

5.    Risk-Based Principles.

a.    Risk-Based Management. Risk-based management is a continuous process of identifying, analyzing, evaluating, controlling, and monitoring risks that exist with the designee program. DMS captures and manages the data, including the substantiation and documentation of the decisions.

b.    Risk Management Strategy (RMS). RMS provides the managing specialist with a methodology for managing hazards and the associated risks related to designee performance. DMS provides the managing specialist with a means to document and track the performance of a designee utilizing the oversight module. The oversight module allows the managing specialist to review and evaluate the disposition of any risks associated with discrepancy findings. This methodology may include the following:

(1)    Identifying the discrepancy and determining the hazard;

(2)    Analyzing and assessing the risk;

(3)    Making a decision;

(4)    Implementing the decision; and

(5)    Monitoring the effectiveness of the decision.

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

Section 3.  Minimum Qualifications Overview

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

Chapter 2.  Application Process

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

2.    General.

a.    Application Information. To learn about the designee management program and/or initiate the designee application process, qualified individuals should access the FAA Designee website at https://www.faa.gov/other_visit/aviation_industry/designees_delegations/dms/.

b.    Eligibility. Anyone may apply to be a designee; however, DMS will not accept applications from the following:

(1)    Current FAA employees using an FAA email address.

(2)    Previous applicants who have been banned from applying. Please see Chapter 3, Selection and Evaluation of a Designee Applicant, for more information regarding banning.

(3)    Former designees who have been terminated and as part of the termination process have been banned from DMS.

c.    Multiple Designee Types.

(1)    The FAA may appoint an individual to more than one type of designation.

(2)    Designee applicants must complete a separate application for each designation type sought. Each designation is a separate appointment.

d.    References. The applicant may provide the following:

(1)    Three verifiable character references to substantiate that the applicant possesses integrity and sound judgment.

(2)    Three verifiable technical references to substantiate that the applicant possesses the required technical expertise for the designation sought. These references may be the same individuals used as character references.

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

a.    Minimum Qualifications. The designee applicant must:

(1)    Meet FAA English language standards as described in Advisory Circular (AC) 60-28, FAA English Language Standard for an FAA Certificate Issued Under 14 CFR Parts 61, 63, 65, and 107; and

(2)    Be at least 23 years of age.

b.    Character. The designee applicant must:

(1)    Have a high degree of integrity;

(2)    Have a cooperative attitude;

(3)    Be able to exercise sound judgment;

(4)    Be engaged in the aviation industry;

(5)    Have a reputation for dependability; and

(6)    Be able to maintain the highest degree of objectivity while performing authorized functions.

c.    Technical Experience. The applicant must have up-to-date extensive knowledge and experience that is pertinent to the designation being sought.

d.    FAA Interaction. Any previous working relationship the applicant had with the FAA must have been positive.

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

a.    Terminated for Cause. See Chapter 9, Termination of a Designation, for details.

b.    Banned. See Chapter 3 for details.

c.    Convictions and Felonies. Having, within the past 7 years:

(1)    Been convicted of any violation of any local, state, or Federal law pertaining to drugs or alcohol.

(2)    Been convicted of any felony offenses. A felony offense is considered a conviction where the punishment could have been greater than 1 year regardless of the sentence.

(3)    Been imprisoned, been on probation, or is on parole because of a felony conviction (including civilian or military felonies, firearms, or explosive violations).

(4)    Been other than “honorably” discharged from the military.

(5)    Had an airman certificate (other than medical), rating, or authorization (or foreign equivalent) suspended, revoked, or paid a civil penalty as a result of a violation of any FAA or other Civil Aviation Authority (CAA) regulations (foreign or domestic).

d.    Current Disqualifiers. Is currently under investigation, charged indictments, or has a pending action for the items described in subparagraph 4c above.

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

a.    Designation is a privilege, not a right.

b.    The FAA Administrator can terminate any designation at any time, for any reason.

6.    Post-Application.

a.    Retention of Application Data. DMS saves all application data in accordance with FAA Order 1350.14, Records Management.

b.    Notification. DMS will automatically notify designee applicants regarding the status of their application.

c.    Updating Applications. Applicants must update their applications whenever information changes and they must validate and verify the application data at least every 12 calendar-months. Failure to maintain up‑to‑date information may affect selection eligibility and appointment as a designee. An application that is updated will remain active in DMS until the applicant is selected or cancels the application.

d.    Cancellation. A designee applicant can cancel an application at any time in DMS.

Chapter 3.  Selection and Evaluation of a Designee Applicant

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

2.    General.

a.    Qualified Applicants. DMS will provide a list of qualified applicants that meet the needs identified by the requesting FAA office.

b.    Selection Timeframe. Once DMS presents a list of qualified applicants, the selecting official should complete the selection action within 30 calendar-days.

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

a.    Considerations for Determining Specific Need.

(1)    The FAA cannot support the certification work and need with existing designees.

(2)    The activity in the office has increased or is forecasted to increase, and cannot be supported with existing designees.

(3)    The FAA has lost an employee or designee resource.

(4)    The need for a new designee is driven by the needs of the public and not by the impact on other existing designees or entities.

b.    Considerations for Determining Ability to Manage.

(1)    The managing office staff has the technical skills and knowledge to manage the designee.

(2)    The existing and/or projected office workload allows the office to effectively manage the designee.

(3)    Adequate funds (e.g., travel allocation) exist to oversee the additional or existing designee.

4.    Requesting Qualified Applicants.

a.    List of Qualified Applicants. Once the FAA establishes the need and ability to manage a designee, the selecting official can request a list of qualified applicants from DMS. DMS will search active applicants to identify applicants that most closely match the specified criteria.

b.    Deviation from Minimum Qualifications. If no qualified candidates are available within DMS, an appointing official may request a deviation from the minimum qualification requirements if:

(1)    The FAA demonstrates a significant need for the appointment, and

(2)    The applicant meets an equivalent qualification. (See the appropriate designee type-specific volume for more information.)

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

a.    Evaluating Search Returns. Once DMS has generated a list of applicant(s) based on the search criteria, the selecting official may choose to review the applications prior to assigning personnel to evaluate the applicant’s qualifications. Determining which applicants will be evaluated for appointment is at the sole discretion of the selecting official.

b.    Assigning Evaluating Specialist. Once the selecting official determines which applicants will be evaluated for appointment, DMS will prompt the selecting official to assign personnel to conduct an evaluation of the applicant based on designee type-specific policies.

c.    Reviewing Application for Minimum Qualifications. For each applicant, the personnel assigned to evaluate the application will review the application for completeness to ensure that all minimum qualifications have been met.

d.    Completing Evaluation Checklist. The evaluating specialist or lead evaluation panel member, depending on the designee type-specific policies, completes an evaluation checklist in DMS for each applicant being evaluated. See Chapter 3 in each designee-specific volume for more information.

6.    Banning. If the evaluation of an applicant determines that the applicant falsified information during the application process, the evaluating specialist or lead evaluation panel member will make the determination whether that applicant should be banned from applying as a designee.

a.    Banning Process. During the selection process, if the evaluating specialist or lead evaluation panel member determines that an applicant intentionally falsified information on the application, the FAA may ban the applicant in DMS. The evaluating specialist or lead evaluation panel member should consider all relevant information, including whether the falsification was intentional or accidental, before making a recommendation to ban. Since this is a rare and serious offense, the evaluating specialist or lead evaluation panel member will be required to justify and document the recommendation in DMS and forward it to the selecting official for the final determination.

b.    Appealing a Decision to Ban. The applicant can appeal a ban decision. See Chapter 11, Appealing a Ban or Termination for Cause, for more information on the appeal process.

Chapter 4.  Designee Appointment

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

2.    General.

a.    Designee Number. During the application process, DMS assigns a unique nine-digit identification number known as the designee number. However, this number is not known to applicants and only visible to the designee once appointed. This designee number is used in documentation to identify the work and certifications completed by the designee when authorized by the Administrator.

b.    Certificate Letter of Authority (CLOA). For each appointment, DMS generates and stores a CLOA that serves as the certificate of authority, certificate of designation, and the identification card (ID cards are issued to AMEs only) as required by part 183. The CLOA provides a detailed description of the designee’s authorities, limitations, and associated expiration as contained within DMS. A CLOA is available to the designee for each type of designation held and serves as the record of the designee’s authority. Authorized users can view a designee’s authority in DMS. A designee may print a copy of the CLOA but is not required to do so.

3.    Appointment Duration. Appointment duration is 1 year from the appointment date. See Volume 1, Chapter 8, Annual Request for Extension of a Designee’s Authorization, and the designee type-specific policy for considerations to extend the designation beyond the expiration date.

Chapter 5.  Responsibilities and Obligations of a Designee

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

2.    Responsibilities. A designee must:

a.    Represent the Administrator. Each designee must represent the Administrator in a manner that reflects positively on the FAA.

b.    Conduct Approved Activities. Each designee must conduct only those activities approved in DMS.

c.    Follow Policy. Designees must follow all requirements found in regulations, orders, and other policies related to the functions they perform.

d.    Maintain Skills and Knowledge. Designees must maintain technical skill and knowledge of subject matter specific to the designation held.

e.    Exhibit Sound Judgment. Designees must display sound judgment.

f.    Exhibit Integrity. Designees must show a high degree of integrity, responsibility, and professionalism.

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

a.    Use DMS. Designees must use DMS as directed in this order. Designees have the responsibility to read and respond to DMS messages and provide requested information within DMS, as directed, in a timely manner.

b.    Maintain Contact Information. Designees must update their DMS profile when changes occur and review their profile at least annually.

c.    Access to Internet. Designees must have access to DMS and email through the internet.

(1)    The designee is responsible for accessing DMS and checking DMS messages, notifications, and email on a regular and recurring basis.

(2)    The designee is responsible for scanning and uploading documents required for designation.

d.    Attend Required Training. Designees must comply with minimum training requirements.

e.    Attend Required Meetings. Designees must comply with meeting requirements.

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

Chapter 6.  Oversight and Management of a Designee

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

2.    General.

a.    Oversight Principles.

(1)    Promote Safety. A primary responsibility of the FAA is to promote safety through systematic oversight of industry stakeholders, including designees. Information generated from oversight programs permits the FAA to identify safety hazards, mitigate risk, and enhance aviation safety. In order for oversight programs to be effective, they must be carefully planned and executed during the conduct of specific inspection activities.

(2)    Evaluate Performance. The objective of an oversight program is to ensure that the designee performs to the standards and expectations set forth by the FAA in its policies and regulations. Oversight is not merely an isolated event or series of activities. Oversight results should be considered in total to provide a high-level perspective of a designee’s performance over time.

b.    Managing Office and Managing Specialist.

(1)    Designation Type. Designees have a managing office and managing specialist for each designation type. If the designee holds more than one type of designation, a designee may have more than one managing office and more than one managing specialist.

(2)    Area of Responsibility. The FAA expects designees to perform the majority of their functions within the bounds of that managing office’s area of responsibility unless otherwise noted in the designee specific-type volume.

(3)    Regulatory Oversight Responsibility. Managing specialists have regulatory oversight responsibility of designees and must monitor them to ensure that they continue to meet the requirements of their designations. A comprehensive oversight plan enables managing specialists to:

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

(b)    Validate the corrective actions;

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

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

c.    Oversight and DMS. The FAA uses DMS to record the outcomes of oversight activities for a designee which may vary depending on the designee type. By documenting oversight activity in DMS, the FAA can make an overall assessment of the designee’s performance.

(1)    Oversight Characteristics. In DMS, oversight activities have the following characteristics:

(a)    A definite beginning and a definite end;

(b)    Defined procedures;

(c)    Specific objectives; and

(d)    A required report of findings.

(2)    DMS Oversight Activities. The following oversight activities are available in DMS for most designee types:

(a)    Direct observation;

(b)    Document completed work review;

(c)    Document results of investigation or inquiry;

(d)    Document designee interaction;

(e)    Document designee training;

(f)    Document applicant interview results; and

(g)    Create overall performance evaluation.

(3)    DMS Management Tools. The following management tools are available in DMS dependent on the designee type:

(a)    Create planned activity;

(b)    Record feedback;

(c)    Send note to designee; and

(d)    Document annual meeting.

d.    Performance Measures. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:

(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

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

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

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

a.    Planning an Oversight Activity. DMS allows managing specialists to schedule an oversight activity.

(1)    Managing specialists should use risk management principles when planning oversight.

(2)    Managing specialists should review the designee’s previous oversight outcomes as well as current activities, records, and policy as part of the planning.

b.    Oversight Activity. For a list and explanation of oversight activities applicable to a specific designee type, see Chapter 6, Oversight and Management of a Designee, in the respective designee type-specific volume.

c.    Outcomes of Oversight Activities.

(1)    For some oversight activities, the managing specialist must select from three general categories in DMS for the overall ranking of the oversight activity: Satisfactory, Needs Improvement, and Unsatisfactory. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must enter descriptive text in the appropriate performance measure category(ies).

(2)    Additionally, if the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must also determine and record appropriate followup action(s). For more detail on followup actions, see Table 1-2, Overall Performance Result, and Paragraph 4, Followup Actions, in this chapter, as well as the performance evaluation information in Chapter 6 of each designee type-specific volume.

d.    Performance Evaluation.

(1)    At the end of the performance period, the managing specialist conducts a consolidated review of the designee’s documented oversight activity and other data available and recorded in DMS.

(2)    Based on an analysis of the information above and considering risk-based elements, the managing specialist selects an overall performance rating (Satisfactory, Unsatisfactory, or Needs Improvement) and any followup actions, if required. See Table 1-2 below.

(3)    If the performance evaluation rating is “Needs Improvement” or “Unsatisfactory,” the next performance evaluation must be completed within 6 calendar-months from the previous performance evaluation date. If the performance evaluation result is “Satisfactory,” the due date for the next performance evaluation is between 12 and 36 calendar-months. See Chapter 6 in the respective designee type-specific volumes for more information.

(4)    If the overall performance evaluation rating requires a 6-month followup, the next performance evaluation of the designee must be a “Satisfactory” rating or the designee will be terminated.

Table 1-2. Overall Performance Result

* Requires description of planned followup activity.

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

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

a.    Counseling. Managing specialists may use counseling as a type of corrective action to follow up from a specific event, an oversight activity, or to address specific performance issues. The managing specialist must record the results of the counseling session in DMS.

b.    Additional Training.

(1)    Managing specialists may prescribe additional training to correct a deficiency related to a specific event, an oversight activity, or to address specific performance issues.

(2)    If the deficiency is such that the designee is unable to perform authorized functions correctly, the managing specialist may initiate the suspension process to suspend the designation or specific authority until the designee completes the training.

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

a.    Request for Additional Authorizations or Limitations.

(1)    Authorities can be expanded and limitations changed on an existing designation only.

(2)    When designees believe that they are qualified to perform additional authorized tasks within their designee type, other than those that the FAA currently authorizes, they may request the change through DMS.

Note:  In some cases, the managing specialist may also initiate this process in DMS.

(3)    The selecting official will review the request and determine if the added authority is needed and, if so, make a recommendation to the appointing official.

(4)     The appointing official must approve all requests for additional authorizations or limitations in DMS. In order for the appointing official to approve the request, the designee must meet all requirements, and the FAA must have the need and ability to manage the designee. In some cases, an evaluation panel will be convened to review the designee’s qualifications for the additional authorizations. Refer to the designee-specific volume for specific instructions.

(5)    If approved, DMS will automatically update the authority and CLOA as appropriate, notifying both the designee and the managing specialist. A designee shall not exercise any expanded authority until the request has been approved and official notification has been made.

b.    Reduce Authority. A managing specialist may initiate a reduction in a designee’s authority for a specific designation through DMS, or a designee can request a reduction of authority through the managing specialist.

(1)    DMS requires the managing specialist to enter a justification for reducing a designee’s authority.

(2)    In order for the request to be approved, the FAA must consider whether the need and ability to manage the designation still exists given the reduction in authority. If there is no longer a need or ability to manage the designee with reduced authority, the managing specialist will initiate the termination process.

(3)    An appointing official must approve all requests to reduce authority. If approved, DMS will automatically update the designee’s authorities and CLOA, as appropriate.

c.    Record Note. Managing specialists can create a personal note or reminder in DMS. This note is the digital equivalent of a sticky note; it is not part of the designee’s official record, and only the author can view the note. Managing specialists should not use this feature to record performance-related issues or other oversight‑related information.

d.    Send Message to Designee.

(1)    Managing specialists can use DMS to send a message to one or more of their designees.

(2)    DMS will store the message and record the date the message is sent, along with the date the message is opened by the designee.

(3)    DMS users can view these messages. Designees are required to monitor DMS for new messages.

e.    Record Feedback or an Interaction Regarding a Designee.

(1)    Interaction can be verbal and/or written communication between the designee, FAA, and industry.

(2)    Feedback should be provided promptly following the activity to which it references. While the managing specialist has management responsibility for the designee, any FAA employee working with a designee or designee’s work product has the responsibility to provide feedback regarding the designee’s performance or activity. Any FAA employee with access to DMS can enter feedback on a designee. If the user providing the feedback is not the managing specialist, DMS will send a notification to the managing specialist.

(3)    Types of feedback or interactions that should be recorded in DMS include, but are not limited to, the following:

(a)    Corrective—intended to correct an error;

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

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

(d)    Compliments, critiques, and suggestions.

Chapter 7.  Training

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

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

3.    Designee Training Requirements.

a.    Initial Training. Prior to the FAA appointing an individual as a designee, the individual must participate in and successfully complete the initial training program.

b.    Recurrent Training. A designee must regularly attend and successfully complete recurrent training.

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

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

5.    Other FAA Employee Training Requirements. Managers of DMS users who have assigned DMS roles should complete AVS training associated with designee management within 6 calendar-months of being assigned that role.

Chapter 8.  Annual Request for Extension of a Designee’s Authorization

1.    Purpose. This chapter describes the common policy associated with the FAA’s extension of a designee’s authorization from the current expiration date. This chapter and the corresponding designation type-specific volumes constitute the policy for extending the expiration date on an existing designee in good standing.

2.    General. Extension of the designee’s authorization is the responsibility of the designee. Since designee oversight requirements have defined intervals, extension of their designation is not contingent upon a particular oversight activity. As long as a designee is in good standing and continues to meet the qualification requirements for their designation, the designee will be given a one-year extension on their designation once they complete the annual profile update.

3.    Annual Profile Update.

a.    Timeframe. Designees are required to update their profile annually. They will be able to update their profile 60 calendar-days prior to the due date. The validation includes verifying the following information is current:

•    Profile information, including contact information, mailing addresses, and other basic information about the individual; and

•    Designation location, which is the location the designee is authorized to perform work when a specific location is required.

b.    Additional Information. When a specific location is not required, the designee will update the designation location that will be published in the designee locator. The designee will also update any information required to maintain the specific designation and answer the common questions required to maintain basic designee eligibility. Extending a designee’s authorization is predicated on the active designee:

•    Remaining in good standing;

•    Having no violation history;

•    Being current on all required training;

•    Having no arrests or convictions; and

•    Having not had an airman certificate (other than medical), rating, or authorization (or foreign equivalent) suspended or revoked; or having not had to pay a civil penalty as a result of a violation of any FAA or other CAA regulations (foreign or domestic).

4.    New Expiration Date. Once the profile update has been successfully submitted, DMS will set a new expiration date on the CLOA, extending a designee’s authorization for 1 year from the date the action is completed. All new expiration dates will be set for the last day of the month even if it exceeds 1 year.

Note:  During the annual profile update, designees in a suspended status may qualify for the 12 calendar-month extension of the expiration date, but they must be in an active status by the time the profile update is submitted. This along with policy in the designee specific volumes constitute the requirements for the annual request for extension of a designee’s authorization requirements.

5.    Termination—Nonsubmittal. If the designee does not submit the required profile update action in DMS before the designation expires, DMS changes the designee’s status to “expired.” In an expired status, the designee is no longer authorized to perform any duties related to the expired designation and will have limited access to DMS. The designee can be removed from the expired status by updating their profile information. If a designee does not perform the required update, the FAA will initiate the termination process. See Chapter 9 for additional information. Designees terminated for nonsubmittal of a profile update are considered terminated “not for cause” and may reapply at any time or be reinstated where designee specific policy allows.

6.    Reminders. The designee is responsible for accessing DMS and checking DMS message center notifications and action required items on a regular and recurring basis. The designee has the sole responsibility to update their profile when they receive the action on their homepage and the email notification.

7.    Duration. Successful submission of the Update Profile action extends the designee’s expiration date for one additional year with a date of the last day of the month.

8.    Surrender. A designee who does not intend to extend a designation is encouraged to voluntarily surrender the designation in DMS prior to expiration.

9.    Expansion of Authority. The designee may not seek an expansion of authority using the profile update process. (See Chapter 6, Subparagraph 5a, Request for Additional Authorizations and Limitations.)

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

11.    Disqualifiers. See the list in Volume 1, Chapter 2, Application Process.

Chapter 9.  Termination of a Designation

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

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

3.    Voluntary Surrender.

a.    Voluntarily Surrendering a Designation. A designee may voluntarily surrender a designation.

(1)    Designees must surrender each designation separately. The voluntary surrender process applies only to a single designation at a time.

(2)    A voluntary surrender of a designation does not preclude the individual from applying to be a designee in the future.

(3)    Once DMS notifies the designee of the suspension based on a pending termination for cause action, the designee may not submit a voluntary surrender request in DMS.

b.    Voluntary Surrender Process.

(1)    To begin the voluntary surrender process, a designee must submit a voluntary surrender request in DMS.

(2)    For a company designee, a company representative may contact the designee’s managing specialist to request voluntary surrender in DMS.

(3)    The managing specialist must document the voluntary surrender in DMS and include the specific reason(s) provided by the designee.

(4)    If the designee is voluntarily surrendering a designation, the managing specialist will indicate whether or not the designee is considered “in good standing.” This determination is helpful should the designee choose to reapply at a later date.

(5)    DMS will turn off access to DMS functionality as appropriate for the designation being terminated. The designee is no longer authorized to perform any duties related to the designation.

c.    Possible Reasons for Voluntary Surrender of a Designation.

(1)    Retirement;

(2)    Lack of business activity;

(3)    Difficulty in meeting requirements;

(4)    Dissatisfied with being a designee;

(5)    Personal reasons;

(6)    Employment termination; or

(7)    Any other reasons.

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

a.    Terminating a Designation.

(1)    The FAA must document termination decisions in DMS and include the specific reason(s) for the termination.

(2)    When applicable, the FAA should consider feedback from individuals involved in reviewing work performed outside the designee’s managing office.

(3)    Only managing specialists assigned to the designee can initiate the termination process in DMS.

b.    Termination Process.

(1)    When it has been determined that termination is warranted, the managing specialist should begin the process immediately. Termination decisions must be formally documented in DMS, to include the specific reason. The appointing official must approve the termination recommendation through DMS.

(2)    Once the termination process has begun, DMS will prevent the designee from conducting new work under the designation being terminated. The status of the designee’s authority will change to “suspended” during the termination process. The designee must immediately cease exercising designee privileges for the designation being terminated.

(3)    Upon completion of the termination process, the designee’s status will be changed to “terminated.” DMS will generate and send an electronic termination notice to the designee.

(4)    Depending on the reasons for termination, the designee may request an appeal. (See Chapter 11 for more information.)

c.    Types of Termination. There are two types of termination: “for cause” and “not for cause.” Anyone terminated for cause cannot reapply for designation.

(1)    For Cause. Examples of “for cause” reasons include:

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

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

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

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

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

(f)    Other. Any other reason that the FAA Administrator considers appropriate.

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

(2)    Not for Cause. Examples of “not for cause” reasons include anyone terminated for a reason other than “for cause” and may reapply for designation. Reasons for termination other than “for cause” include:

(a)    Lack of FAA Need.

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

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

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

(b)    FAA is Unable to Manage.

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

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

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

(c)    Other.

1.    Designee no longer meets minimum qualifications;

2.    Designee does not meet training requirements;

3.    Designee is deceased;

4.    Designee is physically unable to perform designee duties;

5.    Designee did not renew designation before expiration;

6.    Designee’s authority expired while suspended; or

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

Chapter 10.  Suspension of a Designation

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

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

a.    DMS Actions. During the suspension process, DMS will change the designee’s status to “suspended.” In suspended status, DMS:

(1)    Notifies the designee of suspension and denies access to initiate new work for the designation being suspended;

(2)    Cancels all previously approved activities, as applicable; and

(3)    Allows the designee to submit post-activity entries for up to 7 calendar-days after the date of suspension.

b.    Designee Action While Suspended. The designee must immediately stop exercising authorized duties for the designation being suspended.

c.    Suspension Release. If suspended designees think that they have met all of the requirements to be reinstated, they may submit a suspension release request in DMS.

d.    Length of Suspension. Designees will remain in a suspended status until they have corrected the deficiency or until the designation expires. If the deficiency has not been corrected within 180 calendar-days, DMS will notify the managing specialist to remove the suspension and initiate termination.

e.    Types of Suspension. There are two types of suspension: FAA-initiated and automatic.

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

a.    Lapse in Minimum Qualifications. The designee no longer meets the minimum qualifications.

(1)    Deadline Passes for Required Training. The designee fails to successfully complete required training within the specified timeframe.

(2)    Failed Test for Required Training. The designee fails a test that is part of required training, regardless of the due date of that training.

b.    Failure to Attend a Required Meeting. The designee fails to attend a required meeting.

c.    Poor Performance. The designee demonstrates an unsatisfactory level of performance for the designation.

d.    Under Investigation. The FAA investigates allegations or findings that the designee has been acting contrary to regulations or policy.

e.    Failure to Maintain Currency With Training Requirements. If a designee fails to maintain their currency with training requirements, they should be moved to suspended status until they complete their training.

f.    Other. Any other reason that the FAA Administrator considers appropriate.

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

a.    Lapse of Minimum Qualification. The designee should propose a corrective action plan and timeline to meet the minimum qualifications that is acceptable to the managing specialist.

b.    Deadline Passes for Required Training. The designee must provide the managing specialist with a plan of action for attending training to meet requirements. If training lapses are a recurring event and without good cause, such as medical inability to attend, the managing specialist may consider termination of the designee.

c.    Failed Test for Required Training. Each failed test is reviewed for accuracy and fairness. Validated test failures will result in the managing office making a determination to either terminate the designation for failure to meet training requirements or require the designee to retake the training. The designee will remain in suspension until the training is completed. In the case of a non-valid test (e.g., power failure or accidental submission before completion), the designee will be allowed to retake the test.

d.    Poor Performance. The designee should propose a plan of action that is acceptable to the managing specialist as well as a corrective action plan to improve poor performance.

Chapter 11.  Appealing a Ban or Termination for Cause

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

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

a.    Appeal Initiation. To appeal a ban or for-cause termination, the applicant or designee must initiate an appeal in DMS within 15 calendar-days of banning or for-cause termination. As part of the appeal request, designees should provide any evidence to support their case at the time the appeal is initiated.

b.    Scope of Appeal. The appeal is intended to be a review of the ban or termination for cause process (see Chapter 3, Selection and Evaluation of a Designee Applicant, and Chapter 9).

c.    Appeal Panel Outcomes. The appeal panel may choose one of the following results:

(1)    Uphold the original termination or ban decision whereby the original decision stands and no further appeals are accepted.

(2)    Overturn the ban or termination decision whereby the FAA reinstates the designee or applicant.

d.    Timeframe for the Appeal Process. The appeal panel must complete the appeal process within 45 calendar-days of receiving the appeal request.

e.    Notification of Decision. DMS will notify the designee or applicant of the appeal panel’s decision within 15 calendar-days of a decision.

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

a.    Review Appeal Information in DMS. Review the applicant or designee’s appeal information and make comments, if desired.

b.    Establish Appeal Panel. The appeal panel must consist of two or three individuals. The panel is comprised of any combination of FAA managing specialists, selecting officials, or appointing officials who were not involved in the original decision.

c.    Appoint a Point of Contact (POC). Appoint a POC for the panel from someone on the panel.

d.    Communicate Responsibilities. Contact panel members and discuss appeal panel responsibilities, as needed.

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

a.    Review File. Review the appealing applicant or designee file stored in DMS.

b.    Request Additional Information. Contact the managing specialist, evaluating specialist, appointing official, and/or selecting official for additional information or clarification.

c.    Document Outcomes. Document deliberations and outcomes in DMS.

Chapter 12.  Other Designee Management Functions

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

2.    Assign DMS Roles.

a.    General. The primary purpose of this process is to authorize a qualified FAA employee to have appropriate access to functionality within DMS.

(1)    DMS roles allow users the ability to access DMS and perform functions within each process, including apply, select, appoint, etc., as described in this order. DMS roles control specific user access within DMS. The FAA may assign users more than one role within DMS.

(2)    DMS roles are assigned based on the office needs and in accordance with the designation type‑specific volumes of this order.

(3)    The term “DMS role” does not convey an official position or title.

b.    Master Role Assigner (MRA). The MRA makes the initial assignment or assigns an existing internal user to a role in DMS.

(1)    “Designee” is a role but is not assigned via the MRA process. DMS automatically assigns the designee role during appointment.

(2)    The MRA function may be given at different levels within each service or office.

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

4.    Impact of Updates to Information. Depending on the designation type, updates to certain information in the designee record, such as change in designation location or qualifications, may affect the designation.

a.    Change of Designation Location. A change of designation location may cause the FAA to review need and ability to manage considerations. DMS will notify the current managing specialist if there has been a change of physical address, and the managing specialist will determine if the new address will initiate a change in the managing office. A change in designation location may require the FAA to initiate a designee transfer to the new location.

Note:  The FAA is under no obligation to transfer the designee to a new overseeing office.

b.    Change of Name. The managing specialist should verify a name change through reviewing government-issued forms of identification. A name change constitutes a legal change to a designee’s authorization and must be verified.

c.    Additional Information. Additional information can be found in the appropriate type-specific volumes for guidance on the types of changes and their impact.

5.    Retention of Existing Designee Management Files.

a.    Maintain Existing Designee Records. The FAA must continue to maintain existing designee records located in the managing office in accordance with FAA Order 1350.14. Once the designee becomes an active DMS user, all future documentation will be maintained electronically in DMS.

b.    Access to Electronic Files by Newly Appointed Designees. DMS will store the records electronically for newly appointed designees.

c.    Uploading Capabilities. DMS has uploading capabilities to maintain supporting documents. This function should be used for any documentation that supports designee management of the activities which occur in DMS. This function should not be used to upload existing designee file information that existed prior to the designee becoming an active DMS user.

Chapter 13.  Administrative Information

1.    Distribution. This order will be distributed to:

a.    The division level in Flight Standards; all Flight Standards District Offices (FSDO), Certificate Management Offices (CMO), and International Field Offices (IFO); and all Air Carrier (AC) and General Aviation (GA) airman designees.

b.    The Washington headquarters (HQ) branch levels of AIR; all responsible Aircraft Certification Service offices; Compliance and Airworthiness Division (AIR-700); System Oversight Division (AIR-800), Aircraft Certification Offices (ACO); MIO Branches and MIDO Section offices; Operations and Airworthiness branches at the FAA Academy; and Brussels International Policy Branch and all IFOs.

c.    The division level within AAM, including the Civil Aerospace Medical Institute (CAMI), Regional Flight Surgeons (RFS), and AMEs.

d.    The Office of the Chief Counsel (AGC).

2.    Deviations. It is necessary to adhere to procedures in this order to achieve uniform administration of this directive material. If a selecting official thinks that a deviation is necessary, request the deviation in writing from the policy-owning office as outlined in Table 1-1, Offices Responsible for Designee Policy. You must follow the procedures in this order to ensure uniform administration of this directive. To deviate from this policy, you must coordinate with—and get approval from—the Policy and Innovation Division (AIR-600), Aerospace Medical Education Division (AAM-400), or Regulatory Support Division (AFS-600), as applicable. If deviation is necessary, be sure to substantiate and document the deviations and get approval from your supervisor and AIR‑6F0, AAM-400, or AFS-600, as applicable. When a deviation is to Chapter 1 of this order, it will be signed by all three divisions before being approved. All deviations to chapters that cover specific designee types must be coordinated with the other services before being approved.

3.    Directive Feedback Information. For your convenience, use FAA Form 1320-19, Directive Feedback Information (which is found on the last page of this order), to submit suggestions or comments. Please use the “Other Comments” block on FAA Form 1320-19 to provide a complete explanation of why the suggested change is necessary. You may correct, as necessary, a copy of the pertinent information, or provide a handwritten note for consideration.

VOLUME 2.  AME DESIGNEE POLICY

Chapter 1.  Introduction

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

2.    Audience. The primary audience of this volume is the Manager/Appointing Official (MGR/AO) of the Aerospace Medical Education Division (AMED), Regional Flight Surgeons/Appointing Officials (RFS/AO), AME Program Analysts/Managing Specialists (AME PA/MS), AME Surveillance Program Analysts (SPA), and AMEs.

Chapter 2.  Application Process

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

2.    General.

a.    Application Information.

(1)    Candidates for initial designation as an AME must submit an application through the Designee Management System (DMS).

(2)    Contact information for RFSs is located on the Federal Aviation Administration (FAA) website at https://www.faa.gov/licenses_certificates/medical_certification/rfs/.

(3)    The FAA advises all AME applicants to read the selection information in this chapter to ensure that they meet all of the selection criteria before applying for designation as an AME.

b.    Multiple Site Authorizations. The RFS/AO or MGR/AO, AMED may approve, upon request, two authorized work locations within reasonable proximity of one another and within the same region, as appropriate. If a third designation location is desired, it must be approved by the senior RFS.

c.    Special Considerations.

(1)    The RFS may give special consideration for designation to those applicants who are pilots, have been military flight surgeons, have special training expertise in aviation medicine, or were previously designated, but have relocated to a new geographic area.

(2)    No special consideration will be given to those former FAA employees seeking designation as an AME outside the FAA, other than what has been stated in the previous paragraph.

3.    Minimum Qualifications.

a.    Minimum Qualifications. Applicants for designation as an AME must:

(1)    Possess an unrestricted license, or an equivalent clearance for international applicants, to fully practice medicine in the state, foreign country, or area in which the designation is sought; or meet the medical licensing requirements of the applicable military or Federal service to which they belong.

(2)    Demonstrate past professional performance and personal conduct suitable for a position of responsibility and trust.

(3)    Be a qualified physician in good standing in their community.

(4)    Be able to read, write, speak, and understand the English language.

(5)    Be knowledgeable of the principles of aerospace medicine.

(6)    Be thoroughly familiar with instructions as to techniques of examination, medical assessment, and certification of airmen.

(7)    Abide by the policies, rules, and regulations of the FAA.

b.    Methods for Seeking Designees. The FAA expects that all Office of Aerospace Medicine (AAM) physicians will proactively seek qualified AME applicants using all available forums to advertise needs, requirements, and the application process, including:

(1)    Aerospace Medical Association or other aerospace medicine meetings;

(2)    Briefings to military flight surgeons and aerospace medicine residency groups; and

(3)    The FAA AAM website: www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/.

c.    Credentials. At the time of initial application for designation, the physician shall submit to DMS the following documents or copies (translated into English if in another language):

(1)    Medical school diploma.

(2)    Certificate of any postgraduate professional training (e.g., internship, residency, fellowship).

(3)    Certificate of Good Standing by all medical licensing bodies from which the applicant has active medical licenses, proving there are no restrictions or limitations to practice medicine.

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

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

(4)    Notice of certification by an American specialty board, if applicable.

(5)    A current curriculum vitae.

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

a.    False Statements. In connection with completion of FAA Form 8500-8, AMEs are subject to Title 18 of the United States Code (18 U.S.C.) §§ 1001 and 3571, which indicate that whoever in any matter within the jurisdiction of any department or agency of the United States knowingly and willfully falsifies, conceals, or covers up by any trick, scheme, or device a material fact, or who makes any false, fictitious, or fraudulent statements or representations, or entry, may be fined up to $250,000 or imprisoned not more than 5 years, or both.

b.    Medical License History. Any past or present adverse action against the medical license of the AME is subject to review by the RFS for suitability or selection.

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

6.    Post-Application. See Volume 1.

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

Chapter 3.  Selection and Evaluation of a Designee Applicant

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

2.    General.

a.    Selection Process. The general process of selection consists of three steps: DMS determines if system-defined minimum qualifications are met; the selecting official (SO) determines if need and ability requirements are met; and an MS is then assigned to further review the applicant’s qualifications and abilities.

b.    Selection Considerations.

(1)    DMS is the sole source from which to obtain a list of qualified applicants.

(2)    An evaluation panel, determined by the SO, will then be established to review and evaluate the list of viable applicants identified through DMS.

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

4.    Requesting Qualified Applicant. See Volume 1.

5.    Evaluation.

a.    Evaluation Process. Once DMS provides a list of applicant(s) based on the search criteria, each applicant for consideration must be further evaluated.

(1)    The MS must review the application for completeness and ensure that minimum qualifications are met for each applicant.

(2)    The MS must complete the evaluation checklist in DMS for each applicant being evaluated.

(3)    The MS must determine what training a prospective AME will require prior to appointment, which is a key part of the selection process. The regional office will follow the guidance in the training section to determine the initial training requirement and notify the applicant of these requirements.

b.    Evaluation Panel. The evaluation panel consists of an RFS/AO or MGR/AO, AMED, and an AME PA/MS.

c.    Evaluation Criteria.

(1)    The regional office must conduct a review of the applicant’s qualifications and supporting documentation.

(2)    The AME PA/MS may contact the applicant for more information regarding the application, if needed.

(3)    The FAA will not consider for designation an applicant that has been previously terminated for cause.

d.    Record Results. The AME PA/MS must record results of the evaluation in DMS.

e.    Make Recommendation. The AME PA/MS submits the findings and recommendations in accordance with this order.

(1)    The AME PA/MS will make one of the following recommendations:

(a)    Recommend appointment.

(b)    Do not recommend appointment.

(2)    DMS provides the recommendation information to the RFS/AO or MGR/AO, AMED, on each prospective qualified applicant, including:

(a)    The designee candidate’s application form;

(b)    (b)Information regarding equipment and facilities; and

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

f.    Selection Notification. DMS will:

(1)    Notify all applicants of their application status;

(2)    Notify applicants that are not selected; and

(3)    Maintain the data for the Certificate Letter of Authority (CLOA).

Chapter 4.  Designee Appointment

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

2.    General.

a.    Procedures for Initial Designation. Prior to designation, each AME applicant will provide a signed statement confirming that:

(1)    Designation is a privilege, not a right.

(2)    Designations may be terminated any time the FAA determines it is in the agency’s best interest.

(3)    There are no past or current restrictions of medical practice, and there are no adverse actions proposed or pending that would limit medical practice by any state licensing board, the Drug Enforcement Administration (DEA), any medical society, any hospital staff, or by any other local, state, or Federal organization that may have licensing or certification authority.

(4)    There are no known investigations, charged indictments, or pending actions in any local, state, or Federal court.

b.    Training Requirement Prior to Appointment. All applicants must have satisfactorily completed the initial training specified in Chapter 7, Training, prior to being appointed as an AME.

c.    Notification. The FAA will notify all applicants of the status of their designations via the Message Center in DMS. DMS will hold their certificate of designation and all necessary forms and supplies.

d.    RFSs/AOs. RFSs/AOs act as the SO or AO for AMEs who conduct FAA medical examinations within the geographic boundaries of their regions. The RFS/AO may delegate SO responsibilities to the AME PAs/MSs. This delegation only authorizes the SO to make a recommendation. The Deputy Regional Flight Surgeon (DRFS), while acting for the respective RFS, can perform AO duties.

e.    The MGR/AO, AMED. The MGR/AO, AMED, acts as the SO or AO for AMEs who are U.S. military flight surgeons, medical officers at Federal agencies, and for those who are located in foreign countries or areas not under the jurisdiction of one of the domestic regional medical offices. In this capacity, the manager functions as the RFS/AO for the international, military, Federal, or official AMEs. The MGR/AO, AMED, may delegate SO responsibilities to the international, military, Federal, or official AME PA/MS. This delegation only authorizes the SO to make a recommendation.

f.    Designation of Military Flight Surgeons. Management of military flight surgeon AMEs is the same as for any other designee with a few exceptions. The military surgeon general requested that military AMEs perform only second- and third-class examinations; however, limited authority to perform first-class examinations may be granted to certain military or other Federal operations after coordination with the appropriate surgeon general’s office. All administrative functions pertaining to active military AMEs will be handled by the MGR/AO, AMED.

g.    Procedures for Dual AME Designations in Civilian and Governmental Capacities. Civilian AMEs who function as reserve component flight surgeons (Air Force, Navy, and Army) may request permission from the appropriate civilian RFS/AO to perform AME duties at their military location.

(1)    Civilian AMEs are most likely to perform more examinations in their civilian practice than in a military setting; therefore, the civilian RFS/AO will perform all oversight activity, and performance information from both practices will be combined for reporting purposes.

(2)    If a guard or reserve AME is seeking civilian designation and is approved by the civilian RFS/AO, oversight of their activity will be transferred from the military region to the gaining civilian region.

(3)    AMEs who have been designated to function with civilian and military capacity shall only be assigned a single AME number, normally retaining the number from their initial designation.

(4)    The same principle of single regional management shall apply if an AME seeks dual designation as a civilian and Federal AME.

(5)    At the request of the military surgeons general, no military AME will be designated as a senior AME for performance of FAA examinations while in a military status unless waivered by the appropriate surgeon general; however, dually designated AMEs may hold a senior AME rating in their capacity as a civilian AME.

h.    Designations of Physicians in Foreign Countries. Many foreign countries do not have a medical licensing system similar to that of the United States, so it is often difficult to obtain reliable information about an applicant’s status as a physician. If a country does not have a “Certificate of Good Standing” or equivalent, like those of Canada and the United Kingdom, the international AME PA/MS must request the appropriate U.S. embassy or consulate complete a professional background check.

i.    Authority to Perform First-Class Examinations.

(1)    To obtain designation as a senior AME, the physician shall demonstrate compliance with the requirements for continued service as an AME and have an acceptable record performing second- and third-class examinations for at least three years.

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

(2)    Exceptions to the 3-year requirement may be granted by the RFS/AO or MGR/AO and are based on the AME’s prior military experience as a flight surgeon, residency training in aerospace medicine, previous AME experience, or an immediate exceptional need in a particular locality.

(3)    International AMEs are always immediately designated as senior AMEs, given that their designation is in response to the need for AMEs to be conveniently located to examine U.S.-certified pilots who are based overseas and who require first-class certificates.

3.    CLOA. The certificate of designation and designation letter are combined and represented by the CLOA.

a.    Affirm Statement. Each AME applicant will affirm in DMS that there are no past or current restrictions of medical practice, and no adverse actions proposed or pending that would limit medical practice by any state licensing board, the DEA, any medical society, any hospital staff, or by any other local, state, or Federal organization that may have licensing or certification authority.

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

Chapter 5.  Responsibilities and Obligations of a Designee

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

2.    Designee Responsibilities.

a.    AMEs Must:

(1)    Serve as aviation safety experts within their communities, advising on aeromedical issues;

(2)    Ensure that medical certificates are issued only to applicants who meet the FAA’s standards for medical certification;

(3)    Use acceptable equipment and adequate facilities in order to carry out the prescribed examinations; and

(4)    Conduct the entire examination for an Airman Medical Certificate in English in order to assess the English language proficiency of applicants.

b.    AMEs Should:

(1)    Maintain familiarity with general medical certification;

(2)    Maintain familiarity with general medical knowledge applicable to aviation in order to properly discharge the duties associated with these responsibilities;

(3)    Have detailed knowledge and understanding of FAA rules, regulations, policies, and procedures related to the medical certification of airmen;

(4)    Charge reasonable fees that are customary for a comparable medical examination service in the geographic area where the AME is located; and

(5)    Refrain from performing tests that are not required by the Guide for Aviation Medical Examiners or not medically indicated by history or physical findings.

c.    Facilities and Equipment.

(1)    The applicant must be engaged in the practice of medicine at an established office address that the RFS/AO or MGR/AO, AMED, has approved.

(2)    The AME applicant must have adequate facilities in order to perform the required examinations and possess the following equipment prior to conducting any FAA examinations:

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

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

(c)    Electrocardiograph equipment. International senior AMEs must have access to electrocardiographic equipment to perform an electrocardiograph and be able to send a PDF of the electrocardiogram (ECG) test to the Aerospace Medical Certification Division (AMCD) attaching it within the Aerospace Medical Certification Subsystem (AMCS) as part of the Class I exam requirements. All AMEs, if necessary, can attach an ECG PDF within AMCS as part of an exam for transmission to the AMCD.

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

d.    AMCS Requirements. All AMEs are required to use AMCS to record, validate, and transmit airman medical certification data.

(1)    Regions may consider corrective action for AMEs unable to consistently transmit examination information within the 14 calendar-days following the date the examination was initiated by the AME.

(2)    The RFS/AO or MGR/AO, AMED, will consider the termination of designation of an AME who transmits more than 60 calendar-days after the examination date.

(3)    The AME is responsible for notifying the AMCS Online Support Desk if staff changes have occurred for an individual with AMCS privileges and if the employment status no longer requires AMCS access.

(4)    The FAA will take an adverse action against an AME’s designation if the individual fails to comply with the staff validation requirements.

e.    Privileges. An AME is delegated the authority, in accordance with 14 CFR part 67, to:

(1)    Accept applications for physical examinations necessary for issuing medical certificates.

(2)    Issue or deny FAA Airman Medical Certificates, following the policies and procedures in the Guide for Aviation Medical Examiners, subject to reconsideration by responsible FAA official(s).

(3)    Defer a medical certification decision to the FAA when the AME does not have sufficient information, is unsure of whether the individual should be issued a medical certificate, or if deferral is recommended by agency policy or the Guide for Aviation Medical Examiners.

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

a.    Proficiency Standards. All designees must meet proficiency standards of performing at least 10 FAA examinations per year.

b.    Need. If there is a need for a given AME, despite an expectation of low performance examinations, the RFS must sufficiently document the FAA need.

c.    Examination Requirements.

(1)    AMEs must personally perform medical examinations at the established office address approved by the appropriate RFS/AO or MGR/AO, AMED.

(2)    Paraprofessional medical personnel (e.g., nurses, nurse practitioners, and physician assistants) may perform limited parts of the examinations (measure visual acuity, hearing, phorias, blood pressure, pulse, weight, urine testing, and electrocardiography) under the supervision of the AME. These individuals are permitted to review the clinical history; however, they may not perform the physical examination required by the FAA.

(3)    When completing FAA Form 8500-8 electronically, the AME shall personally review and provide definitive comments in item 60 on all positive entries and all physical findings (i.e., provide more than “no change” or “previously reported” notations). The AME must sign the FAA forms electronically.

(4)    In all cases, the AME shall review and assume responsibility for the accuracy and completeness of the total examination report, even if data entry was performed by someone else.

(5)    All examinations must be electronically transmitted to the agency within 2 calendar-weeks, and is subject to the 2-calendar-week requirement. Mailing examinations may be permitted for a very limited time to cover some extenuating circumstances that do not permit electronic transmission.

(6)    AMEs may not perform self-examinations for issuance of a medical certificate to themselves or issue a medical certificate to themselves or to an immediate family member.

d.    Other. Designees must meet other requirements deemed necessary by the Administrator.

4.    Aeronautical Center (AC) Forms and Supplies. The FAA will provide the Certification Envelope (AC Form 1360-47) and Near Vision Acuity Card (FAA Form 8500-1), which may be obtained from the MGR/AO, AMED, by online request. The use of any locally designed forms or certificates in lieu of official FAA forms and certificates is prohibited.

5.    FAA Form 8520-4. The Aviation Medical Examiner Identification (AME ID) card is a controlled document governed by FAA Order 1600.25, Federal Aviation Administration (FAA) Official Credentials. The need to ensure the integrity of the AME ID card necessitates that the FAA institute strict controls to prevent fraudulent issuance, improper use, or alteration of the AME ID cards. FAA Order 1600.25 governs safeguarding the AME ID card.

Chapter 6.  Oversight and Management of a Designee

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

2.    General Oversight and Management Considerations.

a.    Oversight Principles.

(1)    The FAA continually evaluates the performance of each AME. Risk management principles will be used by RFSs/AOs and MGR/AO, AMED, to determine which AMEs deserve a higher level of monitoring or counseling following an analysis of all performance factors.

(2)    The AAM is the organizational element within the FAA responsible for oversight and management of the AME system. The director of the office, the Federal Air Surgeon (FAS), develops and establishes policies, plans, procedures, standards, and regulations governing the AME designee.

b.    Oversight Responsibilities. The FAS delegates to the MGR/AO, AMED, the following responsibilities:

(1)    Monitor the AME system; oversee AME performance by developing and administering evaluation procedures to supply RFSs/AOs with data to assist them in renewing only those physicians who have demonstrated satisfactory performance; and continue to show an interest in the AME program.

(2)    Plan, develop, administer, and evaluate medical education programs for training AMEs.

(3)    Determine standards for initial and refresher training and develop special courses to meet training needs on a case-by-case basis. The RFS/AO assists in the planning, development, administration, and evaluation of medical education programs for training of AMEs.

(4)    Prepare appropriate reports for the FAS and RFSs/AOs to evaluate the performance of their AMEs.

c.    Oversight and DMS. Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. In addition to an oversight plan developed by the regional office and/or the AME PA/MS, the objective of an oversight program is to assure that the designee performs to the standards and expectations set forth by the FAA in its policies and regulations.

(1)    Oversight feedback is considered in total to provide a high-level perspective of a designee’s performance over a specific period. (See Volume 1, Chapter 6, subparagraph 2c.)

(2)    The AME PA/MS must conduct regular performance evaluations predicated on the outcome of oversight activities. The results of individual oversight activities should be recorded in DMS. However, a formal evaluation must be recorded in DMS at least once every 12 calendar-months, generally completed during the designee’s annual anniversary month. A formal performance evaluation is required prior to the renewal of a designee’s authority.

d.    Performance Measures. There are three categories of performance measures. The FAA uses these criteria to gain insight into the designee’s performance. DMS provides appropriate fields to record the details for performance measures.

(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

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

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

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

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

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

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

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

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

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

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

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

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

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

e.    Regional Role in AME Oversight.

(1)    The FAS delegates responsibility to the RFSs/AOs and MGR/AO, AMED, to:

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

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

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

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

(2)    New AME offices shall be evaluated by regional SPAs within 1 year of designation. Problem AME offices will also be visited as soon as practical after a deficiency necessitating a site visit has been determined (this visit may be unannounced). The goal of the national site visit is to survey every AME’s office at least once every 5 years. Virtual site visits (VSV) using remote means are acceptable to inspect the office site and may be followed by standard live site visits if determined by the RFS/AO or MGR/AO, AMED.

(3)    SPAs will judge the adequacy of the documentation and the decision making of the AME for rejected, issued medical certificates. These rejected, issued medical certificates are identified by the Document and Imaging Workflow System (DIWS), an AAM medical information system for airman medical applications. DIWS assigns a reject code when applications meet certain review parameters (e.g., medical conditions or prescribed medications) and the application is forwarded to the DIWS Surveillance Queue to be reviewed by an SPA assigned to the appropriate RFS office.

(4)    Any airman medical examination that the SPA determines has a questionable medical history and/or a medical condition may require an additional administrative medical review by the AMCD reviewer, surveillance physician, or RFS/AO.

(5)    The determination by the SPA to forward medical examinations to the AMCD reviewer should be made as they relate to the issuance of the current medical examination being reviewed, not on documentation existing in past examinations. If evidence of poor decision making or inadequate documentation on past examinations is uncovered while reviewing the current issued rejected examination, the SPA should send these findings to the appropriate Certification PA in the AMCD or the regional airman medical certification analyst in the appropriate RFS/AO’s office for resolution.

(6)    The Certification PA in the AMCD may refer the case back to a region for further AME corrective or disciplinary action.

(7)    The Manager, AMCD, shall identify AMEs committing serious certification errors and notify the appropriate RFS/AO and the MGR/AO, AMED, to ensure that appropriate action is taken.

3.    Oversight Actions.

a.    Planning an Oversight Activity. Managing specialists will contact AME offices before performing a site visit, unless the AME is identified as a problem AME and an unannounced visit is warranted.

b.    Oversight Activities.

(1)    Direct Observation. Direct observation does not apply to AME designees.

(2)    Review of Documentation.

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

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

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

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

c.    Outcomes of Oversight Activities.

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

(a)    Satisfactory;

(b)    Needs Improvement;

(c)    Unsatisfactory—Suspend; and

(d)    Unsatisfactory—Terminate.

(2)    If the AME PA/MS determines that the designee falls into the category of “Needs Improvement,” “Unsatisfactory—Terminate,” or “Unsatisfactory—Suspended,” then appropriate followup activity must be determined and recorded in DMS.

4.    Followup Actions. A deficiency can often be remedied with FAA guidance provided either formally or informally. In such cases, a designee’s authorization may be continued depending on circumstances and the judgment of the AME PA/MS.

a.    Counseling. In certain egregious situations, the designee may be suspended from conducting authorized activities until formal counseling has been completed and the AME PA/MS is assured that the issue has been corrected. In any event, the counseling must lead to a satisfactory performance rating.

b.    Additional Training. The AME PA/MS may determine that appropriate followup action could be conducted in the form of additional training. This is a rare event since AMEs receive a significant amount of training prior to designation and through recurrent training events. If additional training is needed, validation of the effectiveness of the training is required. Typically, events that may be appropriate for the use of additional training as a followup action include:

(1)    Performance deficiency found during oversight evaluation, and

(2)    Training to prevent a deficiency after an extended absence.

5.    Management Functions.

a.    Expand Authorities or Change Limitations.

(1)    After 3 years, a designee can request to perform first-class examinations.

(2)    Change of limitations is not applicable to AME designees.

b.    Reduce Authority. Reduction of authority is not applicable to AME designees.

c.    Record Note. The AME PA/MS may insert a “note” into the designee’s DMS record as a reminder of an upcoming event or an action to be taken.

d.    Send Message to Designee. The AME PA/MS may use this tool to document an event or an action required on the part of the designee. This function provides a permanent record of the correspondence with the designee.

e.    Record Feedback or Interaction With a Designee. Important written correspondence and memoranda, PDF files of FAA orders, and other hard copy documents can be uploaded into DMS and transmitted to designees.

Chapter 7.  Training

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

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

3.    AME Training Requirements.

a.    Applicant Initial Training.

(1)    An AME applicant must successfully complete the distance learning courses: Medical Certification Standards and Procedures Training (MCSPT) and Clinical Aerospace Physiology Review for AMEs (CAPAME) before initial designation, and prior to attending a Basic AME Seminar. If the applicant fails both courses, the RFS/AO should stop the designation process and determine if the applicant is suitable.

(2)    An AME applicant must also attend a Basic AME Seminar, unless the applicant has had prior aerospace medicine training and has received approval from the appropriate selecting official to substitute a Refresher AME Seminar instead.

(3)    Authorization to attend a Basic AME Seminar will not be given until MCSPT and CAPAME have both been completed and passed with a score of at least 70 percent.

(4)    If the applicant successfully completes the seminar, the RFS/AO may proceed with the designation unless there are other concerns regarding the suitability of the applicant.

(5)    After initial designation, the AME is not required to repeat the MCSPT, CAPAME, or attend another Basic AME Seminar unless an RFS/AO determines a need for remedial training or the AME chooses to attend a Basic AME Seminar again.

b.    AME Staff Member Training. The AME is responsible for ensuring that staff members processing FAA forms are knowledgeable of FAA policies and procedures related to the use of these materials. The FAA recommends that any staff member who assists with the electronic transmission of FAA examinations into AMCS complete MCSPT.

(1)    AMEs are accountable for the quality and content of any examination transmitted on their behalf, regardless of who actually transmits the examination.

(2)    Just like the AME, any staff member who will be transmitting examinations is required first to obtain a unique username and password for AMCS. AMEs or staff members must never allow anyone else to use their username and password to transmit examinations, since these are the equivalent of an electronic signature.

c.    AME Refresher Training.

(1)    An AME must attend a Refresher AME Seminar, or equivalent training as determined by the MGR/AO, AMED, every 3 years as a requirement for continued designation. As an option, an AME may alternate the Multimedia Aviation Medical Examiner Refresher Course (MAMERC) in lieu of attending an FAA seminar, but no more than 6 years (72 calendar-months) should elapse between AME seminar attendance, or more than 3 years (36 calendar-months) between seminar attendance and MAMERC completion.

(2)    If an AME fails to comply with training requirements, suspension of the AME’s designation will be automatically imposed, which will lead to the loss of access to AMCS, and no certificate can be issued by the AME until the suspension is lifted. Deviations from the seminar attendance policy, when the online MAMERC course is not an option, shall be based on an AME’s individual circumstances. A request for such a deviation from FAA Order 8000.95 policy, following AAM RFS 300-005 Aviation Medical Examiner Program, may be submitted if requested by the RFS to the Manager, AMED, for consideration.

(3)    The AME PA/MS must ensure that all training deviations and suspension actions are fully documented in DMS. All AME seminar sessions defined as required by AMED must be attended in their entirety, and seminar tests must be completed and passed for seminar credit to be given.

(4)    Continuing Medical Education (CME) credit may be awarded, when appropriate, at the discretion of the MGR/AO, AMED, on an hour-per-hour basis according to the Accreditation Council for Continuing Medical Education (ACCME) guidance for lectures attended at a seminar, irrespective of whether or not sufficient sessions were attended to receive seminar credit.

(5)    The AME is responsible for ensuring that all travel arrangements permit complete seminar attendance.

4.    AAM Employee Training.

a.    Medical Assessors. Medical assessors, which include RFSs/AOs and AAM medical officers, are technically not AMEs because they are FAA employees and not designees. However, they are still expected to maintain familiarization with current aeromedical certification practices. Their training and proficiency requirements are not within the scope of Order 8000.95.

b.    AME PAs/MSs. It is recommended that AME PAs/MSs attend a Basic AME Seminar to familiarize themselves with the AME program as soon as possible after their employment has begun.

c.    Surveillance Program Analysts (SPA). In addition to the AME PAs’ training, SPAs must attend a one‑week familiarization course at the Civil Aerospace Medical Institute (CAMI) to learn the fundamentals and processing procedures necessary to do issued rejected examination reviews before beginning to conduct these reviews. SPAs will also receive annual refresher training conducted by the AMCD. The regional offices are responsible for training SPAs to do site visits before having them visit AMEs’ offices.

Chapter 8.  Annual Request for Extension of a Designee’s Authorization

1.    Purpose. Designees must update their profile on an annual basis to retain their designation. AMEs will receive an action required item on their DMS landing page 60 days prior to the expiration date on the CLOA and must submit the update prior to the expiration date. DMS will notify the AME PA/MS in the DMS message center when an AME profile is updated.

2.    General.

a.    Update Annual Profile. The annual profile update process, completed by the AME, is automatically completed electronically unless the designation has lapsed or an AME’s designation has been terminated. Lapses in designation of more than 1 year will require reapplication.

b.    Requirements. The AME must answer the profile questions in DMS and confirm the update by acknowledging the request to extend their authorization. Failure to complete this task prior to expiration of the current designation will change the AME’s status from active to expired.

(1)    The AME must maintain all necessary medical credentials, including the appropriate state medical license.

(2)    In the event of an office relocation or change in practice, the AME must request a change/expand authority in DMS authorizing the change of the location to perform FAA physical examinations. If a relocation results in a move to a different region, the present designation will end and the designation may be renewed by the gaining regional office, if it has been determined that there is a need for an AME at the new location. New statements from the physician’s local or state medical society, osteopathic association, or state, Federal, and foreign licensing authority may be required following practice relocation.

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

4.    Declination of AME Authorization Extension. AMEs who do not wish to remain designated must voluntarily surrender their designation in DMS. See Chapter 9 for information on voluntary surrender.

Chapter 9.  Termination of a Designation

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

2.    General. AME PAs/MSs and AOs should ensure that documentation relating to designee deficiencies substantiate the termination, and that those documents are included in the designee’s DMS file.

3.    AME Voluntary Surrender of Designation.

a.    Reasons for Voluntary Surrender. AMEs may voluntarily resign their designation. The AME who has decided to “voluntarily surrender” a designation must use DMS.

b.    In Lieu of Termination. An RFS/AO or the MGR/AO, AMED, must never permit voluntary surrender in lieu of an “FAA Decision to Terminate a Designation,” if a termination decision has already been made.

4.    FAA-Initiated Termination of AME.

a.    Terminating a Designation. An RFS/AO or the MGR/AO, AMED, can make a decision to involuntarily terminate an AME’s designation either “for cause” or “not for cause.”

(1)    As soon as a proposed action to terminate or not renew has been made, the AME will be notified promptly to suspend exercising all AME privileges and discontinue performing FAA medical certification examinations.

(2)    The AME must be notified electronically within 15 calendar-days of the reason(s) for the termination or nonrenewal action.

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

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

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

b.    For Cause Termination. The following substandard performance reasons are “for cause”:

(1)    Disregard of or failure to demonstrate knowledge of FAA rules, regulations, policies, and procedures.

(2)    Careless or incomplete reporting of the results of medical certification examinations.

(3)    Unprofessional performance of examinations.

(4)    Failure to promptly mail medical examination reports to the FAA.

(5)    Failure to promptly transmit FAA examinations using AMCS.

(6)    Failure by a senior AME to transmit electrocardiograms for first-class medical certification examinations to the AMCD, by means approved by the AMCD, unless approval has first been obtained from the AMCD or the responsible regional office.

(7)    Any other performance-based reason the FAA deems appropriate.

(8)    Unprofessional office maintenance and appearance.

(9)    Movement of the location of practice and/or an addition of a practice location without prior approval in writing from the regional office.

(10)    Failure to personally perform FAA physical examinations.

(11)    Failure to notify the RFS/AO or MGR/AO, AMED of a substantial change in practice availability.

(12)    Performance of FAA physical examinations at an unapproved or nondesignated location.

(13)    Failure to respond to RFS/AO, MGR/AO, AMED, or AMCD communications within 15 calendar‑days.

(14)    Integrity, misconduct, or inability to work constructively with the FAA or the public, including:

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

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

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

c.    Not For Cause Termination. The following reasons are “not for cause”:

(1)    Lack of FAA need for an AME in the requested location.

(2)    No longer meets minimum qualifications, including:

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

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

Note:  The number of examinations considered sufficient is 10 per year; however, an RFS/AO or MGR/AO, AMED, may accept fewer examinations as evidence of proficiency for experienced AMEs or when geographic coverage dictates.

Note:  Any decision by a regional office to permit an AME performing fewer than 10 examinations per year to remain designated must be fully documented in DMS.

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

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

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

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

Chapter 10.  Suspension of a Designation

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

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

a.    AME Suspension Considerations.

(1)    An AME can be suspended if there is a lapse in minimum qualifications and it is anticipated that the condition can be rectified in a reasonable period of time, such as a lapse in state medical license or overdue training.

(2)    Circumstances in which an AME is under investigation for criminal activity, fraud, or any other activity for which immediate action is necessary, but where there is not enough evidence to base an outright termination action.

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

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

Chapter 11.  Appealing a Ban or Termination for Cause

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

2.    General.

a.    Final Decision. The appeal panel’s decision is final.

b.    Documentation. All documentation associated with the appeal (e.g., outcome, members of the appeal panel, communication with the designee or the regional office) should be included in the designee’s DMS file.

c.    Appeal Panel. Upon receipt of the appeal request, the FAS must promptly convene a three-physician panel to consider and make a recommendation on the merits of the appeal.

(1)    The panel will consist of the Deputy Federal Air Surgeon (DFAS); an RFS/AO or MGR/AO, AMED, from a region other than the region of residence of the AME; and one additional FAA physician selected by the FAS.

(2)    In the absence of the DFAS, the manager of the medical specialties will serve on the panel. In the absence of the FAS, the DFAS will convene the panel and make the determination.

d.    Appeal Process.

(1)    Within 45 calendar-days of the FAS having received the appeal, the panel must render their recommendation to the FAS. However, the final decision on the appeal rests with the FAS, and said decision must be conveyed to the AME within 15 calendar-days of determination.

(2)    A decision by the RFS/AO or MGR/AO, AMED, based on the loss or restriction of a state medical license, failure to attend training at the required frequency, or the determination of a lack of need for an AME is not subject to review on appeal.

Chapter 12.  Other Designee Management Functions

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

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

3.    Send Message to AME PA/MS. The designee may use this tool to communicate with AME PAs/MSs. The message will remain a permanent record within the designee’s file.

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

a.    Change in name, gender, nationality, or date of birth (DOB).

b.    Change of address.

c.    Change results in designee no longer meeting minimum qualifications. At that time, DMS will suggest that the AME PA/MS initiate suspension of the designee.

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

Chapter 1.  General Information

Section 1.  Overview

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

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

3.    Supplemental Information. This volume is organized to provide general policy and instructions related to DMS management. It is supplemented by DMS Job Aids for designees/applicants and FAA personnel.

a.    Applicant and Designee DMS Job Aid Location: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/dms/support/.

b.    FAA Internal DMS Job Aid Location: https://my.faa.gov/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

Section 2.  Designee Types

1.    Types of DPE Designees. A designee is an individual appointed in accordance with 14 CFR part 183, § 183.23. Most designees will be issued authorizations that are based on the type of designee, certificate level they are authorized testing/checking, and category/class or privileges that they are authorized to conduct. For example, a DPE with airline transport pilot (ATP) testing privileges in a multiengine land airplane would get the following authorization: DPE-ATPE-AMEL. The privileges associated with each part of each authorization are explained in the tables below. Administrative authorizations, Vintage Flight Engineer Examiner (VFEE) authorizations, and Vintage Aircraft Examiner (VAE) group authorizations may be a two-part authorization (e.g., VFEE-TJET).

2.    Temporary Authorization.

a.    Qualified and Current Designee. If a designee is qualified and current in a specific make and model (M/M) of aircraft for which designee services are rarely requested and the designee holds a current DPE authorization for a comparable aircraft, the managing FAA office may issue the designee a temporary authorization for testing privileges in that aircraft. The request is made by a designee through the preapproval process. All preapprovals using a temporary authorization revert to manual approval, and must be approved by the managing specialist. Each request must be made and approved for each individual testing/checking event. If an office finds that they are approving numerous temporary authorizations for a specific authorization, every attempt should be made to appoint a designee that is qualified for that specific authorization.

b.    No Qualified and Current Designee. In the event that there is no designee current and/or qualified in the aircraft, the managing office may grant a temporary authorization to an existing designee provided they have conducted a thorough risk analysis and have determined that the test/check can be conducted safely. This should be used only as a last resort to get testing/checking accomplished.

Table 3-1.  Types of Designees

*SAE sub-type.

Table 3-2.  Certificate Level Testing/Checking Authorizations

Table 3-3.  Aircraft Category/Class/Privileges Testing/Checking Authorizations

Table 3-4.  Administrative Authorizations

Note:  Administrative authorizations may be given to DPEs and SAEs in addition to their other testing and checking authorizations. However, DPEs and SAEs may not be designated with administrative authorizations only.

Note:  Designees preparing to conduct authorized activities should follow the procedures set forth in FAA Order 8900.1, Volume 5, as applicable. Specific sections that limit activities to an aviation safety inspector (ASI) also include properly trained and authorized designees.

3.    Designated Examiners Abroad.

a.    FAA Airman Certificate Exams. A DPE, Admin PE, or SAE may be authorized to serve at locations outside the United States, provided the testing activities serve U.S. citizens abroad that were trained under part 61 or 141 only for an FAA airman certificate.

b.    Managing Office. A designee serving internationally will generally be managed by an International Field Office (IFO) but may be assigned to a Flight Standards District Office (FSDO).

c.    Citizenship. An individual who is not a U.S. citizen may be authorized as a DPE, Admin PE, or SAE abroad only when the need cannot be filled by a U.S. citizen and the individual has met the U.S. certification requirements for the examining authority requested.

Section 3.  Roles and Responsibilities

1.    FAA Personnel Roles and Responsibilities.

a.    Flight Standards Office Managers.

(1)    Flight Standards office managers are responsible for the personnel, training, and budget resources necessary to accomplish the management and oversight of designees.

(2)    Flight Standards office managers should anticipate changes in personnel requirements as a result of the “need and ability” standard.

(3)    Flight Standards office managers are responsible for continually evaluating the effectiveness of the designee program and managing specialists.

(4)    Flight Standards office managers are required to ensure that ASIs and office management are assigned appropriate roles within DMS to carry out their assigned duties.

b.    Master Role Assigner (MRA). MRAs are typically office managers, but may be Front Line Managers (FLM). MRAs ensure inspectors and supervisory staff are assigned appropriate roles within DMS to carry out assigned duties.

c.    Appointing Official. Appointing officials are typically office managers, but may be FLMs.

d.    Selecting Official. Selecting officials are typically FLMs, but may be office managers.

e.    Managing Specialists. The managing specialist is an ASI primarily responsible for the management of a specific designee(s).

(1)    Managing specialists must ensure that designees are prepared to perform their duties, including the completion of required training and the maintenance of the minimum qualifications for designation as prescribed in Chapter 2, Application Process.

(2)    Designee management must consider potential risks and hazards to safety. Managing specialists should remain constantly vigilant for such risks and hazards. These ASIs should review data and other resources, such as Safety Performance Analysis Systems (SPAS), to focus oversight on potential problem areas.

(3)    The managing specialists must be experienced FAA ASIs whose specialty is General Aviation (GA) Operations. They must have at least 3 years’ tenure with the FAA as an ASI and have completed or be scheduled to complete the required training.

f.    Geographic Expansion Coordinator (GEC). The GEC is a role assigned to at least one Airworthiness ASI in each Flight Standards managing office to receive and approve or deny geographic expansion requests contained within a DMS preapproval. Any requests received will be routed to all GECs assigned to the managing office. The appropriate specialty GEC must approve or deny the request. Coordination may be required outside of DMS such as telephone calls or emails; however, all actions to approve or deny the request will be documented in DMS.

g.    Aviation Safety Inspectors (ASI). This role allows any ASI access into DMS to record specific oversight and other activities, as well as accessing information on any designee in DMS.

h.    Reporting. The reporting role allows the user to access DMS reports to view designee data and assess risk.

Note:  DMS user roles determine which activities an FAA user can access in DMS. The DMS Management Action Links and DMS job aids should be reviewed for detailed information: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

i.    Proxy. The proxy role allows an office to assign a surrogate or backup in DMS to a person holding a primary DMS role for offices with a large number of designees or for when the person holding the primary role will be unavailable.

(1)    Proxies should meet the same qualifications required to hold the primary role.

(2)    Proxies may be assigned for a defined amount of time or indefinitely.

(3)    Only the appointing official, selecting official, and managing specialist roles may be proxied.

(4)    An appointing official or selecting official may have only one proxy. Only an appointing official may assign an appointing official proxy. Only an appointing official or selecting official may assign a selecting official proxy.

(5)    Each designee may have only one managing specialist and up to three managing specialist proxies. An appointing official, selecting official, and the managing specialist who will be proxied may assign a managing specialist proxy.

(6)    Proxy candidates must accept the proxy request in DMS in order to be assigned a proxy.

(7)    Primary role holders and proxies should coordinate designee-related activities outside of DMS to prevent duplicate efforts or entries in DMS.

Chapter 2.  Application Process

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

2.    General.

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

b.    FAA Tracking Number (FTN). DPE, SAE, and Admin PE applicants must enter their FTN as part of their application in DMS. The FTN is an essential link between DMS and the Integrated Airman Certification and Rating Application (IACRA) that verifies designee authorizations and allows activity and certification records to align between systems. Applicants can locate their FTN by logging into IACRA.

c.    Citizenship. U.S. citizenship is not a requirement for appointment.

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

a.    The former designee meets the requirements and procedures for an original issuance of designation and was previously authorized in DMS.

b.    The designation was terminated not more than 12 calendar-months prior to application for reinstatement.

c.    The applicant meets the recurrent training requirement for the designee type.

d.    The managing office determines that the former designee is still competent to perform the authorized activities.

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

4.    Former Designee Appointment. Except as stated in paragraph 3 above, former designees who wish to reapply for previously held authorizations that have been terminated “not for cause” must reapply through DMS as an initial applicant.

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

6.    Minimum Qualifications.

a.    Minimum Qualifications for DPE, Admin PE, and SAE Applicants.

(1)    In addition to the general minimum qualifications and disqualifiers depicted in this chapter, candidates for designation as a DPE must be technically qualified and must hold all pertinent category, class, and type ratings for each aircraft for which designation is sought. All DPEs must meet the requirements of §§ 61.56 and 61.57. If applying to administer tests in an aircraft that requires a type rating, the DPE must also be current in accordance with § 61.58.

(2)    For designations requiring a medical certificate, the examiner must maintain at least a third class medical certificate throughout the duration of the designation. Examples of designees not requiring a medical certificate are those whose authorizations are limited to examinations in balloons, gliders, or FSTDs for which no medical certificate is required. An SPE must maintain a current FAA flight instructor certificate, and a valid U.S. driver’s license or an airman medical certificate.

(3)    Any required flight instructor certificate must be kept current for the duration of the designation.

b.    Minimum Qualifications for DPE Applicants. Except for SAEs and Admin PEs, all DPE applicants must meet the following in addition to the specific eligibility requirements listed in this chapter. Within the three years prior to application, the DPE applicant must have met at least one of the following:

(1)    Served as a chief instructor, assistant chief instructor, or check instructor in a school certificated under part 141, for a minimum of 12 calendar-months;

(2)    Served as a check airman authorized under part 121 and/or part 135, for a minimum of 12 calendar‑months;

(3)    Served as an Aircrew Program Designee (APD) authorized under part 121, for a minimum of 12 calendar-months;

(4)    Served as a Training Center Evaluator (TCE) authorized under 14 CFR part 142, for a minimum of 12 calendar-months;

(5)    Served as an FAA ASI with checking/testing responsibilities in aircraft, for a minimum of 12 calendar-months;

(6)    Held an FAA pilot examiner designation (that was not terminated for cause) with authorization to conduct practical tests and/or proficiency checks in flight; or

(7)    Provided at least the following hours of flight instruction to airmen which led to the issuance of a pilot certificate or rating as applicable to the categories sought.

c.    Specialty Aircraft Examiner (SAE). An SAE must meet the requirements of all applicable regulations, including § 61.58, to conduct a practical test from the pilot seat of a vintage airplane.

d.    Former ASIs (Operations). Former ASIs (Operations) applying for DPE or SAE authority are required to successfully complete the same application procedures, training, and evaluations as required for all other examiner candidates. However, for PIC experience requirements in the past 12 calendar-months, former ASIs meet the experience requirements provided the following requirements are met:

(1)    FAA Flight Program. Within the last 12 calendar-months, the former ASI has been current and qualified in the FAA’s flight program.

(2)    General Activity. Within the preceding 12 calendar-months, a former ASI (Operations) must have conducted a combination of at least 10 tests or checks of any of the following:

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

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

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

(d)    Stage checks and end-of-course tests administered under part 141.

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

7.    Specific Eligibility Requirements. Designee applicants must meet all specific eligibility and experience requirements for the specific designation sought. If a designee applicant does not meet all of the appropriate eligibility and experience requirements in this order, he or she must obtain a written recommendation from the manager of the managing FAA office. The appointing official for the managing office must request a deviation from the National Policy Office (NPO). The designee applicant may contact the managing Flight Standards office for additional information.

a.    Eligibility. A designee applicant must hold the appropriate level of certificate(s) and ratings that would allow the individual to provide flight instruction in that category, class, and type (if applicable) of aircraft. For example, a designee applicant who was applying for designation in helicopters would be required to hold at least a Commercial Pilot Certificate with rotorcraft and helicopter ratings as well as a flight instructor certificate with rotorcraft and helicopter ratings. A designee applicant who was applying for designation in balloons would be required to hold a Commercial Pilot Certificate with lighter-than-air and balloon ratings. A designee must not administer a test for a higher grade of certificate than he/she holds or for a rating that is not held by the designee. For example, a designee who holds a Commercial Pilot Certificate with rotorcraft category and helicopter class ratings would not be eligible to be designated as an ATPE in helicopters, but may be designated as a CE.

b.    Specific Eligibility Requirements for Designees With PPE Authorizations. A designee, when exercising the PPE authorization:

(1)    Must be willing to serve the public outside the examiner’s geographic area upon reasonable request by an applicant.

(2)    Must hold an ATP Certificate or a Commercial Pilot Certificate with an instrument rating and, for a PPE authorization in aircraft, a type rating for the type of aircraft authorized.

(3)    Must hold PIC privileges for the type of aircraft authorized while acting in an official capacity of their PPE authorization.

(4)    When holding a turbojet FSTD authorization, must hold a turbojet rating on their pilot certificate. However, the rating does not need to be in the same type aircraft that the FSTD represents.

(5)    When holding an authorization for turboprop airplanes in FSTDs only, does not need to hold a turboprop type rating on their pilot certificate.

Table 3-5.  Specific Eligibility Requirements for Designation as a PE and/or a CE

Note:  For CE authority only in airplanes (no instrument authority), managing specialist should give the CIRE authorization and put “no instrument authority” in the limitations on the CLOA.

Table 3-6.  Specific Eligibility Requirements for Designation as an LAE, a CIRE, an ATPE, a PPE, and/or a Type Rating Examiner

Note:  Applicants applying for type rating authorization only must meet the requirements for the applicable CIRE/ATPE category and class, along with the type rating requirements.

c.    Specific Eligibility Requirements for SPEs. DPEs who are authorized by a managing office to conduct airman testing at the private, commercial, or ATP level may be authorized by that office to conduct additional airman testing at the sport pilot level. In this instance, the managing office assumes the authorization and management responsibility.

d.    Specific Eligibility Requirements for SPFIEs.

(1)    The SPFIE must already possess an active SPE authorization for airman testing to the sport pilot certificate level in a specific category and class of LSA. An SPFIE may issue a sport pilot certificate or flight instructor certificate with a sport rating, as applicable.

(2)    If a designee possesses an authorization for airman testing at the recreational pilot level or above and is managed by a Flight Standards office other than the Specialty Aircraft Examiner Branch (AFS-610), the Flight Standards office with direct oversight grants the SPFIE authorization. Otherwise, AFS-610 directly grants the SPFIE authorization.

Table 3-7.  Specific Eligibility Requirements for Designation as an SPE

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

e.    Specific Eligibility Requirements for VAEs, VFEEs, and EAEs.

(1)    The FAA NPO determines the need for an SAE. If there is a need for a new SAE, and the NPO has the ability to manage the additional examiner, a selection will be made following the normal DMS process.

(2)    VAE, VFEE, and EAE applicants must apply through DMS, but must also include a letter of recommendation from a recognized community-based organization (CBO), such as Experimental Aircraft Association (EAA), Aircraft Owners and Pilots Association (AOPA), etc.

(3)    After selection but prior to designation, the NPO will contact the CBO to verify the qualifications of the proposed SAE.

(4)    When there are no qualified and/or current examiners available for a vintage aircraft, the best qualified SAE (qualified in an aircraft within the same group) may conduct the test from the jump seat of a vintage airplane as long as a current and qualified pilot occupies a pilot seat.

(5)    There is no specific limit to the number of vintage airplanes for which a VAE, VFEE, or EAE may receive authorization. An SAE will be designated to conduct practical tests in one or more of the SAE authorizations based on their qualifications and the needs of the program.

(6)    An SAE must meet the requirements of all applicable regulations including § 61.58 to conduct a practical test while serving as a required flightcrew member. When conducting the evaluation from other than a crewmember station, they are not required to be current in accordance with § 61.58.

(7)    When a designation is added, a new CLOA containing all designations held is generated in DMS.

f.    Flight Instructor Initial Test Authorization. Prior to authorizing a designee to conduct initial flight instructor tests, the managing office must ensure that the designee is highly qualified to conduct those tests. The managing office should carefully review the qualifications, experience and reputation of the designee being considered. As a minimum, designees being considered for initial certificated flight instructor (CFI) authorization must have been designated as a CIRE and as an FIE (limited to add-on or renewal only) for at least 12 calendar-months.

Table 3-8.  Specific Eligibility Requirements for Designation as a VAE, VFEE, and EAE

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

g.    Specific Eligibility Requirements for Admin PEs. Specific eligibility requirements for ACRs.

(1)    ACR-141.

(a)    The holder of a pilot school certification who has been issued examining authority under part 141 subpart D for at least one of its courses may request ACR designation for an employee or representative of that company. The pilot school makes the request for an ACR by submitting a letter to the school’s responsible FSDO.

(b)    The pilot school requesting the designation of an ACR must hold examining authority for both flight and knowledge test privileges or flight test privileges only. Pilot schools holding examining authority for knowledge testing only are not eligible for ACR designation. ACR candidates:

1.    Must be currently employed by, or hold a position in, a pilot school organization.

2.    Must have been employed by, or held a position in, the pilot school for at least 12 calendar‑months immediately preceding the application for designation.

3.    Must hold a valid pilot certificate (other than a student pilot certificate), valid flight instructor certificate, or valid ground instructor certificate.

(c)    Any DPE or SAE who holds a current CLOA may be authorized to perform ACR duties and responsibilities (for any airman certificate or rating) provided the DPE or SAE is also current with regards to the ACR training requirements.

(2)    ACR-FIRC.

(a)    An FAA-approved FIRC provider may request the designation of an ACR. These individuals are authorized to renew flight instructor certificates to eligible course graduates of the approved FIRC.

(b)    Only an authorized FIRC provider holding an FAA-approved FIRC training course outline (TCO) may make a request for the designation of an ACR applicant. Final approval of the FIRC provider’s TCO is a prerequisite for an ACR designation. An authorized FIRC provider may request ACR designation for one or more responsible members or employees of that organization by submitting a letter to the managing FAA office where the applicant’s principal business office is located.

(c)    A FIRC provider requesting an ACR designation will provide the following information in a letter to the responsible Flight Standards office:

1.    The original date of FAA approval of the FIRC provider to conduct the FIRC;

2.    The number of courses delivered in the 12-month period immediately preceding the request for an ACR designation;

3.    The number of attendees issued graduation certificates, the number of graduation certificates denied, including the reasons for the denials; and

4.    The number and location of courses scheduled to be delivered, along with the expected number of attendees for the 12-month period immediately following the date of request for designation.

(d)    ACR candidates:

1.    Must be currently employed by the FAA-approved FIRC.

2.    Must have been employed with the FIRC for at least 12 calendar-months immediately preceding application for designation as an ACR.

3.    Must hold a valid pilot certificate (other than a student pilot certificate), valid flight instructor certificate, or valid ground instructor certificate.

(e)    Any DPE or SAE who holds a current CLOA may be authorized to perform ACR duties and responsibilities for the FIRC provided the DPE or SAE is also current with regards to the ACR training requirements.

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

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

10.    Post-Application. See Volume 1.

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

Chapter 3.  Selection and Evaluation of a Designee Applicant

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

Note:  Detailed job aids for this DMS process can be found at: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    General.

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

Figure 3-1.  High-Level Selection Process Flow

b.    Selection Considerations.

(1)    When a need for a designee has been identified, the office management will query DMS for a listing of applicants. Candidates must submit applications exclusively through DMS.

(2)    An evaluation panel, determined by the selecting official, will then be established to review and evaluate the list of viable applicants identified through DMS. The evaluation panel assesses each designee candidate’s background knowledge and experience through:

(a)    A thorough review of the application;

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

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

Note:  The selection and appointing process has multiple steps and involves several DMS users. The appointing official and the selecting official have access to the “Work Flow Tool” in DMS, which allows them to quickly determine the status of an appointment, or expanded authority request. The DMS Management Action Links and DMS job aids should be reviewed for detailed information: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

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

4.    Requesting Qualified Applicants.

a.    General. Once the FAA establishes need and ability to manage, the selecting official can request a list of applicants through DMS, which searches active applications to identify candidates that most closely match the specified criteria.

b.    Initial Request. DMS will return all applicants per the request.

c.    Additional Requests. If no qualified candidates are available within DMS for the appointing office, the office should query for applicants from a nearby office to see if they would be willing to serve the requesting office. If no qualified applicants are available, an appointing official may request a deviation from minimum qualification requirements if:

(1)    The FAA demonstrates a significant need for the appointment, and

(2)    The managing office can justify that the designee candidate meets an equivalent qualification.

d.    Minimum Qualification Deviation Request Process. When there are no qualified applicants in DMS for the specific need of the office, the Flight Standards office may request that the selecting official petition the NPO for a deviation from the minimum qualifications.

(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo to the NPO outside of DMS.

(2)    Coordination. If in agreement with the Flight Standards office recommendation, the NPO will document the circumstances and justification in DMS and complete the required DMS process (deviation allowed).

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

5.    Evaluation.

a.    Evaluation Process. It is the goal of the FAA to establish a uniform designee candidate assessment process (as much as practicable) for all designee types.

b.    Evaluation Panel. At such time that one or more viable applicants have been identified through DMS, an evaluation panel is convened to consider the merits of each applicant. The panel is generally comprised of three FAA staff that should include:

(1)    An ASI from the office that initiated the selection and appointment process. This ASI should assume a lead role during the evaluation process, and will coordinate the evaluation panel results within DMS.

(2)    An ASI from AFS-600 (required). For appointments to AFS-610, the member from AFS-600 must be from outside of AFS-610. The selecting official must contact AFS-600 via email to request an evaluation panel member before the evaluation panel is created in DMS. The request for an AFS-600 evaluation panel member must be sent to the following email: 9-AMC-AFS-650-DMS-EP-Request@faa.gov.

(3)    At least one additional GA ASI, which may include an FLM.

c.    Evaluation Panel Tasks. The evaluation panel assesses each applicant’s background, knowledge, and experience by conducting a thorough review of the designee application. To support this process, the following tasks must be accomplished:

(1)    Review the applicant’s application and supporting documentation in DMS.

(2)    Contact references as necessary.

(3)    Conduct an interview with the designee candidate. The interview should determine whether the applicant has the general and specific qualifications, as well as the qualities necessary to be successful as a designee. Interview responses should be consistent with the information contained on the candidate’s application.

(4)    Verify that minimum qualifications have been met.

(5)    Review the applicant’s experience on the DMS application to determine what authorizations they may qualify for. This should be done in advance of an applicant interview.

(6)    Verify that the applicant possesses the appropriate airman certificate, category and class rating, and type rating for the authorizations sought.

(7)    Review relevant information from each of the following FAA databases to determine the candidate’s aviation background and any issues which may have an adverse effect on the candidate’s application:

(a)    Accident Incident Data System (AIDS);

(b)    SPAS;

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

(d)    Enforcement Information System (EIS).

(8)    For Admin PEs, inspect facilities and equipment (if applicable) to be used in the conduct of their duties.

(9)    Ensure, based on research found in the databases above, that the requirements of Volume 1, Chapter 4, Designee Appointment, are met.

d.    Examiner Proficiency Check Prior to Appointment. The evaluation panel will consider the results of a pre-appointment pilot proficiency check, if applicable. The purpose of the proficiency check is to evaluate the designee applicant’s piloting skills. The content of the proficiency check may include a demonstration of part or all of the following:

(1)    The knowledge and skill areas required for the original issuance of the certificate for which the DPE will hold authority.

(2)    Maneuvers and procedures listed in the practical test standards (PTS)/Airman Certification Standards (ACS) for the applicable certificate and rating.

Note:  If the managing office has direct knowledge of the flight proficiency of the designee applicant, such as recent part 135 or 141 flight checks, check airman activity, or whose proficiency and competency is well known by local inspectors, then a preappointment proficiency check may be unnecessary. However, if the designee applicant has not been recently observed in the specific category, class, and type for the authorizations desired, then a proficiency check in the appropriate aircraft is advised. It is the responsibility of the managing office to determine if the designee applicant has the knowledge and skill for the authorization sought.

e.    Evaluation Panel Outcomes.

(1)    When the evaluation panel determines that an applicant meets the requirements for designation, the results are documented in DMS and a recommendation is provided to the appointing official through the selecting official. If the appointing official is in agreement with the recommendation, the appointment process will ensue. See Chapter 4 for information relating to the appointment process.

(2)    If the evaluation panel, with concurrence from the selecting official, rejects all applications provided by DMS for good cause, the managing office should encourage suitable applicants to apply through DMS so that they can be considered.

6.    Additional Authorizations. Designees will apply for additional authorizations using the “request additional authorizations” link in DMS. The managing office will complete the process using the same functions for original designation, although the managing office is not required to add authorizations just because the designee requests them. This is entirely at the discretion of the managing office.

7.    Banning. See Volume 1.

Chapter 4.  Designee Appointment

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

Note:  Detailed job aids for this DMS process can be found at: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    General.

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

Figure 3-2.  High-Level Appointment Process Flow

b.    Appointment Considerations.

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

(a)    Background experience;

(b)    Personal and professional qualifications; and

(c)    Needs of the appointing office.

(2)    Prior to appointment, the managing specialist will verify that the following events are completed and recorded in DMS:

(a)    Successful completion of the initial designee specific training conducted by the FAA’s Designee Standardization Branch (AFS-640) in Oklahoma City, OK. For a list of the training, visit https://av-info.faa.gov/dsgreg/sections.aspx.

(b)    Applicant has attended an orientation conducted by their managing office, which includes, but is not limited to, the following:

1.    Caution the designee that any irregularities or deficiencies related to the delegated work may result in the termination of the designation under the provisions of part 183, § 183.15(b)(4).

2.    Remind the designee to perform only authorized functions within the limits of his or her authority.

3.    Remind the designee to request preapproval through DMS before accepting any applicant requests for testing or checking activities.

(c)    Remind the designees, except when using IACRA, to submit applicable original or duplicate documents within 7 calendar-days of completion to the managing office for review.

3.    Designee Number. See Volume 1.

4.    CLOA. The CLOA will identify the designee type and the specific authorizations, or limitations.

5.    Appointment Duration. The initial duration of a designee’s appointment is up to 12 calendar-months.

Chapter 5.  Responsibilities and Obligations of a Designee

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

2.    General Responsibilities.

a.    Accept Airman Certificate and/or Rating Application. Accept applicable airman certificate and/or rating applications for airman certificates and ratings.

b.    Conduct Tests. All tests must be appropriate to the FAA CLOA held by the designee, and in accordance with the appropriate PTS or ACS. The use of an interpreter is strictly prohibited.

c.    Charge Reasonable Applicant Fees. The designee must ensure that the applicant understands all fees charged, including the fee for retesting after failure, before the designee accepts the airman certificate and/or rating application.

d.    Issue Temporary Airman Certificates. Issue Temporary Airman Certificates only to applicants who have been tested and found qualified for the certificate or rating sought. The managing FAA office may remove this authorization and retain this privilege. In this case, limitations will be entered on the CLOA.

e.    Accept Pilot Applications. Accept pilot applications for new pilot certificates and/or ratings (for which the designee holds that authorization) and any pilot certificate that is administrative in nature (e.g., second‑in‑command (SIC) type rating or English language endorsement), provided the designee has received required initial training and recurrent training every 24 calendar-months thereafter, both offered by the Designee Standardization Branch (AFS-640).

f.    Expectations. DPEs, Admin PEs, and SAEs are expected to:

(1)    Provide FAA testing and certification activities without prejudice or discrimination in a fair and unbiased manner.

(2)    Maintain a high level of knowledge, skill, and expertise commensurate with their authorizations.

(3)    Charge no more than a reasonable fee for services.

(4)    Keep abreast of current aviation trends and technologies.

(5)    Serve as a willing resource to the aviation community on matters of FAA airman certification regulations and policy.

(6)    Set a high standard of airmanship and safety through personal example.

(7)    Exercise diligence and care in the preparation of airman certification documentation and files.

(8)    Always represent the FAA and its workforce to the public in a positive manner.

(9)    Work constructively with the managing FAA office.

(10)    Become familiar with any circumstances unique to a particular area when testing outside their managing office’s area.

Note:  Designees should be encouraged to take part in FAA Safety Team (FAASTeam) seminars and events. The FAA values the participation of FAASTeam representatives in providing support for safety meetings.

g.    Limitations. DPEs and SAEs must not:

(1)    Conduct the flight portion of a practical test prior to the ground portion.

(2)    Schedule the test to be planned as a multiple-day event. Extenuating circumstances may allow for deviations, but must be approved by the managing FAA office. An example of a situation that may warrant a deviation is a lighter than air practical test, which requires the flight portion to begin at sunrise.

(3)    Test more than one applicant at a time. To clarify “at a time”: when a designee begins a test with an applicant, prior to accepting an application from another airman, the designee will terminate the first test with the issuance of a Temporary Airman Certificate, a Notice of Disapproval, or a Letter of Discontinuance. In cases where the test aircraft requires a flightcrew of two, such as in the case of a type rating examination in an aircraft requiring two pilots, it is permissible to evaluate both applicants together.

(4)    Conduct or monitor any portion of computer knowledge tests.

(5)    Reissue or amend any expired Temporary Airman Certificate.

(6)    Endorse, amend, alter, or issue any permanent airman certificate.

(7)    Exempt any applicant from the testing requirements in the applicable PTS/ACS.

(8)    Combine teaching with testing during the testing of an applicant.

(9)    Conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable part 61 or 14 CFR part 63.

(10)    Conduct practical tests unless the applicant has passed the required airman knowledge test, if a knowledge test is required.

(11)    Temporarily suspend a test to allow the applicant further study, and then continue the same test later.

(12)    Conduct tests in any language other than English.

(13)    Conduct more than three complete practical tests in a single day. This limitation does not apply to the number of retests that can be conducted in one day. A complete practical test is defined as one that is not a retest from a previous unsatisfactory test or a continuation of a previously discontinued test.

(14)    Accept applications for medical Statements of Demonstrated Ability (SODA) or for the reexamination of airmen under Title 49 of the United States Code (49 U.S.C.) § 44709.

(15)    Allow anyone other than an ASI to observe a test. For designee training purposes only, exceptions may be authorized in writing by the managing FAA office.

(16)    Test applicants trained by the examiner. A designee who trains an applicant for a certificate or rating may only test that applicant under the following conditions:

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

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

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

(d)    An ATPE may test an applicant that he or she trained for an ATP Certificate or rating if the designee obtains the permission of the managing FAA office.

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

h.    Conflicts. Designees must maintain a cooperative attitude. If an issue occurs while acting in an official capacity as a designee, contact your managing specialists. Designees are responsible for following FAA guidance and the proper chain of command. Questions must be directed to the assigned managing specialists. If a conflict cannot be resolved at that level, the designee should contact the responsible Flight Standards office or IFO management for assistance. Other FAA offices, including the Delegation Programs Branch (AFS-650) or AFS‑640, do not manage designees and are not authorized to provide direct guidance to designees in lieu of the assigned Flight Standards (FS) managing office guidance and instruction. Designees will not contact AFS-640 for any matters other than course information, registration, or technical issues with course materials

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

a.    Maintain Minimum Requirements. Maintain the minimum qualifications established for appointment as specified in this order including certification, currency, initial, and recurrent training, and attendance at the required annual meetings.

Table 3-9.  PIC Experience Requirements

Note:  PIC experience obtained while administering practical tests will not be considered for the purposes of the recent PIC experience required of the designation (listed above).

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

b.    Use Current Regulations and Policies. Maintain and use the most current versions of the Code of Federal Regulations (CFR), the PTS/ACS, FAA Order 8900.1, and this order. Storage and retrieval of these documents may be electronic.

c.    Attend Annual Meeting. Designees must attend the annual designee meeting conducted by the managing FAA office at least once every four quarters. For designees regularly testing in an area outside of their managing office’s district, they are encouraged to attend the annual meeting for the district where they are regularly testing.

(1)    The FAA office should attempt to schedule the annual meeting to allow for all designees of the same type to meet together in a location at the same time to discuss, at a minimum, the following subject areas:

(a)    Local issues;

(b)    Local problem areas;

(c)    Local procedures;

(d)    Standardization issues;

(e)    Designee performance; and

(f)    National issues.

(2)    A record of attendance by each designee must be documented in DMS by the managing specialist.

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

d.    IACRA.

(1)    For airman testing and certification, the designee is expected to use IACRA online processing system accessible through https://iacra.faa.gov.

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

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

Chapter 6.  Oversight and Management of a Designee

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

Note:  Detailed job aids for this DMS process can be found at: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    General.

a.    General Considerations.

(1)    Effective oversight of designees is founded on a strategy of risk management. A robust oversight policy includes a continual process of weighing the potential for harm from any apparent hazard against the likelihood of its occurrence. When safety risks and hazards are identified, appropriate preventive action is imperative.

(2)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. Managing specialists are also responsible for ensuring that DPEs, Admin PEs, and SAEs are thoroughly coached in the importance of their role of administering ground (knowledge) and flight (skill) tests to the applicants in accordance with the PTS/ACS and Order 8900.1, Volume 5, Airman Certification.

(3)    Oversight will include oversight activities at varying intervals, as well as an overall performance evaluation of each designee at least each 36 calendar-months. The outcome of each oversight activity provides data to be used in completing each designee’s overall performance evaluation.

(4)    Designees can expect that the managing office will assign to each DPE, Admin PE, and SAE a managing specialist that is a qualified ASI (Operations). The ASI will develop oversight plans to ensure quality, the highest degree of integrity, and compliance with current policy, regulations, and the PTS or ACS, as appropriate. The oversight plan will also identify potential hazards and risks to aviation safety. If and when the FAA discovers deficiencies, the managing specialist will respond in a manner prescribed by the common designee policy in this order and other relevant FAA guidance.

(5)    DPEs and SAEs shall expect the FAA to observe them conducting their first complete test, and Admin PEs should expect the FAA to observe their first certification actions. Thereafter, the designees may be inspected or observed by FAA personnel at any time with or without prior notice. For additional authorizations to an existing designee, observation of the first test with the new authorization is optional if the managing office has direct knowledge of the designee’s proficiency and abilities in the aircraft to be added, such as recent part 135 or 141 proficiency checks, or activity as a check airman.

(6)    The managing specialist documents oversight activities and results in DMS. Such reporting is not only crucial for managing individual designees, but also for implementing risk-based decision making to the management of FS designees.

b.    Managing Office and Managing Specialist. See Volume 1.

c.    Oversight and DMS.

(1)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. DMS establishes the minimum required oversight activities for each designee based on their authorized activities and risk-based data. Additional oversight may be conducted as deemed necessary by the managing specialist or managing office. Oversight activities are the responsibility of the designee’s managing specialist and the managing specialist is expected to conduct the oversight activities. However, other ASIs can enter oversight activities on the designee, and there are provisions in DMS for the managing specialist to “take credit” for an oversight activity of the same type conducted by another ASI if it’s in the required timeframe. Additional instructions are included in the DMS job aids for oversight activities.

(2)    The managing specialist must conduct designee overall performance evaluations on an ongoing basis predicated on the outcome of oversight activities. The managing specialist should record in DMS the results of individual oversight activities. However, the managing specialist must record in DMS a formal evaluation at least once every 36 calendar-months.

(3)    Overdue Direct Observations. The managing specialist should ensure a designee’s direct observation is completed on or before the due date listed in DMS. When a designee’s direct observation cannot be completed before the due date, DMS will not prevent the designee from performing additional delegated activities. All factors must be considered and risk managed appropriately. If the managing specialist determines the lack of a completed direct observation presents an unacceptable risk, the designee may be suspended in DMS until the direct observation is completed. In cases where the managing specialist finds the risk acceptable, that risk assessment must be documented in DMS using the “Special Emphasis Item” oversight and putting “OVERDUE” in the National Use field, and an explanation of the factors considered and the reason for the extension. Direct observations may not be extended more than one quarter beyond the due date (e.g., a due date of June 30, 2020, cannot be extended beyond September 30, 2020).

d.    Performance Measures. The managing specialist will render an overall rating for the period according to the following classifications:

(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

(a)    Equipment and Materials. Does the designee possess relevant and current FAA publications, either electronically or in paper form, such as the CFR, the PTS/ACS, Aeronautical Information Manual (AIM), Chart Supplement U.S. (CS), and this order? Does the designee have access to technology in order to effectively use the IACRA system in the processing of airman certification files?

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

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

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

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

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

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

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

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

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

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

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

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

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

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

(b)    When using PTS, evaluates “Special Emphasis Items” throughout the test.

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

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

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

(f)    Properly completes the Temporary Airman Certificate, Letter of Discontinuance, or Notice of Disapproval, as appropriate, through the use of IACRA unless extenuating circumstances preclude IACRA use. In such cases, paper documents will be evaluated for completeness, accuracy, and legibility.

3.    Oversight Actions.

a.    Planning an Oversight Activity.

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

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

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

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

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

1.    Overall problems with the certification files;

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

3.    A high activity rate;

4.    Applicants are traveling long distances; or

5.    Unreasonably long or short test durations considering the type of test.

(2)    Prepare for the Inspection.

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

1.    Designee’s file;

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

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

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

(3)    Additionally:

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

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

(c)    It is noted that, when the FAA plans an observation of any portion of a practical test (either examination ground or flight), an applicant’s permission is not required. Further, advance notice to either the designee or applicant is not required. Unannounced observations are at the discretion of the managing specialist, and can be a useful tool in determining the quality of the designee’s work when they are not expecting to be observed.

b.    Oversight Activities. Designee oversight includes the comprehensive management, monitoring, and tracking of a designee and related activities. All of these actions are considered oversight activities in DMS. A complete surveillance of a DPE, Admin PE, or SAE involves a group of oversight activities performed to observe the designee’s performance. These oversight activities may be completed independently within a set timeframe, or any number of them may be completed in conjunction with one another. This approach to oversight was adopted to allow the managing specialist’s flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee oversight is most effective when it occurs throughout the year rather than an all-at-once, infrequent approach. The frequency of each of these activities will be determined by DMS.

(1)    Direct Observations. A direct observation is a managing specialist observing the designee performing work authorized by the designee’s CLOA. The purpose is to determine that the designee has the knowledge and skill to properly administer a practical test or check, or in the case of an Admin PE, to properly conduct the certification function. Direct observations provide the managing specialist the opportunity to determine if the designee is performing the work within the guidelines. It allows the managing specialist to gain insight into the designee’s technical, professional, and procedural attributes. It also provides the designee with feedback from his or her managing specialist. In DMS, the direct observation for DPEs and SAEs is split into two parts; the observation of the ground portion of the test and the observation of the flight portion of the test. These observations may be conducted independently of each other, or both may be accomplished with the observation of a complete (ground and flight) test administered to a single applicant. The goal of the inspector during a direct observation is to observe the designee test all required areas of operations and tasks for the test that is being administered. However, in the case that the test does not proceed far enough to include all areas (i.e., Letter of Discontinuance or Notice of Disapproval), the direct observation can be considered complete if the inspector has witnessed enough tasks that he or she is satisfied that the designee is testing in accordance with PTS/ACS and current policy. In the case of a test that ends in a Notice of Disapproval or Letter of Discontinuance, the inspector should use the questions below to determine if the observation is complete, or another direct observation will be required. In order for the direct observation of the flight portion to be considered complete, at a minimum, the applicant must have taken flight and departed the airport environment.

(a)    For an examiner who conducts the majority of tests in an aircraft unsuited to carrying an FAA inspector, the inspector will observe a complete oral test, and the flight portion of the inspection will be completed with the FAA inspector playing the role of the applicant. This method of inspection is not intended to be used for examiners who conduct an adequate number of tests in aircraft that allow an inspector to observe the flight portion of the test. Whenever possible, the inspector will observe the designee conducting both the ground and flight portion of the practical test with the designee administering a test to an actual applicant.

(b)    A minimum number of direct observations will be required to be completed by a managing specialist (see DMS to determine frequency). The number of observations determined by DMS is based on all indications that the examiner is conducting the test in accordance with current policy and standards. If there is any indication of unsatisfactory performance (e.g., interviews, complaints, etc.) the managing office must investigate and conduct additional surveillance in order to determine the actual performance of the designee. The managing specialists may increase the number of direct observations if deemed appropriate due to various risk indicators that may be established, such as when a “Needs Improvement” event has been identified, or any other reason deemed appropriate. The managing specialist must conduct a complete direct observation (ground and flight) of the first practical test for a newly designated DPE or SAE. For the direct observation of an Admin PE, the managing specialist would observe an entire certification event, from the applicant presenting the application to the designee completing the paperwork and presenting the applicant with the appropriate certificate. This would be recorded as a Direct Observation—Administrative PE.

(c)    While exercising the privileges of their designation, designees must continue to maintain their currency and proficiency. During the direct observation, the managing specialist or ASI must verify that the designee is maintaining currency and PIC requirements. Currency requirements are outlined in §§ 61.56 and 61.57, and PIC requirements are outlined in Table 3-9, PIC Experience Requirements. For designees (other than SAEs) who administer tests in large, turbine-powered aircraft, currency in accordance with § 61.58 must also be maintained, regardless of which seat the designee occupies.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

8.    Ensure the DPE or SAE conducts the ground portion of the exam in accordance with the procedures in the applicable section(s) of Order 8900.1, Volume 5, Chapter 2, Title 14 CFR Part 61 Certification of Pilots and Flight Instructors.

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

1.    Ensure the DPE or SAE conducts the required preflight briefing.

2.    Ensure the DPE or SAE observes the applicant preflight the aircraft.

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

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

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

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

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

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

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

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

7.    Ensure the DPE or SAE completes and submits the certification file in accordance with Order 8900.1. When using IACRA, the certification file is submitted to the Airmen Certification Branch (AFB‑720) automatically and it is not necessary to submit a paper file.

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

Note:  Prior to conducting surveillance in an aircraft, inspectors should review the certification and currency requirements contained in Order 8900.1, Volume 1, Chapter 3, Section 6, Operations Inspector Qualifications and Currency Overview.

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

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

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

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

3.    Ensure the Admin PE completes and submits the certification file in accordance with Order 8900.1. When using IACRA, the certification file is submitted to AFB-720 automatically and it is not necessary to submit a paper file.

(j)    Administrative authority. DPEs and SAEs with administrative authorizations should expect the FAA to observe their first administrative certification actions. Thereafter, DPEs and SAEs may be observed conducting administrative functions at any time without prior notice, subject to the following requirements:

1.    Administrative observations will be recorded in DMS as a Direct Observation—Administrative.

2.    The DPE or SAE will be observed conducting a complete administrative certification event, from the applicant presenting the application, to the DPE or SAE completing appropriate documentation and issuing the certificate.

3.    Timing and frequency of administrative direct observations are at the discretion of the managing specialist.

4.    Completion of an administrative direct observation does not satisfy the requirement for a direct observation–ground or direct observation–flight.

(2)    Interviews of Recently Tested Airmen. Each managing specialist will conduct interviews of recently tested airmen. These interviews are to ensure that the examiner is properly following the PTS/ACS when the FAA is not in attendance. Inform interviewees that the questions are to evaluate the testing procedure and are not a reexamination of their certificates. Conduct a sufficient number of interviews each four quarters (at least five randomly selected airmen or 50 percent of the airmen newly certificated by the designee, whichever is fewer) to provide confidence that the designee is properly conducting the test. If the interviews indicate satisfactory performance by the designee, the schedule for direct observations developed by DMS may be followed. However, if the interviews of recently tested applicants indicate a deficiency with designee performance, the managing office must conduct additional direct observations.

Note:  Interview results are risk indicators used to determine the frequency of direct observations. Surveys and scripted interview questions must not be used. Closed-ended questions should be avoided and the ASI should have a relaxed but directed conversation with the recently tested airman about their check ride experience with the designee. Ask followup questions based on what the airman says. The goal is to determine if the designee is giving an adequate test. Is the designee teaching, allowing repeat maneuvers, failing to test all of the required items in the PTS/ACS for the certificate or rating tested? Using interviews properly will give the managing specialist a picture of how the designee is conducting their work on behalf of the FAA.

(3)    DPE or SAE Testing Proficiency Check. A managing specialist may, at their discretion, ask the designee to demonstrate and explain maneuvers or evaluate maneuvers performed by the managing specialist or an ASI. The purpose of a testing proficiency check is not to evaluate the piloting skills of the designee, but to assess the designee’s understanding of the elements of the maneuvers and to determine that they are able to evaluate the applicant’s performance in accordance with the PTS/ACS.

Note:  If the managing office has direct knowledge of the flight proficiency of the designee applicant, such as recent part 135 or 141 flight checks, then a proficiency check may be unnecessary. However, if the designee applicant has not been recently observed (within the last 12 calendar-months) in the category, class, and type for the authorizations desired, then a proficiency check in the appropriate aircraft is advised. It is the responsibility of the managing office to determine if the designee applicant has the knowledge and skills for the authorization sought.

(4)    Review Designee Certification Packages. Each managing office will review all certification packages submitted to the managing office to ensure that the designee has completed the documentation as required by the applicable section(s) of Order 8900.1, Volume 5, Chapter 2. Package reviews as a result of correction notices received from the Civil Aviation Registry Division (AFB-700) will also be recorded in DMS using this record.

(5)    Provide Technical Assistance. Each managing specialist will document in DMS when they spend time providing technical assistance to one of their designees. This does not include answering a quick phone call or email, but only when research or training is involved in the assistance.

(6)    Review DMS Activity Log. Each managing specialist will review the activity log of each of the designees they manage for the previous 4 quarters. The managing specialist will look for possible actions contrary to policy (e.g., test taking an unreasonable amount of time, etc.). This may also include comparing activity reported in the log to actual aircraft or training records.

(7)    Review of Proper Guidance Materials. Each managing specialist will review the applicable guidance and reference materials that the designee used to conduct a practical test or proficiency check. The managing specialist will look to see that the designee is using the most current and correct documents for the specific test or check conducted. This includes, but is not limited to:

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

•    FAA Order 8000.95, Designee Management Policy;

•    FAA Order 8900.1;

•    FAA Handbooks; and

•    Advisory Circulars (AC).

(8)    Evaluate the Plan of Action. Each managing specialist will evaluate the designee’s plan of action. The managing specialist will look to see that it meets the requirements outlined in Order 8900.1, as well as to see that the designee alters their plan of action and is not using the same plan of action for each test or check that they administer.

(9)    Record Feedback. Each managing specialist will record in DMS any information that has been received from outside sources regarding the performance of their designee. This may be positive or negative feedback, and may come from another FAA employee, or may come from someone outside the FAA. If any followup action is required, and what that action should be, will be determined by the managing specialist.

(10)    Annual Meeting. Each managing specialist will record the attendance at the annual meeting of each of their designees.

(11)    Special Emphasis Items. Each managing specialist will record in DMS the completion of any special emphasis item(s). These activities are not routine surveillance or management of designees, but will be directed by the NPO. Specific instructions for recording this activity will be provided.

c.    Additional Inspections.

(1)    In addition to the required activity listed above, the managing office may conduct additional inspections as they deem necessary. The objectives of the inspections may include:

(a)    To conduct additional direct observations.

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

(c)    Evaluation of adequacy of facilities.

(d)    Verification of maintenance of minimum qualifications.

(e)    Analysis of pass/fail rates.

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

(g)    Identification of risks or hazards.

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

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

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

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

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

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

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

d.    Outcomes of Oversight Activities. For all oversight activities, the managing specialist or ASI selects from three performance measure categories: Satisfactory, Needs Improvement, or Unsatisfactory. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must enter descriptive text in the appropriate performance measure category(ies).

(1)    Followup Action. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” then appropriate followup action(s) must be determined and recorded in DMS. These actions may include any of the following:

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

(b)    Additional training. It may be necessary for the designee to receive additional training. This may include taking the initial designee course, going to a refresher course, or training provided by the managing specialist or another ASI.

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

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

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

(2)    FAA Actions to Address Regulatory or Statutory Noncompliance. In the event that inappropriate actions by a designee require action against the designee’s pilot and/or flight instructor certificate(s), the managing specialist should refer to FAA Order 8900.1, Volume 14, Compliance and Enforcement, and FAA Order 2150.3, FAA Compliance and Enforcement Program, for the correct procedures and to determine action choice(s). Actions taken under the Compliance Program may range from counseling to revocation of airman certificates. Note that revocation is necessitated, in most cases, by fraudulent certifications performed by the designee. In the most egregious cases, criminal charges may be levied under Title 18 of the United States Code (18 U.S.C.) § 1001, which may lead to imprisonment.

(3)    Special Emphasis Evaluation of Designees (SEED). AFS-600 will notify the designee’s managing office whenever the division becomes aware of an issue through a SEED inspection or by other means that could require a designee to be suspended or terminated. The managing office is responsible to process the suspension or termination. In the event AFS-600 and the managing office disagree on the termination of a designee, AFS‑600 will make the final determination.

e.    Overall Performance Evaluations. The overall performance evaluation is a consolidated review of oversight activities and other data available outside of DMS (e.g., SPAS, EIS, AIDS, etc.) on a reoccurring basis. The overall performance evaluation results in an overall rating for the performance period and considers risk-based elements. The objectives of the overall performance evaluation are for the managing specialist to:

(1)    Identify performance trends that are:

•    Specific to the designee;

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

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

(2)    Determine if corrective action is needed.

(3)    Conduct a risk assessment of the designee.

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

(5)    Determine performance result. See Volume 1.

(6)    Counseling. See Volume 1.

(7)    Additional Training. See Volume 1.

4.    Designee Management Functions.

a.    Expand Authorities and/or Change Limitations. See Volume 1.

b.    Reduce Authority. See Volume 1.

c.    Record Note. See Volume 1.

d.    Send Message to Designee. The managing specialist is able to transmit messages and notifications through DMS, such as changes in the PTS/ACS, regulations, upcoming meetings, and other communications, as may be necessary.

e.    Record Feedback of Interaction With a Designee. See Volume 1.

f.    Preapproval.

(1)    Ensure designees understand that they must obtain preapproval in order to perform functions on behalf of the FAA. The managing specialist will issue any special instructions to the designee during the preapproval process. Preapproval requires the designee to request and receive approval to conduct authorized activity at least 24 hours prior to commencing that activity on behalf of the FAA. DMS will notify the managing specialist through the DMS Message Center any time a designee submits a preapproval less than 24 hours in advance. Preapprovals may be authorized through two methods: manual and automatic.

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

(b)    Automatic Preapproval. Automatic preapproval allows the managing specialist to set the DMS function to automatically approve an activity request by a specific designee. This feature provides the managing specialist with a flexible option to provide preapproval and continue to manage a designee’s activity. Automatic preapproval will only be used when the designee’s performance remains acceptable and analysis indicates that the type of certification activity requested presents an acceptable risk. Automatic preapprovals must not be granted to a designee during the first 30 days of appointment.

Note:  The managing specialist will determine to grant manual or automatic preapproval separately for each of the designee’s authorizations. For example, if a managing specialist is concerned about performance by the designee of one or two of their authorizations, the managing specialist may elect to keep those authorizations on manual approval while granting automatic approval for the rest of the authorizations.

(2)    DMS allows the designee to change or cancel a preapproval request.

(3)    For DPEs, Admin PEs, and SAEs, each certification activity must be approved before the designee can perform any function for the FAA.

(4)    Designee activity. It is the FAA’s intention that designees perform their authorized function(s) within the managing office’s geographic boundaries. However, a designee may perform activities outside the geographic boundaries (including in other countries). The designee shall utilize DMS preapproval process for all preapproval requests.

(a)    Designee activity outside the United States. Designees may perform an activity that is outside the United States when the activity is consistent with 49 U.S.C. § 44702 and pertinent international agreements. For airman certifications outside the United States, the applicant must be a U.S. citizen, or the activity is in support of a government-to-government initiative (e.g., support of Safe Skies for Africa). The request must be entered in DMS at least 10 calendar-days in advance of the activity to allow the FAA sufficient time to provide any notification that may be required to other Civil Aviation Authorities (CAA).

Note:  Completed certification files and other documentation required for certification activity will be submitted to the designee’s managing office. The Flight Standards office having responsibility for where the activity will be performed may, however, request to review any certification work performed by a DPE in their district by contacting the managing office.

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

g.    Post-Activity Reports. DPE, Admin PEs, and SAEs are required to complete post-activity reports in DMS after performing certification functions.

(1)    Post-activity reports provide the managing specialist with a record of the activity for that designee. These reports can aid in planning an appropriate level of oversight of the designee.

(2)    If the designees have post-activity reports that have passed the requisite 7 calendar-day submission deadline, DMS will not grant another preapproval number until all outstanding post-activity reports have been submitted.

(3)    If a designee is terminated or suspended, data can still be entered into a post-activity report in DMS.

Chapter 7.  Training

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

2.    General.

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

b.    Documentation. Successful completion of the initial and recurrent training is documented in DMS. The managing specialist updates the training dates in DMS, and may upload a copy of the training certificate. Designees who have attended initial or recurrent training should send a copy of their training certificate to their managing specialist through the DMS Message Center.

3.    Designee Training Requirements.

a.    Initial Training.

(1)    Before appointment, designee applicants must satisfactorily complete the initial training program for the designee type and authority for which they are being considered for appointment. The initial training will be conducted by online web-based training, face-to-face classroom training, or both depending on the authorized functions the prospective designees are seeking. Prospective designees can register for training through the DRS. The initial training requirements for each designee type are:

Note:  For DPEs and SAEs with administrative authorizations, the managing FAA office will conduct the initial training for those authorizations.

(2)    Each designee must successfully complete the initial standardization seminar requirement within 1 year before initial designation. In order to not exceed this 1-year limit, DPE and SAE applicants should not plan to attend initial training until they have been notified by the appointing FAA office that they have been selected for appointment.

b.    Recurrent Training.

(1)    Once a designee is appointed, attendance and successful completion of a recurrent training seminar is due on an established seminar interval based on the completion date of the initial standardization seminar or the most recent recurrent seminar, required of that specific designation type or authorization. Recurrent training requirements and the maximum recurrent completion interval in calendar-months are:

(2)    Completion of recurrent training is mandatory and must not exceed the maximum interval listed for each designee type and authorization held. For DPEs, Admin PEs, and SAEs, it should be noted that different authorizations may require different recurrent training, and those recurrent training intervals are not required to be on the same schedule.

(3)    Designees must schedule themselves for a recurrent training seminar as required and notify the managing FAA office. The designee must forward a copy of the Certificate of Completion to the managing FAA office.

c.    Tests.

(1)    Testing may be incorporated as knowledge assessments during practical application workshop (PAW) exercises and/or presented as a standalone test following training. The applicant/designee must complete all PAW exercises and/or take a comprehensive post-course test that will test the applicant/designee on any or all subjects in which the class received instruction. Some of the test questions may require knowledge beyond that encompassed by the authorizations indicated on an individual applicant/designee’s current or proposed CLOA. The designee candidate will receive a completion certificate only after satisfactorily completing all required PAW exercises and assignments, or by achieving at least a 70 percent on the post-course test (if administered).

(2)    Should an applicant/designee fail to satisfactorily complete all required course assignments or pass the post-course test after completing the training curriculum, AFS-640 will notify the manager of the applicant/designee’s assigned FAA office. After a review of the circumstances related to the failure, the FAA office may:

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

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

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

d.    Specialized Training. DPE/SAE/Admin PEs who perform one or more specialized function(s) must complete the associated specialized training course prior to initial appointment, adding the authority, and at the recurrent interval specified regardless of any other initial or recurrent training requirement. A complete list of DPE/Admin PE specialized functions and the associated training requirements are available on the DRS website.

e.    Training Limitations.

(1)    Managing specialists will suspend designees who fail to meet recurrent training requirements.

(2)    A designee will not exercise designation privileges unless all required training is current.

(3)    DMS will automatically provide notices of training due dates.

4.    FAA Personnel Training.

a.    Initial and Recurrent Training Requirements. Initial training requirements for ASIs with managing specialist responsibilities for DPE, Admin PE, and SAE include:

(1)    Completion of the GA operations ASI indoctrination courses, or equivalent.

(2)    Specific courses required for designee oversight are listed in the “Inspector Training for Designee Oversight” matrix. The training matrix is maintained on the Flight Standards Workforce Development Division (AFB-500) website at https://my.faa.gov/org/linebusiness/avs/offices/afx/divisions/afb/afb500.html. The training matrix is organized by designee type, and promotes the FS philosophy that the most appropriate person (or target audience) should attend the right training at the right time. The local training coordinator can also provide access to the training matrix and assistance on training needs assessment for ASIs assigned to designee management.

(3)    Designee-specific on-the-job training (OJT) tasks for the type of designee oversight to be conducted.

Chapter 8.  Annual Request for Extension of a Designee’s Authorization

1.    Purpose. This chapter describes policy associated with the FAA’s extension of a designee’s expiration date.

2.    Annual Profile Update. Designees are required to update their profile annually. Sixty calendar-days prior to expiration, DMS will send the designee an action item to update their profile. Using the action item link to update the designee profile is the only means of extending the designee expiration date. The profile update includes validating current information and making any necessary changes. Extending a designee’s authorization is predicated on the active designee:

•    Remaining in good standing.

•    Having no violation history.

•    Being current on all required training.

•    Having no arrests or convictions.

•    Having not had an airman certificate (other than medical), rating, or authorization (or foreign equivalent) suspended or revoked; or having not had to pay a civil penalty as a result of a violation of any FAA or other CAA regulations (foreign or domestic).

3.    New Expiration Date. Once the profile update has been successfully submitted, DMS will set a new expiration date on the CLOA, extending a designee’s authorization for 12 calendar-months.

Note:  During the annual profile update, designees in a suspended status may qualify for the 12 calendar-month extension of the expiration date, but must be in an active status by the time the profile update is submitted.

4.    Surrender. A designee who does not intend to continue utilizing a designation is encouraged to voluntarily surrender the designation in DMS prior to expiration.

5.    Termination—Non-Submittal. If the designee does not submit the required profile update action in DMS before the designation expires, DMS changes the designee’s status to “expired.” In an expired status, the designee is no longer authorized to perform any duties related to the expired designation and will have limited access to DMS. The designee remains in expired status until the FAA completes the termination process. See Chapter 9, Termination of a Designation, for additional information. Designees terminated for non-submittal of a profile update are considered terminated “not for cause” and may reapply at any time.

6.    Expansion of Authority. The designee may not seek an expansion of authority during the annual profile validation process.

Chapter 9.  Termination of a Designation

1.    Termination. The following items require the managing specialist to initiate termination of a designee:

a.    Any actions by the designee that may reflect poorly on the FAA, such as misuse of the designation or failure to maintain a reputation for integrity and dependability in the industry and the community.

b.    Any time that a reexamination of an airman under 49 U.S.C. § 44709 becomes necessary due to an inadequate test performed by the designee, the managing office must immediately suspend the designee and begin the termination process.

2.    Additional Information. For additional termination considerations and specific procedures to terminate a designee, see Volume 1.

Chapter 10.  Suspension of a Designation

See Volume 1.

Chapter 11.  Appealing a Termination for Cause

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

2.    General.

a.    Appeal Considerations.

(1)    The FAA office manager will convene an appeal panel comprised of three members:

(a)    An AFS-600 representative (for designees managed by AFS-610, the AFS-600 member must be from outside AFS-610);

(b)    A General Aviation and Commercial Division (AFS-800) representative; and

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

(2)    The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.

(3)    The appeal panel’s decision is final.

(4)    All documentation associated with the appeal (e.g., outcome, members of the appeal panel, and communication with the designee or the managing office) should be included in the designee’s DMS file.

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

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

5.    Appeal Panel Responsibilities. See Volume 1.

Chapter 12.  Other Designee Management Functions

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

2.    Assign DMS Roles—Master Role Assigner. For FS GA designees, the MRA is typically the office manager or FLM. See Volume 1.

3.    Send Message to Managing Specialist. See Volume 1.

4.    Update Profile. Updates to certain information in the designee record, such as change in physical address or qualifications, may affect the designation. A change of physical address may cause the FAA to review need and ability to manage considerations. If the requested address change is in a different managing office’s area, the FAA will make the determination if there is a need to transfer that designee to another managing specialist closer to the designee’s new location.

VOLUME 4.  DADE DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

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

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

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

a.    Availability of the DMS IT tool for the respective designee type.

b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials.

4.    Conflicts With Other FAA Orders. The guidance in this order may conflict with that in other FAA orders and directives. This situation may arise inadvertently or because it is impractical to revise all orders simultaneously. Because FAA Order 8000.95, Designee Management Policy, encompasses all aspects of designee management, this order takes precedence over other orders containing conflicting information. If the guidance in this order conflicts with 14 CFR, 14 CFR takes precedence. Inspectors should refer questions about such conflicts to their immediate supervisors.

Section 2.  Overview of Designee Functions

1.    DADE. A DADE is an individual who is authorized by the Administrator to perform evaluations and certification functions for Aircraft Dispatchers in accordance with 14 CFR part 65.

Section 3.  Roles and Responsibilities

1.    Responsibility and Authority for Policies Governing DADEs.

a.    Associate Administrator for Aviation Safety (AVS-1). AVS-1 has the overall authority for establishing policy that governs the designees managed by the various Aviation Safety (AVS) lines of business. These lines of business include the Flight Standards Service (FS), the Aircraft Certification Service (AIR), and the Office of Aerospace Medicine (AAM). The FS, AIR, and AAM policy divisions are responsible for developing policy applicable to specific designee types. FS is responsible for developing policy specific to DADEs.

b.    Air Transportation Division (AFS-200). AFS-200 provides direction and support to the Regulatory Support Division (AFS-600) regarding the policy related to the appointment and management of DADEs.

c.    Regulatory Support Division (AFS-600). AFS-600 is responsible to develop standards, regulations, policies, and procedures for the application, selection, appointment, oversight, suspension, termination, appeal, training, and other management functions for all FS designees, in coordination with AFS-200

2.    FAA Personnel Roles and Responsibilities.

a.    Office Manager.

(1)    Office managers are responsible for the personnel, training, and budget resources necessary to accomplish the management and oversight of designees.

(2)    Office managers should anticipate changes in personnel requirements as a result of the “need and ability” standard discussed in Chapter 3, Selection and Evaluation of a Designee Applicant.

(3)    Office managers are responsible for continually evaluating the effectiveness of the designee program and managing specialists.

(4)    Office managers or their delegates serve as the master role assigner (MRA) to ensure inspectors and supervisory staff are assigned appropriate roles within DMS to carry out assigned duties.

b.    Appointing Official. “Appointment” is the action taken by the FAA to designate a qualified individual as a representative of the Administrator. The appointing official of a DADE will be the manager of the FAA office with responsibility to manage the DADE. It may also be acceptable for a Front Line Manager (FLM) to be the appointing official for a DADE.

c.    Selecting Official. “Selection” means the identification and evaluation of qualified designee applicants that best meet the FAA’s needs. In accordance with 14 CFR part 183, a DADE falls under the category of Technical Personnel Examiners (TPE). Part 183, § 183.11 allows any local FS inspector to select a TPE. For a DADE, the selecting official is typically the FLM, but may also be an office manager when appropriate.

d.    Managing Specialist. The managing specialist is the individual primarily responsible for the management of a specific designee. Managing specialists provide oversight, guidance and support to assigned DADEs.

(1)    Managing Specialist Qualifications. The managing specialist of a DADE must be an Aviation Safety Inspector—Aircraft Dispatch (ASI-AD), commonly referred to as a dispatch inspector. An ASI-AD is not simply an ASI who holds an Aircraft Dispatcher Certificate. ASI-AD is a specific U.S. Office of Personnel Management (OPM) position description (PD). An ASI is not considered to be an ASI-AD unless specifically designated as such in an official OPM PD. The PD for an ASI-AD is contained in Human Resource Policy Manual (HRPM) Volume 1, Policy Chapter Supplement EMP-1.7e (1825AD), FAA Specific Qualifications Guidance for 1825 Aviation Safety Inspectors – Aircraft Dispatch.

(2)    Knowledge of 14 CFR. The managing specialist must be knowledgeable of 14 CFR parts 1, 61, 65, 91, 110, 117, 119, 121, and 183, and the requirements set forth in this order.

(3)    Training. The managing specialist of a DADE must successfully complete FAA Academy course Aircraft Dispatcher Functions for ASIs. This course provides specific training on the administration of the Aircraft Dispatcher practical test and the management of a DADE.

e.    Proxy. The proxy role allows an office to assign a surrogate or backup in DMS to a person holding a primary DMS role for offices with a large number of designees or for when the person holding the primary role will be unavailable.

(1)    Proxies should meet the same qualifications required to hold the primary role.

(2)    Proxies may be assigned for a defined amount of time or indefinitely.

(3)    Only the appointing official, selecting official, and managing specialist roles may be proxied.

(4)    An appointing official or selecting official may have only one proxy. Only an appointing official may assign an appointing official proxy. Only an appointing official or selecting official may assign a selecting official proxy.

(5)    Each designee may have only one managing specialist and up to three managing specialist proxies. An appointing official, selecting official, and the managing specialist who will be proxied may assign a managing specialist proxy.

(6)    Proxy candidates must accept the proxy request in DMS in order to be assigned a proxy.

(7)    Primary role holders and proxies should coordinate designee-related activities outside of DMS to prevent duplicate efforts or entries in DMS.

f.    Aviation Safety Inspector (ASI). In addition to the roles listed above, any ASI may access DMS to record specific oversight and other activities using the ASI role in DMS.

g.    Reporting. The reporting role allows the user to access DMS reports to view designee data and assess risk.

Chapter 2.  Application Process

1.    Purpose. This chapter provides the policy related to the application process for an individual applying to be a DADE designee. This designation type-specific policy and Volume 1 constitute the overall policy for the application process for a DADE applicant.

2.    General.

a.    Application Process. The DADE applicant must:

(1)    Complete an application in DMS;

(2)    Upload a current résumé and/or supplemental information sheet (available in DMS); and

(3)    Upload at least two letters of recommendation attesting to the professional qualifications of the applicant.

(4)    Enter their FAA tracking number (FTN). DADE applicants must enter their FTN as part of their application in DMS. The FTN is an essential link between DMS and the Integrated Airman Certification and Rating Application (IACRA) that verifies designee authorizations and allows activity and certification records to align between systems. Applicants can locate their FTN by logging into IACRA.

b.    Application Considerations. The managing office will review DADE minimum qualifications and competitive differentiators when considering an applicant for possible selection and appointment as a DADE.

c.    Multiple Designations. The FAA may designate an airman to perform multiple certification services as a designee. In addition, a designee may be designated to hold more than one type of designation. For DADE applicants, consideration should be given to the effect of multiple designations on the ability of the DADE to perform functions appropriately.

3.    Minimum Qualifications for DADEs. Applicants for initial DADE appointment must have experience working in an operational control environment and must be in a position to stay up to date with FAA-approved industry practices and the evolving regulatory environment as a condition of continued appointment. The applicant must hold an Aircraft Dispatcher Certificate that was issued no less than 3 years prior to his or her application as a DADE. In addition, the candidate must meet any one of the following criteria:

a.    Have a total of at least 2 of the last 3 years’ experience as a current and qualified Aircraft Dispatcher for an air carrier certificate holder conducting part 121 domestic and/or flag operations.

b.    Have a total of at least 3 of the last 4 years’ experience having responsibility for operational control for an air carrier certificate holder conducting part 121 supplemental operations.

c.    Have at least 2 of the last 5 years employed by the FAA as an ASI-AD.

d.    Have at least 5 years of experience, without recency, as a current and qualified Aircraft Dispatcher for an air carrier certificate holder conducting part 121 domestic and/or flag operations, and currently performing technical functions in a dispatch or operational control-related field that supports part 121 operations. For the purposes of this chapter, dispatch or operational control functions include the following:

(1)    Actively employed as an air traffic coordinator working in the dispatch center or Operations Control Center (OCC) of an air carrier certificate holder conducting part 121 domestic and/or flag operations;

(2)    Actively employed in a dispatch or operational control management position by an air carrier certificate holder conducting part 121 operations;

(3)    Actively working as an instructor who administers part 121 regulatory training to Aircraft Dispatchers; and

(4)    Actively employed as a dispatch subject matter expert (SME) for the purposes of developing dispatch and operational control procedures for an air carrier certificate holder that conducts part 121 operations.

e.    Have an excellent record as an airman regarding history of compliance actions, violations, accidents, and incidents. The managing specialist must verify the airman information through the FAA’s recordkeeping systems before scheduling any training or qualification observations.

4.    Competitive Differentiators. Practical experience that enhances the applicant’s competitiveness appointment as a DADE are referred to as competitive differentiators. Having competitive differentiators does not guarantee appointment as a DADE. The competitive differentiators for a DADE are:

a.    Prior experience as a DADE.

b.    Employed as an FAA ASI-AD at least 2 of the last 5 years.

c.    Appointed as an FAA designee other than a DADE.

d.    Performed duties of an air transportation supervisor (ATS) (administering competence checks in accordance with part 121 training requirements).

e.    Currently employed as an Aircraft Dispatcher by an air carrier certificate holder conducting part 121 domestic and/or flag operations.

f.    Currently employed as a person authorized to exercise operational control and conduct flight planning and flight release activities for an air carrier certificate holder conducting part 121 supplemental operations.

g.    Served as supervisor or manager of Aircraft Dispatchers for a certificate holder conducting part 121 domestic or flag operations.

h.    Served as an Aircraft Dispatcher instructor for a certificate holder conducting part 121 domestic or flag operations.

i.    Served as an air traffic control (ATC) coordinator in the OCC of a certificate holder conducting part 121 domestic or flag operations.

j.    Recent (last 5 years) experience dispatching airplanes in extended overwater operations.

k.    Recent (last 5 years) experience dispatching airplanes in Extended Operations (ETOPS).

l.    Recent (last 5 years) experience dispatching airplanes in high terrain (driftdown environment) operations.

m.    Currently working in an environment that allows a continuing opportunity to remain professionally current with evolving regulations, technology, and FAA-approved programs.

n.    Served as a dispatch standards or procedures developer for an air carrier certificate holder conducting part 121 domestic or flag operations.

o.    Holds additional airman certificates other than Aircraft Dispatcher.

p.    An active member of an Aircraft Dispatcher professional organization such as the Airline Dispatchers Federation (ADF) or the International Federation of Airline Dispatchers Associations (IFALDA).

q.    Worked as an instructor at an FAA-approved Aircraft Dispatcher certification course.

r.    Served as a United States Air Force (USAF) flight manager.

5.    Disqualifiers. See Volume 1.

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

7.    Post-Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of DADE applicants. This designation type-specific policy and Volume 1 constitute the overall policy for the selection and evaluation of a DADE applicant.

2.    General.

a.    Selection Process. The selection process for a DADE applicant is initiated after the designee applicant completes the DMS application. The selecting official then initiates the selection process through DMS. Below is a high-level representation of the selection flow.

Figure 4-1.  High-Level Selection Process Flow

b.    Selection Considerations.

(1)    Candidates must complete an application in DMS.

(2)    The evaluation panel assesses each applicant’s background, knowledge, and experience through:

(a)    A thorough review of the application;

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

(c)    Contacting references provided by the applicant.

3.    Need and Ability to Manage. The managing FAA office, within its sole discretion, determines the need for, and ability to manage, a DADE.

a.    Need Considerations. The need for a DADE is driven by the certification needs of the public. The impact to existing DADEs or desires of individuals to become DADEs will not be a factor in determining need. Each Flight Standards office has overall responsibility to ensure the certification needs of the public within its area of responsibility are met. This includes ensuring that adequate FAA personnel and/or designees are available to conduct certification activities in the area. Examples of what constitutes a need for a DADE are as follows:

(1)    The managing FAA office cannot support the certification work and needs of the public with existing DADEs.

(2)    The office no longer has the ability to provide examinations within a reasonable period of time.

(3)    There are documented public complaints regarding long waiting periods for testing.

(4)    The activity in the managing office has increased or is forecasted to increase, and cannot be supported with existing DADEs.

(5)    The unavailability of an existing DADE.

(6)    An event triggering a need for increased Aircraft Dispatcher certification, such as an FAA-approved Aircraft Dispatcher certification course or a part 121 domestic and/or flag air carrier located in, being established in, or otherwise moving to the area of responsibility of the managing office.

b.    Ability to Manage Considerations. If need for a DADE has been established, the managing office must next determine if the office has the ability and resources to manage a DADE. The determination must be based on criteria such as:

(1)    Appropriate Technical Resources. The managing office must have the appropriate technical resources to manage the DADE. The appropriate technical resource for managing a DADE is an ASI-AD who is available to manage the DADE and be assigned as the managing specialist. If there is no ASI-AD assigned to a Flight Standards office in whose area of responsibility there is a public need for Aircraft Dispatcher certification, the office manager should consider staffing adjustments to include an ASI-AD who has the ability to manage the DADE. If the office has no ASI-AD who meets the necessary criteria, then the office does not have the ability to manage a DADE. In this case, the office manager may request the services of a DADE that is managed by another Flight Standards office to perform Aircraft Dispatcher certification (administer the Aircraft Dispatcher practical test and issue a Temporary Airman Certificate). Information on DADEs performing activities outside the managing office’s area of responsibility can be found in Chapter 6, subparagraph 12e, Designee Activity.

(2)    Ability to Maintain Oversight and Conduct Surveillance. Oversight is the ongoing task of ensuring that a designee performs within established guidelines. This is primarily accomplished through surveillance. Therefore, the proposed managing specialist’s current workload must permit that individual to conduct surveillance of a DADE whenever necessary. When determining whether or not the managing specialist’s workload will permit adequate oversight of a DADE, the office manager will consider the following with respect to workload:

(a)    The number of air carrier certificate holders for which the managing specialist is currently assigned oversight responsibility;

(b)    The number of Aircraft Dispatcher certification courses for which the managing specialist is the Dispatch Course Program Manager (DCPM);

(c)    The total number of designees the managing specialist is responsible for;

(d)    The estimated number of Aircraft Dispatcher practical tests the managing specialist will be required to observe and/or administer; and

(e)    The amount of travel involved for each of the ASI-AD’s certificate management, designee management, course oversight, and testing responsibilities.

(3)    Funding. The managing office must consider the funding that could be associated with any travel required to conduct surveillance of a DADE.

4.    Solicitation of Applicants for DADE Selection. Once the need and ability to manage a DADE are established, it is important to solicit the most qualified applicant(s) available. The following are suggested avenues for soliciting applicants:

a.    Advertise a DADE opening at an air carrier in the area that conducts part 121 operations.

b.    Notify professional Aircraft Dispatcher organizations, such as the ADF.

c.    Contact the Airmen Certification Branch (AFB-720) and request they run a query of all certificated Aircraft Dispatchers located in a particular ZIP code range, city, or region.

5.    Requesting Qualified Applicants in DMS.

a.    List of Qualified Applicants. Once the FAA establishes the need for and ability to manage a designee, the selecting official can request a list of qualified applicants from DMS. DMS will search active applicants to identify candidates that most closely match the specified criteria.

b.    Deviation from Minimum Qualifications. If no qualified DADEs are available within DMS and the FAA demonstrates a significant need for the appointment, the managing specialist may request that the selecting official petition AFS-600, who will coordinate with AFS-200 for a deviation from minimum qualifications as follows:

(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo outside of DMS.

(2)    Coordination. The selecting official must route the request through the appropriate division management leadership for concurrence external to DMS. If in agreement with the recommendation, AFS-600, in coordination with AFS-200, will document the circumstances and justification in DMS and complete the required DMS process.

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

6.    Evaluation.

a.    Evaluation of a Designee Applicant. The FAA is required to determine if an applicant is the best qualified for appointment as a DADE. An FAA goal is to establish a uniform designee candidate assessment process (as much as practicable) for all designee types. When a DADE applicant submits an application in DMS, the Flight Standards office will establish an evaluation panel to further review and determine if each applicant is appropriately qualified.

b.    Evaluation Panel. The evaluation panel must include at least two individuals:

(1)    The managing specialist who is expected to be assigned to the designee. The presumed managing specialist will assume the lead role during the evaluation process and coordinate the evaluation panel results in DMS.

(2)    The office manager, FLM, or another ASI-AD.

c.    Evaluation Panel Checklist. For each prospective DADE candidate, the evaluation panel will complete the following checklist:

(1)    Review the DADE application, resume, and/or supplemental information sheet. Whenever possible, verify employment history and ensure there is nothing negative in the history that could call into question the applicant’s qualifications and overall desirability as a candidate.

(2)    Verify the minimum qualifications have been met.

(3)    Verify the applicant possesses the appropriate airman certificate.

(4)    Review the applicant’s competitive differentiators.

(5)    Review the letters of recommendation submitted by the applicant.

(6)    Contact references as necessary;

(7)    Verify any other FAA designee appointments held by the applicant.

(8)    Review relevant information from the following FAA databases to determine the candidate’s aviation background and any issues which may have an adverse effect on the candidate’s application:

(a)    DMS;

(b)    Safety Performance Analysis System (SPAS);

(c)    Accident Incident Data System (AIDS);

(d)    Enforcement Information System (EIS);

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

(f)    Safety Assurance System (SAS).

(9)    Interview the applicant(s).

(a)    Select applicant(s) to interview. The evaluation panel will select up to three of the most qualified applicants to interview while considering each applicant’s availability to administer Aircraft Dispatcher practical tests. If an applicant’s availability to administer tests does not meet the demand for testing, the presumed managing specialist should solicit additional applicants. In the case where the need has been established for more than one DADE, the evaluation panel may select up to three candidates to interview per DADE needed.

(b)    Conduct the interview(s). The evaluation panel will interview the DADE applicant(s). During the interview, the presumed managing specialist will ask pointed questions about the applicant’s experience and background as well as technical expertise regarding the requirements of part 65 subpart C, part 121 appendix A, and the current edition of the Aircraft Dispatcher practical test standards (PTS) or Airman Certification Standards (ACS).

(c)    After the interview. After completing an interview, the evaluation panel will meet to discuss the applicant’s ability to answer technical questions, as well as the applicant’s overall adequacy as a DADE candidate. When considering an applicant, the evaluation panel will take into account any of the applicant’s past performance (both negative and positive) in the aviation industry, as an FAA designee, or as a former FAA employee.

d.    Evaluation Panel Tasks. In addition to the items listed above, the evaluation panel must ensure the DADE applicant has completed the following activities prior to designation:

(1)    Training. In accordance with guidelines provided in Chapter 7, Training, the presumed managing specialist will conduct initial training for each DADE candidate. Prior to appointing the candidate as a DADE, the managing specialist must evaluate the candidate’s knowledge of the training and verify that he or she understands his or her duties and responsibilities. If the managing specialist is unable to verify the candidate’s knowledge, or otherwise determines that the expected level of knowledge and understanding has not been achieved, the managing specialist must either provide the candidate with additional training or reject the candidate.

(2)    Qualification. Once a DADE candidate satisfactorily completes initial training, the candidate must be observed administering an Aircraft Dispatcher practical test in accordance with the Aircraft Dispatcher PTS or ACS to an applicant for an Aircraft Dispatcher Certificate (see Chapter 6, Oversight and Management of a Designee). The managing specialist must evaluate the DADE candidate’s overall performance. The DADE candidate does not have the authority to issue a Temporary Airman Certificate or Notice of Disapproval (as appropriate) to the applicant; however, the managing specialist may allow the candidate to fill out the appropriate paperwork while the managing specialist observes. The managing specialist makes the final determination as to whether or not the applicant for the Aircraft Dispatcher Certificate passed or failed the test. The managing specialist will sign the Temporary Airman Certificate or Notice of Disapproval, as appropriate, and issue it to the applicant. During the qualification phase, the DADE candidate may not charge a fee for administering the test.

e.    Evaluation Panel Outcomes. At the conclusion of the evaluation events, the evaluation panel will make a recommendation in DMS to the selecting official whether to appoint the applicant or not and indicate any limitations that should be listed on the Certificate Letter of Authority (CLOA). There are two appointment recommendation types:

(1)    Approve. The evaluation panel recommends appointment and now must:

(a)    Identify any recommended limitations.

(b)    Prepare the recommendation for review by the selecting official and appointing official.

(2)    Disapprove. If the evaluation panel recommends disapproval, justification must be provided in DMS.

f.    Selecting Official Actions. The selecting official will select the most qualified applicant based on the recommendations of the evaluation panel. The selecting official may accept or reject the evaluation panel recommendation(s).

7.    Banning. See Volume 1.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of a DADE. This designation type-specific policy and Volume 1 constitute the overall policy for the appointment of a DADE.

2.    General.

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

Figure 4-2.  High-Level Appointment Process Flow

b.    Appointment Checklist. The evaluation panel recommends appropriate privileges and limitations in the CLOA based on:

(1)    The applicant’s background experience;

(2)    The applicant’s personal and professional qualifications; and

(3)    The needs of the appointing office.

c.    Appointing Official Actions. The appointing official may accept or reject the evaluation panel and selecting official recommendations.

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    CLOA Expiration Date. Upon designee appointment, DMS will generate a CLOA with an expiration date on the last day of the 12th month following the CLOA’s approval date. DMS will continue to extend the expiration date for 12 months annually subject to the following conditions:

a.    Designee Completes DMS Action Item. The designee must complete the action item in DMS within 60 calendar-days of expiration.

b.    Designee Maintains Qualifications. The DADE must continue to meet the minimum qualifications listed in chapter 2, paragraph 3 of this volume.

c.    Length of Appointment. The designee may serve at the discretion of the Administrator until his or her designation is terminated in DMS.

6.    Reinstatement. A former DADE who was terminated “not for cause” may apply for reinstatement up to 12 calendar-months after termination only for the managing Flight Standards office where last assigned. The former DADE must:

a.    Have a prior record in DMS; and

b.    Continue to meet all requirements for issuance of the designation.

7.    Reinstatement Process. Once the Flight Standards office determines the former designee is still competent to perform authorized activities, the CLOA is reissued with the original designation number used for reinstatement.

8.    Relocation. A DADE who relocates outside the area of responsibility of the managing office is not guaranteed continued appointment. A DADE’s appointment will only be continued if the managing office is able to continue effectively managing the DADE once relocated. In some cases, the managing office may transfer responsibility of the DADE to the responsible Flight Standards office for the area to which the DADE is relocating. However, this type of transfer is contingent upon the responsible Flight Standards office’s need and ability to manage the DADE. Otherwise, the managing office will terminate the designation in accordance with Chapter 9, Termination of a Designation, as it relates to “Termination Not for Cause,” since relocation is not a product of poor performance.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter describes the common policy associated with the responsibilities and obligations of a DADE. This designation type-specific policy and Volume 1 constitute the overall policy for the responsibilities and obligations of a DADE.

2.    DADE Responsibilities. In addition to the responsibilities listed in Volume 1 of this order, DADEs must:

a.    Represent the FAA Positively. A DADE must represent the Administrator in a manner that reflects positively on the FAA.

b.    Honor Appointments. A DADE should honor appointments made with the public and with the FAA and be as prompt as possible.

c.    Give Undivided Attention to the Applicant. A DADE must give undivided attention to the applicant throughout the conduct of the test. Do not leave the applicant unattended.

d.    Keep Discussion Private and Confidential. A DADE must ensure that discussion with the applicant following the conduct of the Aircraft Dispatcher practical test is private and confidential.

e.    Maintain a High Degree of Knowledge and Skill. A DADE must maintain a high degree of knowledge and skill in all areas and subjects set forth in 14 CFR part 65 appendix A and the Aircraft Dispatcher PTS/ACS.

f.    Follow Federal Regulations and FAA Policy. When exercising the privileges of a DADE designation, the DADE must adhere to Federal regulations and FAA policy set forth in FAA orders.

g.    Develop a Plan of Action. A DADE must develop and use a plan of action for each Aircraft Dispatcher practical test administered by the DADE.

h.    Administer Each Practical Test in English. A DADE must conduct the Aircraft Dispatcher practical test entirely in the English language. The use of a translator during the test is not permitted.

i.    Charge a Reasonable Fee. The DADE is responsible to charge each applicant a reasonable fee. Prior to administering the test, a DADE must explain any fee charged and must ensure each applicant understands the fees, including those incurred for retesting after failure.

j.    Complete Administrative Functions. DADEs must complete the airman certification forms or entries in accordance with FAA policy and regulatory requirements. The paperwork must be accurate, complete, and timely. All certification packages must be completed via IACRA or sent to the managing office within 7 calendar-days of completion.

k.    Maintain Security of Controlled Material. Each DADE is responsible for maintaining the security of controlled material pertaining to the issuance of the airman certificate. The DADE must use appropriate security procedures as identified by policy and by the managing specialist. At a minimum, DADEs shall ensure adequate security of:

(1)    Knowledge element questions developed for the tests;

(2)    Skill element plans of action developed for the tests;

(3)    Airman Certificate and/or Rating Applications and Temporary Airman Certificates; and

(4)    Applicant Personally Identifiable Information (PII).

3.    DADE Limitations. DADEs must adhere to the following limitations:

a.    A DADE May Not Test Applicants Who Have Not Successfully Completed an FAA-Approved Aircraft Dispatcher Certification Course Without Specific Authorization.

(1)    A DADE may not test an applicant attempting to qualify to take the Aircraft Dispatcher practical test based on the experience outlined in part 65, § 65.57(a)(1), (2), or (3) without written authorization from the managing specialist. The managing specialist will not grant permission without first having determined that the applicant’s documentary evidence of experience is satisfactory.

(2)    A DADE may not test an applicant attempting to qualify to take the Aircraft Dispatcher practical test based on the experience outlined in § 65.57(a)(4) without written authorization from the managing specialist who must first obtain written approval, via memo, from AFS-200.

(3)    All DADE preapprovals for applicants being tested based on experience will be manual in nature. The managing specialist will ensure the above requirements to verify previous experience are met outside of DMS prior to approving the preapproval.

b.    A DADE May Not Test an Applicant Who Fails to Demonstrate the Ability to Read, Speak, Write, and Understand the English Language. DADEs will use the current edition of Advisory Circular (AC) 60-28, FAA English Language Standard for an FAA Certificate Issued Under 14 CFR Parts 61, 63, 65, and 107, to evaluate an applicant’s English language skills. If a DADE has concerns about an applicant’s English language skills, the DADE may not test the applicant. In this case, the DADE must refer the applicant to the managing specialist for further evaluation prior to conducting the test.

c.    A DADE May Not Administer the Test to More Than One Applicant at a Time. A DADE must not administer the Aircraft Dispatcher practical test to more than one applicant at a time. For the purposes of this policy, “at a time” means that a DADE must initiate, conduct, and conclude the practical test with an applicant before accepting the application and/or initiating the test with another applicant. An Aircraft Dispatcher practical test is concluded when the DADE issues a Temporary Airman Certificate, a Notice of Disapproval, a Letter of Discontinuance, or for an applicant under the age of 23, completes the test and refers the applicant to the managing office for a Letter of Aeronautical Competency.

d.    A DADE May Not Administer More Than Two Practical Tests Per Day. A DADE may not administer more than two full practical tests in a single calendar-day (i.e., midnight to midnight). However, in the case where one or more of the tests is a partial test (e.g., due to discontinuance or a retest), a DADE may seek permission from the managing specialist to administer more than two tests in a single calendar-day. Prior to granting permission, the managing specialist will take into account how many hours in total the DADE is estimated to spend testing applicants in a single day. Prolonged periods of time spent administering multiple practical tests in a single day could contribute to fatigue, which could lead to degradation of the quality of testing.

e.    A DADE May Not Allow Observers During the Test. A DADE may not allow observers while he or she is administering the Aircraft Dispatcher practical test, except as described in FAA Order 8900.1, Volume 5, Chapter 5, Section 10, Part 65 Aircraft Dispatcher Certification.

f.    A DADE May Not Exempt an Applicant from any Portion of the Aircraft Dispatcher Practical Test Requirements. DADEs must administer the Aircraft Dispatcher practical test in accordance with the full requirements of the PTS/ACS.

g.    A DADE May Not Provide Instruction to an Applicant in Combination With Administering the Practical Test to the Applicant. A DADE may not instruct the applicant during the test. If an applicant is unable to answer a question or successfully demonstrate a skill, the DADE may not instruct the applicant on the correct way to answer the question or demonstrate the skill.

h.    A DADE May Not Temporarily Suspend (Discontinue) a Test to Allow the Applicant to Study. A DADE may not discontinue a test to allow an applicant time to study. If an applicant appears deficient in a particular task or area of knowledge, then the DADE must treat that as unsatisfactory performance and either continue the test if it appears the applicant will be able to pass the test overall, or fail the applicant.

i.    A DADE May Not Endorse, Amend, Alter, or Issue Any Permanent Airman Certificates. DADEs are prohibited from endorsing, amending, altering, or issuing any permanent Aircraft Dispatcher Certificates. These actions may only be accomplished by a qualified FAA ASI.

j.    A DADE May Not Issue Any Limitation to an Aircraft Dispatcher Certificate. At no time may a DADE issue any limitation to an Aircraft Dispatcher Certificate.

k.    A DADE May Not Issue a Letter of Aeronautical Competency. A DADE may not issue a letter of aeronautical competency. Only the managing office can issue such a letter.

l.    A DADE May Not Test an Applicant Trained by the DADE, Except Under the Following Conditions:

(1)    The DADE’s CLOA specifically allows this practice. A DADE may not test an applicant to whom the DADE has also administered training, unless specifically authorized in the CLOA. When authorized, the managing specialist will list the name of each FAA-approved Aircraft Dispatcher certification course to which the authorization applies.

(2)    Another instructor who holds an Aircraft Dispatcher Certificate must administer all training in the practical dispatch applications area of knowledge. A DADE who is also an instructor may not administer the Aircraft Dispatcher practical test to an applicant for an Aircraft Dispatcher Certificate unless another instructor who holds an Aircraft Dispatcher Certificate has administered the practical dispatch applications area of knowledge training required by part 65 appendix A, section VIII (including all of the topics and subtopics contained therein) and is the recommending instructor (signs the Instructor’s Recommendation block on FAA Form 8400-3, Application for an Airman Certificate and/or Rating).

(3)    A DADE may not be the recommending instructor for an applicant to whom the DADE administers the Aircraft Dispatcher practical test. This limitation directly corresponds to the preceding one (subparagraph (2) above).

4.    DADEs Who Own, Operate, or Provide Instruction for an FAA-Approved Aircraft Dispatcher Certification Course. A DADE’s ownership, operation of, or employment with an FAA-approved Aircraft Dispatcher certification course must not interfere with the DADE’s primary responsibility, which is being a representative of the Administrator. A DADE must always maintain impartiality and thoroughly evaluate each applicant for an Aircraft Dispatcher Certificate to whom the DADE is administering the Aircraft Dispatcher practical test.

5.    Testing. All practical tests must be conducted in accordance with the Aircraft Dispatcher PTS/ACS. The DADE should complete preapprovals as far in advance as possible (see Chapter 6, Oversight and Management of a Designee). See Figure 4-3, DADE Checklist, at the end of this chapter.

6.    Testing Facilities. All DADEs must have access to testing facilities that are equivalent to those required by § 65.65 and Order 8900.1, Volume 3, Chapter 63, Section 3, Course Approval and Management. Testing facility access is a DADE’s responsibility.

Figure 4-3.  DADE Checklist

Scheduling Practical Tests:

☐  Schedule the practical tests with the applicant for the Aircraft Dispatcher Certificate.

☐  Complete the preapproval in DMS.

☐  Prepare written Plan of Action in accordance with PTS/ACS for each applicant.

Applicant Eligibility:

☐  Age—The minimum age to qualify to take the Aircraft Dispatcher Practical Test is 21 years old.

☐  Original ADX Knowledge Test results showing satisfactory results (good for 24 calendar-months per 14 CFR part 65, § 65.55).

☐  Complete and sign FAA Form 8400-3, Application for an Airman Certificate and/or Rating.

☐  Course certificate or written statement of graduation (valid for 90 days per § 65.70).

Or

☐  Meets eligibility requirements of § 65.57(a).

NOTE: Documentary evidence of eligibility must be presented to the FAA managing specialist and permission to test must be granted by the specialist.

☐  Verify and be sure the applicant can read, write, speak, and understand the English language, prior to administering the Aircraft Dispatcher Practical Test.

When the Applicant is Under 23 Years of Age:

Prior to administering the Aircraft Dispatcher Practical Test, inform the applicant of the following:

☐  The applicant is not entitled to a Temporary Airman Certificate until he or she reaches his or her 23rd birthday.

☐  The FAA managing office will issue a Letter of Aeronautical Competency, in lieu of a Temporary Airman Certificate.

☐  The FAA will not automatically issue an Aircraft Dispatcher Certificate when the applicant reaches 23 years of age.

☐  The applicant will be required to present the Letter of Aeronautical Competency in person to a Flight Standards office once the applicant has reached the age of 23.

☐  The FAA will require a positive identification check before issuing a Temporary Airman Certificate; therefore, the applicant must bring the appropriate identification.

If Applicant Passes:

☐  Complete the DMS post-activity report and IACRA entries, as appropriate.

Turn in to the FAA as required:

☐  FAA Form 8400-3, with source of establishing ID indicated.

☐  A copy of the written statement of graduation.

☐  The original ADX Knowledge Test Report.

☐  Original, typed Temporary Airman Certificate if 23 years of age or older.

If Applicant Fails:

☐  Complete the DMS post-activity report.

☐  Return ADX Knowledge Test results and the copy of the written statement of graduation to individual along with a copy of the Notice of Disapproval of Application.

Turn in to the FAA:

☐  FAA Form 8400-3 with unsatisfactory areas noted.

☐  Notice of Disapproval of Application and list what was unsatisfactory.

Retest:

☐  Complete the DMS post-activity report.

Turn in to the FAA:

☐  FAA Form 8400-3. If re-testing less than 30 days from previous test, the form must be signed by certificated Aircraft Dispatcher instructor recommending retest.

☐  A copy of the written statement of graduation (valid for 90 days per § 65.70).

☐  The original ADX Knowledge Test Report.

☐  Notice of Disapproval of Application or Temporary Airman Certificate, if applicable.

Chapter 6.  Oversight and Management of a Designee

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

2.    General.

a.    Considerations. Effective oversight of DADEs is founded on a strategy of risk management in which safety management principles and oversight by the FAA includes a continual process of weighing the harm potential of any hazard against the likelihood of its occurrence and taking appropriate preventive action.

b.    DADE Oversight. DADE oversight includes the comprehensive evaluation, management, and monitoring of a DADE’s activities. Complete surveillance of a DADE involves a group of activities designed to evaluate a DADE’s overall performance.

(1)    Oversight in DMS is not tied to the CLOA expiration date. However, oversight must be completed as prescribed in DMS.

(2)    Oversight activities may be completed independently over a set period of time, or any number of activities may be completed together.

(3)    This approach to oversight was adopted to allow the managing specialist flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee oversight is most effective when it occurs throughout the year rather than with an all-at-once, infrequent approach.

3.    Oversight Roles.

a.    Managing Office and Managing Specialist.

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

(2)    Managing specialists are responsible for ensuring designees maintain airman certification and checking standards as prescribed by regulation, FAA orders, the PTS or ACS, and approved training programs. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.

4.    Oversight and DMS.

a.    Designee Oversight. Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. Oversight activities include those generated in DMS and any additional oversight deemed appropriate by the managing specialist.

b.    Oversight Record. Maintaining an accurate oversight record in DMS is crucial not only to managing individual designees, but it also allows for the identification of strengths and weaknesses in the entire system. The managing specialist must conduct designee performance evaluations on an ongoing basis predicated on the outcome of oversight activities. An overall performance evaluation must also be recorded in DMS.

5.    Oversight Actions.

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

(1)    Oversight of designees in accordance with DMS-generated oversight activities and additional oversight as deemed necessary;

(2)    Complaints received about a designee’s conduct during certifications;

(3)    Designees determined to be in the “high risk” category;

(4)    Persons newly designated (inspections can occur at a higher level of frequency to ensure compliance); and

(5)    The managing specialist identifies a deficiency during an oversight activity or performance evaluation and determines the need for additional oversight.

b.    Preparing for the Inspection. Review the following documents prior to the inspection:

(1)    The designee’s record;

(2)    Previous inspection reports, historic data, and DMS entries;

(3)    Any correspondence between the Flight Standards office and the designee since the last inspection;

(4)    The DADE’s plan of action and the approved Aircraft Dispatcher certification course curriculum; and

(5)    The oversight activity preapproval in DMS.

c.    Conducting Inspections. Although unannounced inspections are required and appropriate under some conditions, managing specialists should consider conducting inspections at a time coordinated with the DADE. Oversight plans for designees that operate around or nearly around the clock should include inspections throughout the designee’s operating hours.

d.    Job Aids. Managing specialists should use job aids when available to assist with and standardize inspection functions. When a job aid is not available, inspectors should use the detailed guidance found in this order.

6.    Oversight Activities. In DMS, the following oversight activities are available:

a.    Direct Observation. The DADE is observed in person conducting a complete Aircraft Dispatcher practical test to ensure the designee performs in accordance with regulatory requirements, FAA policy, and applicable standards. The purpose of the observation is to evaluate the DADE’s ability to exercise designee authority in accordance with testing requirements, and complete appropriate documentation.

Note:  Directives, guidance, and instructions related to the administration of the Aircraft Dispatcher practical test are contained in Order 8900.1, Volume 5, Chapter 5, Section 10. DADEs must review Volume 5, Chapter 5, Section 10, become familiar with the content, and adhere to the requirements set forth in that section prior to administering the Aircraft Dispatcher practical test.

(1)    Initial DADE Designation and Reinstatement. The managing specialist will observe and evaluate each DADE candidate administering a complete Aircraft Dispatcher practical test in accordance with the aircraft dispatcher PTS/ACS to an applicant for an Aircraft Dispatcher Certificate. The DADE candidate does not have the authority to issue a Temporary Airman Certificate or Notice of Disapproval (as appropriate) to the applicant; however, the managing specialist may allow the candidate to fill out the appropriate paperwork while the managing specialist observes. The managing specialist makes the final determination as to whether the applicant for the Aircraft Dispatcher Certificate passed or failed the test. The managing specialist will sign the Temporary Airman Certificate or Notice of Disapproval, as appropriate, and issue it to the applicant. During the qualification phase, the DADE candidate may not charge a fee for administering the test.

(2)    Direct Observation Frequency. DADEs will be observed at least once during each 12 calendar-month period. However, the managing specialist should observe the DADE administering the Aircraft Dispatcher practical test several times throughout the year to ensure consistency and compliance with the Aircraft Dispatcher PTS or ACS, Federal regulations, Order 8900.1, and this order. Managing specialists may use the sample DADE Surveillance Checklist contained in Figure 4-5 at the end of this chapter to ensure surveillance is thorough. The direct observation is valid up to the last day of the month in the year after it was completed.

(3)    Unannounced Direct Observations. It is noted that, when the FAA plans an observation of a practical test, an applicant’s permission is not required. Further, advance notice to either the designee or the applicant is not required. Unannounced observations are at the discretion of the managing specialist and can be a useful tool in determining the quality of the designee’s work when they are not expecting to be observed.

b.    Plan of Action. The managing specialist evaluates the DADE’s plan of action to ensure it meets policy and regulatory requirements and that the designee appropriately alters the plan of action for each test.

c.    Guidance Materials. The managing specialist reviews the applicable guidance and reference materials the designee used to conduct a practical test. The managing specialist will ensure the most current documents are used, to include:

(1)    PTS/ACS;

(2)    Order 8000.95, Designee Management Policy;

(3)    Order 8900.1;

(4)    FAA handbooks; and

(5)    ACs.

d.    Annual Meeting. The managing specialist must conduct a safety and standardization meeting and FAA briefing for each DADE under the managing specialist’s management at least once each calendar-year. At the discretion of the managing specialist, these meetings may also be held concurrently with the DADE’s annual recurrent training. The managing specialist will prepare an agenda for each event, including a recurrent training syllabus as appropriate. A sample meeting agenda is depicted in Figure 4-6, Sample Annual Meeting—Combined Safety Standardization Meeting, FAA Briefing, and Recurrent Training Agenda. If a managing specialist or managing office has oversight responsibility of multiple DADEs, those DADEs should attend the annual meeting together, if possible. This helps to ensure consistency and standardization in the DADEs’ activities on behalf of the Administrator.

e.    Activity Log. The managing specialist reviews the activity log in DMS for the previous four quarters in order to:

(1)    Evaluate whether DADE activity justifies continued need for the designation.

(2)    Identify any compliance issues or other risk factors (e.g., a test taking an unreasonable amount of time, comparing activity reported in DMS to actual training records).

f.    Quality and Compliance Check.

(1)    At any time, the managing specialist may elect to issue a Temporary Airman Certificate to an applicant for the purposes of getting direct feedback regarding the administration of the Aircraft Dispatcher practical test by a DADE. A brief interview of an applicant regarding the DADE’s conduct and testing methods can be used as a quality check for verifying a DADE’s continued compliance with the PTS; the provisions, limitations, and conditions of the CLOA; as well as FAA policies and Federal regulations.

(2)    When the managing specialist elects to issue a Temporary Airman Certificate to an applicant, he or she will notify the DADE in advance. The DADE must then notify the applicant that the FAA will be issuing the Temporary Airman Certificate.

(3)    The Temporary Airman Certificate must be issued to the applicant in person. Therefore, the managing specialist will take the applicant’s scheduling needs into consideration prior to electing to issue a Temporary Airman Certificate for the purposes of interviewing the applicant. A managing specialist’s desire to interview the applicant should not negatively impact the applicant’s ability to travel home and/or return to work after completion of the test.

g.    Interview of Recently Tested Airmen. The managing specialist will interview an applicant for an Aircraft Dispatcher Certificate regarding the performance of the DADE anytime the specialist feels it’s warranted. This may be conducted as part of the quality and compliance check described above, or as a separate activity.

h.    Certification Package Review. When IACRA is not used, reviewing certification packages provides the managing specialist the opportunity to determine if the designee is performing the work within the guidelines, give feedback to the designee, and gain insight into the designee’s procedural attributes. These reviews will be recorded in DMS. Correction notices received from the Civil Aviation Registry Division (AFB-700) will also be recorded in DMS.

i.    Review Feedback. The managing specialist records in DMS any information regarding the performance of his or her designee.

j.    Provide Technical Assistance. The managing specialist will document in DMS when technical assistance is provided to a designee. Technical assistance does not include answering a quick question via phone or email, but consists of more in-depth assistance involving research and/or training.

k.    Special Emphasis Oversight. Certain DADE performance factors warrant at least one additional observation beyond those normally required. In some cases, multiple additional observations may be required. The following factors could represent underlying safety risks that warrant special emphasis and increased surveillance:

(1)    The First Year of a DADE’s Appointment. The managing specialist should make every effort to observe a newly appointed DADE at least once quarterly in the first year of the DADE’s appointment. The managing specialist will use his/her discretion to determine if additional surveillance beyond once quarterly is warranted.

(2)    High-Activity DADE. A DADE is considered to have high activity when he or she conducts 50 or more practical tests during a given 6-month period. For high-activity DADEs, the managing specialist will conduct additional observations beyond the one required annually. The recommendation is for the managing specialist to observe the DADE at least twice quarterly, and more often if the managing specialist determines it is warranted.

(3)    A DADE Conducts More Than Two Aircraft Dispatcher Practical Tests in a Single Day. Administering more than two tests per day requires permission from the managing specialist, in accordance with the limitations listed in Chapter 5, Responsibilities and Obligations of a Designee. Managing specialists who grant this permission should conduct additional surveillance to determine that the quality of testing does not degrade due to DADE fatigue.

(4)    A DADE’s Practical Test Passing Rate Exceeds 90 Percent. A passing rate in excess of 90 percent could be an indicator of loss of impartiality or less-than-thorough evaluation and testing methods. It could also simply mean that the DADE routinely tests students who are knowledgeable and well prepared for the test. The managing specialist would need to determine this through additional surveillance.

(5)    A DADE’s Certification File Error Rate Exceeds 10 Percent. Numerous errors could be an indicator of carelessness and lack of attention to detail by the DADE. This would be a red flag for the managing specialist and could warrant counseling of the DADE, additional training, and/or additional surveillance.

(6)    The DADE Is the Subject of a Valid, Documented Public Complaint. The managing specialist will investigate all documented public complaints. Depending upon the nature of the complaint, the managing specialist, in coordination with office management, will determine the best course of action. Documented public complaints typically warrant multiple additional surveillance activities. In cases where a DADE has a well-established satisfactory record, the managing specialist should take this into consideration when determining the amount of additional surveillance that is required.

(7)    The DADE Has Been Involved in an Accident, Incident, or a Violation of 14 CFR.

(a)    Accident or Incident. The managing specialist will determine the relevance of the accident or incident, as it relates to the DADE’s appointment responsibilities, to determine whether additional surveillance is warranted.

(b)    Violation by the DADE of 14 CFR. Violation of Federal regulations by any designee warrants additional surveillance and possibly more serious action, such as termination of the designation. The managing specialist of a DADE who has been found in violation of 14 CFR will obtain direction from management regarding the best course of action.

(8)    The DADE Tests Applicants Trained by the DADE. Additional surveillance is warranted when a DADE tests applicant to whom the DADE has also provided instruction in accordance with § 65.67 and part 65 appendix A. Increased surveillance can help identify whether or not the DADE’s duties as an instructor in any way interfere with or affect the DADE’s objectivity and overall performance as a representative of the Administrator.

Note:  Managing specialists, in consultation with their Flight Standards office management, may use discretion and judgment in the kind and frequency of inspections of individual DADEs. For example, if a designee’s error rate is above 10 percent, the managing specialist should consider whether the designee has conducted very few practical tests, or is considered a high-activity DADE.

7.    Oversight of a DADE Associated With an Aircraft Dispatcher Certification Course. A DADE’s primary regulatory responsibility is as a representative of the Administrator. At no time may a DADE who administers instruction at, or is an owner or operator of, an Aircraft Dispatcher certification course place the responsibilities associated with the course above the responsibilities associated with being a DADE and a representative of the Administrator. During surveillance of such a DADE, the managing specialist will verify that the DADE understands this primary responsibility. Whenever possible, the DADE’s managing specialist should also be the DCPM of the Aircraft Dispatcher certification course of which the DADE is affiliated (owner, operator, or instructor). Having oversight responsibility of both the DADE and the Aircraft Dispatcher certification course will allow the inspector to have unfettered access to the DADE’s testing records, as well as the course operator’s student records. Access to these types of records is a normal function of oversight.

8.    Performance Measures. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:

a.    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

(1)    Knowledge and Understanding. Does the DADE understand the terminology contained in FAA orders, the PTS/ACS, and other reference material used in planning, describing, or conducting airman testing? Does the DADE demonstrate an expert level of knowledge about aircraft operations?

(2)    Equipment and Materials. Does the DADE select or use the appropriate equipment, devices and reference material, etc., when planning or conducting tests?

(3)    Interpret and Apply. Does the DADE correctly interpret and apply performance standards as required by the authorization?

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

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

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

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

(4)    Issuing Certificates, Approvals, Authorizations, or Results to the Applicant. Does the DADE follow the correct procedure when completing and issuing certificates, approvals, test results, or other findings to the applicant upon completion of the testing activity?

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

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

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

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

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

9.    Performance Measures and Oversight Activity Results. For many of the oversight activities, the managing specialist will summarize the performance measures and make a final oversight activity result. See Figure 4-4 for the general process flow. The managing specialist can select from:

a.    Satisfactory;

b.    Needs Improvement;

c.    Unsatisfactory—Suspend; and

d.    Unsatisfactory—Terminate.

Figure 4-4.  Performance Measures and Oversight Activity Results

10.    Performance Evaluations. See Volume 1.

11.    Followup Actions. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” then appropriate followup action(s) must be determined and recorded in DMS. These actions may include any of the following:

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

b.    Additional Training. Managing specialists may prescribe additional training to correct a deficiency related to a specific event, an oversight activity, or to address specific performance issues.

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

d.    Reduce Authority. A managing specialist may initiate a reduction in a designee’s authority until the performance issue has been corrected.

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

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

f.    Actions to Address Regulatory or Statutory Noncompliance. If compliance or enforcement action is required, the managing specialist should refer to the current editions of FAA Order 8900.1, Volume 14, Compliance and Enforcement, and FAA Order 2150.3, FAA Compliance and Enforcement Program, for correct procedures and to determine action choice(s).

12.    Designee Management Functions.

a.    Record Note. Record note allows the managing specialist to make a personal note in the DADE’s DMS record that only the managing specialist can view. This note does not remain a permanent part of the DADE’s record.

b.    Send Message to Designee. The managing specialist is able to transmit messages and notifications through DMS such as changes in the PTS/ACS, regulations, upcoming meetings, and other communications as may be necessary.

c.    Record Feedback. Record feedback allows any FAA employee with access to DMS to record information pertaining to the designee. This may be positive or negative feedback, and may come from sources within or outside the FAA. Followup action, if required, will be determined by the managing specialist.

d.    Preapproval. DADEs must obtain preapproval to perform functions on behalf of the FAA. The managing specialist will issue any special instructions to the designee during the preapproval process. Preapprovals may be authorized through two methods, manual or automatic.

(1)    Manual Preapproval. Manual preapproval requires the managing specialist to review each request for activity and approve it in DMS. This allows the managing specialist to stay informed of the DADE’s activities and plan appropriate oversight. It provides a means for the managing office to ensure the DADE is performing only those functions authorized in the DADE’s CLOA.

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

Note:  Automatic preapprovals will not be granted to a DADE during the first 30 days of initial appointment.

(3)    Preapproval Timeframe. DADEs should complete preapprovals as far in advance as possible to allow the managing specialist or another ASI-AD time to prepare for possible oversight. DADEs work in a dynamic and variable environment that may require completion of a preapproval less than 24 hours prior to the requested activity. While this may occur occasionally, consistently late preapprovals may be an indicator of risk. Managing specialists should closely monitor preapproval timeframes and manage risk appropriately. Managing specialists will receive a notification in DMS when a designee submits a preapproval less than 24 hours prior to the requested activity.

(4)    Change, Cancel or Copy Preapproval. DMS allows the designee to change, cancel or copy a preapproval request.

e.    Designee Activity. It is the FAA’s intention that DADEs perform their authorized function(s) within the managing office’s area of responsibility. However, a DADE may perform activities outside the area of responsibility as long as the FAA’s ability to oversee the DADE is maintained. The DADE shall utilize the DMS preapproval process for all activity requests.

(1)    Designee Activity—Domestic. When the need for airman certification exists in an area that does not have the necessary resources for testing, such as an ASI-AD or a DADE, a DADE may perform activities beyond the managing office’s area of responsibility. This is allowable provided it does not negatively affect the managing office’s ability to manage the DADE. In addition, it must not negatively impact the ability of the managing office to meet the Aircraft Dispatcher certification needs of the public located within its area of responsibility. The following conditions apply:

(a)    The managing office must be able to maintain the ability to conduct surveillance of the DADE while the DADE is administering the Aircraft Dispatcher practical test outside the office’s area of responsibility, or

(b)    The managing office will ensure surveillance support can be provided by the responsible Flight Standards office for the area where the DADE will be testing. Surveillance must be conducted by an ASI-AD.

(c)    A DADE may not conduct activity outside the managing office’s area of responsibility if there is no ability to conduct surveillance in the expanded area.

(2)    Designee Activity—Outside the United States. DADEs are not currently allowed to conduct activities outside the United States and its territories. An FAA-issued Aircraft Dispatcher Certificate is required only for individuals dispatching flights for a U.S. air carrier conducting part 121 domestic and/or flag operations. An FAA-issued Aircraft Dispatcher Certificate is not required by any other type of operation or regulatory part. In the current aviation industry environment, part 121 domestic and flag dispatch centers are located only within the United States and its territories. Should a U.S. air carrier conducting part 121 domestic and/or flag operations establish a dispatch center outside the United States or its territories, and there is a need for Aircraft Dispatcher certification to support that air carrier’s dispatch center, this limitation could be removed. The FAA has allowed for designee activity outside the United States only when there has been a demonstrated need that such activity will serve U.S. citizens abroad and that a Flight Standards office can properly supervise the designee’s activities. In such cases, the FAA determines if the activity warrants support by the FAA, and is consistent with Title 49 of the United States Code (49 U.S.C.) § 44702 and pertinent international agreements. The FAA is also required to determine if any coordination or notification of the Civil Aviation Authorities (CAA) is necessary. This must be accomplished through coordination with the International Program Division (AFS-50).

(3)    Impact on the Public. A DADE may not conduct activities outside the managing office’s area of responsibility if it could negatively impact the needs of the public located there. An example of a negative impact would be delaying or otherwise impeding the certification of applicants for Aircraft Dispatcher Certificates within that area.

f.    Post-Activity. DADEs are required to complete post-activity reports in DMS after performing each activity. Post-activity reports provide the managing specialist with a record of activity for each DADE. These reports can aid in planning an appropriate level of oversight.

(1)    Post-activity reports shall be completed within 7 calendar-days of the approved activity.

(2)    If a DADE does not complete a post-activity report within the requisite 7-calendar-day submission deadline, DMS will not grant another preapproval until all outstanding post‑activity reports have been completed.

(3)    Access to post-activity reports will remain available to a DADE for up to 7 calendar-days after a termination, suspension, or expiration for the DADE to record any results.

Figure 4-5.  Sample Designated Aircraft Dispatcher Examiner Surveillance Checklist

Designated Aircraft Dispatcher Examiner

NAME:                                            DATE:                  COURSE OPERATOR:                               

City Pair:

Plan of Action Reviewed:

Test Start Time:

Test End Time:

FLIGHT PLAN:

The DADE has at least three flight plan scenarios and changes the information as appropriate.

The flight plan scenario time should be between 90 and 120 minutes to incorporate all the required Practical Test Standards (PTS)/Airman Certification Standards (ACS) elements.

Aircraft performance charts and minimum equipment list (MEL) information should be consistent with aircraft type.

KNOWLEDGE:

The DADE asks questions about items that are fair and challenging to the applicant.

The DADE asks questions that make the applicant think and apply knowledge.

The DADE does not coach the applicant.

ADMINISTRATIVE:

The DADE makes sure the applicant brings only the materials allowed by the PTS/ACS and has no notes or other reference materials.

The DADE explains ground rules of the practical test to the applicant.

The DADE keeps track of the right and wrong answers.

The DADE’s average test time is not less than 4 hours or more than 6 hours.

OTHER:

The DADE is knowledgeable of regulatory and industry changes.

The DADE maintains good records of the candidates tested. The records must include the results of each Aircraft Dispatcher Practical Test.

The DADE fills out forms correctly and properly briefs individuals less than 23 years of age.

NOTES:                                                                                                                                                         

                                                                                                                                                                         

RESULTS OF SURVEILLANCE:                                                                                                        

                                                                                                                                                                         

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of DADEs and FAA personnel. This designation type-specific policy and Volume 1 constitute the overall policy for the training of DADEs and FAA personnel.

2.    General.

a.    Managing Specialist Actions.

(1)    The managing specialist will validate in DMS that the DADE completed all required training before initial appointment, during each performance evaluation, and prior to the next training due date.

(2)    The managing specialist may suspend a DADE who fails to complete training and/or meeting requirements.

b.    DADE Training Considerations.

(1)    DADEs may complete the initial training in lieu of the recurrent training in order to meet the recurrent training requirements.

(2)    DADEs will not exercise their authority as designees unless they satisfactorily meet all training requirements.

c.    DADE References.

•    Title 14 CFR Parts 1, 61, 65, 91, 110, 119, 121, and 183.

•    Title 49 U.S.C.

•    Order 8000.95, Volume 4, DADE Designee Policy.

•    Order 8900.1, Volume 5, Chapter 5, Section 10, Part 65 Aircraft Dispatcher Certification.

d.    DADE Materials.

(1)    Materials. During training, the managing office will provide the DADE with the current editions of the following materials, at the discretion of the managing specialist. For those DADEs and managing specialists who use IACRA, many of the materials listed below will not be necessary:

•    FAA Form 8060-4, Temporary Airman Certificate.

•    FAA Form 8060-5, Notice of Disapproval of Application.

•    FAA Form 8400-3, Application for an Airman Certificate and/or Rating.

•    Aircraft Dispatcher PTS/ACS.

(2)    Access to Appropriate Information. Each DADE must have access to current versions of 14 CFR, FAA orders, and ACs, as well as any other appropriate information determined by the managing specialist, that are applicable to Aircraft Dispatcher certification. DADEs must have direct access to a computer with internet access for the purpose of obtaining this information and using DMS.

(3)    Use of IACRA. The IACRA application is a web-based program that automates the airman certification application process. The managing specialist will determine if the use of IACRA by the DADE is appropriate.

3.    DADE Training Requirements. DADEs must complete a course of training conducted by the FAA. Managing specialists will ensure DADEs are trained in accordance with the requirements listed below. All training will be recorded in DMS.

a.    Initial DADE Training. The managing specialist is responsible for providing the DADE candidate with the initial training. Each DADE candidate must satisfactorily complete the initial training outlined in this paragraph before exercising the privileges of his or her designation.

(1)    At a minimum, the training must include:

(a)    The DADE’s duties and responsibilities as a representative of the Administrator.

(b)    The necessary application and certification forms accompanied by instructions for completion.

(c)    When used, procedures and requirements associated with IACRA.

(d)    Applicable FAA regulations, policies, and guidance.

(e)    The use of the current Aircraft Dispatcher PTS/ACS.

(f)    The development of the plans of action required by the PTS/ACS.

(g)    Policies and procedures regarding functions of a DADE.

(h)    Procedures and guidance for conducting the practical test.

(i)    Developing and updating test scenarios.

(j)    Requirements for testing applicants under the age of 23.

(k)    Foreign student applicants.

(l)    How and when to forward completed application paperwork to the managing specialist.

(m)    Providing reports to the FAA regarding trends in areas of weakness demonstrated by graduates of an Aircraft Dispatcher certification course.

Note:  Reports regarding trends in areas of weakness are valuable, particularly if graduates of the same Aircraft Dispatcher certification course demonstrate weakness in similar areas. Such a demonstration could be an indicator to the FAA that a course may require additional FAA surveillance. Additional surveillance could help establish whether the areas of weakness demonstrated by multiple graduates of the same course is a result of deficiencies contained in the course itself, or simply the byproduct of students sharing each other’s bad habits resulting in the same negative outcome.

(2)    Validation of knowledge. Upon completion of the initial training, the managing specialist will validate the DADE candidate’s knowledge. Validation methods include:

(a)    A written test, and

(b)    An oral exam.

b.    Recurrent DADE Training. The managing specialist is responsible for providing each DADE with annual recurrent training. Recurrent training will include at least the following topics:

(1)    The DADE’s roles and responsibilities;

(2)    Documentation discrepancies;

(3)    Applicable changes to 14 CFR;

(4)    Any updates to the Aircraft Dispatcher PTS/ACS;

(5)    New FAA policies and procedures;

(6)    Review of procedures and guidance for administering the practical test;

(7)    Reviewing and updating test scenarios and plans of action;

(8)    Providing reports regarding trends in areas of weakness demonstrated by graduates of an Aircraft Dispatcher certification course; and

(9)    Foreign student applicants.

c.    Regular Safety Standardization Meetings. At least annually, the managing specialist will conduct regularly scheduled meetings with DADEs for the purpose of maintaining desirable standards and effective working relationships. This meeting may be combined with recurrent FAA-conducted training. See Figure 4-6 below. Managing specialists should use professional judgment when choosing areas of discussion. Examples of meeting topics include:

(1)    Updates on administrative procedures and personnel.

(2)    Updates in training programs.

(3)    New testing standards or training techniques.

Figure 4-6.  Sample Annual Meeting—Combined Safety Standardization Meeting, FAA Briefing, and Recurrent Training Agenda

XYZ Flight Standards Office Annual Safety Standardization Meeting, FAA Briefing, and Recurrent Training Agenda

1)   Standardization Meeting.

a)  Maintaining desirable standards and effective working relationships.

b)  Updates on administrative procedures and personnel.

c)  Updates in testing standards or techniques.

2)  FAA Briefing.

a)  Current and new policies regarding the duties and responsibilities of the DADE.

b)  Review of DADE privileges.

Note:  This review must include emphasis that the DADE’s authority is a privilege and not a right. The privilege is granted by the Administrator and subject to termination at any time for any reason at the discretion of the Administrator.

c)  Review of expected conduct as a representative of the Administrator.

d)  Review of past year’s performance issues (negative and positive), industry business practice changes, as well as technology evolution.

e)  Provide feedback regarding testing, administrative, and procedural issues.

3)  Recurrent Training.

a)  DADE roles and responsibilities.

b)  Paperwork discrepancies.

c)  Applicable changes to 14 CFR.

d)  New FAA policies and procedures.

e)  Review of procedures and guidance for administering the practical test.

f)  Review and updating test scenarios.

g)  Foreign student applicants.

d.    Special Safety Standardization Meetings. Managing specialists will call special meetings whenever a significant change affects the process of FAA airman certification or other DADE functions deemed necessary by the managing specialist.

4.    FAA Personnel Training.

a.    Initial Training Requirements. Training requirements for the managing specialists with DADE responsibilities include:

(1)    Completion of the air carrier operations ASI indoctrination courses, or their equivalent.

(2)    Completion of the managing FAA office’s managing specialist on-the-job training (OJT) program.

(3)    Completion of the appropriate FAA Academy Aircraft Dispatcher Functions for ASIs course.

(4)    Completion of the appropriate FS designee management training courses.

b.    Recurrent Training Requirements. FAA personnel with designee oversight responsibilities should complete recurrent designee management training every 3 years.

c.    Training. Specific courses required for designee oversight are listed in the “Inspector Training for Designee Oversight” matrix. The training matrix is maintained on the Flight Standards Workforce Development Division (AFB-500) website at https://my.faa.gov/org/linebusiness/avs/offices/afx/divisions/afb/afb500.html. The training matrix is organized by designee type, and promotes the FS philosophy that the most appropriate person (or target audience) should attend the right training at the right time. The local training coordinator can also provide access to the training matrix and assistance on training needs assessment for ASIs assigned to designee management.

Chapter 8.  Annual Request for Extension of a Designee’s Authorization

See Volume 1.

Chapter 9.  Termination of a Designation

See Volume 1.

Chapter 10.  Suspension of a Designation

See Volume 1.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban or termination for cause of a DADE. This designation type-specific policy and Volume 1 constitute the overall policy for appealing a ban or termination for cause for DADEs.

2.    General. See Volume 1.

3.    Official Responsibilities of the Appointing or Selecting Official During Appeal. See Volume 1.

4.    Appeal Panel Responsibilities. See Volume 1.

5.    Appeal Considerations.

a.    Forwarding the Appeal. The FAA office manager will forward the appeal request to AFS-600.

b.    Appeal Panel. The AFS-600 division manager or delegate overseeing the appeal will convene an appeal panel comprised of three members:

(1)    An AFS-600 division representative;

(2)    An AFS-200 division representative;

(3)    An FS office manager not associated with the office that terminated the designee.

c.    Review of Decision. The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.

d.    Final Decision. The appeal panel’s decision is final.

e.    Documentation. All documentation associated with the appeal (e.g., outcome, members of the appeal panel, communication with the designee or the Flight Standards office) should be included in the designee’s DMS file.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other DADE management functions. This designation type-specific policy and Volume 1 constitute the overall policy for other designee management functions for DADEs.

2.    Assign DMS Roles.

a.    General. See Volume 1.

b.    Master Role Assigner (MRA). The MRA is typically the office manager or FLM.

3.    Send Message to Managing Specialist. See Volume 1.

4.    Update Profile. See Volume 1.

5.    Retention of Existing Designee Management Files. See Volume 1.

VOLUME 5.  DME, DPRE, AND DAR-T DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Overview

1.    Purpose of This Volume. This volume supplements the common designee policy by providing specific guidance for the administration of the Designated Mechanic Examiner (DME), Designated Parachute Rigger Examiner (DPRE), and Designated Airworthiness Representative—Maintenance (DAR-T) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.

2.    Audience. The primary audience for this volume is DMEs, DPREs, DAR-Ts, FAA managing specialists, and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees as appropriate.

3.    Supplemental Information. This volume is organized to provide general policy and instructions related to Designee Management System (DMS) management. It is supplemented by DMS job aids for designees/applicants and FAA personnel.

a.    Applicant and Designee DMS Job Aid Location: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/dms/support/.

b.    FAA Internal DMS Job Aid Location: https://my.faa.gov/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

Section 2.  Designee Roles & Definitions

1.    Definition of Roles in Flight Standards Maintenance (DME, DPRE, DAR-T).

a.    DME. The DME will be issued with at least one of the following privileges:

(1)    Airframe (A). Authorized to conduct aviation mechanic airframe rating oral and practical tests and the general oral and practical test, when required.

(2)    Powerplant (P). Authorized to conduct aviation mechanic powerplant rating oral and practical tests and the general oral and practical test, when required.

(3)    Airframe and Powerplant (A&P). Authorized to conduct aviation mechanic A&P ratings, oral and practical tests, and the general oral and practical test, when required.

b.    DPRE. The DPRE will be issued with at least one of the following privileges:

(1)    Seat. Authorized to conduct parachute rigger seat rating oral and practical tests.

(2)    Back. Authorized to conduct parachute rigger back rating oral and practical tests.

(3)    Chest. Authorized to conduct parachute rigger chest rating oral and practical tests.

(4)    Lap. Authorized to conduct parachute rigger lap rating oral and practical tests.

c.    DAR-T. The DAR-T will be issued with at least one of the following function codes:

Table 5-1.  Standard Airworthiness Certification Function Codes

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

Table 5-3.  Limited Category Function Codes

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

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

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

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

Table 5-8.  Export Approvals Function Codes

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

Table 5-10.  Other Authorizations Function Codes

2.    FAA Personnel Roles and Responsibilities.

a.    Flight Standards Office Managers.

(1)    Flight Standards office managers are responsible for the personnel, training, and budget resources necessary to accomplish the management and oversight of designees.

(2)    The office managers should anticipate changes in personnel requirements as a result of the “need and ability” standard.

(3)    The office managers are responsible for continually evaluating the effectiveness of the designee program and managing specialists.

(4)    The office managers are required to ensure that aviation safety inspectors (ASI) and office management staff are assigned appropriate roles within DMS to carry out their assigned duties.

b.    Master Role Assigner (MRA). MRAs are typically office managers, but may be Front Line Managers (FLM). MRAs ensure inspectors and supervisory staff are assigned appropriate roles within DMS to carry out assigned duties.

c.    Appointing Official. Appointing officials are typically office managers, but may be FLMs.

d.    Selecting Official. Selecting officials are typically FLMs, but may be office managers.

e.    The Managing Specialist.

(1)    The managing specialist is an ASI primarily responsible for the management of a specific designee.

(2)    The managing specialist must ensure that designees are prepared to perform their duties. This includes the designee having completed the required training, and maintained the minimum qualifications for designation as prescribed in Chapter 2, Application Process.

(3)    Designee management must consider potential risks and hazards to safety. Managing specialists are to remain constantly vigilant for such risks and hazards. These ASIs should review DMS data and other resources, such as the Safety Performance Analysis System (SPAS), to focus oversight on problem areas.

(4)    The managing specialists must be experienced FAA ASIs whose specialty is General Aviation (GA) Airworthiness or Air Carrier (AC) Airworthiness. They must have at least 3 years’ tenure with the FAA as an ASI and have completed or are scheduled to complete the required training.

f.    Geographic Expansion Coordinator (GEC). The GEC is a role assigned to at least one Airworthiness ASI and one Operations ASI in each Flight Standards office to receive and approve or deny geographic expansion requests contained within a DMS preapproval. Any requests received will be routed to all GECs assigned to the Flight Standards office. The appropriate specialty ASI must approve or deny the request. Coordination may be required outside of DMS such as telephone calls or emails; however, all actions to approve or deny the request will be documented in DMS.

g.    Aviation Safety Inspector (ASI). In addition to the roles listed above, any ASI may access DMS to record specific oversight and other activities using the ASI role in DMS.

Note:  DMS user roles determine which activities an FAA user can access in DMS. The DMS Management Action Links and DMS job aids should be reviewed for detailed information: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

h.    Proxy. The proxy role allows an office to assign a surrogate or backup in DMS to a person holding a primary DMS role for offices with a large number of designees or for when the person holding the primary role will be unavailable.

(1)    Proxies should meet the same qualifications required to hold the primary role.

(2)    Proxies may be assigned for a defined amount of time or indefinitely.

(3)    Only the appointing official, selecting official, and managing specialist roles may be proxied.

(4)    An appointing official or selecting official may have only one proxy. Only an appointing official may assign an appointing official proxy. Only an appointing official or selecting official may assign a selecting official proxy.

(5)    Each designee may have only one managing specialist and up to three managing specialist proxies. An appointing official, selecting official, and the managing specialist who will be proxied may assign a managing specialist proxy.

(6)    Proxy candidates must accept the proxy request in DMS in order to be assigned a proxy.

(7)    Primary role holders and proxies should coordinate designee-related activities outside of DMS to prevent duplicate efforts or entries in DMS.

Chapter 2.  Application Process

1.    Purpose. This chapter describes the policy related to an individual applying to be a DME, DPRE, or DAR-T. This designation type-specific policy and Volume 1 constitute the overall policy for the application process for a DME, DPRE, and DAR-T.

2.    General Application Considerations.

a.    Apply in DMS. Candidates for initial designation as a DME, DPRE, or DAR-T must submit an application through DMS.

b.    Place of Residence/Business. The applicant’s place of residence and place of business may be outside the United States if the FAA determines that there is no undue burden on the FAA.

c.    Citizenship. U.S. citizenship is not a requirement for appointment.

3.    Reinstatement. A former designee whose privileges were terminated “not for cause” may be reinstated only at the Flight Standards office where last assigned. The former designee must meet the requirements and procedures for an original issuance of the designation. This provision may only be exercised at the discretion of the previous managing office and only when the following provisions are met:

•    The former designee meets the requirements and procedures for an original issuance of the designation and was previously authorized in DMS.

•    The designation was terminated not more than 12 calendar-months prior to application for reinstatement.

•    The applicant meets the recurrent training requirement for the designee type.

•    The managing office determines that the former designee is still competent to perform the authorized activities.

Note:  If the provisions are met, the Certificate Letter of Authority (CLOA) is reissued with the original designation number used for reinstatement.

a.    Former Designee Appointment. Except as stated in paragraph 3 above, former designees terminated “not for cause” and who are not in DMS must reapply through DMS as an initial applicant.

b.    Relocation. Designees may relocate to a different Flight Standards office if the receiving FAA office agrees to the transfer. Any change in location, change of managing office, or change of managing specialist is conducted through DMS. This change is initiated through DMS by the current managing specialist. Before any designee transfer is initiated in DMS, both offices must discuss and agree to the transfer. FAA email is recommended to record the communication.

c.    Expanded Authority. Designees may request additional authorizations to their designation. All requests must be made in DMS on the designee’s action links for the particular designation. All requests for additional authorizations are viewable by the selecting official in the same location as initial applications. Refer to the Selection and Appointment Process job aid for detailed information.

4.    Minimum Qualifications and Disqualifiers.

a.    Additional Requirements for DMEs. Additional application requirements for DME appointment include:

(1)    Evidence of a high level of knowledge and experience in the subject areas required for aviation mechanic certification in both reciprocating and turbine-engine aircraft.

(2)    Currently holds a valid aviation mechanic certificate with both A&P ratings which has been valid for the previous 5 years.

(3)    Applicants must also meet one of the following experience requirements listed below. These requirements may not be combined.

(a)    Five years’ experience actively exercising the privileges of a valid aviation mechanic certificate in accordance with 14 CFR part 65, § 65.81(a) on U.S.-registered civil aircraft. (Three of the five years of experience required must be immediately before designation.)

(b)    Five years’ experience performing maintenance on U.S.-registered civil aircraft while employed by an FAA repair station (14 CFR part 145). (Three of the five years of experience required must be immediately before designation.)

(c)    Five years’ experience performing maintenance on U.S.-registered civil air carrier aircraft operated under (parts 121 and 135). (Three of the five years of experience required must be immediately before designation.)

(d)    Five years’ continuous experience immediately before designation instructing aviation maintenance while employed by an FAA Aviation Maintenance Technician School (14 CFR part 147). In addition, the applicant must have previously actively exercised the privileges of a valid aviation mechanic certificate in accordance with § 65.81(a) for 3 years on U.S.-registered civil aircraft certificated and maintained in accordance with 14 CFR.

(4)    Have a fixed base of operation equipped to support testing in both reciprocating and turbine engine aircraft. This includes the following requirements:

(a)    The fixed base of operation, equipment, and materials must be adequate for an applicant to demonstrate the basic skills for the certificate and rating sought. The managing FAA office will monitor the status of equipment at least annually to ensure compliance.

(b)    Airworthy aircraft, other aircraft, aircraft subassemblies, operational mockups, or other aids for testing airman applicants.

(c)    Tools, equipment, current publications, materials, etc., required to complete a project assignment must be the type recommended by aircraft manufacturers or accepted in the aviation industry. Refer to FAA Order 8900.1, Volume 5, Airman Certification, for the required Minimum Tools and Equipment List (MTEL).

Note:  The DME is required to immediately report to the managing specialist any significant change in the equipment, materials, or authorized location available to test applicants. This notification is accomplished through the DMS Message Center.

(5)    Have an excellent record as an airman regarding history of compliance actions, violations, accidents, and incidents. The managing specialist must verify the airman information through the FAA’s recordkeeping systems before scheduling any training or qualification observations.

b.    Additional Requirements for DPREs. Additional application requirements for DPRE appointment include:

(1)    Evidence of a high level of knowledge in the areas of operation required for a parachute rigger certification.

(2)    Previously held a valid master Parachute Rigger Certificate for 2 years with the rating(s) for which the managing office will issue a designation.

(3)    Actively exercised the privileges of a valid master Parachute Rigger Certificate for 2 years immediately before the designation.

(4)    Have a fixed base of operation equipped to support testing in each required area of operation as described in the practical test standards (PTS) or Airman Certification Standards (ACS) for the designation held. This includes the following requirements:

(a)    The fixed base of operation, equipment, and materials must be adequate for an applicant to demonstrate the basic skills for the certificate and rating sought. The managing office will periodically monitor the status of equipment to ensure compliance.

(b)    Tools, equipment, current publications, materials, etc., required to complete a project assignment must be the type parachute manufacturers recommend or accept in the industry.

(c)    The fixed base of operation must, at a minimum, have tools and equipment necessary to perform the tasks the DPRE will assign as part of the developed test.

Note:  The DPRE is required to report to the managing specialist immediately, any significant change in the equipment or materials available to test applicants. This notification is accomplished through DMS.

(5)    Have an excellent record as an airman regarding history of compliance actions, violations, accidents, and incidents. The managing specialist must verify the airman information through the FAA’s recordkeeping systems before scheduling any training or qualification observations.

c.    Additional Application Requirements for DAR-T Appointment.

(1)    Minimum Qualification Requirements for Standard Airworthiness Certification and Special Airworthiness Certification in Primary, Restricted, and Limited Categories.

(a)    An applicant for DAR-T with authority to issue a Standard Airworthiness Certificate or Special Airworthiness Certificate in the primary, restricted, or limited categories must hold a current mechanic certificate with A&P rating that has remained continuously in effect for the 5 years immediately preceding the application, and

(b)    Show 5 years of experience working in a position of responsibility for approval for return to service or determining eligibility for issuance of a Standard Airworthiness Certificate or Special Airworthiness Certificate in the primary, restricted, or limited categories for aircraft of the same type and complexity as shown below. The experience must:

1.    Have been obtained on U.S.-registered aircraft holding a Standard Airworthiness Certificate or Special Airworthiness Certificate in the primary, restricted, or limited categories, or involved in a certification project that resulted in standard certification or issuance of a Supplemental Type Certificate (STC);

2.    Include at least 2 years of verifiable full-time aviation maintenance employment within the last 3 years; and

3.    Include one or more of the following type and complexity of aircraft:

•    Propeller-driven airplanes and/or powered or unpowered gliders.

•    Turbojet-powered airplanes with a GTOW of 85,000 lbs. or less.

•    Turbojet-powered airplanes with a GTOW of more than 85,000 lbs.

•    Rotorcraft.

•    Manned free balloons.

•    Airships.

(c)    Each of the following qualifies as a “position of responsibility” for determining approval for return to service or eligibility for issuance of an Airworthiness Certificate:

1.    An FAA ASI (Airworthiness) with experience issuing original or recurrent Standard Airworthiness Certificates.

2.    A director of maintenance or chief inspector for a part 121 or 135 air carrier, or part 145 repair station, performing maintenance and issuing approval for return to service of complete aircraft.

3.    A shift supervisor, lead mechanic, or designated inspector for a part 121 or 135 air carrier, or a part 145 repair station, who is authorized by the certificate holder and has experience issuing approval for return to service for complete aircraft (airworthiness release or equivalent authority).

4.    A mechanic with Inspection Authorization (IA) performing annual inspections, or performing or supervising progressive inspections as required by 14 CFR part 43, § 43.15.

(d)    Have an excellent record as an airman regarding history of compliance actions, violations, accidents, and incidents. The managing specialist must verify the airman information through the FAA’s recordkeeping systems before scheduling any training or qualification observations.

(2)    Minimum Qualification Requirements for Other Special Airworthiness Certification.

(a)    Experimental category for the following purposes:

1.    Market Survey, R&D, Crew Training, Exhibition, or Air Racing. An applicant for DAR-T for privileges in this group with authority to issue a Special Airworthiness Certificate for the purposes of market survey, research and development, and crew training must qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested, and

(i)    Have verifiable experience in the maintenance, inspection, or alteration of aircraft holding a Special Airworthiness Certificate for the purposes of market survey, R&D, or crew training, exhibition, or air racing; or

(ii)    Have conducted at least one certification of these aircraft as an FAA ASI (Airworthiness).

2.    Operating Amateur-Built Aircraft. An applicant for DAR with authority to issue a Special Airworthiness Certificate for the purposes of operating amateur-built aircraft must meet one of the following:

(i)    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have verifiable experience in the maintenance, inspection, or alteration of aircraft of the same type and complexity holding a Special Airworthiness Certificate for the purposes of operating amateur-built aircraft.

(ii)    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have conducted at least one certification of these aircraft as an FAA ASI (Airworthiness).

(iii)    As a current or former FAA designee, completed at least three certifications of experimental light-sport or light-sport category aircraft of the same type and complexity as requested.

(iv)    Currently hold a mechanic certificate with A&P ratings that has remained continuously in effect for the 3 years immediately preceding application, and has 3 years of verifiable experience with maintaining experimental or amateur built aircraft of the same type and complexity as requested, including performing at least three annual condition inspections.

(v)    Hold a repairman certificate for at least one certificated amateur built aircraft of one of the types identified below that the applicant has built. That aircraft must have been operated for a minimum of 100 hours (or 25 flights for balloons and airships), and the applicant must have performed at least 3 annual condition inspections of the aircraft.

Note:  Amateur-built type and complexity of aircraft include: propeller driven airplanes or gliders; weight shift control aircraft and powered parachutes; turbojet powered airplanes; rotorcraft, autogiros, or gyrocopters; manned free balloons; and airships.

3.    Operating Experimental Light-Sport and Light-Sport Category. An applicant for DAR-T with authority to issue a Special Airworthiness Certificate in the light-sport category or in the experimental category for the purpose of operating light-sport aircraft (LSA) must meet one of the following:

(i)    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested, and in addition, have verifiable experience in the maintenance, inspection, or alteration of aircraft holding a Special Airworthiness Certificate in the light-sport, or experimental light-sport categories.

(ii)    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested and, in addition, have conducted at least one certification of these aircraft as an FAA ASI (Airworthiness).

(iii)    Currently hold a mechanic certificate with A&P ratings, or an LSA repairman’s certificate with maintenance rating, that has remained continuously in effect for the 3 years immediately preceding application, and has 3 years of verifiable experience with maintaining LSA of the same type and complexity as requested.

(iv)    Currently hold a mechanic certificate with A&P ratings that has remained continuously in effect for the 3 years immediately preceding application, and have a minimum of 3 years of verifiable experience as a field technical representative or a quality assurance inspector employed by the manufacturer of a light-sport category aircraft of one of the type and complexity listed below.

Note:  Light-sport type and complexity include propeller-driven airplanes or gliders, weight shift control aircraft and powered parachutes, and lighter-than-air aircraft.

(3)    Minimum Qualification Requirements for Issuance of Export and Domestic Approvals.

(a)    Export Approval of Aircraft. An applicant for DAR-T with authority to issue an export approval for an aircraft must:

1.    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested, and have verifiable experience in demonstrating eligibility for export approval for these aircraft, or

Note:  This experience could be obtained by serving as an individual within a company as identified above, with responsibility for demonstrating compliance with export requirements when the company or a customer of the company is the applicant.

2.    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested and have issued at least one export approval for these aircraft as an FAA ASI (Airworthiness).

(b)    Export Approval and Domestic Approval of Engines. An applicant for DAR-T with authority to issue an export or domestic approval for engines must meet one of the following:

1.    Qualify under subparagraph 4c(3)(a) for export approval of the type and complexity of aircraft the engines are commonly installed on as follows:

•    Propeller-driven airplanes: reciprocating, turboprop, or turboshaft engines.

•    Turbojet airplanes: turbojet or turbofan engines.

•    Rotorcraft: reciprocating, turboprop, or turboshaft engines.

•    Airships: reciprocating engines.

2.    Hold a mechanic certificate with powerplant rating that has remained continuously in effect for the 3 years immediately preceding application, have 6 months of experience within the preceding year, be employed at a part 121 or 135 air carrier or a part 145 repair station, and hold authority from the employer to issue approval for return to service after maintenance of engines. Applicant must have verifiable experience in demonstrating eligibility for export approval for engines.

3.    Hold a repairman certificate at a part 121 or 135 air carrier or a part 145 repair station that has remained continuously in effect for the 3 years immediately preceding application, have 6 months of experience within the preceding year, and hold authority from the employer to issue approval for return to service after maintenance of engines. The applicant must have verifiable experience in demonstrating eligibility for export approval for the following engines:

•    Reciprocating;

•    Turboprop or turboshaft; and

•    Turbojet or turbofan.

(c)    Export Approval and Domestic Approval of Propellers. An applicant for DAR with authority to issue an export and domestic approval for propellers must meet one of the following:

1.    Qualify under subparagraph 4c(3)(a) for export approval of one of the following type and complexity of aircraft:

•    Propeller driven airplanes, and

•    Airships.

2.    Hold a mechanic certificate with powerplant rating that has remained continuously in effect for the 3 years immediately preceding application, have 6 months of experience within the preceding year, be employed at a part 121 or 135 air carrier or a part 145 repair station, and hold authority from the employer to issue approval for return to service after maintenance of propellers. The applicant must have verifiable experience in demonstrating eligibility for export approval for propellers.

3.    Hold a repairman certificate at a part 121 or 135 air carrier or a part 145 repair station that has remained continuously in effect for the 3 years immediately preceding application, have 6 months of experience within the preceding year, and hold authority from the employer to issue approval for return to service after maintenance of propellers. The applicant must have verifiable experience in demonstrating eligibility for export approval for propellers.

(d)    Export Approval and Domestic Approval of Articles. An applicant for DAR with authority to issue an export and domestic approval for articles must meet one of the following:

1.    Qualify under subparagraph 4c(3)(a) for export approval of aircraft of the same type and complexity on which the article is eligible for installation;

2.    Qualify under subparagraph 4c(3)(b) for export approval of parts and appliances used on the same type and complexity of engines, or propellers; or

3.    Hold a mechanic certificate or a repairman certificate at a part 145 repair station or a part 121 or 135 air carrier that has remained continuously in effect for the 3 years immediately preceding application, with current authority to issue approval for return to service after overhaul of parts or appliances. The applicant must have at least some verifiable experience in demonstrating eligibility for export approval for these parts or appliances.

Note:  DAR-Ts authorized function code 180 must be issued limitations with this function code. The limitations should be established based on the applicant’s verifiable experience and be related to the articles listed in subparagraphs (d)1 or 2 above. Reviewing FAA Order 8130.21, Procedures for Completion and Use of the Authorized Release Certificate, FAA Form 8130-3, Airworthiness Approval Tag, prior to developing limitations is recommended.

(4)    Minimum Qualification Requirements for Other Specific Authorizations.

(a)    Issue notification of completion for Aging Aircraft Records Review/Spot Inspection. An applicant for DAR with authority to issue a notification of completion to a part 121, 129, or 135 operator after conducting aircraft records review and structural spot inspection must meet one of the following:

1.    Qualify under subparagraph 4c(1) for airplanes of one of the following type and complexity: propeller-driven multiengine airplanes or turbojet-powered multiengine airplanes; and have verifiable experience in heavy maintenance and/or Corrosion Prevention and Control Program (CPCP), structural inspections, or major repairs/modifications to airframes on aircraft operated under part 121, 129, or 135.

2.    Qualify under subparagraph 4c(1) for airplanes of one of the following type and complexity: propeller-driven multiengine airplanes or turbojet-powered multiengine airplanes; and have conducted at least one aging airplane records review and structural spot inspection of these airplanes operated under part 121, 129, or 135 as an FAA ASI (Airworthiness).

Note:  Type and complexity include propeller-driven multiengine airplanes or turbojet-powered multiengine airplanes.

Note:  Before exercising the authority of this function, the applicant must be thoroughly familiar with the appropriate chapters of Order 8900.1 and have satisfactorily completed on-the-job training (OJT) on the air carrier’s approved maintenance policies and procedures from the responsible Flight Standards office. The DAR-T must maintain documented proof of the training from the responsible Flight Standards office in DMS. The DAR-Ts limitations for function codes 197 and 198 must include each air carrier for which they have received OJT by the responsible Flight Standards office and been authorized to perform these activities by their managing specialist. A DAR-T may not issue a notification of completion for Aging Aircraft Records Review/Spot Inspection for any air carrier unless the air carrier is identified in the limitations.

(b)    Issue data approvals in support of major repairs or alterations. An applicant for DAR-T with authority to issue data approvals in support of major repairs or alterations must meet one of the following:

1.    Qualify under subparagraph 4c(1) for aircraft of the same type and complexity as requested, and have verifiable experience in applying for and receiving at least three field approvals of major repairs and/or alterations for each type and complexity of aircraft as requested. Applicants for data approval functions must successfully complete the required training for the function code prior to appointment, or when expanding the authority of a current DAR-T. See Volume 5, Chapter 4 for DAR-T training requirements.

2.    Qualify under subparagraph 4c(1) for airplanes of the same type and complexity as requested, and have approved at least three field approvals of major repairs or alterations as an FAA ASI for each type and complexity of aircraft as requested.

Note:  This authority may be issued for the following type and complexity of aircraft:

•    Propeller-driven airplanes or gliders.

•    Turbojet-powered airplanes with a GTOW of 85,000 lbs. or less.

•    Turbojet-powered airplanes with a GTOW of more than 85,000 lbs.

•    Rotorcraft.

•    Manned free balloons.

•    Airships.

3.    Authority may be issued for data approval of engine repairs or alterations based on qualifications on aircraft categories under subparagraph 4c(1). In addition, the applicant must have verifiable experience in applying for and receiving at least three field approvals of engine repairs or alterations, or in approving at least three field approvals for engines as an FAA ASI. This authority may be issued for the following type and complexity of engines:

•    Propeller-driven airplanes: reciprocating and turboprop or turboshaft engines.

•    Rotorcraft: reciprocating and turboprop or turboshaft engines.

•    Airships: reciprocating, turboprop, or turboshaft engines.

•    Turbojet airplanes: turbojet or turbofan engines.

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

6.    Post-Application. See Volume 1.

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

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of DME, DPRE, and DAR-T applicants. This designation type-specific policy and Volume 1 constitute the overall policy for the application process for a DME, DPRE, and DAR-T applicant. Request for expanded authority follow a similar process to original evaluation, so they are also included in this chapter. The DMS Selection and Appointment Process job aid should be reviewed for detailed information about the appointment or expanded authority process at: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    General.

a.    Selection Process. The general process of selection can be broken down into three parts: DMS determines if the designee meets system-defined minimum qualifications; the selecting official determines if need and ability requirements are met; and then assigns an evaluation panel to further review the applicant’s qualifications and determine what authorizations or function codes the applicant qualifies for. (See Figure 5-1 for a high-level representation of the selection flow.)

Figure 5-1.  High-Level Selection Process Flow

b.    Selection Considerations.

(1)    When a need for a designee has been identified, the office management will query DMS for a listing of applicants. Candidates must submit applications exclusively through DMS.

(2)    An evaluation panel, determined by the selecting official, will then be established to review and evaluate the list of viable applicants identified through DMS. The evaluation panel assesses each designee candidate’s background knowledge and experience through:

(a)    A thorough review of the application;

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

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

Note:  The selection and appoint process has multiple steps, and involves several DMS users. The Appointing Official and the Selecting Official have access to the “Work Flow Tool” in DMS, which allows them to quickly determine the status of an appointment, or expanded authority request. The DMS Management Action Links and DMS job aids should be reviewed for detailed information: https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

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

4.    Requesting Qualified Applicants.

a.    Initial Request. DMS will provide appropriate applicants per the search request.

b.    Qualification Deviation Request Process. When an applicant in DMS does not meet a qualification requirement, the managing specialist may request that the selecting official petition the National Policy Office (NPO) for a deviation from the qualification requirement as follows:

(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo to the NPO outside of DMS. The memo must identify the specific qualification requirement not met and specific justification for a deviation.

(2)    Coordination. The selecting official must route the request though the appropriate division management leadership for their office, for concurrence external to DMS. If in agreement with the recommendation, the NPO will document the circumstances and justification in a memo provided to the requesting office. The memo must be uploaded to the applicant’s record by the evaluation panel.

Note:  The purpose of a deviation is to fill a specific need that the managing office has for which there are no fully qualified applicants. The deviation process requires that the applicant has met the minimum general qualification requirements in DMS and have an active application. The expectation is that the office would appoint the applicant within 30 days of granting the deviation. If the applicant has not been appointed after 30 days, the process ends.

5.    Evaluation.

a.    Evaluation Panel. The selecting official will assign an evaluation panel to further evaluate the applicant(s) that DMS identifies, and for applicants requesting expanded authority. At such time that one or more viable applicants or current designees have been identified through DMS, an evaluation panel is convened to consider the merits of each person. The panel is generally comprised of three FAA staff which should include:

(1)    An ASI from the office that initiated the selection and appointment process. This ASI should assume a lead role during the evaluation process and will coordinate the evaluation panel results within DMS.

(2)    At least one additional ASI which may include an office management member.

(3)    An ASI from the Regulatory Support Division (AFS-600) (required). The selecting official must contact AFS-600 via email to request an evaluation panel member before the evaluation panel is created in DMS. The request for an AFS-600 evaluation panel member should be sent to the following email:
9-AMC-AFS-650-DMS-EP-Request@faa.gov.

b.    Evaluation Panel Tasks. The evaluation panel assesses each applicant’s background, knowledge, and experience by conducting a thorough review of the designee application. When current designees are considered for expanded authority, the same steps are followed in DMS. To support this process, the following tasks must be accomplished:

(1)    Review the applicant’s application and supporting documents in DMS.

(2)    Verify that the applicant possesses the appropriate airman certificate for the authorities sought.

(3)    Contact references as necessary.

(4)    Review relevant information for each prospective application from each of the following FAA databases in order to determine that candidate’s aviation background and any issues which may have an adverse effect on that candidate’s application:

(a)    Enforcement Information System (EIS);

(b)    Accident Incident Data System (AIDS);

(c)    SPAS;

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

(e)    DMS.

(5)    Ensure, based on the research found in the databases above, that the requirements of Volume 1, Chapter 4, Designee Appointment, are met.

(6)    Review the applicant’s experience on the DMS application to determine what authorizations or function codes they may qualify for. This should be done in advance of an applicant interview. This order introduces new function codes for DAR-Ts. The AFS-600 ASI assigned to the evaluation panel should be able to assist in clarifying experience requirements for the new function codes.

(7)    Interview the applicant to determine if the general and specific qualifications necessary for appointment are present, responses are consistent with the application information, and the qualities necessary to be successful as a designee are possessed. For DAR-T applicants, the interview should also focus on determining if the applicant has the appropriate experience for the function codes being considered.

(8)    Evaluate the applicant’s facilities and equipment to be used for testing (DME/DPRE).

c.    Evaluation Panel Outcomes.

(1)    When the evaluation panel determines that an applicant meets the requirements for designation, the results are documented in DMS and a recommendation is provided to the appointing official through the selecting official. If the appointing official is in agreement with the recommendation, the appointment process will ensue. See Chapter 4 for information relating to the appointment process.

(2)    If the evaluation panel, with concurrence from the selecting official, rejects all applications provided by DMS for good cause, the managing office should encourage suitable applicants to apply through DMS so that they can be considered.

6.    Banning. See Volume 1.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the designee appointment of DME, DPRE, and DAR-T, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1 constitute the overall policy for the appointment of a DME, DPRE, and DAR-T. Refer to the Selection and Appointment Process job aid for detailed information at https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    General.

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

Figure 5-2.  High-Level Appointment Process Flow

b.    Appointment Considerations.

(1)    The managing specialist should issue appropriate privileges and limitations in the CLOA based on the following:

(a)    Applicant’s background experience;

(b)    Applicant’s personal and professional qualifications as described in Chapter 2, Application Process; and

(c)    Needs of the appointing office.

(d)    For DAR-Ts, limitations must be included for function codes 197 and 198 that contain each air carrier for which they have been authorized and have received OJT by the cognizant air carrier FAA managing office. Limitations should be included for function code 180 to address the needs of the FAA managing office.

(2)    The managing specialist will verify that the following events are completed and recorded in DMS:

(a)    Successful completion of the initial designee-specific training conducted by the FAA’s Designee Standardization Branch (AFS-640) in Oklahoma City, OK. For a list of the training, refer to the following applicable website:

•    For DAR-Ts: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dart/information/.

•    For DMEs: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dme/information/.

•    For DPREs: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dpre/information/.

(b)    Applicant has attended an orientation at their managing office.

1.    For DAR-Ts, DMEs, and DPREs, the managing office should review the following:

(i)    Product Certification. Caution the designee that any irregularities or deficiencies related to the delegated work may result in the termination of the designation under the provisions of 14 CFR part 183, § 183.15(b)(4).

(ii)    Authorized Functions. Remind the designee to perform only authorized activities within the limits of his or her authority.

(iii)    Communication. Remind the designee to request preapproval through DMS before accepting any applicant requests for certification, inspection, testing, or approval activities. The DAR-T must also obtain any special directions or instructions deemed necessary for their managing FAA office. AFS-640 does not manage designees and is not authorized to provide direct guidance to designees in lieu of the managing office guidance and instruction. Designees must not contact AFS-640 for any matters other than course information, registration, or technical issues with course materials unless authorized by their managing office.

(iv)    Activity Reporting. Remind the designee that all activities performed under their delegation must be recorded in DMS.

(v)    Safeguarding of Forms. Emphasize that the designee must properly safeguard all FAA forms, certificates, and other official documents. Under no circumstance will any certificate be in the possession of an applicant until the designee has completed and signed the certificate. All Airworthiness Certificates or approvals and related documents will include the designee’s printed or typed name, signature, and designation number.

(vi)    Conflicts of Interest. Remind the DAR-Ts that they are not allowed to perform any mechanical, maintenance, or inspection function or to act as an agent on behalf of an applicant (e.g., an owner, agent, repair station, or Production Approval Holder (PAH)) on products for which the applicant seeks an Airworthiness Certificate or approval. This would not preclude the DAR-T from performing maintenance, mechanical functions, or inspections or acting as an agent in a non-DAR-T capacity when not involved in the airworthiness certification/approval actions under the DAR-T’s authority.

(vii)    Use of Authority. Remind the DAR-Ts to ensure that products meet the FAA‑approved type design data, are in a condition for safe operation, and comply with any other applicable regulations (e.g., Airworthiness Directives (AD), marking requirements, registration, and special importing requirements) before issuing airworthiness or export certificates. The DAR-T will seek guidance from their managing office when problems arise that he or she cannot resolve.

(viii)    Document Submittal. Remind the designees to submit applicable original or duplicate documents within 7 calendar-days of completion to the managing office for review. Designees must not submit aircraft certification documents or files directly to the Aircraft Registration Branch (AFB-710) or Airmen Certification Branch (AFB-720).

(ix)    Airworthiness Applications—DAR-T Only. Emphasize that the DAR-T is to review applications for completeness and ensure that the various Airworthiness Certificates or approvals have certification statements signed by an applicant or authorized agent. When appropriate, the DAR-T must also obtain a completed FAA Form 8130-9, Statement of Conformity, from an applicant before performing any inspections, in accordance with FAA Order 8130.2, Airworthiness Certification of Aircraft.

(c)    Designee has received required OJT for any air carrier authorized in DAR-T function codes 197 or 198 and documented it in DMS.

(3)    The managing specialist will observe the DME and DPRE applicants conducting their first oral and practical (O&P) test. See the Chapter 6, subparagraph 3b(1), Direct Observations, for more information.

3.    Designee Number. See Volume 1.

4.    CLOA. The CLOA will identify the designee type and the specific authorizations, or function codes and limitations.

5.    Appointment Duration.

a.    Initial Duration. The initial duration of a designee’s appointment is up to 12 calendar-months.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter provides the policy related to the responsibilities and obligations of DMEs, DPREs, and DAR-Ts, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1 constitute the overall policy for the responsibilities and obligations of DMEs, DPREs, and DAR-Ts.

2.    Designee Responsibilities.

a.    General Responsibilities.

(1)    Provide FAA testing and certification activities without prejudice or discrimination in a fair and unbiased manner.

(2)    Maintain a high level of knowledge, skill, and expertise commensurate with authorizations.

(3)    Charge no more than a reasonable fee for services.

(4)    Keep abreast of current aviation trends and technologies.

(5)    Serve as a willing resource to the aviation community on matters of FAA airman certification regulations and policy.

(6)    Set a high standard of airmanship and safety through personal example.

(7)    Exercise diligence and care in the preparation of airman certification documentation and files.

(8)    Always represent the FAA and its workforce to the public in a positive manner.

b.    DME and DPRE Responsibilities.

(1)    Designees must maintain a high degree of knowledge and skill in the subject areas required for airman certification, evaluation, and testing techniques.

(2)    Designees must give undivided attention to the applicant during the testing period.

(3)    Designees must ensure that discussion following any test is private and is confidential.

(4)    Test security requirements apply to all tests generated, downloaded, and/or printed from the system. Downloaded tests must not be kept on shared drives or sent to anyone via email.

(5)    Printed tests must not be available to anyone except DMEs and FAA personnel (when conducting a direct observation (DO)). Tests should be kept in a locked office, desk drawer, briefcase, or other secure area until the test is given or canceled. Once the test is completed or canceled, it must be destroyed. Tests cannot be used for any other purpose other than delivery of that test for the applicant indicated. Misuse or storage of tests by a DME could result in termination of the designation.

c.    DME and DPRE Privileges. The DMEs and DPREs are authorized to:

(1)    Accept applications for airman certificates and ratings using FAA Form 8610-2, Airman Certificate and/or Rating Application, or the Integrated Airman Certification and Rating Application (IACRA) equivalent when it is deployed by the FAA for use.

(2)    Conduct tests, in the English language, appropriate to the FAA CLOA held by the designee, in accordance with the appropriate PTS/ACS.

(3)    Issue Temporary Airman Certificates to applicants who have been tested and found qualified for the certificate or rating sought. The managing office may retain this privilege.

Note:  DMEs and DPREs preparing to conduct authorized activities should follow the procedures set forth in Order 8900.1, Volume 5, as applicable. Specific sections that limit activities to an ASI also include properly trained designees authorized on their CLOA to perform the activity.

d.    DME and DPRE Limitations. The DME and DPRE must not:

(1)    Conduct tests at locations not listed on the current CLOA held by the designee, unless authorized by the managing office.

(2)    Test an applicant outside the authorized geographic area without specific approval.

(a)    If a designee wants to administer tests outside the geographic area of the managing Flight Standards office or International Field Office (IFO), the designee must receive authorization from the managing Flight Standards office or IFO, as well as from the receiving office.

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

(3)    Conduct or monitor any portion of computer knowledge tests.

(4)    Reissue or amend any expired Temporary Airman Certificate.

(5)    Endorse, amend, alter, or issue any permanent airman certificate.

(6)    Exempt any applicant from the testing requirements in the applicable PTS/ACS.

(7)    Combine teaching with testing during the testing of an applicant.

(8)    Conduct tests unless an applicant presents proof of eligibility as prescribed in the applicable part 65.

(9)    Conduct O&P tests unless the applicant has passed the required airman knowledge test.

Note:  This does not apply to aviation mechanic applicants authorized to test in accordance with § 65.80 or master parachute rigger applicants that hold a senior certificate.

(10)    Temporarily suspend a test to allow the applicant further study, and then continue the same test later.

(11)    Conduct an O&P test with more than one applicant at a time.

(12)    Conduct tests in any language other than English.

(13)    Conduct O&P tests at the base of operation that appears on the designee’s CLOA unless the location is adequately equipped with available equipment and material necessary for conducting the tests, and permission is granted by the managing office through DMS.

(14)    Conduct O&P tests to applicants who have been authorized to test by an office other than the designee’s managing office, unless:

(a)    The designee reports the request for testing to his/her managing Flight Standards District Office (FSDO) or IFO; and

(b)    The designee receives written permission, via DMS, before conducting the test. The designee may be issued continuing authorization to perform these tests.

Note:  This paragraph is intended as a limitation for the designee. Applicants are not required to present their application to the nearest FSDO or IFO for reauthorization unless there is evidence that their original authorization is in question.

e.    DAR-T Privileges.

(1)    The DAR-Ts are authorized to perform examination, inspection, and testing services necessary to issue certificates within the limits of their authorized function codes, as well as to determine the continuing effectiveness of certificates.

(2)    It is the FAA’s intention that designees perform their authorized function(s) within the geographic boundaries of their managing office. However, a managing office may authorize a designee to perform authorized function(s) outside the geographic boundaries (including other countries) on a case-by-case basis as long as the ability of the FAA to adequately monitor and supervise the designee is maintained. See Chapter 6, Oversight and Management of a Designee, of this volume for instructions on this process.

f.    DAR-T Limitations. The DAR-T must not:

(1)    Perform any function for which they have not been authorized.

(2)    Perform evaluations, surveillance, or investigation of quality control systems data, procedures, methods, or service difficulty reports, on behalf of the FAA.

(3)    Approve departures from specific policy and guidance, new or unproven technologies, equivalent level of safety findings, special conditions, or exemptions. These are inherently governmental functions and cannot be delegated to a designee.

(4)    Issue U.S. Airworthiness Certificates or SFPs on non-U.S.-registered aircraft.

(5)    Perform any mechanical, maintenance, or inspection function on behalf of an applicant (e.g., owner, agent, repair station, or PAH) on products or articles for which an Airworthiness Certificate or approval is sought.

Note:  This would not preclude the DAR-Ts from performing maintenance, mechanical functions, or inspections in a non-DAR-T capacity when not involved in the airworthiness certification or approval actions under their DAR-T authority.

(6)    Sub-delegate authorized functions.

(7)    Perform their authorized function(s) outside the geographic boundaries of their managing office.

Note:  Using DMS, the managing specialist may authorize a designee to perform authorized function(s) outside the geographic boundaries (including other countries) on a case-by-case basis as long as the ability of the FAA to adequately monitor and supervise the designee is maintained. These requests may only be made as part of the preapproval process. In each case, the request requires the approval of the designee’s managing specialist and a geographic expansion coordinator at the office responsible for the district where the activity is requested to be performed.

g.    Conflicts. Designees must maintain a cooperative attitude. If an issue occurs while acting in an official capacity as a designee, contact your managing specialists. Designees are responsible for following FAA guidance and the proper chain of command. Questions must be directed to the assigned managing specialists. If a conflict cannot be resolved at that level, the designee should contact the responsible Flight Standards office management for assistance. Other FAA offices, including the Delegation Programs Branch (AFS-650) or AFS-640, do not manage designees and are not authorized to provide direct guidance to designees in lieu of the assigned Flight Standards (FS) managing office guidance and instruction. Designees will not contact AFS-640 for any matters other than course information, registration, or technical issues with course materials.

3.    Ongoing Requirements of a Designee.

a.    General Requirements. To complement the general requirements established in Volume 1, Chapter 5, Responsibilities and Obligations of a Designee, a DME, DPRE, DAR-T will:

(1)    Maintain the minimum qualifications established for appointment as specified in this order, including certification, initial and recurrent training, and attendance at the required annual meetings.

(2)    Maintain and use the most current versions of the CFR, the PTS/ACS, and applicable FAA orders. Storage and retrieval of these documents may be electronic.

b.    Annual Meeting.

(1)    DME, DPRE, DAR-Ts must attend the annual designee meeting conducted by the managing office.

(2)    The FAA office should attempt to schedule the annual meeting to allow all designees of the same type to meet together in one location at the same time to discuss, at a minimum, the following subject areas:

(a)    Local issues;

(b)    Local problem areas;

(c)    Local procedures;

(d)    Standardization issues;

(e)    Designee performance; and

(f)    National issues.

(3)    A record of attendance by each designee must be documented in DMS by the managing specialist.

(4)    In cases where, beyond the designee’s control, it is not possible for a designee to attend the annual meeting, the managing specialist must meet with that designee to discuss the same subject material presented at the meeting. The managing office may opt to record their meetings on video and use the media for make-up meetings. This allows designees who missed the meeting to also benefit from the dialogue between designees during the meeting. A designee who misses this annual meeting must still satisfy the annual meeting requirement each 12 calendar-months.

4.    References, Forms, and Supplies.

a.    DME and DPRE Designee Materials. The managing office should provide each designee with supplies appropriate to the designation, or direct them to where they are available. The following supplies are necessary for the performance of designee duties. The managing office may issue some or all of the designee materials at the time of selection. With the exception of FAA Form 8060-4, Temporary Airman Certificate, the material can be found online at www.faa.gov or through common sources such as the Government Publishing Office (GPO).

(1)    DME and DPRE.

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

(b)    FAA Form 8610-2, Airman Certificate and/or Rating Application.

(2)    DME.

(a)    FAA Form 337, Major Repair and Alteration (Airframe, Powerplant, Propeller, or Appliance).

(b)    FAA-S-8081-26, Aviation Mechanic General Practical Test Standards.

(c)    FAA-8081-27, Aviation Mechanic Airframe Practical Test Standards.

(d)    FAA-8081-28, Aviation Mechanic Powerplant Practical Test Standards.

(e)    FAA Order 8900.1.

(3)    DPRE.

(a)    FAA-S-8081-25, Parachute Rigger Practical Test Standards.

(b)    FAA Order 8900.1.

b.    DAR-T Designee Materials.

(1)    FAA Form 8100-2, Standard Airworthiness Certificate

(2)    FAA Form 8130-3, Authorized Release Certificate: Airworthiness Approval Tag.

(3)    FAA Form 8130-7, Special Airworthiness Certificate.

(4)    FAA Form 8130-9, Statement of Conformity.

(5)    FAA Order 8130.2, Airworthiness Certification of Aircraft.

(6)    FAA Order 8130.21, Procedures for Completion and Use of the Authorized Release Certificate, FAA Form 8130-3, Airworthiness Approval Tag.

(7)    FAA Order 8300.16, Major Repair and Alteration Data Approval.

(8)    FAA Order 8900.1.

c.    Security. Each designee is responsible to establish and carry out appropriate security procedures. The security of the controlled material is important to prevent compromise, and to ensure the applicants meet the aeronautical skill standards for aviation mechanic certificates and ratings. The designee must secure the aforementioned material in a manner that will not allow unauthorized access (e.g., a locked drawer, cabinet, or closet). Only authorized representatives of the FAA Administrator will receive access to secured material. The designee should refer any public request for the secured material to the managing office.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of DME, DPRE, and DAR-T designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1 constitute the overall policy for the oversight and management of DME, DPRE, and DAR-T. Also refer to the Flight Standards DMS Oversight Activities Tab job aid for detailed information at https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    General.

a.    General Considerations.

(1)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. Managing specialists are also responsible for ensuring that DMEs and DPREs are thoroughly coached in the importance of their role of administering oral (knowledge) and practical (skill) tests to the applicants in accordance with the PTS/ACS and Order 8900.1, Volume 5. Managing specialists assigned to DAR-Ts are responsible for ensuring they perform airworthiness certification tasks in accordance with applicable policies and procedures.

(2)    Oversight will include scheduled inspection activities in DMS and a periodic Overall Performance Evaluation of each designee. The Overall Performance Evaluation will be scheduled between 12 and 36 months based on the designee’s past performance. Inspection activity results provide data to be used in completing each designee’s Overall Performance Evaluation.

(3)    Designees can expect that the managing office will assign to each DME, DPRE, and DAR-T a managing specialist that is a qualified ASI (Airworthiness) and will develop oversight plans to ensure quality, integrity, and compliance with current policy, regulations, and the PTS or ACS, as appropriate; the highest degree of professionalism; and the identification of potential hazards and risks to aviation safety. If and when the FAA discovers deficiencies, the managing specialist will respond in a manner prescribed by the common designee policy in this order, and other relevant FAA guidance.

(4)    DMEs and DPREs should expect the FAA to observe them conducting their first complete test. Thereafter, the designees may be inspected or observed by FAA personnel at any time with or without prior notice.

(5)    The managing specialist, and ASIs not assigned to the designee, document oversight activities and results in DMS. Such reporting is not only crucial for managing individual designees, but also for implementing risk-based decision making to the management of FS designees.

b.    Managing Office and Managing Specialist. See Volume 1.

c.    Oversight and DMS.

(1)    Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. DMS establishes the minimum required oversight activities for each designee based on their authorized activities and risk-based data. Additional oversight may be conducted as deemed necessary by the managing specialist or managing office. Oversight activities are the responsibility of the designee’s managing specialist and the managing specialist is expected to conduct the oversight activities. However, other ASIs can enter oversight activities on the designee, and there are provisions in DMS for the managing specialist to accept an oversight activity of the same type conducted by another ASI if it’s in the required timeframe. Additional instructions are included in the DMS Job Aids for oversight activities.

(2)    The managing specialist must conduct designee performance evaluations on an ongoing basis and must record in DMS the results of individual oversight activities. All oversight activities are required to be completed once each four quarters, except for direct observations. Direct observations for DMEs and DPREs have a risk-based component, which means that the dates will not be consistent from designee to designee, and may change from one fiscal year quarter to the next. On the first day of each quarter, DMS “looks back” to determine how much activity the designee had in the previous four quarters, and when the last direct observation was conducted. Based on that data, DMS calculates the next due date for a direct observation. This timeframe may be as short as the current quarter, or as long as 12 quarters.

(3)    The managing specialist must also record in DMS an Overall Performance Review. The Overall Performance Evaluation will be scheduled between 12 and 36 months based on the designee’s past performance. Refer to the FS DMS Management Action Link job aid for detailed information at https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

(4)    Overdue Direct Observations. The managing specialist should ensure a designee’s direct observation is completed on or before the due date listed in DMS. When a designee’s direct observation cannot be completed before the due date, DMS will not prevent the designee from performing additional delegated activities. All factors must be considered and risk managed appropriately. If the managing specialist determines the lack of a completed direct observation presents an unacceptable risk, the designee may be suspended in DMS until the direct observation is completed. In cases where the managing specialist finds the risk acceptable, that risk assessment must be documented in DMS using the “Special Emphasis Item” oversight and putting “OVERDUE” in the National Use field, and an explanation of the factors considered and the reason for the extension. Direct observations may not be extended more than one quarter beyond the due date (e.g., if the due date is June 30, 2020, it cannot be extended beyond September 30, 2020).

d.    Performance Measures. Many of the oversight activities include the following performance measures to determine designee performance:

(1)    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

(a)    Knowledge and Understanding. Does the designee understand the technical terminology contained in FAA orders, the PTS/ACS, and other reference material used in planning, describing, or conducting the certification activity? Does the designee demonstrate an expert level of knowledge about the maintenance practice, aircraft operation, and systems (if applicable)?

(b)    Interpret and Apply. Does the designee correctly interpret and apply the technical performance standards defined by the appropriate testing standard, order, or regulation?

(c)    Equipment and Materials. Does the designee possess, select, use, or inspect (when supplied by the applicant) the appropriate and serviceable equipment, devices, tools, reference material, etc., when planning or conducting certifications?

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

(a)    Review of Applications for Completeness. Does the designee follow the correct procedure when accepting applications and determining applicant eligibility?

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

(c)    Conducting Evaluations, Tests, and Certifications. Does the designee follow the correct procedure when conducting airman or airworthiness certifications, grading, evaluating, and providing feedback to applicants during certification?

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

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

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

(b)    Professional Representation of the FAA. When dealing with the public, does the designee demonstrate a positive reflection on the FAA and a willingness to comply with FAA policy and managing office instruction?

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

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

(4)    DME, DPRE, DAR-T Performance Measures. Additional performance measures for DME, DPRE, and DAR-Ts include, but are not limited to the following:

(a)    Completes pretest and post-test briefings as appropriate;

(b)    Makes an accurate “pass/fail” determination (for DMEs and DPREs); and

(c)    Properly completes appropriate certification documents. (Documents will be evaluated for correctness, legibility, and compliance with FAA regulations/policies.)

3.    Oversight Actions.

a.    Planning an Oversight Activity.

(1)    Risk-Based Analysis. Managing specialists conducting oversight of designees should use a risk‑based analysis to determine if an inspection is necessary. Circumstances that warrant an oversight activity include, but are not limited to:

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

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

(c)    New designees (inspections can occur at a higher level of frequency to ensure compliance).

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

1.    Overall problems with the certification files;

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

3.    A high activity rate;

4.    Applicants are traveling long distances; or

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

(2)    Prepare for the Inspection.

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

1.    Designee’s file;

2.    DME or DPRE planning sheets;

Note:  Copies of test planning sheets (for both DME/DPRE) are no longer required to be kept in the managing FAA office file and must be included in certification packages forwarded to AFB‑720. However, FAA offices may choose to retain a copy of the test planning sheet in the designee’s file.

3.    Preapproval requests specific to the activity to be observed.

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

5.    Any correspondence between the managing office and designee since the last inspection.

6.    Since an applicant’s hours may be incompatible with the FAA’s normal duty hours, the ASI will make every effort to be flexible when scheduling oversight of activities.

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

b.    Oversight Activities. Designee oversight includes the comprehensive management, monitoring, and tracking of a designee and related activities. All of these actions are considered oversight activities in DMS. A complete surveillance of a DAR-T, DME, or DPRE involves a group of oversight activities performed to observe the designee’s performance. These oversight activities may be completed independently within a set timeframe, or any number of them may be completed in conjunction with one another. This approach to oversight was adopted to allow managing specialist flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee oversight is most effective when it occurs throughout the year rather than an all-at-once, infrequent approach. The frequency of DME and DPRE direct observations will be determined by DMS at the beginning of each fiscal year quarter. All other scheduled oversight activities are based on a 12 calendar-month recurring interval. Oversight is usually accomplished by the assigned managing specialist, but oversight activities contained in this volume may be performed by other Flight Standards ASIs and recorded in DMS.

(1)    Direct Observations. A direct observation is an oversight activity that includes a managing specialist observing the designee performing certification work that allow the managing specialist to determine the designee’s performance. Direct observations provide the managing specialist the opportunity to determine if the designee is performing the work within the guidelines, give feedback to the designee, and gain insight into the designee’s technical, professional, and procedural attributes. A minimum number of direct observations will be required by policy to be completed by a managing specialist (see DMS to determine frequency). The number of direct observations may be increased by managing specialists if deemed appropriate due to various risk indicators that may be established, such as when a designee’s performance is “Unsatisfactory” or “Needs Improvement”, or any other reason deemed appropriate.

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

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

(c)    Managing specialists may, at their discretion, allow the DME and DPRE to continue with the O&P test, after discovering that the designee omitted an item required by the PTS/ACS. The managing specialist may allow the designee to complete the O&P, but must not allow the airman certificate to be issued.

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

(d)    Observe the DME or DPRE conducting an exam and perform pretest inspection activities as described below:

1.    Review the planning sheet to determine the following:

(i)    Does the DPRE planned test include all the questions and projects required by the mechanic and/or parachute rigger O&P test standard?

(ii)    Does the DPRE test cover each subject area/area of operation required by the PTS/ACS for the certificate/rating sought?

(iii)    The Mechanic Test Generator (MTG) creates the exam for the DME. The exam generated by the MTG meets the testing standard.

2.    Ensure the DME or DPRE receives and properly reviews a completed application from the applicant and the applicant is eligible to take the oral (knowledge) and practical (skill) examinations.

3.    Ensure the DME or DPRE requests appropriate identification from the applicant to validate the applicant’s identity.

4.    Ensure the DME or DPRE does not intend to administer the O&P test to more than one applicant at a time.

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

6.    Ensure the DME or DPRE conducts the O&P portions of the exam in accordance with the procedures in Order 8900.1.

Note:  The inspector should request a copy of the planning sheet for the specific test being observed in advance of the test in order to avoid interruption. The inspector should direct any questions regarding the test plan or adequacy of the test to the Technical Personnel Examiner (TPE) in private before the beginning of the test.

(e)    Observe the DAR-T’s Delegated Work Activities. At least once during each 4-quarter period, witness the designee performing an authorized function for each of the function groups held to ensure satisfactory performance. DMS will identify the required direct observations and other required activities for each DAR-T. Direct observations by function code groups include the following:

1.    Observe a complete aircraft certification activity, export certificate of airworthiness or SFP (function codes (F/C) 101–176).

2.    Observe a complete domestic airworthiness approval or export airworthiness approval (F/Cs 177–196).

3.    Observe a complete inspection (aging aircraft notification of records reviews and aircraft inspections) (F/Cs 197–198).

Note:  The responsible Flight Standards office for the carrier may perform this observation as directed by the managing specialist using the ASI role in DMS.

4.    Review and/or observe a data approval (field approvals) (F/Cs 199–220).

(2)    Post-Certification Oversight Activities.

(a)    DME or DPRE. Ensure the DME or DPRE completes and submits the certification file in accordance with Order 8900.1. After observing the DME or DPRE conduct an oral (knowledge) and practical (skill) test of the applicant, note one of the four possible outcomes below. In each of these outcomes, conduct a debriefing with the DME or DPRE separate from the applicant. Discuss the performance of the applicant and the DME or DPRE, and recommend areas of improvement needed by the DME or DPRE.

1.    If the DME or DPRE and the applicant perform satisfactorily, observe the DME or DPRE properly completing FAA Form 8610-2 and issuing FAA Form 8060-4.

2.    If the DME or DPRE performs satisfactorily but the applicant is unsatisfactory, observe the DME or DPRE properly completing FAA Form 8610-2 and properly identifying the subject areas or area of operation or task failed or not tested in the block for remarks.

3.    If the DME or DPRE performs unsatisfactorily but the applicant performs satisfactorily, allow the DME or DPRE to complete FAA Form 8610-2, and issue FAA Form 8060-4. This is only possible if the inspector determines that an adequate test was given. If the DME or DPRE’s performance was inadequate, resulting in an invalid test, then the airman applicant was not properly evaluated and FAA Form 8060-4 should not be issued.

4.    If the DME or DPRE and the applicant perform unsatisfactorily, allow the DME or DPRE to properly complete FAA Form 8610-2, properly identifying the O&P projects failed or subject areas and tasks not tested.

(b)    DAR-T. The managing specialist will monitor the designee’s activity by reviewing the work records and reports for accuracy and by observing the activity to ensure that proper procedures and satisfactory inspection techniques or methods are used.

(3)    Site Visit/Facility Inspection.

(a)    Visit the Designee’s Fixed Base. Validate that the designee meets the continued eligibility requirements of the designation by inspecting the following:

1.    Ensure the designee is providing adequate security for controlled documents. Whatever form of storage is utilized, the designee must prevent unauthorized access to controlled documents.

2.    Validate that the designee maintains a copy of all the forms and documents provided by the managing office required for the designation.

3.    Inspect the activity files/records and validate that the designee activity submitted to the managing office is being maintained by the designee as required.

4.    Examine the designee’s airman certificates for currency and appropriate ratings.

5.    Review the CLOA in DMS with the designee and validate that all information is still current and accurate.

6.    Ensure the designee completed a recurrent standardization training within the required interval.

Note:  The fixed base for a DME or DPRE is the address listed on their CLOA. A DAR-T may have a fixed base of operations; however, the site visit activity may be performed at any location suggested by the DAR-T that is acceptable to the FAA provided that all the DAR-T requirements in this chapter are met at whatever location is inspected.

(b)    In addition, for DMEs:

1.    Determine if the facility is adequately equipped to support testing to the level required by the PTS/ACS by inspecting the tools, equipment, airworthy assemblies, unairworthy assemblies, subassemblies, operational mockups, and materials required to complete a project assignment and demonstrate the basic skills for the certificate and rating sought to meet the equipment requirements of Order 8900.1.

2.    Ensure that the DME maintains current copies (paper or electronic) of the following DME‑related documents:

•    Aviation Mechanic General PTS/ACS.

•    Aviation Mechanic Airframe PTS/ACS.

•    Aviation Mechanic Powerplant PTS/ACS.

•    FAA Form 337, Major Repair and Alteration.

•    FAA Form 8060-4, Temporary Airman Certificate.

•    FAA Form 8610-2, Airman Certificate and/or Rating Application.

•    Title 14 CFR Part 43, Maintenance, Preventive Maintenance, Rebuilding, and Alteration.

•    Title 14 CFR Part 65, Certification: Airmen Other Than Flight Crewmembers.

•    Title 14 CFR Part 183, Representatives of the Administrator.

•    Other data such as advisory circulars (AC), technical data, etc., which may be required for the development and administration of the test.

(c)    In addition, for DPREs:

1.    Determine if the facility is adequately equipped to support testing to the level required by the PTS/ACS by inspecting the tools, equipment, airworthy assemblies, unairworthy assemblies, subassemblies, operational mockups, and materials required to complete a project assignment and demonstrate the basic skills for the certificate and rating sought to meet the equipment requirements of Order 8900.1.

2.    Ensure that the DPRE maintains current copies (paper or electronic) of the following DPRE‑related documents:

•    Order 8900.1.

•    Parachute Rigger PTS/ACS.

•    Applicable manufacturers’ parachute packing instructions.

•    Dan Poynter’s The Parachute Manual: A Technical Treatise on Aerodynamic Decelerators, Volumes 1 and 2.

•    Technical Standard Order (TSO)-C23 Series, Personnel Parachute Assemblies and Components.

•    FAA Form 8060-4, Temporary Airman Certificate.

•    Title 14 CFR Part 105, Parachute Operations.

•    Title 14 CFR Part 183, Representatives of the Administrator.

•    Parachute Industry Association (PIA) Technical Standard (TS) Publication PIA-TS-108, Parachute Canopy Fabric Pull Test Non Destructive Method.

•    AC 105-2, Sport Parachuting.

•    SAE International Aerospace Standard (AS), SAE AS8015 Series, Minimum Performance Standards for Parachute Assemblies and Components, Personnel.

•    National Aerospace Standards (NAS) NAS804, Specification - Parachutes.

•    Other data such as ACs, technical data, etc., which may be required for the development and administration of the test.

(d)    In addition, for DAR-Ts:

1.    Ensure that the designee has acquired and maintains all guidance material necessary to perform the authorized function(s). For DAR-Ts performing certification activities of aircraft, determine that they have access to the FAA Electronic Document Retrieval System (EDRS) to perform necessary records research.

2.    Determine that the designee is performing within the scope of the authorized function(s).

3.    Verify that the designee’s attendance at the appropriate standardization training is in accordance with this order.

4.    Ensure that the designee coordinates with the FAA when authorized to work outside the designee’s geographic area.

5.    Ensure that the designee is obtaining preapproval of all activities before performing delegated functions. Also ensure that preapproval by the FAA addresses any special directions or instructions that may be necessary before performing the delegated function(s).

Note:  Managing specialists must take immediate action on safety-related situations.

Note:  The designee must contact that FAA managing office should they have any concerns or questions regarding any delegated activity.

(4)    Review of Certification Packages. Reviewing certification packages provides the managing specialist the opportunity to determine if the designee is performing the work within the guidelines, give feedback to the designee, and gain insight into the designee’s technical, professional, and procedural attributes. These reviews will be recorded in DMS. Correction notices received from the Civil Aviation Registry Division (AFB-700) will also be recorded in DMS.

(a)    For Mechanic and Parachute Rigger Applications. The managing specialist should review every certificate or rating certification package for correctness. These certification packages must be sent to the overseeing FSDO via U.S. mail within 7 calendar-days of the test date. A certification file may only contain an FAA Form 8610-2, but may contain additional documents as annotated in Designated Examiner’s Report depending on the type of exam and if the applicant passed or failed. Review of certification files is required and must be documented in DMS using the Oversight Activities tab, Unscheduled Activities, Review of Certification Packages. Select the appropriate preapproval number and record the required information. After the review is complete, the managing specialist will complete the FAA Inspector’s Report and forward the certification file to AFB-700 as appropriate.

Note:  The managing specialist is not required to complete PTRS records while completing certification file reviews using DMS.

(b)    For DAR-T. Document reviews of certification files are required by Order 8130.2 each time an application for an Airworthiness Certificate (FAA Forms 8130-1 and 8130-6) is submitted from a DAR-T. Oversight of the DAR-T may be increased by the specialist if deemed appropriate due to various risk indicators that may be established (such as when a “needs improvement” event has been identified), or for any other reason deemed appropriate. Review of data approvals by DAR-Ts holding any function code between 199 and 208 will also be documented using the “Review of Certification Packages” process in DMS.

(5)    Interviews of Recently Tested Airmen (DME and DPRE). Each managing specialist will conduct interviews of recently tested airmen annually. These interviews are to ensure that the examiner is properly following the PTS/ACS when the FAA is not in attendance. Inform interviewees that the questions are to evaluate the testing procedure and are not a reexamination of their certificates. Conduct a sufficient number of interviews each fiscal year (at least five randomly selected airmen or 50 percent of the airmen newly certificated by the designee, whichever is fewer) to provide confidence that the designee is properly conducting the test. If the interviews indicate satisfactory performance by the designee, the schedule for direct observations developed by DMS may be followed. However, if the interviews of recently tested applicants indicate a deficiency with designee performance, the managing office must conduct additional surveillance.

(6)    Provide Technical Assistance. Each managing specialist will document in DMS when they spend time providing technical assistance to one of their designees. This does not include answering a quick phone call or email, but primarily when research or training is involved in the assistance.

(7)    Review DMS Activity Log. Each managing specialist will review the activity log of each of the designees they manage for the previous four quarters. The managing specialist will look for compliance with FAA policy.

(8)    Review Feedback. Each managing specialist will record in DMS any information that has been received from outside sources regarding the performance of their designee. This may be positive or negative feedback, and may come from another FAA employee, or may come from someone outside the FAA. If any followup action is required, and what that action should be, will be determined by the managing specialist.

(9)    Annual Meeting. Each managing specialist will record the attendance at the annual meeting of each of their designees.

(10)    Special Emphasis Items. Each managing specialist will record in DMS the completion of any special emphasis item(s). These activities are not routine surveillance or management of designees, but will be directed by the NPO. Specific instructions for recording this activity will be provided.

c.    Outcomes of Oversight Activities. For all oversight activity, the managing specialist or ASI selects from three performance measure categories: Satisfactory, Needs Improvement, or Unsatisfactory. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” the managing specialist must enter descriptive text in the a ppropriate performance measure category(ies).

(1)    Followup Action. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” then appropriate followup action(s) must be determined and recorded in DMS. This is accomplished by using the Corrective Action process in DMS, which may include any of the following:

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

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

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

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

(2)    FAA Actions to Address Regulatory or Statutory Noncompliance. In the event that inappropriate actions by a designee require action against the designee’s airman certificate, the managing specialist should refer to FAA Order 8900.1, Volume 14, Compliance and Enforcement, and FAA Order 2150.3, FAA Compliance and Enforcement Program, for the correct procedures and to determine action choice(s). Actions taken under the Compliance Program may range from counseling to revocation of airman certificates. Note that revocation is necessitated, in most cases, by fraudulent certifications performed by the designee. In the most egregious cases, criminal charges may be levied under Title 18 of the United States Code (18 U.S.C.) § 1001, which may lead to imprisonment.

(3)    Special Emphasis Evaluation of Designees (SEED). The Regulatory Support Division (AFS-600) will notify the designee’s managing office whenever the division becomes aware of an issue through a SEED inspection or by other means that could require a designee to be suspended or terminated. The managing office is responsible to process the suspension or termination. In the event AFS-600 and the managing office disagree on the termination of a designee, AFS-600 will make the final determination.

d.    Annual Performance Evaluation. The performance evaluation is a consolidated review of oversight activity and other data available outside of DMS on a recurring basis. The performance evaluation results in an overall rating for the performance period and considers risk-based elements. The objectives of the performance evaluation are for the managing specialist to:

(1)    Identify performance trends that are:

(a)    Specific to the designee.

(b)    Local. Compared to designees similar in authority locally.

(c)    National. Compared to designees similar in authority nationwide.

(2)    Determine if corrective action is needed.

(3)    Conduct a risk assessment of the designee.

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

(5)    Determine performance result. See Volume 1.

4.    Followup Actions.

a.    Counseling. See Volume 1.

b.    Additional Training. See Volume 1.

5.    Designee Management Functions.

a.    Expand Authorities and/or Change Limitations. See Volume 1 and Volume 5, Chapter 2.

b.    Reduce Authority. See Volume 1.

c.    Record Note. See Volume 1.

d.    Send Message to Designee. The managing specialist is able to transmit messages and notifications through DMS, such as changes in the PTS/ACS, regulations, upcoming meetings, and other communications, as necessary.

e.    Record Feedback or Interaction With a Designee. See Volume 1.

f.    Preapproval.

(1)    Ensure designees understand that they must obtain preapproval in order to perform functions on behalf of the FAA. The managing specialist will issue any special instructions to the designee during the preapproval process. DME and DPRE preapprovals require the designee to request and receive approval to conduct authorized activity at least 24 hours prior to commencing that activity on behalf of the FAA. DAR-T preapprovals require the designee to request and receive approval to conduct authorized activity at least 24 hours prior to commencing that activity on behalf of the FAA. However, preapprovals should be submitted as far in advance as possible. The managing specialist will be notified through the DMS Message Center any time a designee submits a preapproval less than 24 hours in advance. The notification is to assist the FAA in managing planned oversight activities that may be impacted. It is acceptable for DAR-Ts to submit request function codes 177-196 preapprovals with less than 24 hours’ notice, however this must be based on applicant needs and not the convenience of the DAR-T. Preapprovals may be authorized through two methods: manual and automatic.

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

(b)    Automatic Preapproval. Automatic preapproval allows the managing specialist to set the DMS function to automatically approve an activity request by a specific designee. This feature provides the managing specialist with a flexible option to provide preapproval and continue to manage a designee’s activity. Automatic preapproval will only be used when the designee’s performance remains acceptable and analysis indicates that the type of certification activity requested presents an acceptable risk. Automatic preapprovals will not be granted:

1.    To a DME, DPRE, or DAR-T during the first 90 days of appointment.

2.    At any time for geographic expansion activities.

(2)    DMS allows the designee to change or cancel a preapproval request.

(3)    For DMEs, DPREs, and DAR-Ts, each certification activity must be approved before the designee can perform any function for the FAA. Managing offices should ensure that adequate FAA personnel and/or designees are available to address the certification requests within their geographic area of the United States. IFOs must use their experience and discretion to determine the number of designees required, but may also utilize other designees as provided in this procedure to support valid certification requests in the IFO’s district. IFOs have a unique role regarding certification activity that takes place outside the United States. The complexities of meeting FAA obligations to national agreements with other countries require that these offices serve a key role in determining whether the FAA should support individual certification requests outside the United States. Certain FAA certification activities requested to be performed outside the United States require a regulatory determination of undue burden by the FAA. Although the FAA may delegate some certification activities outside the United States, the decision to perform or not perform the activity rests solely with the FAA.

(4)    Geographic Expansion (DMEs, DPREs, and DAR-Ts). It is the FAA’s intention that these designees perform their authorized function(s) within the managing office’s geographic boundaries. However, a managing office may authorize a designee to perform activities outside the geographic boundaries on a case-by-case basis as long as the activity meets the FAA criteria of need and ability to manage. Geographic expansion requests are processed as a function of the preapproval request. The designee must utilize the DMS preapproval process to initiate any geographic expansion requests using the following guidance:

(a)    Geographic Expansion—Domestic. Designees may request a geographic expansion to perform an activity outside their assigned office but within the United States. The request must be made as part of the preapproval request in DMS at least 7 calendar-days in advance of the activity, to allow the FAA sufficient time to evaluate and coordinate the request. The FAA office having responsibility for the district where the activity will be performed must review and approve or deny the request.

(b)    Geographic Expansion—Outside the United States. Designees may request a geographic expansion to perform an activity outside their assigned office that is outside the United States when the FAA has determined that the activity should be supported by the FAA, and is consistent with Title 49 of the United States Code (49 U.S.C.) § 44702 and pertinent international agreements. For this reason, the applicant for the activity must first submit the application directly to the IFO responsible for the activity, before any geographic expansion is allowed. The geographic expansion request must be made as part of the preapproval request in DMS at least 10 calendar-days in advance of the activity to allow the FAA sufficient time to coordinate any necessary oversight and provide any notification that may be required to other Civil Aviation Authorities (CAA).

(c)    Evaluating the Request for Geographic Expansions. Managing specialists and other DMS users that are required to evaluate any element of a geographic expansion request must use the factors below before entering their individual approval or denial of the request. Where multiple users are required to review and approve a geographic expansion request, the review may be performed simultaneously after approval by the designee’s managing office. DMS notifies each user that is required to review a geographic expansion request. The list is not all inclusive, but provides minimum items that should be reviewed for a geographic expansion request:

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

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

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

4.    For aircraft certifications, the work should be evaluated to ensure that it is a legitimate FAA certification request. If the activity is outside the United States and there is no need to complete this type of certification, other than to circumvent local or responsible CAA, we should not support this activity (e.g., issuing a Standard Airworthiness Certificate for the sole purpose of obtaining an export certificate of airworthiness).

5.    The work cannot be accomplished using ASIs or designees currently assigned to the geographically responsible Flight Standards office. For international activity, the use of assigned designees takes precedence over domestic designees requesting expansion work. The IFO makes the final determination to approve or deny the activity.

6.    The designee has adequately identified the specific reasons for this activity to be performed outside their geographic area. In cases where an aircraft owner or operators anticipates multiple activities for the same aircraft (i.e., multiple SFPs to relocate the aircraft to different facilities for maintenance, refurbishment, painting, etc.), DAR-Ts receiving the request are expected to provide this information in the request. Making multiple isolated requests is discouraged and is detrimental to supporting requests from aircraft owners and operators for airworthiness certification.

Note:  Completed certification files and other documentation required for certification activity will be submitted to the designee’s managing office. The geographically responsible office having responsibility for the area where the activity will be performed may, however, request to review any certification work performed by a designee by contacting the managing office.

Note:  Before a managing specialist authorizes a DAR-T to perform any activities outside the United States, the managing office will review the appropriate Bilateral Aviation Safety Agreement (BASA) Implementation Procedures for Airworthiness (IPA) or other pertinent international agreements to determine if the CAA requires written notification. If required, the managing office will follow the procedures in the BASA IPA or other pertinent international agreements.

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

(5)    Provisions for Unique Circumstances. The following procedures provide FAA offices a method to address certification activity in unique circumstances.

(a)    DAR-T Function Codes 197 and 198 Preapproval Including Geographic Expansion Requests. Function codes 197 and 198 provide authority for DAR-Ts to issue notification of completion to air carriers after conducting record reviews and aircraft inspections required by the Aging Aircraft Safety Act of 1991 in accordance with the responsible Flight Standards office procedures. DAR-Ts authorized this function can only conduct these activities after completing OJT on the air carriers approved maintenance policies and procedures from the responsible Flight Standards office. This task requires coordination between ASIs, DARs, Certificate Management Offices (CMO), and air operators. Coordination is not limited to actions within DMS, and may require communication via telephone calls or emails. Because of the unique requirements of this function, DAR‑Ts are allowed to perform this activity outside their geographic area in accordance with the procedures below. DAR-Ts requesting authorization to perform an aging aircraft inspection and records review must utilize the DMS preapproval process for any requests to perform this activity. Based on the required advance coordination above, these activities are not required to be treated as geographic expansion on the preapproval request. DMS notifies each user that is required to review a preapproval request for this activity. DAR-Ts are not allowed to issue notification of completion to air carriers after conducting record reviews and aircraft inspections, for ineligible aircraft. Refer to Order 8900.1, Volume 6, Chapter 11, Section 14, Safety Assurance System: Conducting Records Reviews and Aircraft Inspections Mandated by the Aging Airplane Rules for Parts 121, 129, and 135, for eligible aircraft, and specific requirements to perform this function.

Note:  The procedures above for authorizing function codes 197 and 198 activity are unique and only apply to these functions. If other FAA-delegated activities are to be performed on the aircraft by the designee, the procedures in subparagraph 5f(4) above must be followed.

(b)    Memorandums of Understanding (MOU). Long-term MOUs can be used in order to accommodate unique situations, such as a need for a shared designee resource between two Flight Standards offices. MOUs must be coordinated and approved by the specific offices and AFS-650. Copies of MOUs must be uploaded in DMS. MOUs must be maintained in DMS for the designee affected by the MOU.

g.    Post-Activity Reports.

(1)    DMEs, DPREs, and DAR-Ts are required to complete post-activity reports in DMS after performing certification functions. Post-activity reports may require attachments to be uploaded by the designee depending on the type of activity. See Figure 5-3.

Figure 5-3.  Designee Post-Activity Attachments

(2)    Post-activity reports provide the managing specialist with a record of the activity for that designee. These reports can aid in planning an appropriate level of oversight of the designee.

(3)    If designees have post-activity reports that have passed the requisite 7-day submission deadline, DMS will not grant another preapproval number until all outstanding post-activity reports have been submitted.

(4)    Access to post-activity reports will remain available to a DME, DPRE, or DAR-T for up to 5 business-days after a termination, suspension, voluntary surrender, or expired status to allow the designee to record any results.

h.    Authorization to Test from Another FSDO.

(1)    Permission to test applicants that have received their authorization to test from another FSDO.

Note:  The DME or DPRE must receive preapproval in DMS prior to performing any test. For all applicants traveling outside the geographic boundary, who have been previously authorized by another FAA office, the DME or DPRE must note in the preapproval request the location the original authorization occurred.

(2)    Since the applicant was previously authorized, there is no requirement for the FAA to reevaluate the applicant’s experience or to re-determine eligibility.

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of DME, DPRE, and DAR-T designees, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1 constitute the policy for the training of a designee.

2.    General. This chapter prescribes the initial and recurrent training requirements for DAR-Ts, DMEs, DPREs, and FAA personnel, including managing specialists, with designee management and oversight responsibilities. Applicants and designees register for training through the Designee Registration System (DRS). Successful completion of the training is documented in DMS. Information regarding designee standardization training is available at the following websites:

•    For DAR-Ts: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dart/information/.

•    For DMEs: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dme/information/.

•    For DPREs: https://www.faa.gov/other_visit/aviation_industry/designees_delegations/individual_designees/dpre/information/.

3.    Designee Training Requirements.

a.    DME/DPRE/DAR-T Training.

(1)    Initial Training.

(a)    Before appointment, DME, DPRE, and DAR-T applicants must satisfactorily complete the initial training program for the designee type and authority for which they are being considered for appointment. The initial training will be conducted by online web-based training, face-to-face classroom training, or both depending on the authorized functions the prospective designees are seeking. Prospective designees can register for training through the DRS. Training requirements for each designee type are available at the websites listed in paragraph 2 above.

(b)    Information and registration for designee standardization training are available at the websites listed in paragraph 2 above. Each applicant must successfully complete the initial standardization training requirement within the 1-year period before initial designation. In order to not exceed this 1-year limit, DME/DPRE/DAR-T applicants should not plan to attend initial training until they have been notified by the appointing FAA office that they have been selected for appointment.

(2)    Recurrent Training.

(a)    Once a designee is appointed, attendance and successful completion of a recurrent training is due on an established seminar interval from the completion date of the initial training or most recent completion of recurrent training. Recurrent training requirements and the maximum completion interval in calendar-months are available at the websites listed in paragraph 2 above. Completion of recurrent training is mandatory and must not exceed the maximum interval listed for each designee type and authorization held. For DAR-T, it should be noted that different authorizations may require different recurrent training and those recurrent training intervals may not be on the same schedule.

(b)    Designees must schedule themselves for a recurrent training as required and notify the managing FAA office. The designee must forward a copy of the Certificate of Completion to the managing FAA office.

(3)    Specialized Training. DAR-Ts who perform one or more of these specialized functions must complete the associated specialized training course prior to initial appointment, added authority, and at the recurrent interval specified regardless of any other initial or recurrent training requirement. A complete list of DAR-T specialized functions and the associated training requirements is available at the website listed in paragraph 2 above.

(4)    Comprehensive Post-Course Test.

(a)    Following training, the applicant/designee will take a comprehensive post-course test that will test the applicant/designee on any or all subjects in which the class received instruction. Some of the test questions will require knowledge beyond that encompassed by the authorizations indicated on an individual applicant/designee’s current or proposed CLOA. The designee candidate will receive a completion certificate only after achieving at least a 70 percent on the post-course test.

(b)    Should an applicant/designee fail to pass the post-course test after completing the training curriculum, AFS-640 will notify the manager of the applicant/designee’s assigned FAA office. After a review of the circumstances related to the failure, the FAA office may:

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

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

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

4.    Applicants and designees register for training through the DRS. Information regarding designee standardization training is available at the websites listed in paragraph 2 above.

5.    Successful completion of initial and recurrent training is documented in DMS. The managing specialist updates the training dates in DMS, and may upload a copy of the training certificate. Designees who have attended initial or recurrent training should send a copy of their training certificate to their managing specialist through the DMS Message Center.

b.    Training Limitations.

(1)    DMS will suspend designees who fail to meet recurrent training requirements.

(2)    Designees may complete the initial training in lieu of the recurrent training to meet the recurrent training requirements.

(3)    A designee will not exercise designation privileges unless training is current.

4.    FAA Personnel Training.

a.    Initial and Recurrent Training Requirements. Initial training requirements for ASIs with managing specialist responsibilities for DME, DPRE, and DAR-T include completion of the GA Airworthiness ASI indoctrination courses, or equivalent.

b.    Training. Specific courses required for designee oversight are listed in the “Inspector Training for Designee Oversight” matrix. The training matrix is maintained on the Flight Standards Workforce Development Division (AFB-500) website at https://my.faa.gov/org/linebusiness/avs/offices/afx/divisions/afb/afb500.html. The training matrix is organized by designee type, and promotes the FS philosophy that the most appropriate person (or target audience) should attend the right training at the right time. The local training coordinators can also provide access to the training matrix and assistance on the Training Needs Assessment (TNA) for ASIs assigned to manage designees.

Chapter 8.  Annual Request for Extension of a Designee’s Authorization

See Volume 1, Chapter 8, Annual Request for Extension of a Designee’s Authorization.

Chapter 9.   Termination of a Designation

1.    Termination. The following items require the managing specialist to initiate termination of a designee:

a.    Any actions by the designee that may reflect poorly on the FAA, such as misuse of the designation or failure to maintain a reputation for integrity and dependability in the industry and the community.

b.    Any time that a reexamination of an airman under 49 U.S.C. § 44709 becomes necessary due to an inadequate test performed by the designee, the managing office must immediately suspend the designee and begin the termination process.

c.    Any time that the FAA must revoke an Airworthiness Certificate improperly issued by a DAR-T, the managing office must immediately suspend the designee and begin the termination process.

2.    Additional Information. For additional termination considerations and specific procedures to terminate a designee, see Volume 1.

Chapter 10.  Suspension of a Designation

See Volume 1.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing a ban or termination for cause of DMEs, DPREs, and DAR-Ts, referred to collectively in this chapter as designees. This designation type-specific policy and Volume 1 constitute the overall policy for appealing a ban or termination for cause by DMEs, DPREs, and DAR-Ts.

2.    General.

a.    Appeal Considerations.

(1)    The FAA office manager will convene an appeal panel comprised of three members.

(a)    An AFS-600 representative;

(b)    An Aircraft Maintenance Division (AFS-300) representative; and

(c)    A Flight Standards office manager or FLM not associated with the office that terminated the designee.

(2)    The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.

(3)    The appeal panel’s decision is final.

(4)    All documentation associated with the appeal (e.g., outcome, members of the appeal panel, and communication with the designee or the managing office) should be included in the designee’s DMS file.

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

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

5.    Appeal Panel Responsibilities. See Volume 1.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other designee management functions. This designation type-specific policy and Volume 1 constitute the overall policy for the other designee management functions. Also refer to the DMS Management Action Links job aid for detailed information at https://my.faa.gov/content/myfaa/en/org/linebusiness/avs/offices/air/div_dir/air600/dms.html.

2.    Assign DMS Roles—Master Role Assigner (MRA). For FS GA designees, the MRA is typically the office manager or FLM. See Volume 1.

3.    Send Message to Managing Specialist. See Volume 1.

4.    Update Profile. Updates to certain information in the designee record, such as change in physical address or qualifications, may affect the designation. A change of physical address may cause the FAA to review need and ability to manage considerations. If the requested address change is in a different managing office area, that office will make the determination if there is a need for the designation in that area. The designee should not expect to automatically be redesignated in the new area.

VOLUME 6.  APD DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

1.    Purpose of This Volume. This volume supplements the common designee policy by providing specific guidance for the administration of the Aircrew Program Designee (APD) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.

2.    Audience. The primary audience for this volume is APDs and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees, as appropriate.

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

a.    Availability of the DMS IT tool for the respective designee type.

b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials.

4.    Conflicts With Other FAA Orders. The guidance in this order may conflict with that in other FAA orders and directives. This situation may arise inadvertently or because it is impractical to revise all orders simultaneously. Because FAA Order 8000.95 encompasses all aspects of designee management, this order takes precedence over other orders containing conflicting information. If the guidance in this order conflicts with 14 CFR, 14 CFR takes precedence. Inspectors should refer questions about such conflicts to their immediate supervisors.

Section 2.  Overview of Designee Functions

1.    APD. An APD is an individual who is authorized by the Administrator to perform evaluations and certification functions in one type of aircraft within an approved air carrier training program.

a.    Employment and Qualifications. APD candidates must be employed by an air carrier and qualified as a check pilot or check Flight Engineer (FE) for that carrier before being designated as an APD.

b.    Evaluations. APDs can only conduct evaluations for applicants employed by the air carrier as part of an approved air carrier training program.

c.    APD Authorizations. Specific APD authorizations are listed on the designee’s Certificate Letter of Authority (CLOA) issued through DMS. The following tables list the authorizations that may be issued to an APD:

Table 6-1.  Certificate Level Testing Authorizations

Table 6-2.  Aircraft Category and Class Authorizations

Table 6-3.  Administrative Authorizations

Table 6-4.  Special Authorizations

2.    Aircrew Designated Examiner (ADE) Programs. An ADE program is established for the purpose of delegating certification authority and activity to select employees of part 121 and 135 air carriers.

a.    Program Description. APDs are trained and designated in an ADE program associated with air carriers who conduct their own program of airman qualification. It is the preferred program for conducting the certification of flightcrew members for complex part 121 and 135 air carriers.

b.    History. The ADE program was originally designed for air carriers with sophisticated training capabilities (including flight simulators), with highly trained personnel, and with a large volume of certification activity. The program has since been used by a broader range of air carriers.

c.    Establish Program. Managing offices should consider establishing an ADE program before an air carrier’s airman certification workload for any aircraft type exceeds the FAA’s ability to meet requirements using available inspector resources.

d.    Program Composition. The ADE program is comprised of:

(1)    One or more of an air carrier’s check pilots and/or check FEs further authorized by the FAA as an APD to conduct airman certifications on behalf of the Administrator; and

(2)    An FAA inspector known as an Aircrew Program Manager (APM) who oversees the APDs’ activities.

Note:  ADE program guidance can be found in FAA Order 8900.1, Volume 13, Flight Standards Designees.

Section 3.  Roles and Responsibilities

1.    FAA Personnel Roles and Responsibilities.

a.    Office Manager.

(1)    Office managers are responsible for the personnel, training, and budget resources necessary to accomplish the management and oversight of designees.

(2)    Office managers should anticipate changes in personnel requirements as a result of the “need and ability” standard discussed in Chapter 3, Selection and Evaluation of a Designee Applicant.

(3)    Office managers are responsible for continually evaluating the effectiveness of the designee program and managing specialists.

b.    Appointing Official. Appointing officials are typically office managers, but may be Front Line Managers (FLM).

c.    Selecting Official. Selecting officials are typically FLMs, but may be office managers.

d.    Master Role Assigner (MRA). MRAs are typically office managers, but may be FLMs. MRAs ensure inspectors and supervisory staff are assigned appropriate roles within DMS to carry out assigned duties.

e.    Managing Specialist. Managing specialists are experienced FAA aviation safety inspectors (ASI) whose specialty is part 121 or 135 operations. Managing specialists provide oversight, guidance, and support to assigned APDs.

(1)    The managing specialist is typically one of the following:

(a)    Principal Operations Inspector (POI);

(b)    Assistant Principal Operations Inspector (APOI);

(c)    APM;

(d)    Assistant APM (AAPM);

(e)    Partial Program Manager (PPM); or

(f)    Other assigned inspector.

(2)    Managing specialists must ensure APDs are prepared to perform their duties, including the completion of required training and the maintenance of the minimum qualifications for designation as prescribed in Chapter 2, Application Process.

(3)    Managing specialists are responsible for ensuring APDs maintain airman certification standards as prescribed by regulation, approved training programs, and applicable policies. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.

(4)    Designee management must consider potential risks and hazards to safety. Managing specialists should remain constantly vigilant for such risks and hazards. These ASIs should review DMS data and other resources, such as the Safety Performance Analysis System (SPAS), to ensure oversight on problem areas.

(5)    Managing specialists must work closely with assigned air carriers to assess risk and ensure designee programs meet the highest level of safety, standardization, and quality assurance.

f.    Proxy. The proxy role allows an office to assign a surrogate or backup in DMS to a person holding a primary DMS role for offices with a large number of designees or for when the person holding the primary role will be unavailable.

(1)    Proxies should meet the same qualifications required to hold the primary role.

(2)    Proxies may be assigned for a defined amount of time or indefinitely.

(3)    Only the appointing official, selecting official, and managing specialist roles may be proxied.

(4)    An appointing official or selecting official may have only one proxy. Only an appointing official may assign an appointing official proxy. Only an appointing official or selecting official may assign a selecting official proxy.

(5)    Each designee may have only one managing specialist and up to three managing specialist proxies. An appointing official, selecting official, and the managing specialist who will be proxied may assign a managing specialist proxy.

(6)    Proxy candidates must accept the proxy request in DMS in order to be assigned a proxy.

(7)    Primary role holders and proxies should coordinate designee-related activities outside of DMS to prevent duplicate efforts or entries in DMS.

g.    Aviation Safety Inspector (ASI). In addition to the roles listed above, any ASI may access DMS to record specific oversight and other activities using the ASI role in DMS.

h.    Reporting. The reporting role allows the user to access DMS reports to view designee data and assess risk.

Chapter 2.  Application Process

1.    Purpose. This chapter provides the policy related to an individual applying to be an APD. This designation type-specific policy and Volume 1 constitute the overall policy for the application process for an APD applicant.

2.    General.

a.    Application Considerations. The application process to designate an APD is initiated by the employing part 121 or 135 air carrier.

(1)    The part 121 or 135 certificate holder must submit a letter to the managing specialist requesting appointment of the designee applicant. The air carrier will ensure the request letter is provided to the APD applicant for upload into DMS. The letter of request must contain the following:

(a)    Justification of need based on FAA criteria;

(b)    Identification of specific authority requested;

(c)    Projected timeline of internal evaluator curriculum completion;

(d)    Explanation of how this applicant is the most qualified of eligible applicants; and

(e)    Statement that air carrier management has determined the applicant meets all eligibility and minimum qualification requirements for appointment.

(2)    The APD applicant must:

(a)    Complete an application in DMS; and

(b)    Upload the air carrier request letter and a current résumé and/or supplemental information sheet (available in DMS).

(3)    The air carrier will coordinate APD applications with the managing specialist. APD applicants will not be considered for designation without a completed DMS application, receipt of the request letter, and uploaded supplemental information.

(4)    An APD candidate is nominated by an air carrier from the ranks of its proficiency check pilots or check FEs and is given training in FAA policies and certification procedures before being authorized by the FAA as an APD.

(5)    FAA Tracking Number (FTN). APD applicants must enter their FTN as part of their application in DMS. The FTN is an essential link between DMS and the Integrated Airman Certification and Rating Application (IACRA) that verifies designee authorizations and allows activity and certification records to align between systems. Applicants can locate their FTN by logging into IACRA.

b.    Who Should Apply. Employees of an air carrier that have been recommended for nomination as an APD.

c.    Multiple Designations. The FAA may designate an airman to perform multiple certification services as a designee. In addition, a designee may be designated to hold more than one type of designation. For APD applicants, consideration should be given to the effect of multiple designations on the ability of the designee to perform functions appropriately.

3.    Minimum Qualifications for APDs. To be eligible for consideration as an APD, candidates must first:

a.    Meet the requirements of Volume 1, this chapter, and DMS.

b.    Hold the appropriate airman certificate and rating(s) for the authority requested. (A medical certificate is not required for simulator evaluators.)

c.    Be employed by the air carrier either full time, part time, or under contract to the air carrier.

d.    Be an FAA-approved, proficiency check pilot or check FE, as applicable, for the air carrier in the aircraft in which the APD candidate is to perform examiner duties. To perform examiner duties in an aircraft in flight, a pilot APD candidate must also be an FAA-approved line check pilot—all seats, and proficiency check pilot—aircraft.

e.    Have served as a check pilot or check FE for a minimum of one year (for pilot APD candidates—preferably 6 months as a proficiency check pilot) before designation as an APD. (Check pilot/check FE experience in other types of aircraft and in service with other air carriers may be credited. Crediting of past experience, including length of time and type of check pilot/check FE, is at the discretion of the POI and APM.)

f.    Have an excellent record as an airman regarding history of compliance actions, violations, accidents, and incidents. The managing specialist must verify the airman information through the FAA’s recordkeeping systems before scheduling any training or qualification observations.

g.    Have successfully completed the air carrier’s approved training program in which the candidate will be authorized to conduct evaluations for the issuance of certificates.

4.    Expanded Authority. Designees may request additional authorizations to their designation. All requests must be made in DMS using the designee’s action link. Requests for additional authorizations are viewable in DMS by the selecting official in the same manner as for initial appointment.

5.    Disqualifiers. See Volume 1.

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

7.    Post-Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of APD applicants. This designation type-specific policy and Volume 1 constitute the overall policy of the selection and evaluation of an APD applicant.

2.    General.

a.    Selection Process. The selection process for an APD applicant is initiated after the air carrier submits a letter of request to the assigned Flight Standards office and the designee applicant completes the DMS application. The selecting official then initiates the selection process through DMS. Below is a high-level representation of the selection process.

Figure 6-1.  High-Level Selection Process Flow

b.    Selection Considerations.

(1)    The air carrier should put forth recommendations of the most qualified applicants based on experience, knowledge, and ability.

(2)    The selecting official should review all information provided by the air carrier, managing specialist, and ASIs associated with the air carrier when selecting the applicant for evaluation.

(3)    Preferred sources for APD candidates are airmen who are actively engaged in the activity for which examinations will be conducted.

3.    Need and Ability to Manage. The selecting official must determine that a need exists and the office has the ability to manage the designee. The selecting official should work closely with assigned inspectors and the managing specialist that will likely be responsible for determining need and ability. In order to determine need and ability, the Flight Standards office should consider the following:

a.    Need Considerations.

(1)    The ability of the air carrier to provide the required testing and checking within a reasonable time.

(2)    Activity at the air carrier has increased or is forecasted to increase, and cannot be supported with existing designees.

(3)    The ability of the FAA to support the certification work and need with existing designees.

(4)    The FAA has lost an employee or designee resource.

(5)    The number and types of aircraft and flight simulation training devices (FSTD).

(6)    The historical and projected number of evaluations predicted by the air carrier over a specified period of time.

b.    Ability to Manage Considerations.

(1)    FAA inspector staffing must be sufficient and possess the technical skills and knowledge required to manage and oversee the designee.

(2)    The existing and projected office workload must allow the office to effectively manage the designee.

(3)    Funding must be adequate to allow inspector travel necessary to perform designee management and oversight. If existing budget constraints do not allow for proper oversight, then the designee appointment must not be made.

(4)    The geographic location of the designee must not prohibit the ability of the FAA to provide normal designee management and oversight.

c.    Other Considerations.

(1)    The need for a new designee is driven by the need and ability to manage and not by the impact on existing designees or scheduling convenience. Prior to designation, the air carrier must clearly show a need for the requested APD.

(2)    A utilization review of all APDs at the air carrier with similar authority should be accomplished when need is determined. If there is a large variation of activity between APDs with similar authority, the ability of the air carrier to efficiently schedule should be assessed. A large variation of activity would normally prevent the designation of additional APDs.

(3)    A Memorandum of Understanding (MOU) is required to establish and maintain an ADE program and to provide training for FAA Operations ASIs assigned to provide oversight duties at the air carrier. Any ADE program proposing an MOU that does not conform strictly to the guidance in Order 8900.1, Volume 13, Chapter 2, Section 2, FAA’s Management of an Aircrew Designated Examiner Program, to include the sample MOU, will be reviewed, approved, and signed by the Air Transportation Division (AFS-200), in coordination with the Regulatory Support Division (AFS-600), in addition to the POI and certificate office manager.

4.    Requesting Qualified Applicants.

a.    List of Qualified Applicants. Once the FAA establishes the need and ability to manage a designee, the selecting official can request a list of applicants from DMS. DMS will search active applicants to identify candidates that most closely match the specified criteria.

b.    Deviation from Minimum Qualifications. If no qualified APDs are available within DMS and the FAA demonstrates a significant need for the appointment, the managing specialist may request that the selecting official petition AFS-600, who will coordinate with AFS-200 for a deviation from minimum qualifications as follows:

(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo outside of DMS.

(2)    Coordination. The selecting official must route the request through the appropriate division management leadership for concurrence external to DMS. If in agreement with the recommendation, AFS-600, in coordination with AFS-200, will document the circumstances and justification in DMS and complete the required DMS process.

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

5.    Evaluation.

a.    Evaluation of a Designee Applicant. The FAA is required to determine if an applicant is the best qualified for appointment as an APD. An FAA goal is to establish a uniform designee candidate assessment process (as much as practicable) for all designee types. When an air carrier presents one or more APD applicants for selection, the Flight Standards office will establish an evaluation panel to further review and determine each applicant is appropriately qualified.

b.    Evaluation Panel. The evaluation panel must include at least two individuals:

(1)    The managing specialist who is expected to be assigned to the designee. The presumed managing specialist will assume the lead role during the evaluation process and coordinate the evaluation panel results in DMS.

(2)    The office manager, FLM, or any other operations inspector.

c.    Evaluation Panel Checklist. For each prospective APD candidate, the evaluation panel must complete the following checklist:

(1)    Review the air carrier request letter and determine if it contains the required elements.

(2)    Review the APD application in DMS.

(3)    Verify the minimum qualifications have been met.

(4)    Verify the applicant possesses the appropriate airman certificate, category and class rating, and type rating for the authorities being sought.

(5)    Determine if the APD duties will be conducted in the aircraft and if a medical certificate is required.

(6)    Conduct an interview of the APD applicant to verify qualifications, application information, and ensure qualities exist to be successful as a designee.

(7)    Contact references as necessary.

(8)    Review relevant information from the following FAA databases to determine the candidate’s aviation background and any issues which may have an adverse effect on the candidate’s application:

(a)    DMS;

(b)    SPAS;

(c)    Accident Incident Data System (AIDS);

(d)    Enforcement Information System (EIS);

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

(f)    Safety Assurance System (SAS).

d.    Evaluation Panel Tasks. In addition to the checklist above, the evaluation panel must ensure the APD applicant has completed the following activities prior to designation:

(1)    Verify the FAA APD training has been completed successfully and recorded in DMS (see Chapter 7, Training).

(2)    Ensure the APD candidate has been observed conducting a complete certification test consisting of oral, simulator, and aircraft portions, or a qualification Line Operational Evaluation (LOE) under an AQP, as applicable (see Chapter 6, Oversight and Management of a Designee).

e.    Evaluation Panel Outcomes. At the conclusion of the evaluation events, the evaluation panel will make a recommendation in DMS to the selecting official whether to appoint the applicant or not, and indicate what authorities or limitations should be included on the CLOA. There are two appointment recommendation types:

(1)    Approve. The evaluation panel recommends appointment and now must:

(a)    Identify recommended authorizations and limitations.

(b)    Prepare the recommendation for review by the selecting official and appointing official.

(2)    Disapprove. If the evaluation panel recommends disapproval, justification must be provided in DMS.

f.    Selecting Official Actions. The selecting official may accept or reject the evaluation panel recommendation.

6.    Banning. See Volume 1.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of an APD. This designation type‑specific policy and Volume 1 constitute the overall policy for the appointment of an APD.

2.    General.

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

Figure 6-2.  High-Level Appointment Process Flow

b.    Appointment Checklist. The evaluation panel recommends appropriate privileges and limitations on the CLOA based on the applicant’s:

(1)    Background experience;

(2)    Personal and professional qualifications; and

(3)    Needs of the appointing office.

c.    Appointing Official Actions. The appointing official may accept or reject the evaluation panel and selecting official recommendations.

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    CLOA Expiration Date. Upon designee appointment, DMS will generate a CLOA with an expiration date on the last day of the 12th month following the CLOA’s approval date. DMS will continue to extend the expiration date for 12 calendar-months annually subject to the following conditions:

a.    Designee Completes DMS Action Item. The designee must complete the action item in DMS within 60 calendar-days of expiration.

b.    Designee Maintains Qualifications. The designee must continue to meet all requirements to maintain the authorizations listed on the CLOA.

c.    Length of Appointment. The designee may serve at the discretion of the Administrator until his or her designation is terminated in DMS.

6.    Reinstatement. A former APD who was terminated “not for cause” may apply for reinstatement up to 12 calendar-months after termination only for the air carrier where last assigned. The air carrier must submit a reinstatement request letter, and the former APD must:

a.    Have a prior record in DMS; and

b.    Continue to meet all requirements for issuance of the designation.

7.    Reinstatement Process. Once the Flight Standards office determines the former designee is still competent to perform authorized activities, the CLOA is reissued with the original designation number used for reinstatement.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter describes the policy associated with the responsibilities and obligations of an APD. This designation type-specific policy and the common policy in Volume 1 constitute the overall policy of responsibilities and obligations of an APD.

2.    APD Responsibilities. In addition to the responsibilities listed in Volume 1 of this order, APDs must:

a.    Complete Administrative Tasks. APDs must complete the airman certification forms or entries in accordance with FAA policy and regulatory requirements. The paperwork must be accurate, complete, and timely. All certification packages must be completed via IACRA or sent to the managing office within 7 calendar-days of completion.

b.    Establish Recency of Experience.

(1)    A pilot APD may accomplish recency-of-experience requirements in an approved level C or D full flight simulator (FFS).

(2)    An APD with an FE authorization may accomplish recency-of-experience requirements in an approved Level 6 or 7 flight training device (FTD), as well as all levels of an approved flight simulator.

c.    Assure Confidentiality. Designees must ensure that information regarding tests or checks remains private and confidential.

d.    Maintain Security of Controlled Material. Each APD is responsible for maintaining the security of controlled material pertaining to the issuance of the airman certificate. The APD must use appropriate security procedures as identified by the air carrier and managing specialist. At a minimum, APDs shall ensure adequate security of:

(1)    Knowledge element questions developed for the tests;

(2)    Skill element plans of action developed for the tests;

(3)    Airman Certificate and/or Rating Applications and Temporary Airman Certificates; and

(4)    Applicant Personally Identifiable Information (PII).

3.    APD Authorizations.

a.    Check Pilot and Check FE Observations. If authorized on the CLOA as a CPE or CFEE, an APD may conduct both initial and recurrent check pilot or check FE observations per § 121.413 or § 135.339. Limitations may be applied to restrict an APD to either initial or recurrent observations. The managing specialist or other assigned inspectors may conduct a check pilot or check FE observation at any time if desired.

b.    Administrative Authority. An APD may be authorized to perform administrative certificate functions for pilots at the employing air carrier subject to the following conditions:

(1)    The appropriate administrative authorizations must be listed on the APD’s CLOA;

(2)    An APD may only perform administrative functions for pilots employed by the APD’s air carrier; and

(3)    The APD receives FAA training on the issuance of certificates related to each specific administrative function authorized.

c.    Administrative Removal of Certificate Limitations. If appropriately rated, an APD may remove the limitations associated with §§ 61.64, 61.159, and 61.160. No specific administrative authorization is required on the APD’s CLOA. The applicant must be a pilot employed by the APD’s air carrier and needs only to present satisfactory evidence that he or she has met the appropriate requirements. Refer to Order 8900.1, Volume 5, Chapter 3, Section 1, Application Phase—ATP Applicants Engaged in Operations Under 14 CFR Parts 121, 135, or 91 Subpart K—Airplanes and Helicopters.

Note:  Each certification activity must be approved before the designee can perform any function on behalf of the FAA. Designees will complete preapprovals and post activities in DMS for all certificates issued

4.    APD Limitations. APDs must adhere to the following limitations:

a.    Proof of Eligibility. A designee may not conduct tests unless an applicant presents proof of eligibility as prescribed in regulation.

b.    Completion of Airman Knowledge Test. A designee may not conduct an oral or practical test unless the applicant has passed the required airman knowledge test.

c.    Pilots and FEs of the Employing Air Carrier. APDs may only conduct evaluations for pilots and FEs of the employing air carrier.

d.    Examiners-at-Large. APDs may not act as examiners-at-large by conducting practical tests or proficiency checks for the general pilot and FE population.

e.    Functioning as a Crewmember. An APD may not function as a required crewmember while conducting simulator evaluations.

f.    Teaching During Testing or Checking. An APD may not combine teaching with testing or checking during the evaluation of an applicant.

g.    Participation in Recent Training or Testing. Unless specifically authorized under an approved AQP, an APD may not evaluate an applicant for a certificate, additional rating, or an amendment without the expressed permission of the managing specialist if the APD has instructed the applicant in preparation for the certificate or rating sought, when the APD has recommended the applicant, or when the APD has found the applicant’s performance to be unsatisfactory on the previous evaluation. Exceptions to this policy may be granted on a case‑by‑case basis after considering any unique or extenuating operational circumstances surrounding the particular request. Scheduling convenience and trainee availability are not valid reasons to grant such permission.

h.    Applicant’s Third Evaluation. An APD may not conduct an evaluation of an applicant for any certificate action if during the previous two attempts the applicant was issued a Notice of Disapproval. The applicant’s third evaluation will be conducted by a qualified FAA ASI.

i.    Expired APD Authority. An APD must not conduct any evaluation after the APD expiration date listed in DMS.

j.    Use of the English Language. All tests and checks must be conducted using the English language.

k.    Exemptions from Testing or Checking Requirements. An APD may not exempt any applicant from the testing or checking requirements listed in the applicable practical test standards (PTS)/Airman Certification Standards (ACS), the approved curriculum, or applicable qualification module.

l.    Suspension of a Test or Check. An APD may not temporarily suspend a test or check to allow the applicant further study, and then continue the same test later.

m.    Amendment or Alteration of a Certificate. An APD may amend or alter a certificate only:

(1)    When adding a rating to the certificate of an applicant that the APD has tested and found to be competent.

(2)    When removing a limitation from a certificate, if authorized.

(3)    APDs may add a second-in-command (SIC) type rating to an airman’s certificate, if the applicant has successfully completed an approved air carrier curriculum that meets the requirements of § 61.55.

(4)    An APD authorized as an FE may remove the restriction imposed by Exemption 4901 for an FE applicant provided the APD has been appropriately trained and authorized to perform the removal.

n.    Expired Temporary Airman Certificate. An APD may not reissue or amend any expired Temporary Airman Certificate.

o.    Waivers, Special Medical Evaluations, Competency Tests. An APD may not conduct special medical evaluations, tests for waivers, or any test for competency under Title 49 of the United States Code (49 U.S.C.) § 44709. Such applicants will be referred to the responsible Flight Standards office.

p.    Evaluations Outside the United States. An APD may not conduct evaluations outside the United States without the permission of the assigned managing specialist.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of APDs. This designation type-specific policy and Volume 1 constitute the overall policy for the oversight and management of an APD.

2.    General.

a.    Considerations. Effective oversight of APDs is founded on a dogged strategy of risk management in which safety management principles by an air carrier, and oversight by the FAA, includes a continual process of weighing the harm potential of any hazard against the likelihood of its occurrence, and taking appropriate preventive action.

b.    APD Oversight. APD oversight includes the comprehensive evaluation, management, and monitoring of an APD’s activities. Complete surveillance involves a group of activities designed to evaluate an APD’s overall performance.

(1)    Oversight in DMS is not tied to the CLOA expiration date. Oversight need only be completed at some point within a given time period as defined by regulation and DMS.

(2)    Oversight activities may be completed independently over a set period of time, or any number of activities may be completed together.

(3)    This approach to oversight was adopted to allow the managing specialist flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee oversight is most effective when it occurs throughout the year rather than with an all-at-once, infrequent approach.

3.    Oversight Roles.

a.    Managing Office and Managing Specialist.

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

(2)    Managing specialists are responsible for ensuring designees maintain airman certification and checking standards as prescribed by regulation, FAA orders, the PTS/ACS, and approved training programs. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.

4.    Oversight and DMS.

a.    Designee Oversight. Designee oversight includes the managing, monitoring, and tracking of a designee’s activities and performance. Oversight activities include those generated in DMS and any additional oversight deemed appropriate by the managing specialist.

b.    Oversight Record. Maintaining an accurate oversight record in DMS is crucial not only to managing individual designees, but it also allows for the identification of strengths and weaknesses in the entire system. The managing specialist must conduct designee performance evaluations on an ongoing basis predicated on the outcome of oversight activities. An overall performance evaluation must also be recorded in DMS.

5.    Oversight Actions.

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

(1)    Oversight of designees in accordance with DMS-generated oversight activities and additional oversight as deemed necessary;

(2)    Complaints received about a designee’s conduct during certifications;

(3)    Designees determined to be in the “high risk” category;

(4)    Persons newly designated (inspections can occur at a higher level of frequency to ensure compliance); and

(5)    The managing specialist identifies a deficiency during an oversight activity or performance evaluation and determines the need for additional oversight.

b.    Preparing for the Inspection. Review the following documents prior to the inspection:

(1)    The designee’s record;

(2)    Previous inspection reports, historic data, and DMS entries;

(3)    Any correspondence between the Flight Standards office and the designee since the last inspection;

(4)    The APD’s plan of action and the air carrier’s approved training program; and

(5)    The oversight activity preapproval in DMS.

c.    Conducting Inspections. Although unannounced inspections are required and appropriate under some conditions, managing specialists should consider conducting inspections at a time coordinated with the APD. Oversight plans for designees that operate around or nearly around the clock should include inspections throughout the designee’s operating hours.

d.    Job Aids. Managing specialists should use job aids when available to assist with and standardize inspection functions. When a job aid is not available, inspectors should use the detailed guidance found in this order.

6.    Oversight Activities. In DMS, the following oversight activities are available:

a.    Direct Observation. The APD is observed conducting a complete test or check to ensure the designee performs in accordance with regulatory requirements, FAA policy, and applicable standards. If a designee is both a pilot and FE APD, then the designee must be observed conducting both a pilot and an FE test or check.

(1)    Purpose of Observation. The purpose of the observation is to evaluate the APD’s ability to exercise authority in accordance with the checking and/or testing requirements, and complete appropriate documentation. In DMS, each direct observation is split into two parts, the ground (oral) portion and the flight portion (flight portion only (LOE) for AQP).

(2)    Evaluation. Managing specialists must ensure that each APD observation is completed by an FAA inspector qualified in accordance with Order 8900.1, Volume 1, Chapter 3, Inspector Responsibilities, Administration, Ethics and Conduct. The evaluation will include:

(a)    An observation of the APD conducting the oral, FSTD, and (if appropriate) aircraft portion, or an LOE for APDs issued AQP authority.

(b)    The associated briefings and debriefings appropriate for the authorization(s) requested.

(3)    APD Aircraft Authority. If an APD will have authority in a simulator and in an aircraft, then an observation of the APD performing both functions is required:

(a)    If the APD is authorized to conduct a segment of the check or test in an aircraft, it is acceptable for the managing specialist to conduct the observation entirely in a simulator, provided the simulator can replicate all required maneuvers.

(b)    Those events normally conducted in the aircraft must be observed in the simulator with the APD in the crewmember position occupied when evaluating in the aircraft. If the APD’s normal position is in the right seat, then the managing specialist may act as the applicant in the pilot-in-command (PIC) position, if current and qualified. If the observation is conducted in something other than an airplane, then the typical seat position should be used.

(c)    The APD must still demonstrate in a simulator all tasks that would be evaluated in the simulator from the evaluator operating panel.

(4)    APD Administrative Authority. APDs with administrative authorizations should expect the FAA to observe their first administrative certification actions. Thereafter, APDs may be observed conducting administrative functions at any time without prior notice, subject to the following requirements:

(a)    Administrative observations will be recorded in DMS as a Direct Observation—Administrative.

(b)    The APD will be observed conducting a complete administrative certification event, from the applicant presenting the application, to the APD completing appropriate documentation and issuing the certificate.

(c)    Timing and frequency of administrative direct observations are at the discretion of the managing specialist.

(d)    Administrative direct observations do not meet the testing and/or checking direct observation requirements listed above.

(5)    Direct Observation Frequency.

(a)    Initial APD Authorization. All APDs should be observed at least once within the first 12 calendar-months after initial designation.

(b)    Recurrent Observations. APDs will be observed according to the risk-based activity matrix within DMS. At a minimum, the observation will consist of an actual certification event at least once every 24 calendar-months.

(c)    APDs with Special Authorizations. APDs with CPE and CFEE authority may be observed as determined by the managing specialist. CPE and CFEE direct observations will be recorded in DMS.

(d)    Overdue Direct Observations. The managing specialist should ensure a designee’s direct observation is completed on or before the due date listed in DMS. When a designee’s direct observation cannot be completed before the due date, DMS will not prevent the designee from performing additional delegated activities. All factors must be considered and risk managed appropriately. If the managing specialist determines the lack of a completed direct observation presents an unacceptable risk, the designee may be suspended in DMS until the direct observation is completed. Direct observations may not be extended more than one quarter beyond the due date (e.g., a due date of June 30 may not be extended beyond September 30).

(6)    Unannounced Direct Observations. It is noted that, when the FAA plans an observation of any portion of a practical test (either ground or flight), an applicant’s permission is not required. Further, advance notice to either the designee or applicant is not required. Unannounced observations are at the discretion of the managing specialist, and can be a useful tool in determining the quality of the designee’s work when they are not expecting to be observed.

b.    Annual Meeting. The managing specialist conducts an annual meeting with the APD.

c.    Activity Log. The managing specialist reviews the activity log in DMS for the previous four quarters in order to:

(1)    Evaluate whether APD activity justifies continued need for the designation.

(2)    Identify any compliance issues or other risk factors (e.g., a test taking an unreasonable amount of time, comparing activity reported in DMS to actual aircraft or training records).

d.    Certification Package Review. The managing specialist reviews all airman certification packages submitted to the office by the designee. APDs must accurately complete certification packages in a timely manner. Correction notices received from the Civil Aviation Registry Division (AFB-700) are also recorded.

e.    Review Feedback. The managing specialist records in DMS any information regarding the performance of his or her designee.

f.    Provide Technical Assistance. The managing specialist will document in DMS when technical assistance is provided to a designee. Technical assistance does not include answering a quick question via phone or email, but consists of more in-depth assistance involving research and/or training.

g.    Special Emphasis Oversight. Certain APD performance factors prompt at least one additional required observation other than those that are normally required. The following factors may be indicative of underlying safety risks that require timely FAA attention. Special emphasis inspections are prompted in the following situations:

(1)    Multiple Aircraft APD. An APD conducts tests or checks in multiple series of an aircraft type.

(2)    Test or Check of Applicant Trained by an APD. An APD tests or checks a student trained by that APD without prior approval from the managing specialist.

(3)    Certification File Error Rate. The APD has a certification file error rate exceeding 10 percent.

(4)    Valid Complaint, Accident, Incident, or Violation. The APD is the subject of valid complaint, or has been involved in an accident, incident, or violation.

Note:  Managing specialists, in consultation with their Flight Standards office management, may use discretion and judgment in the kind and frequency of inspections of individual APDs. For example, if a designee’s error rate is above 10 percent, the managing specialist should consider whether the designee has conducted very few practical tests, or is considered a high-activity APD.

7.    Performance Measures. For many of the oversight activities, the managing specialist should use the following performance measures to determine designee performance:

a.    Technical. The designee demonstrates sufficient knowledge, skill, and ability to conduct authorized tasks within established guidance and standards. The designee possesses an expert level of knowledge and skill, understands and uses appropriate terminology, uses the correct equipment, applies appropriate standards, and accurately interprets results.

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

(2)    Equipment and Materials. Does the APD select or use the appropriate equipment, device, tools, and reference material, etc., when planning or conducting tests?

(3)    Interpret and Apply. Does the APD correctly interpret and apply performance standards as required by the authorization?

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

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

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

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

(4)    Issuing Certificates, Approvals, Authorizations, or Results to the Applicant. Does the APD follow the correct procedure when completing and issuing certificates, approvals, test results, or other findings to the applicant upon completion of the testing activity?

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

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

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

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

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

8.    Performance Measures and Oversight Activity Results. For many of the oversight activities, the managing specialists will summarize the performance measures and make a final oversight activity result. See Figure 6-3 for the general process flow. The managing specialist can select from:

a.    Satisfactory;

b.    Needs Improvement;

c.    Unsatisfactory—Suspend; and

d.    Unsatisfactory—Terminate.

Figure 6-3.  Performance Measures and Oversight Activity Results

9.    Performance Evaluation. See Volume 1.

10.    Followup Actions. If the designee’s oversight outcome results in “Needs Improvement” or “Unsatisfactory,” then appropriate followup action(s) must be determined and recorded in DMS. These actions may include any of the following:

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

b.    Additional Training. Managing specialists may prescribe additional training to correct a deficiency related to a specific event, an oversight activity, or to address specific performance issues.

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

d.    Reduce Authority. A managing specialist may initiate a reduction in a designee’s authority until the performance issue has been corrected.

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

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

f.    Actions to Address Regulatory or Statutory Noncompliance. If compliance or enforcement action is required, the managing specialist should refer to the current editions of Order 8900.1, Volume 14, Compliance and Enforcement, and FAA Order 2150.3, FAA Compliance and Enforcement Program, for correct procedures and to determine action choice(s).

11.    Designee Management Functions.

a.    Expand Authorities or Change Limitations. This functionality of DMS is available to managing specialists to address changes in the need and ability-to-manage requirements. The managing specialist must provide justification and an appointing official must approve all requests to expand authority or change limitations. If approved, DMS will automatically update the APD’s authorities and CLOA.

b.    Reduce Authority. The managing specialist may initiate, or an APD may request, a reduction in an APD’s authority through DMS. The managing specialist must provide justification and an appointing official must approve all requests to reduce authority. If approved, DMS will automatically update the APD’s authorities and CLOA.

c.    Record Note. Record note allows the managing specialist to make a personal note in the APD’s DMS record that only the managing specialist can view. This note does not remain a permanent part of the APD record.

d.    Send Message to Designee. The managing specialist is able to transmit messages and notifications through DMS, such as changes in the regulations, upcoming meetings, and other communications, as may be necessary.

e.    Record Feedback. Record feedback allows any FAA employee with access to DMS to record information pertaining to the designee. This may be positive or negative feedback, and may come from sources within or outside the FAA. Followup action, if required, will be determined by the managing specialist.

f.    Preapproval. APDs must obtain preapproval to perform functions on behalf of the FAA. The managing specialist will issue any special instructions to the designee during the preapproval process. Preapprovals may be authorized through two methods, manual or automatic.

(1)    Manual Preapproval. Manual preapproval requires the managing specialist to review each request for activity and approve it in DMS. This allows the managing specialist to stay informed of the APD’s activities and plan appropriate oversight. It provides a means for the managing office to ensure an APD is performing only those functions authorized in the CLOA.

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

Note:  Automatic preapprovals will not be granted to an APD during the first 30 days of initial appointment.

(3)    Preapproval Timeframe. APDs should complete preapprovals as far in advance as possible to allow the managing specialist or another ASI time to prepare for possible oversight. APDs work in a dynamic and variable environment that may require completion of preapprovals less than 24 hours prior to the requested activity. While this may occur fairly often, consistently late preapprovals may be an indicator of risk. Managing specialists should closely monitor preapproval timeframes and manage risk appropriately. Managing specialists will receive a notification in DMS when a designee submits a preapproval less than 24 hours prior to the requested activity.

(4)    Change, Cancel, or Copy Preapproval. DMS allows the designee to change, cancel, or copy a preapproval request.

g.    Post-Activity. APDs are required to complete post-activity reports in DMS after performing each activity. Post-activity reports provide the managing specialist with a record of activity for each designee. These reports can aid in planning an appropriate level of oversight.

(1)    Post-activity reports shall be completed within 7 calendar-days of the approved activity.

(2)    If an APD does not complete a post-activity report within the requisite 7 calendar-day submission deadline, DMS will not grant another preapproval number until all outstanding post-activity reports have been completed.

(3)    Access to post-activity reports will remain available to an APD for up to 7 calendar-days after a termination, suspension, or expiration for the APD to record any results.

Chapter 7.  Training

1.    Purpose. This chapter provides the policy related to the training of APDs and FAA personnel. This designation type-specific policy and Volume 1 constitute the overall policy for the training of APDs and FAA personnel.

2.    General.

a.    Managing Specialist Actions.

(1)    The managing specialist should work closely with the air carrier to coordinate and schedule APD training and meeting requirements.

(2)    The managing specialist will validate in DMS that the APD completed all required training before initial appointment, during each performance evaluation, and prior to the next training due date.

(3)    The managing specialist may suspend an APD who fails to complete training and/or meeting requirements.

(4)    The managing specialist must conduct adequate oversight of APD initial and recurrent training curriculums that are conducted by the air carrier. This oversight is recorded outside of DMS.

b.    APD Training Considerations.

(1)    APDs may complete the initial training in lieu of the recurrent training in order to meet the recurrent training requirements.

(2)    APDs will not exercise their authority as designees unless they satisfactorily meet all training requirements.

3.    FAA-Conducted Training and Meetings. Managing specialists will ensure APDs are trained in the elements listed in Table 6-5, FAA-Conducted Training and Meeting Requirements. APDs should be encouraged to contact the managing specialist and include the air carrier to resolve questions or difficulties. Sufficient contact is essential and will include training, regular meetings, and special meetings. All training conducted by the FAA will be recorded in DMS.

a.    Initial FAA-Conducted APD Training. The FAA must train APD candidates in the specific areas identified below in Table 6-5.

b.    Recurrent FAA-Conducted APD Training. APDs must attend recurrent training every 24 calendar‑months. Managing specialists will ensure training is provided for those elements listed in Table 6-5. An APD who completes this training in the calendar-month before or after the month in which it is due is considered to have taken it in the month in which it was due.

c.    Regular Safety Standardization Meetings. At least annually, managing specialists will conduct regularly scheduled meetings with APDs for the purpose of maintaining desirable standards and effective working relationships. This meeting may be combined with recurrent FAA-conducted training. Managing specialists should use professional judgment when choosing areas of discussion. Examples of meeting topics include:

(1)    Updates on administrative procedures and personnel.

(2)    Updates in approved programs.

(3)    New testing standards or training techniques.

(4)    National Transportation Safety Board (NTSB) or FAA Flight Standardization Board (FSB) recommendations on specific aircraft.

d.    Special Safety Standardization Meetings. Managing specialists will call special meetings whenever a significant change affects the process of FAA airman certification or other APD functions deemed necessary by the POI, APM, and/or managing specialist.

Table 6-5.  FAA-Conducted Training and Meeting Requirements

4.    FAA Personnel Training.

a.    Initial Training Requirements. Training requirements for managing specialists with APD responsibilities include:

(1)    Completion of the air carrier operations ASI indoctrination courses, or equivalent.

(2)    Completion of the managing FAA office’s managing specialist on-the-job training (OJT) program.

(3)    Completion of appropriate FS designee management training courses.

(4)    Currency and qualification in accordance with Order 8900.1 for performing direct observations of APDs or applicants.

Note:  Managing specialists need not be qualified in every aircraft in which the air carrier operates. If needed, a managing specialist may request a national resource or other available inspector to conduct required direct observations.

b.    Recurrent Training Requirements. FAA personnel with designee oversight responsibilities should complete recurrent designee management training every 3 years.

Note:  For detailed information regarding the training of APMs managing designees in an ADE program, see Order 8900.1, Volume 13.

c.    Training. Specific courses required for designee oversight are listed in the “Inspector Training for Designee Oversight” matrix. The training matrix is maintained on the Flight Standards Workforce Development Division (AFB-500) website at https://my.faa.gov/org/linebusiness/avs/offices/afx/divisions/afb/afb500.html. The training matrix is organized by designee type, and promotes the FS philosophy that the most appropriate person (or target audience) should attend the right training at the right time. The local training coordinator can also provide access to the training matrix and assistance on training needs assessment for ASIs assigned to designee management.

Chapter 8.  Annual Request for Extension of a Designee’s Authorization

See Volume 1.

Chapter 9.  Termination of a Designation

See Volume 1.

Chapter 10.  Suspension of a Designation

See Volume 1.

Chapter 11.  Appealing a Ban or Termination for Cause

1.    Purpose. This chapter provides the policy related to appealing the ban or termination for cause of an APD. This designation type-specific policy and Volume 1 constitute the overall policy for appealing a ban or termination for cause for an APD.

2.    General. See Volume 1.

3.    Official Responsibilities of the Appointing or Selecting Official During Appeal. See Volume 1.

4.    Appeal Panel Responsibilities. See Volume 1.

5.    Appeal Considerations.

a.    Forwarding the Appeal. The FAA office manager will forward the appeal request to AFS-600.

b.    Appeal Panel. The AFS-600 division manager or delegate overseeing the appeal will convene an appeal panel comprised of three members:

(1)    An AFS-600 representative;

(2)    An AFS-200 representative; and

(3)    A Flight Standards office manager not associated with the office that terminated the designee.

c.    Review of Decision. The panel will review the termination decision and make a final decision within 45 calendar-days of the appeal.

d.    Final Decision. The appeal panel’s decision is final.

e.    Documentation. All documentation associated with the appeal (e.g., outcome, members of the appeal panel, communication with the designee or the Flight Standards office) should be included in the designee’s DMS file.

Chapter 12.  Other Designee Management Functions

1.    Purpose. This chapter provides the policy related to other APD management functions. This designation type-specific policy and Volume 1 constitute the overall policy for other designee management functions for an APD.

2.    Assign DMS Roles.

a.    General. See Volume 1.

b.    Master Role Assigner (MRA). The MRA is typically the office manager or FLM.

3.    Send Message to Managing Specialist. See Volume 1.

4.    Update Profile. See Volume 1.

5.    Retention of Existing Designee Management Files. See Volume 1.

VOLUME 7.  TCE DESIGNEE POLICY

Chapter 1.  General Information

Section 1.  Introduction

1.    Purpose of This Volume. This volume supplements the common designee policy by providing specific guidance for the administration of the Training Center Evaluator (TCE) designee management program not otherwise provided in detail in Volume 1, Common Designee Policy.

2.    Audience. The primary audience for this volume is TCEs and FAA personnel with oversight responsibilities of designee programs, including FAA management, operational, and administrative employees, as appropriate.

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

a.    Availability of the DMS IT tool for the respective designee type.

b.    Completion of transition training in the electronic Learning Management System (eLMS) by the managing specialist and their respective management officials.

4.    Conflicts With Other FAA Orders. The guidance in this order may conflict with that in other FAA orders and directives. This situation may arise inadvertently or because it is impractical to revise all orders simultaneously. Because FAA Order 8000.95 encompasses all aspects of designee management, this order takes precedence over other orders containing conflicting information. If the guidance in this order conflicts with 14 CFR, 14 CFR takes precedence. Inspectors should refer questions about such conflicts to their immediate supervisors.

Section 2.  Overview of Designee Functions.

1.    TCE. A TCE is an individual employed by a training center certificate holder who is authorized by the Administrator to perform tests for certification, added ratings, authorizations, and proficiency checks that are authorized by the certificate holder’s training specifications (TSpec).

a.    Title 14 CFR Parts 142 and 183. TCEs are issued authority to conduct various evaluations based on the FAA’s need and ability to manage the TCEs. The regulatory basis for the designation of a TCE may be found in parts 142 and 183. The FAA considers TCEs with certification authority to be examiners as the term is used in part 183. Training centers certificated under part 142 are required to have sufficient personnel to support their training objectives, which includes the appointment of TCEs. Part 142 also outlines the prerequisites, training requirements, operating procedures, and limitations of TCEs.

b.    Contract Check Pilot Authorization. A TCE may, with the approval of the operator’s Principal Operations Inspector (POI), be authorized to act as a contract check pilot for that operator. Check pilots and their associated authorities are not a part of DMS or this policy. Check pilot policy and regulatory information can be found in FAA Order 8900.1 and the associated regulatory sections.

c.    TCE Authorizations. Specific TCE authorizations are listed on the designee’s Certificate Letter of Authority (CLOA) issued through DMS. The following tables list the authorizations that may be issued to a TCE:

Table 7-1.  Certificate Level Testing and Checking Authorizations

Table 7-2.  Aircraft Category and Class Authorizations

Table 7-3.  Administrative Authorizations

Table 7-4.  Special Authorizations

2.    TCEs Abroad.

a.    Approved Training Program. A TCE may be authorized to serve at locations outside the United States, provided the TCE will examine only those applicants from the training center for which TCE authorization is held, in accordance with the part 142 training program.

b.    Managing Office. A designee serving internationally will generally be managed by the Flight Standards office responsible for the TCE’s training center.

c.    Non-U.S. Citizen Authorization. An individual who is not a U.S. citizen may be authorized as a TCE abroad only when the need cannot be filled by a U.S. citizen, and the individual has met the U.S. certification requirements for the examining authority requested.

Section 3.  Roles and Responsibilities

1.    FAA Personnel Roles and Responsibilities.

a.    Office Manager.

(1)    Office managers are responsible for the personnel, training, and budget resources necessary to accomplish the management and oversight of designees.

(2)    Office managers should anticipate changes in personnel requirements as a result of the “need and ability” standard discussed in Chapter 3, Selection and Evaluation of a Designee Applicant.

(3)    Office managers are responsible for continually evaluating the effectiveness of the designee program and managing specialists.

b.    Appointing Official. Appointing officials are typically office managers, but may be Front Line Managers (FLM).

c.    Selecting Official. Selecting officials are typically FLMs, but may be office managers.

d.    Master Role Assigner (MRA). MRAs are typically office managers, but may be FLMs. MRAs ensure inspectors and supervisory staff are assigned appropriate roles within DMS to carry out assigned duties.

e.    Managing Specialist. Managing specialists are experienced FAA aviation safety inspectors (ASI) whose specialty is part 142 operations. Managing specialists provide oversight, guidance, and support to assigned TCEs.

(1)    The managing specialist is typically one of the following:

(a)    Training Center Program Manager (TCPM);

(b)    Assistant Training Center Program Manager (ATCPM);

(c)    Fleet Training Program Manager (FTPM);

(d)    Partial Program Manager (PPM); or

(e)    Other assigned inspector.

(2)    Managing specialists must ensure TCEs are prepared to perform their duties, including the completion of required training and the maintenance of the minimum qualifications for designation as prescribed in Chapter 2, Application Process.

(3)    Managing specialists are responsible for ensuring TCEs maintain airman certification standards as prescribed by regulation, approved training programs, and applicable policies. Managing specialists must conduct an active program of meetings and oversight to achieve this objective.

(4)    Designee management must consider potential risks and hazards to safety. Managing specialists should remain constantly vigilant for such risks and hazards. These ASIs should review DMS data and other resources, such as the Safety Performance Analysis System (SPAS), to ensure oversight on problem areas.

(5)    Managing specialists must work closely with assigned training centers to assess risk and ensure TCE programs meets the highest level of safety, standardization, and quality assurance.

f.    Proxy. The proxy role allows an office to assign a surrogate or backup in DMS to a person holding a primary DMS role for offices with a large number of designees or for when the person holding the primary role will be unavailable.

(1)    Proxies should meet the same qualifications required to hold the primary role.

(2)    Proxies may be assigned for a defined amount of time or indefinitely.

(3)    Only the appointing official, selecting official, and managing specialist roles may be proxied.

(4)    An appointing official or selecting official may have only one proxy. Only an appointing official may assign an appointing official proxy. Only an appointing official or selecting official may assign a selecting official proxy.

(5)    Each designee may have only one managing specialist and up to three managing specialist proxies. An appointing official, selecting official, and the managing specialist who will be proxied may assign a managing specialist proxy.

(6)    Proxy candidates must accept the proxy request in DMS in order to be assigned a proxy.

(7)    Primary role holders and proxies should coordinate designee-related activities outside of DMS to prevent duplicate efforts or entries in DMS.

g.    Aviation Safety Inspector (ASI). In addition to the roles listed above, any ASI may access DMS to record specific oversight and other activities using the ASI role in DMS.

h.    Reporting. The reporting role allows the user to access DMS reports to view designee data and assess risk.

Chapter 2.  Application Process

1.    Purpose. This chapter provides the policy related to an individual applying to be a TCE. This designation type-specific policy and Volume 1 constitute the overall policy for the application process for a TCE applicant.

2.    General.

a.    Application Considerations. The application process to designate a TCE is initiated by the employing part 142 training center.

(1)    The part 142 certificate holder must submit a letter to the managing specialist requesting appointment of the TCE applicant. The training center will ensure the request letter is provided to the TCE applicant for upload into DMS. The letter of request must contain the following:

(a)    Justification of need based on FAA criteria;

(b)    Identification of specific authority requested;

(c)    Projected timeline of internal evaluator curriculum completion;

(d)    Explanation of how this applicant is the most qualified of eligible applicants; and

(e)    Statement that training center management has determined that the applicant meets all eligibility and minimum qualification requirements for appointment.

(2)    The TCE applicant must:

(a)    Complete an application in DMS; and

(b)    Upload the training center request letter and a current résumé and/or supplemental information sheet (available in DMS).

(3)    The training center will coordinate TCE applications with the managing specialist. TCE applicants will not be considered for designation without a completed DMS application, receipt of the request letter, and uploaded supplemental information.

(4)    FAA Tracking Number (FTN). TCE applicants must enter their FTN as part of their application in DMS. The FTN is an essential link between DMS and the Integrated Airman Certification and Rating Application (IACRA) that verifies designee authorizations and allows activity and certification records to align between systems. Applicants can locate their FTN by logging into IACRA.

b.    Who Should Apply. Employees of a training center that have been recommended for nomination as a TCE.

c.    Multiple Designations. The FAA may designate an airman to perform multiple certification services as a designee. In addition, a designee may be designated to hold more than one type of designation. For TCE applicants, consideration should be given to the effect of multiple designations on the ability of the TCE to perform functions appropriately.

3.    Minimum Qualifications for TCEs. To be eligible for consideration as a TCE, candidates must first:

a.    Meet the requirements listed in Volume 1, this chapter, and DMS.

b.    Hold an unrestricted FAA pilot or FE certificate, as appropriate, to act as pilot in command (PIC) or FE for the specific aircraft in which the applicant seeks authority.

c.    Meet the instructor qualification and training requirements of part 142 subpart C.

d.    Be currently assigned as an instructor at the employing training center.

e.    Be qualified in each specific curriculum and the associated flight training equipment for which TCE privileges are requested.

f.    Have an excellent record as an airman regarding history of compliance actions, violations, accidents, and incidents. The managing specialist must verify the airman information through the FAA’s recordkeeping systems before scheduling any training or qualification observations.

g.    Have at least 1 year of training center experience as a simulator instructor, and have accumulated at least 100 hours of flight simulation training device (FSTD) operating experience within the previous 12 calendar‑months in the same aircraft make, model, series (M/M/S), and type (if type is applicable) of FSTD or aircraft for which the designation is requested.

(1)    Managing specialists may consider the candidate’s previous experience as an alternative to the one‑year experience requirement if such experience is appropriate, timely (within the last 36 calendar-months), and equivalent to the 1-year prerequisite.

(2)    When considering a candidate’s previous experience to determine its equivalency relative to the authorization(s) being requested, the managing specialist must carefully evaluate the candidate’s overall experience in the type of operation and aircraft for which authorization is sought.

(3)    Examples of experience that may be considered include prior experience as a TCE, Aircrew Program Designee (APD), Designated Pilot Examiner (DPE), 14 CFR part 91 subpart K (part 91K) check pilot, or a 14 CFR part 119 certificated air carrier check pilot.

Note:  To ensure standardization, requests for waivers to the 1-year experience requirement will be forwarded to the appropriate policy office per the deviation process listed in Chapter 3, Selection and Evaluation of a Designee Applicant. Other listed requirements, including the 100‑hours of experience in the same M/M/S of FSTD, are not subject to waiver.

(4)    The 1-year training center experience and 100-hour requirement to be considered as a TCE do not apply to the introduction of a new aircraft type to the certificate holder’s program, which would allow an initial cadre (see paragraph 5 below).

4.    TCE (Aircraft). When maneuvers and procedures cannot be fully completed in an approved FSTD, a TCE may be authorized to conduct evaluations in an aircraft in flight.

a.    Additional Requirements. TCEs who conduct aircraft evaluations must meet the same requirements specified for FSTD instructors, plus the additional training requirements listed in § 142.53(a)(5) and (6).

b.    Hours as PIC. Candidates requesting authorization to conduct evaluations in an aircraft while acting as a required crewmember must have logged at least 100 hours as PIC in the M/M/S of the aircraft, except when approved as initial cadre on newly certificated aircraft types, or newly acquired aircraft for the employing training center.

5.    Initial Cadre TCEs. During the early phases of establishing a TCE program, initial cadre TCEs are required. Initial cadre TCE candidates must first become fully qualified as flightcrew members and then be trained, evaluated, and approved as TCEs. Because the regulatory language of part 142 does not address a training process for initial cadre TCEs, this section provides the necessary guidance. The process that follows is valuable for startup operations, or when a new aircraft type is introduced to a training center, because it is a practical way to initiate and build a TCE program, and because it takes advantage of initial training when the center is under close FAA scrutiny (with desirable effects on the TCE program).

a.    Existing Training Program. The introduction of an aircraft which is new to a particular satellite training center, but for which the certificate holder already has an existing training program established at another location, does not qualify for approval of instructors and/or evaluators under an initial cadre.

b.    Training Center Request. The overseeing inspector must arrange with the training center to approve one or more TCE candidates to form an initial cadre. The training center must submit a letter of request and an initial implementation plan. The implementation plan must include a description of the prerequisites, training, and checking that the initial cadre TCEs will undergo, as well as any associated administrative functions. Specifically, quality control (QC) measures, the training curriculum, recordkeeping, and the methods that will be used for the instructor to gain experience must be clearly identified, as well as any additional information required by the managing specialist or the TCPM. The letter of request must contain the following:

•    Name of initial cadre candidates,

•    Business address,

•    Candidate airman certificate numbers,

•    Candidate current positions,

•    Requested TCE authorities,

•    Aircraft type,

•    Brief résumé of each candidate’s aviation background and experience, and

•    Copies of each candidate’s training records.

Note:  The TCPM or managing specialist may require additional information to suit circumstances.

c.    Training, Startup, or New Aircraft Introduction. The training center must provide a full qualification process for the initial cadre of TCEs nominated.

d.    Initial Training and Certification. Prior to initial cadre TCE designation, the training center must first arrange to have the initial cadre TCE candidates trained and appropriately certificated. The training center may provide the training internally, or by contracting with a manufacturer, another part 142 training center, or with other qualified individuals such as flight test pilots (FTP). In any case, initial cadre TCE candidates must meet all of the regulatory requirements of part 142.

e.    Gaining Proficiency as an Instructor. After the initial training and certification, initial cadre TCE candidates must become proficient in the training center’s approved training program by instructing one another. During this training, a training center may arrange for a pilot from the manufacturer, an operator, or another source to act as the safety pilot or instructor pilot, if needed.

f.    Proficiency and Competency Checks. After the first initial cadre TCE candidates have become proficient as instructors, they may then begin the training and checking of other initial cadre TCE candidates in accordance with the training center’s initially approved flight training and qualification curriculum segments.

(1)    Each check must be observed by an FAA inspector who meets the qualification requirements of FAA Order 8900.1, Volume 1, Chapter 3, Inspector Responsibilities, Administration, Ethics and Conduct.

(2)    If the inspector determines that the performance of an initial cadre TCE candidate conducting a certain check is satisfactory, the inspector will recommend to the overseeing inspector that the airman be approved as a TCE for that type of check.

(3)    One initial cadre TCE candidate may check another initial cadre TCE. Initial cadre TCEs can repeat this process until each candidate has been approved as a TCE or has been terminated from the program. If only one individual is considered the initial cadre TCE, an inspector will observe that individual conducting a check of another airman.

g.    Designation of Initial Cadre TCE. Designation of an initial cadre TCE follows the same basic procedures as for normal (not initial cadre) TCEs.

h.    Surveillance of Initial Cadre TCEs. Initial cadre TCEs may not meet the 1-year and 100-hour experience requirements, as a normal TCE (not initial cadre) would. Additional FAA surveillance may be required to mitigate the risk associated with this lack of experience. Although the TCE may be issued a CLOA after the initial surveillance/observation is completed as part of the normal designation process, additional surveillance may also be performed. Typically, an additional three to five surveillance activities are performed within the first 6 to 9 months following designation; however, TCPMs may deviate below these normal surveillance expectations when the TCE candidate possesses exceptional experience. Conversely, additional surveillance may be required for TCE candidates who lack previous experience that would normally be expected. The following are factors to consider when determining additional surveillance:

(1)    Overall training center industry experience with the aircraft type. For example, is this the first curriculum at any training center for this aircraft type?

(2)    The specific training center’s overall experience with introducing new aircraft type curriculums. For example, is this the first new aircraft type the training center has introduced since certification as an air agency?

(3)    Previous surveillance results during the introduction of a new aircraft type curriculum at that specific training center.

(4)    Previous experience of each individual TCE, including previous experience as an APD or check pilot on the same aircraft type. For example, does the TCE have previous TCE experience on other aircraft of the same make? Or does the TCE have previous experience as an APD for an air carrier on the same aircraft type?

6.    Expanded Authority. Designees may request additional authorizations to their designation. All requests must be made in DMS using the designee’s action link. Requests for additional authorizations are viewable in DMS by the selecting official in the same manner as for initial appointment.

7.    Disqualifiers. See Volume 1.

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

9.    Post-Application. See Volume 1.

Chapter 3.  Selection and Evaluation of a Designee Applicant

1.    Purpose. This chapter provides the policy related to the selection and evaluation of TCE applicants. This designation type-specific policy and Volume 1 constitute the overall policy for the selection and evaluation of a TCE applicant.

2.    General.

a.    Selection Process. The selection process for a TCE applicant is initiated after the training center submits a letter of request to the assigned Flight Standards office and the designee applicant completes the DMS application. The selecting official then initiates the selection process through DMS. Below is a high-level representation of the designee selection process.

Figure 7-1.  High-Level Selection Process Flow

b.    Selection Considerations.

(1)    The training center should put forth recommendations of the most qualified applicants based on experience, knowledge, and ability.

(2)    The selecting official should review all information provided by the training center, managing specialist, and ASIs associated with the training center, when selecting the applicant for evaluation.

(3)    Preferred sources for TCE candidates are:

(a)    Current or former FAA designees.

(b)    Current or former air carrier, military, or foreign Civil Aviation Authority (CAA) evaluators who have engaged in evaluation activities that involved testing and/or checking.

3.    Need and Ability to Manage. The selecting official must determine that a need exists and the office has the ability to manage the designee. The selecting official should work closely with assigned inspectors and the managing specialist that will likely be responsible for determining need and ability. The following items must be considered when determining the need and the ability to manage each TCE:

a.    Need Considerations.

(1)    The ability of the training center to provide the required testing or checking of applicants within 7 calendar-days after the completion of training.

(2)    The number of complaints received from the public, if any, about a lack of TCEs to provide certification.

(3)    The activity at the training center has increased or is forecasted to increase, and cannot be supported with existing designees.

(4)    The ability of the FAA to support the certification work and need with existing designees.

(5)    The FAA has lost an employee or designee resource.

(6)    The total number of FSTDs.

(7)    The number and use of satellite training centers.

b.    Ability to Manage Considerations.

(1)    FAA inspector staffing must be sufficient and possess the technical skills and knowledge required to manage and oversee the designee.

(2)    The existing and projected office workload must allow the office to effectively manage the designee.

(3)    Funding must be adequate to allow inspector travel necessary to perform designee management and oversight. If existing budget constraints do not allow for proper oversight, then the designee appointment must not be made.

(4)    The geographic location of the designee must not prohibit the ability of the FAA to provide normal designee management and oversight.

c.    Other Considerations.

(1)    The need for a new designee is driven by the needs of the public. Prior to designation, the training center must clearly show a need for the requested TCE. Scheduling convenience or allowing an individual to meet some other requirement, such as designation by a foreign entity, cannot be considered as justification for the designation.

(2)    A utilization review of all TCEs at the training center with similar authority should be accomplished when need is determined. If there is a large variation of activity between TCEs with similar authority, the ability of the training center to efficiently schedule TCEs should be assessed. A large variation of activity would normally prevent the designation of additional TCEs.

(3)    A Memorandum of Understanding (MOU) is required to establish and maintain TCEs and to provide training for FAA Operations ASIs assigned to provide oversight duties at the training center. The MOU must be written in accordance with the instructions and the sample MOU which can be found on the list of effective documents located on the part 142 training centers website at https://www.faa.gov/pilots/training/part_142/. Any deviations to this template must be approved in writing by the Air Transportation Division (AFS-200), in coordination with the Regulatory Support Division (AFS-600).

4.    Requesting Qualified Applicants.

a.    List of Qualified Applicants. Once the FAA establishes the need and ability to manage a designee, the selecting official can request a list of applicants from DMS. DMS will search active applicants to identify candidates that most closely match the specified criteria.

b.    Deviation from Minimum Qualifications. If no qualified TCEs are available within DMS and the FAA demonstrates a significant need for the appointment, the managing specialist may request that the selecting official petition AFS-600, who will coordinate with AFS-200 for a deviation from minimum qualifications as follows:

(1)    Documentation. The selecting official will document and communicate the circumstances and justification for the deviation in a memo outside of DMS.

(2)    Coordination. The selecting official must route the request through the appropriate division management leadership for concurrence external to DMS. If in agreement with the recommendation, AFS-600, in coordination with AFS-200, will document the circumstances and justification in DMS and complete the required DMS process.

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

5.    Evaluation.

a.    Evaluation of a Designee Applicant. The FAA is required to determine if an applicant is the best qualified for appointment as a TCE. An FAA goal is to establish a uniform designee candidate assessment process (as much as practicable) for all designee types. When a training center presents one or more TCE applicants for selection, the Flight Standards office will establish an evaluation panel to further review and determine if each applicant is appropriately qualified.

b.    Evaluation Panel. The evaluation panel must include at least two individuals:

(1)    The managing specialist who is expected to be assigned to the designee. The presumed managing specialist will assume the lead role during the evaluation process and coordinate the evaluation panel results in DMS.

(2)    The office manager, FLM, or any other operations inspector.

c.    Evaluation Panel Checklist. For each prospective TCE candidate, the evaluation panel must complete the following checklist:

(1)    Review the training center request letter and determine if it contains the required elements.

(2)    Review the TCE application in DMS.

(3)    Verify the minimum qualifications have been met.

(4)    Verify the applicant possesses the appropriate airman certificate, category and class rating, and type rating for the authorities being sought.

(5)    Determine if the TCE duties will be conducted in an aircraft and if a medical certificate is required.

(6)    Conduct an interview of the TCE applicant to verify qualifications, application information, and ensure qualities exist to be successful as a designee.

(7)    Contact references as necessary.

(8)    Review relevant information from the following FAA databases to determine the candidate’s aviation background and any issues which may have an adverse effect on the candidate’s application:

(a)    DMS;

(b)    SPAS;

(c)    Accident Incident Data System (AIDS);

(d)    Enforcement Information System (EIS);

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

(f)    Safety Assurance System (SAS).

d.    Evaluation Panel Tasks. In addition to the checklist above, the evaluation panel must ensure the TCE applicant has completed the following activities prior to designation:

(1)    Verify the following training has been completed successfully:

(a)    The training center’s approved TCE training; and

(b)    The FAA TCE training (see Chapter 7, Training).

(2)    Ensure the proficiency check required by § 142.55(a)(4) has been completed (see Chapter 6, Oversight and Management of a Designee).

(3)    Ensure the TCE candidate has been observed conducting a complete certification test consisting of oral, simulator, and aircraft portions if required, when certification authority is requested. If certification authority is not requested, then observe the check for the requested authority (see Chapter 6).

e.    Evaluation Panel Outcomes. At the conclusion of the evaluation events, the evaluation panel will make a recommendation in DMS to the selecting official whether to appoint the applicant or not, and indicate what authorities or limitations should be included in the CLOA. There are two appointment recommendation types:

(1)    Approve. The evaluation panel recommends appointment and now must:

(a)    Identify recommended authorizations and limitations.

(b)    Prepare the recommendation for review by the selecting official and appointing official.

(2)    Disapprove. If the evaluation panel recommends disapproval, justification must be provided in DMS.

f.    Selecting Official Actions. The selecting official may accept or reject the evaluation panel recommendation.

6.    Banning. See Volume 1.

Chapter 4.  Designee Appointment

1.    Purpose. This chapter provides the policy related to the appointment of TCE designees. This designation type-specific policy and Volume 1 constitute the overall policy for the appointment of a TCE.

2.    General.

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

Figure 7-2.  High-Level Appointment Process Flow

b.    Appointment Checklist. The evaluation panel recommends appropriate privileges and limitations in the CLOA based on the applicant’s:

(1)    Background experience;

(2)    Personal and professional qualifications; and

(3)    Needs of the appointing office.

c.    Appointing Official Actions. The appointing official may accept or reject the evaluation panel and selecting official recommendations.

3.    Designee Number. See Volume 1.

4.    CLOA. See Volume 1.

5.    CLOA Expiration Date. Upon designee appointment, DMS will generate a CLOA with an expiration date on the last day of the 12th month following the CLOA’s approval date. DMS will continue to extend the expiration date for 12 calendar-months annually subject to the following conditions:

a.    Designee Completes DMS Action Item. The designee must complete the action item in DMS within 60 calendar-days of expiration.

b.    Designee Maintains Qualifications. The designee must continue to meet all requirements to maintain the authorizations listed on the CLOA.

c.    Length of Appointment. The designee may serve at the discretion of the Administrator until his or her designation is terminated in DMS.

6.    Reinstatement. A former TCE who was terminated “not for cause” may apply for reinstatement up to 12 calendar-months after termination only for the training center where last assigned. The training center must submit a reinstatement request letter, and the former TCE must:

a.    Have a prior record in DMS; and

b.    Continue to meet all requirements for issuance of the designation.

7.    Reinstatement Process. Once the Flight Standards office determines the former designee is still competent to perform authorized activities, the CLOA is reissued with the original designation number used for reinstatement.

Chapter 5.  Responsibilities and Obligations of a Designee

1.    Purpose. This chapter describes the common policy associated with the responsibilities and obligations of a TCE. This designation type-specific policy and Volume 1 constitute the overall policy for the responsibilities and obligations of a TCE.

2.    TCE Responsibilities. In addition to the responsibilities listed in Volume 1 of this order, TCEs must:

a.    Complete Administrative Tasks. TCEs must complete the airman certification forms or entries in accordance with FAA policy and regulatory requirements. The paperwork must be accurate, complete, and timely. All certification packages must be completed via IACRA or sent to the managing office within 7 calendar-days of completion.

b.    Establish Recency of Experience.

(1)    A pilot TCE may accomplish recency of experience requirements in an approved level C or D full flight simulator (FFS).

(2)    A TCE with an FE authorization may accomplish recency-of-experience requirements in an approved level 6 or 7 flight training device (FTD), as well as all levels of an approved flight simulator.

c.    Assure Confidentiality. Designees must ensure that information regarding tests or checks remains private and confidential.

d.    Maintain Security of Controlled Material. Each TCE is responsible for maintaining the security of controlled material pertaining to the issuance of the airman certificate. The TCE must use appropriate security procedures as identified by the training center and managing specialist. At a minimum, TCEs shall ensure adequate security of:

(1)    Knowledge element questions developed for the tests;

(2)    Skill element plans of action developed for the tests;

(3)    Airman Certificate and/or Rating Applications and Temporary Airman Certificates; and

(4)    Applicant Personally Identifiable Information (PII).

3.    TCE Authorizations.

a.    Section 142.53 Authority. If authorized on the CLOA as a 142.53 IE, a TCE may conduct the instructor observations required by § 142.53(a)(1) and (7). The TCE must be from the same training center and qualified and current in the specific curriculum and flight training equipment as the instructors being observed. Managing specialists should list the specific curricula for which the TCE is authorized 142.53 IE authority in the limitations section of the CLOA.

b.    Section 142.55 Authority. If authorized on the CLOA as a 142.55 PPE, a TCE may conduct the TCE proficiency checks required by § 142.55(a)(4). The TCE must be from the same training center and qualified and current in the specific curriculum and flight training equipment as the TCE being checked. Managing specialists should list the specific curricula for which the TCE is authorized 142.55 PPE authority in the limitations section of the CLOA. The managing specialist or other assigned inspectors may conduct the § 142.55 TCE proficiency check at any time if desired.

c.    Issue Airman Certificates Based on Check Pilot Authority. A TCE with full certification authority may issue an ATP Certificate and/or the appropriate aircraft type rating after successful completion of a proficiency check under § 121.441, or both a competency check under § 135.293(a)(2) and (b) and a PIC instrument proficiency check (IPC) under § 135.297. Anytime a TCE issues an airman certificate based on an air carrier check, the TCE must complete a preapproval to document the activity in DMS.

(1)    Check Pilot Authorization Under a Standardized Curriculum. A TCE may, with the approval of the center’s TCPM, be authorized to act as a part 135 check pilot under a standardized curriculum. Because standardized curricula and the associated check pilots are approved under part 142 by the TCPM, check pilot authority will be granted in DMS and listed on the TCE CLOA, along with the list of standardized curricula for which the TCE is approved as a check pilot.

(2)    Contract Check Pilot Authorization. A TCE may, with the approval of the operator’s POI, be authorized to act as a contract check pilot for that operator. Contract check pilots and their associated authorities are not a part of this policy. Contract check pilot authority is not listed on the TCE CLOA. Contract check pilot policy can be found in Order 8900.1.

d.    Second-in-Command (SIC) Type Rating. A TCE may, with appropriate certification authority, issue an SIC type rating to an applicant in conjunction with the satisfactory completion of a training center’s approved curriculum provided the applicant:

(1)    Is enrolled in a curriculum approved to meet the requirements of § 61.55; and

(2)    Has not failed to complete a curriculum approved to meet the requirements of § 61.58, § 61.63, or § 61.157.

Note:  An applicant who has applied for an initial or additional type rating may not be granted an SIC type rating due to his or her inability to successfully complete the initial or additional type rating training course. In those instances, the individual will be issued a Notice of Disapproval.

e.    Administrative Authority. A TCE may be authorized to perform administrative certificate functions for students enrolled in an approved training center curriculum subject to the following conditions:

(1)    The appropriate administrative authorizations must be listed on the TCE’s CLOA;

(2)    A TCE may only perform administrative functions for students enrolled in an approved curriculum at the TCE’s employing training center; and

(3)    The TCE receives FAA training on the issuance of certificates related to each specific administrative function authorized.

f.    Administrative Removal of Certificate Limitations. If appropriately rated, a TCE may remove the limitations associated with §§ 61.64, 61.159, and 61.160. No specific administrative authorization is required on the TCE’s CLOA. The applicant must be a student enrolled in an approved curriculum at the TCE’s employing training center and needs only to present satisfactory evidence that he or she has met the appropriate requirements. Refer to Order 8900.1, Volume 5, Chapter 3, Section 1, Application Phase—ATP Applicants Engaged in Operations Under 14 CFR Parts 121, 135, or 91 Subpart K—Airplanes and Helicopters.

Note:  Each certification activity must be approved before the designee can perform any function on behalf of the FAA. Designees will complete preapprovals and post activities in DMS for all certificates issued.

4.    TCE Limitations. TCEs must adhere to the following limitations:

a.    Multiple Training Centers. A TCE may not be a TCE for more than two different training center certificate holders.

b.    Maximum Evaluation Time. Combined instruction and evaluation time in an FSTD may not exceed 8 hours in any 24-consecutive-hour period. This limitation does not include preflight and postflight briefings associated with flight training.

c.    Maximum Evaluation Events. A TCE may perform no more than four evaluation events in any 24‑consecutive-hour period. An event consists of either one oral evaluation or one simulator evaluation, or any portion thereof.

d.    Three or More Grades of Pilot Certificate. A TCE may not conduct evaluations for three or more grades of pilot certificate unless specifically justified and approved by the managing specialist.

e.    Multiple Aircraft. Before a TCE can be approved for a second aircraft, the managing specialist must carefully evaluate the differences between the aircraft currently authorized and that of the second type requested. In many cases, an aircraft type rating will encompass a number of different models and series of aircraft within that type rating. Different models and/or series within a specific type may have vastly different operating characteristics and systems. Levels of differences (designated A–E) are described in Order 8900.1, Volume 3, Chapter 19, Flightcrew Member Training and Qualification Programs. Because the TCE’s knowledge and skills directly affect the quality of an evaluation, the managing specialist must consider the following guidelines and limitations when determining the reasonable number of aircraft in which a TCE may be authorized to conduct evaluations:

(1)    A TCE may not be authorized in more than two aircraft types or two different M/M/S within the same type if they are significantly different.

(2)    A TCE may not be authorized to conduct evaluations in more than one aircraft type and one training course for non-type-rated aircraft.

(3)    A TCE may conduct evaluations in up to four different series of one aircraft model, provided the differences between series are not significant (no more than level A or B differences). Authorization to conduct evaluations in an aircraft model or series that encompass level A or B differences are relatively easy to accomplish (e.g., DHC-8-100 versus DHC-8-200) and may not affect the TCE’s ability to effectively transition between the aircraft.

(4)    Authorization to evaluate in a model and series that requires level C, D, or E differences training will affect the complexity of the evaluation and must be considered before additional authority is granted (e.g., LR-25 versus LR-55).

(5)    Authorization to evaluate in aircraft that require separate curricula and/or flight training equipment must be considered as another type rating even though they may list the same type rating on the pilot’s certificate (e.g., DC-9-30 versus MD-88 or B717).

(6)    Evaluations resulting from a specialty curriculum, such a CAT II or III authorization, also affect overall complexity.

(7)    Consideration must also be given to the number of annual proficiency checks and training events required to maintain the TCE’s currency.

f.    Proof of Eligibility. A TCE may not conduct tests unless an applicant presents proof of eligibility as prescribed in 14 CFR part 61.

g.    Completion of Airman Knowledge Test. A TCE may not conduct an oral or practical test unless the applicant has passed the required airman knowledge test.

h.    Graduates of the Employing Training Center. TCEs may only conduct evaluations for graduates of the employing training center or satellite center(s).

i.    Examiners-at-Large. TCEs may not act as examiners-at-large by conducting practical tests or proficiency checks for the general pilot population.

j.    Functioning as a Crewmember. A TCE may not function as a required crewmember while conducting simulator evaluations.

k.    Teaching During Testing or Checking. A TCE may not combine teaching with testing or checking during the evaluation of an applicant, except when conducting approved progressive checks.

l.    Participation in Recent Training or Testing. A TCE may not evaluate an applicant for a certificate, additional rating, or an amendment without the expressed permission of the managing specialist if the TCE has instructed the applicant in preparation for the certificate or rating sought, when the TCE has recommended the applicant, or when the TCE has found the applicant’s performance to be unsatisfactory on the previous evaluation. Exceptions to this policy may be granted on a case-by-case basis after considering any unique or extenuating operational circumstances surrounding the particular request. Scheduling convenience and trainee availability are not valid reasons to grant such permission.

m.    Applicant’s Third Evaluation. A TCE may not conduct an evaluation of an applicant for any certificate action if during the previous two attempts the applicant was issued a Notice of Disapproval. The applicant’s third evaluation will be conducted by a qualified FAA ASI.

n.    Expired TCE Authority. A TCE must not conduct any evaluation after the expiration date listed on his or her CLOA.

o.    Use of the English Language. All tests and checks must be conducted using the English language.

p.    Exemptions from Testing or Checking Requirements. A TCE may not exempt any applicant from the testing or checking requirements listed in the applicable practical test standards (PTS)/Airman Certification Standards (ACS), the approved curriculum, or other qualification module.

q.    Suspension of a Test or Check. A TCE may not temporarily suspend a test or check to allow the applicant further study, and then continue the same test later.

r.    Amendment or Alteration of a Certificate. A TCE may amend or alter a certificate only:

(1)    When adding a rating to the certificate of an applicant that the TCE has tested and found to be competent.

(2)    When removing a limitation from a certificate, if authorized. For example, a TCE may remove the “Circling Approach–VMC Only” limitation when the applicant has completed an approved course of training and the TCE has completed the appropriate qualification module.

(3)    When adding an SIC type rating to an airman’s certificate, if the applicant has successfully completed an approved training curriculum that meets the requirements of § 61.55.

(4)    A TCE authorized as an FE may remove the restriction imposed by Exemption 4901 for an FE applicant, provided the TCE has been appropriately trained and authorized to perform the removal per the training center’s approved TSpecs.

s.    Expired Temporary Airman Certificate. A TCE may not reissue or amend any expired Temporary Airman Certificate.

t.    Waivers, Special Medical Evaluations, Competency Tests. A TCE may not conduct special medical evaluations, tests for waivers, or any test for competency under Title 49 of the United States Code (49 U.S.C.) § 44709. Such applicants will be referred to the responsible Flight Standards office.

Chapter 6.  Oversight and Management of a Designee

1.    Purpose. This chapter provides the policy related to the oversight and management of TCEs. This designation type-specific policy and Volume 1 constitute the overall policy for the oversight and management of a TCE.

2.    General.

a.    Considerations. Effective oversight of TCEs is founded on a dogged strategy of risk management in which safety management principles by a training center, and oversight by the FAA, includes a continual process of weighing the harm potential of any hazard against the likelihood of its occurrence, and taking appropriate preventive action.

b.    TCE Oversight. TCE oversight includes the comprehensive evaluation, management, and monitoring of a TCE’s activities. Complete surveillance of a TCE involves a group of activities designed to evaluate a TCE’s overall performance.

(1)    Oversight in DMS is not tied to the CLOA expiration date. Oversight need only be completed at some point within a given time period as defined by regulation and DMS.

(2)    Oversight activities may be completed independently over a set period of time, or any number of activities may be completed together.

(3)    This approach to oversight was adopted to allow the managing specialist flexibility in completing oversight activities as the opportunity arises, and to encourage focus on the specific element being evaluated. Designee oversight is most effective when it occurs throughout the year rather than with an all-at-once, infrequent approach.

3.    Oversight Roles.

a.    Managing Office and