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12/19/11 FY12 FIRST QUARTER EDITORIAL UPDATES 8900.1 CHG 0

VOLUME 1 GENERAL INSPECTOR GUIDANCE AND INFORMATION

CHAPTER 1 HANDBOOK ORGANIZATION, USE, AND REVISION

Section 3 Acronyms and Abbreviations

1-46 GENERAL. Many acronyms and abbreviations for both old as well as new aviation terms are used throughout this handbook. Inspectors can refer to the following alphabetical listing of frequently used acronyms and abbreviations and their meanings when using this handbook.

Table 1-1. Acronyms and Abbreviations

AC Advisory Circular ACAT Air Carrier Assessment Tool ACARS Aircraft Communications Addressing and Reporting System ACDE Air Carrier Designated Examiner ACO Aircraft Certification Office ACDE Air Carrier Designated Examiner AD Airworthiness Directive ADE Aircrew Designated Examiner ADF Automatic Direction Finder ADR Advisory Route ADS–B Automatic Dependent Surveillance—Broadcast AEG Aircraft Evaluation Group AEM Area Equivalent Method AES Automated Exemption System AFCGS Automatic Flight Control Guidance System A/FD Airport/Facility Directory AFE Above Field Elevation AFGS Auto Flight Guidance System AFM Airplane Flight Manual AFS-1 Director of Flight Standards Service AFSS Automated Flight Service Station AFTN Aeronautical Fixed Telecommunications Network AGC Office of the Chief Counsel AGL Above Ground Level AH Alert Height for Category III Operations AIA Office of International Aviation AIM Aeronautical Information Manual AIP Aeronautical Information Publication AIRMET Airman’s Meteorological Information ALPA Air Line Pilots Association International AMM Aircraft Maintenance Manual

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AOPA Aircraft Owners and Pilots Association APD Aircrew Program Designee APM Aircrew Program Manager APU Auxiliary Power Unit AQP Advanced Qualification Program ARA Airborne Radar Approach ARFF Aircraft Rescue and Fire Fighting ARINC Aeronautical Radio, Inc. ASA Aviation Safety Assistant ASAP Aviation Safety Action Program ASDE Airport Surface Detection Equipment ASHP Aviation Safety and Health Program ASI Aviation Safety Inspector ASOS Automated Surface Observing System ASR Airport Surveillance Radar AST Aviation Safety Technician ATA Air Transport Association of America ATC Air Traffic Control ATCO Air Taxi Commercial Operator ATD Aviation Training Device ATIS Automatic Terminal Information Service ATOS Air Transportation Oversight System ATP Airline Transport Pilot ATS Air Traffic Service AVN Aviation Standards National Field Office AVS–1 Associate Administrator for Aviation Safety AWOS Automated Weather Observing System AWTA All Weather Terminal Area Operation AXR–1 Executive Director for Standards and Compliance AZI Azimuth Instrument Approach CAA Civil Aeronautics Administration CAB Civil Aeronautics Board CAD Continuous ATOS Development CAM Civil Aeronautics Manual CAMP Continuous Airworthiness Maintenance Program CAN Center Area NOTAM CAR Civil Aviation Regulation CBI Computer-Based Instruction CDL Configuration Deviation List CDTI Cockpit Display of Traffic CDU Control Display Unit CEP Central East Pacific

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CFI Certificated Flight Instructor CFM Company Flight Manual CFR Code of Federal Regulations CG Center of Gravity CHDO Certificate-Holding District Office CIG Component Inoperative Guide CL Centerline CMO Certificate Management Office CMT Certificate Management Team CMU Communications Management Unit CPDLC Controller-Pilot Data Link Communication CPM Certification Project Manager CRAF Civil Reserve Air Fleet CRM Crew Resource Management CSET Certification, Standardization, and Evaluation Team CSI Cabin Safety Inspector CSP Comprehensive Surveillance Plan CTAF Common Traffic Advisory Frequency CVFP Charted Visual Flight Procedures DA Density Altitude DBA Doing Business As DEPM Data Evaluation Program Manager DFEE Designated Flight Engineer Examiner DGPS Differential Global Positioning System DH Decision Height DIS Dynamic Information System DME Distance Measuring Equipment DNL Decibel Noise Level DO Director of Operations DOD Department of Defense DOL Department of Labor DOR Dynamic Observation Report DOT Department of Transportation DPA Decision Point Altitude DPE Designated Pilot Examiner DR Dead Reckoning DUAT Direct User Access Terminal DWFAF Downwind Final Approach Position EA Environmental Assessment EAP Employee Assistance Program EASA European Aviation Safety Agency EFB Electronic Flight Bag

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EIR Enforcement Investigation Report EIS Enforcement Information System EIS Environmental Impact Statement EMS/A Emergency Medical Services/Airplane EPI Element Performance Inspection ERC Event Review Committee EPR Exhaust Pressure Ratio ER–OPS Extended-Range Operations ERT Extended Review Team ETA Estimated Time of Arrival ETE Estimated Time En Route ETOPS Extended Operations EWINS Enhanced Weather Information System F/A Flight Attendant FA Forecasts Area FAA Federal Aviation Administration FA Act Federal Aviation Act of 1958 FAF Final Approach Fix FAR Federal Aviation Regulations FBO Fixed-Base Operator FD Flight Director FDE Fault Detection and Exclusion FE Flight Engineer FIAO Flight Inspection Area Office FIFO Flight Inspection Field Office FIR Flight Information Region FL Flight Level FMF Flight Movement Forecast FMRB Flight Manual Review Board FMS Flight Management System FOD Foreign Object Damage FOEB Flight Operations Evaluation Board FOIA Freedom of Information Act FONSI Finding Of No Significant Impact FOPB Flight Operations Policy Board FOPM Flight Operations Policy Manual FSAIC Flight Standards Safety Analysis Information Center FSAS Flight Standards Automation System FSAT Flight Standards Information Bulletin for Air Transportation FSB Flight Standardization Board FSDO Flight Standards District Office FSIB Flight Standards Information Bulletin

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FSIS Flight Standards Information System FSNFO Flight Standards National Field Office FSS Flight Service Station FT Forecast Terminal FTD Flight Training Device FTE Flight Technical Error GCNP-SFRA Grand Canyon National Park-Special Flight Rules Area GLS GPS Landing System GMM General Maintenance Manual GNSS Global Navigation Satellite System GOM General Operations Manual GPS Global Positioning System GS Groundspeed GSGC Ground School Graduation Certificate GTD Ground Training Device HAA Height Above Airport (non precision approach) HAT Height Above Touchdown (precision approach) HAZMAT Hazardous Materials HBAT Flight Standards Handbook Bulletin for Air Transportation HEDA Helicopter En Route Descent Area HEMES Helicopter Hospital Emergency Medical Evacuation Service HF High Frequency HGS Heads-Up-Guidance System HIRL High Intensity Runway Light HMR Hazardous Material Regulation HQ Headquarters HUD Head-Up Display IAF Initial Approach Fix IAP Instrument Approach Procedure IAS Indicated Airspeed IATA International Airport Transport Association IAW In Accordance With ICA Instructions for Continued Airworthiness ICAO International Civil Aviation Organization IFO International Field Office IFR Instrument Flight Rules ILS Instrument Landing System IM Inner Marker IMC Instrument Meteorological Conditions IMLS Instrument Microwave Landing System INM Integrated Noise Model INS Inertial Navigation System

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IOC Initial Operating Capability IOE Initial Operating Experience IRA Instrument Rating Airplane IRS Inertial Reference System IRU Inertial Reference Units ISARP International Standard and Recommended Practice ISIS Integrated Safety Information Subsystem JAD Job Aid Disc JTA Job Task Analysis Km Kilometer LAN Local Area Network LAWRS Limited Aviation Weather Reporting Station LDA Localizer-Type Directional Aid Lf Low Frequency LIRL Low Intensity Runway Light LLWS Low-Level Wind Shear LNAV Lateral Navigation LOA Letter of Authorization LOE Line Operational Evaluation LOFT Line-Oriented Flight Training LOI Letter of Investigation LOP Line of Position LORAN Long-Range Navigation LOS Line-Operational Simulation LRA Lowest Radar Altitude MAP Missed Approach Point MCT Maximum Continuous Thrust MDA Minimum Descent Altitude (nonprecision approach) MDPR Master Differences Program Requirement MEL Minimum Equipment List MF Medium Frequency MHz Megahertz MID Mid Runway Rollout MIDO Manufacturing Inspection District Office MIRL Medium Intensity Runway Light MLS Microwave Landing System MNPS Minimum Navigation Performance Specification MOU Memorandum of Understanding MRB Maintenance Review Board MSG Maintenance Steering Group MSL Mean Sea Level MTOW Maximum Takeoff Weight

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NADP Noise Abatement Departure Profile NAO Noise Abatement Officer NAS National Airspace System NASA National Aeronautics and Space Administration NAT North Atlantic Track NATA National Air Transportation Association NAT/OPS North Atlantic Operation NAVAID Navigational Aid NDB Non-Directional Radio Beacon NEPA National Environmental Policy Act of 1969 NFDC National Flight Data Center Office of the Asst. Secretary of Defense NFDD National Flight Data Digest NM Nautical Mile NOAA National Oceanic and Atmospheric Administration NOPAC North Pacific NOS National Ocean Service NOTAM Notice to Airmen NPG National Program Guidelines NPRM Notice of Proposed Rulemaking NSPM National Simulator Program Manager NST National Standardization Team NTSB National Transportation Safety Board NWS National Weather Service OAT Outside Air Temperature OC Obstruction Chart OCA Obstacle Clearance Altitude OCH Obstacle Clearance Height OCL Obstacle Clearance Limit ODS Obstruction Data Sheet OE Operating Experience OIG DOT Office of the Inspector General OJT On the Job Training OpSpecs Operations Specifications OPSS Automated Operations Safety System ORA Operations Research Analyst OSAP Offshore Standard Approach Procedure OSHA Occupational Safety and Health Administration OST Office of the Secretary of Transportation OTNA Operational Training Needs Assessment PAI Principal Avionics Inspector PANS–OPS Procedures for Air Navigation Services Aircraft Operations PAR Precision Approach Radar

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PASI Preapplication Statement of Intent PASS Professional Airways Systems Specialists PATCO Professional Air Traffic Controllers Organization PATWAS Pilots Automatic Telephone Weather Answering Service PCA Positive Control Area PCB Production Certification Board PF Pilot Flying PIC Pilot-in Command PIREP Pilot Weather Report PKI Public Key Infrastructure PMI Principal Maintenance Inspector PMMEL Proposed Master Minimum Equipment List PNF Pilot-Not-Flying POI Principal Operations Inspector POM Pilot Operating Manual PRD Planned Redispatch PRIA Pilot Records Improvement Act of 1996 PRM Precision Runway Monitor PRR Planned Rerelease PPM Partial Program Manager PSI Principal Security Inspector PTRS Program Tracking and Reporting Subsystem PTS Practical Test Standards QICP Qualified Internet Communications Provider RAA Regional Airline Association RAIM Receiver Autonomous Integrity Monitoring RCH Runway Crossing Height RCLM Runway Centerline Marking RFM Rotorcraft Flight Manual RFSD Regional Flight Standards Division RFT Recurrent Flight Training RMA Radar Minimum Altitude RNAV Area Navigation RNP Required Navigation Performance ROC Regional Operations Center RSI Remotely Sited Geographic Aviation Safety Inspector RTCA Radio Technical Commission for Aeronautics RVO Runway Visibility by Observer RVR Runway Visual Range RVSM Reduced Vertical Separation Minimum RVV Runway Visibility Value RWBC Regional Whistleblower Coordinator

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SA Selective Availability SAFE Aviation Safety Analysis and Functional Evaluation SAI Safety Attribute Inspection SARA Special Airport/Route Authorization SAT System Analysis Team SATCOM Satellite Communication SAWRS Supplementary Aviation Weather Reporting Station SDE School Designate Examiner SEC Special Enforcement Consideration SEIFR Single Engine Instrument Flight Rules SFAR Special Federal Aviation Regulations SIAP Standard Instrument Approach Procedure SIC Second-in-Command SID Standard Instrument Departure SIGMET Significant Meteorological Information SIM Flight Simulator SIP Surveillance Improvement Process SLRCS Single Long-Range Communication System S-LRNS Single Long-Range Navigation System Sm Statute Mile SMGCS Surface Movement Guidance and Control System SOE Supervised Operating Experience SPAS Safety Performance Analysis System SPO Supporting Proficiency Objectives SPOT Special Purpose Operational Training SRR Specific Regulatory Requirement STAR Standard Terminal Arrival Route STC Supplemental Type Certificate (or Certification) STOL Short Takeoff and Landing SVT Single-Visit Training SYSOP Systems Operator TACAN Tactical Air Navigational Aid TAS True Airspeed TBD To Be Developed TC Type Certificate TC Team Coordinator TCAS Traffic Alert and Collision Avoidance System TCDS Type Certificate Data Sheet TCE Training Center Evaluator TCH Threshold Crossing Height TCO Training Course Outline TCPM Training Center Program Manager

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TDZ Touchdown Zone TERPS Terminal Instrument Procedures TLS Transponder Landing System TPO Terminal Proficiency Objectives TSA Transportation Security Administration TSO Technical Standard Order TWEB Transcribed Weather Broadcast UHF Ultrahigh Frequency UNICOM Aeronautical Advisory Station U.S.C. United States Code USNOF United States NOTAM Office UTC Universal Coordinated Time VASI Visual Approach Slope Indicator VERTOL Vertical Takeoff and Landing VFR Visual Flight Rules VHF Very High Frequency VIS Vital Information Subsystem VLF Very Low Frequency VMC Visual Meteorological Conditions VNAV Vertical Navigation VPN Virtual Private Network VOR Very High Frequency Omnidirectional Range VOR/DME Very High Frequency Omnidirectional Range/Distance Measuring Equipment VORTAC VHF Omnidirectional Range Station/Tactical Air Navigation VSI Vertical Speed Indicator WAAS Wide Area Augmentation System WBPP Whistleblower Protection Program

RESERVED. Paragraphs 1-47 through 1-60.

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VOLUME 3 GENERAL TECHNICAL ADMINISTRATION

CHAPTER 18 OPERATIONS SPECIFICATIONS

Section 3 Part A Operations Specifications—General

3-736 DISCUSSION. This section and Volume 3, Chapter 18, Sections 4, 5, and 6 discuss each standard template available for issuance by the automated Operations Safety System (OPSS), also known as the Web-based Operations Safety System (WebOPSS). These templates are more commonly referred to as “paragraphs.” The standard paragraphs discussed in this order are limited to operations in accordance with Title 14 of the Code of Federal Regulations (14 CFR) parts 91, 91 subpart K (91K), 121, 125 (including Letter of Deviation Authority (LODA) 125 subpart M (125M)), 135, and 145.

A. Definition of OpSpecs. The standard paragraphs for parts 121, 125, 135, and 145 are called operations specifications (OpSpecs).

B. Definition of MSpecs. The standard paragraphs for part 91K are called management specifications (MSpecs).

C. Definition of LOAs. The standard paragraph for part 91 and 125M are called letters of authorization (LOA).

D. Other Source Documents. References are provided to other sections of this handbook, to advisory circulars, or other applicable documents that discuss detailed requirements for certain standard paragraphs.

E. Ensure Complete Review. Before issuing a standard paragraph, any specific requirements specified by this order or the referenced material (relative to the paragraph being issued) must be met. Before reading the following sections for the first time, review the applicable paragraphs available in the OPSS for the specific regulation.

F. Applicability of Paragraphs. There are some standard paragraphs that are required to be issued to all operators for a specific regulation. There are standard paragraphs that are optional and only issued when the operator is specifically authorized to conduct those operations.

NOTE: All 300-series OpSpecs/MSpecs/training specifications (TSpec)/LOAs (Parts A, B, C, D, E, and H) require approval by the appropriate headquarters (HQ) policy division. Title 14 CFR part 91K, 125, 125M, 133, 137, and 141 operators’ nonstandard operational requests must be approved by the General Aviation and Commercial Division (AFS-800); parts 121, 135, and 142 nonstandard operational requests must be approved for issuance by the Air Transportation Division (AFS-200); part 145 repair station and all airworthiness nonstandard requests must be approved by the Aircraft Maintenance Division (AFS-300); and All Weather Operations (AWO) relating to instrument procedures must be approved by the Flight Technologies and Procedures Division (AFS-400). Any additional provisions and/or authority added to an

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OpSpec/MSpec/TSpec paragraph or LOA through the use of nonstandard text entered in the nonstandard text block (sometimes referred to as “Text 99”) must also be approved by the appropriate HQ policy division. For detailed guidance on the process for obtaining HQ approval for nonstandard authorizations, principal inspectors (PI) must read the guidance contained in Volume 3, Chapter 3, Section 2.

3-737 PART A OPERATIONS AND MANAGEMENT SPECIFICATIONS PARAGRAPHS.

OPSPEC/MSPEC A001, ISSUANCE AND APPLICABILITY.

A. General. A001 identifies the OpSpec/MSpec holder. The name must be the legal name of the operator. A001 also specifies the kinds of operations authorized, the applicable regulatory sections under which the operations are to be conducted, and any other business names under which the operations are being conducted. See the new OPSS user’s manual for additional guidance to issue A001. Figure 3-4 is a summary of the information required in OpSpec/MSpec A001.

Table 3-4. Summary of Information Required in OpSpec/MSpec A001

Type of Certificate

Any of the following may apply:

Type of Carriage:

Regulation Reference:

Economic Authority

Text to be inserted:

Air Carrier Domestic Common 119.21(a)(1)

(Part 121)

and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier Flag Common 119.21(a)(2)

(Part 121)


Air Carrier Supplemental Passenger (more than 60 pax and/or >18,000# payload)

Common 119.21(a)(3)(i)

(Part 121)


Air Carrier Supplemental All Cargo

Common 119.21(a)(3) (ii)

(Part 121)


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Air Carrier Commuter

(5+ trips/week)

Common 119.21(a)(4)

(Part 135)


Air Carrier On Demand

(less than 5 round trips/week)

Common 119.21(a)(5)

(Part 135)


Operating Flight (Part 125)

Private

Non Common

119.23(a)

(Part 125)

and provided the certificate holder does not conduct any operation which results directly or indirectly from the certificate holder or any other person holding out to the public to provide for the carriage of person or property.

Operating On Demand

(non scheduled)

Private

__________ Non Common

119.23(b)

(Part 135) Ltd. to holding out to public

________ # of Con tracts (Definitions) 119.23(b)(3)

and provided the certificate holder does not conduct any operation which results directly or indirectly from the certificate holder or any other person holding out to the public to provide for the carriage of person or property.

Air Carrier Commuter

Rotorcraft

Common 119.25(a) and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

Air Carrier On Demand

Rotorcraft

Common 119.25(b) and provided, at all times, the certificate holder has written economic authority issued by the Department of Transportation.

None Fractional Non Common Part 91K None.

B. Authorization. A001 authorizes the conduct of operations under other business names known as “doing business as” (DBA). If no operations are authorized to be conducted under another DBA, the statement selected will state that “the operator is authorized to use only the business name which appears on the certificate to conduct the operations described in

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subparagraph a.” Other DBAs authorized under 14 CFR parts 215 or 298 must be listed in OpSpecs. Before listing a DBA in an operator’s OpSpecs or entering a DBA in an Air Oper Enhanced Vital Information Database (eVID) file, inspectors must verify that the DBA is on file with DOT or an appropriate state agency. This verification can be accomplished by one of the following means:

1) The operator shows that the DBA is listed on a DOT registration (proof of insurance);

2) The operator shows that the DBA is listed on a DOT certificate of public convenience and necessity;

3) The operator shows that the DBA is authorized by a DOT order or other DOT document;

4) When the operator claims the DBA is on file with the DOT, verification must be made by contacting the DOT Office of Aviation Analysis, Air Carrier Fitness Division, (202) 366-9721; or

5) When an “operating certificate” is involved, the operator shows that the DBA is authorized and registered by an appropriate state authority.

6) DBAs can apply to 14 CFR part 91 subpart K, but they do not have economic authority requirements.

C. Part 145. For part 145 repair stations, A001 lists the:

• Location, • Mailing address (if different from the fixed location), • Other DBAs (see subparagraph B above) if authorized, and • Any delegated authorities.

OPSPEC/MSPEC A002, DEFINITIONS AND ABBREVIATIONS. A002 includes definitions of words or phrases used in other paragraphs. These definitions are not found in the regulations and should enhance understandings between the FAA and the aviation industry. Washington headquarters developed definitions must not be changed by regional or district offices. Washington headquarters will add definitions when it becomes apparent that they are needed. Addition of a definition by a certificate-holding district office (CHDO) makes the whole paragraph nonstandard and must be processed as a nonstandard OpSpec/Mspec request.

OPSPEC/MSPEC A003, AIRPLANE/AIRCRAFT AUTHORIZATION. A003 authorizes an operator or certificate holder to use specific make, model, and series (M/M/S) of airplanes in 14 CFR part 91 subpart K (91K), 121, 125, or 135 operations. Operations specification (OpSpec)/management specification (MSpec) A003 is populated with data from the “Maintain Operator Data—Aircraft” area of the automated Operations Safety System (OPSS). The only field that is populated within the A003 template is nonstandard text. If this field is used, the additional text must be coordinated and approved in accordance with Volume 3, Chapter 18,

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Section 2, paragraphs 3-712 and 3-713. In most cases, the A003 column labels match the data column labels in the “Maintain Operator Data—Aircraft” area of the OPSS. In contrast to OpSpec A001, OpSpec A003 does not identify the air carrier’s overall authority to conduct a particular kind of operation. Instead, it represents the Federal Aviation Administration’s (FAA) approval of the air carrier’s use of a particular airplane in carrying out the kinds of operations that are authorized. The column labeled “Type Section 119” reflects the 14 CFR part 119 operating authorization granted by the certificate holder’s Air Carrier/Operating Certificate. Volume 2, Chapter 2, Section 2, paragraph 2-129 explains the hierarchy of part 119 authorizations. The rest of the set of OpSpec paragraphs are then put into place to authorize the air carrier to conduct specific types of operations in accordance with the authorizations and airplane identified in A001 and A003. The following provides terminology clarification and guidance on both the “A003” and the OPSS “Maintain Operator Data—Aircraft” columns. A003 templates do not use every data column available in OPSS “Maintain Operator Data—Aircraft.” A003 column usage will vary across 14 CFR parts. Each A003 has its columns organized to meet the needs of the 14 CFR part. The column descriptions below are not all-inclusive and, therefore, not every column in every A003 template is described. The columns that are not described are self-explanatory.

A. M/M/S, Parts 91K, 121, 125, and 135. Select the authorized M/M/S using the aircraft listing provided in the OPSS. If the appropriate M/M/S cannot be found in the OPSS, inspectors should immediately notify the OPSS help desk so that the airplane listing can be updated.

B. Type of Part 119 Common Carriage Operations. For each aircraft, list the type of operation authorized. This is accomplished in the OPSS “Maintain Operator Data—Aircraft” area. The authorization is aircraft-specific. In some cases, more than one part 119 type of operation may be required for an M/M/S. When an A003 is generated, the data from OPSS “Maintain Operator Data—Aircraft” are loaded into the appropriate A003 columns. Part 119 section selections, in OPSS “Maintain Operator Data—Aircraft,” are part 119-specific for each 14 CFR part. Examples of part 119 section selections for parts 121, 125, and 135 include the following:

1) Selections available for part 121:

• 119.21(a)(1)—Domestic (D), • 119.21(a)(2)—Flag (F), • 119.21(a)(3)—Supplemental (S), and • 119.21 (a)(1),(2),(3)—(D) (F) & (S).

NOTE: In the cases where more than one type of part 121 operation is authorized for a particular airplane, the certificate holder/principal operations inspector (POI) should select “119.21(a)(1), (2), (3)—(D) (F) & (S)” in the column labeled “Type Section 119.” For example, an air carrier who operates a DC-9-82, N12121, in both domestic and international operations (lower 48 states and Canada), the certificate holder/POI should select “119.21(a)(1),(2),(3)—(D) (F) & (S).”

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2) Selections available for part 125/125 subpart M (125M) Letter of Deviation Authority (LODA):

• 119.23(a)—Private Carriage (non-common carriage), and • 119.23(a)—125M LODA (where common carriage is not involved).

3) Selections available for part 135:

• 119.21(a)(4)—Commuter, • 119.21(a)(5)—On–Demand, • 119.23(b)—Private Carriage (non-common carriage), • 119.25(a)—Rotorcraft Commuter, and • 119.25(b)—Rotorcraft On-Demand.

C. Passenger Seating Terminology Parts 121 and 125.

1) Passenger seating terminology is derived from and associated with the emergency evacuation demonstrations requirements of 14 CFR part 25, § 25.803; part 121, § 121.291(a) and (b); and part 125, § 125.189. These terms are also consistent with the guidance in Volume 3, Chapter 30.

2) For the purposes of part 121 and part 125 emergency evacuation demonstration requirements, the terms “capacity” and “configuration” have the same meaning with respect to passenger seating. An airplane with a seating capacity of more than 44 passengers requires a demonstration of emergency evacuation procedures in accordance with § 121.291 or 125.189.

3) Certificated seats, as referenced in A003, is a term derived from the emergency evacuation certification requirements of § 25.803. This requirement establishes, by actual demonstration, the maximum certificated seating capacity of the airplane. Volume 3, Chapter 30, Section 9, includes Table 3-121, which lists the maximum seating capacity for airplanes typically used in air carrier service. This list is to be considered the primary source document for Flight Standards Service (AFS) inspectors when determining maximum seating capacities. The listed maximum seating capacity values are derived from the airplane Type Certificate Data Sheets (TCDS).

4) Demonstrated seats is the number of seats installed in the airplane at the time the certificate holder complied with § 121.291(a) or (b), or § 125.189(a) and (b). This seating configuration will determine the number of Flight Attendants (F/A) required by § 121.391 or 125.269.

5) Installed seats refers to the actual seating configuration of the individual airplane.

NOTE: For part 135 OPSS data entry, certificated seats refer to the maximum seating capacity stated in the aircraft TCDS. Installed seats are the seats actually installed in the individual aircraft. These OPSS data feed the 14 CFR part 298 insurance registration and coverage module.

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6) All-cargo operations allow only passengers as defined in §§ 121.583(a) and 135.85. For all-cargo operations, the number “0” shall be entered into the columns labeled “Certificated Seats,” and “Demonstrated Seats.”

7) In passenger/cargo operations, the passenger seating guidance of paragraphs C1) through 4) above apply.

D. Number of Flight Attendants, Parts 121 and 125. Enter the number of F/As used during the certificate holder’s emergency evacuation demonstration, required by § 121.291 or 125.189, for each airplane listed.

E. Flight Attendant Part 135 (§ 135.107). Enter in the OPSS “Maintain Operator Data—Aircraft, Flight Attendant” column, the F/A requirement for each airplane. If the airplane is configured with more than 19 passenger seats, enter the number “1.” If the passenger seating configuration is 19 seats or fewer, enter the number “0.” There is not a “Number of Flight Attendants” column associated in the part 135 A003.

F. Class of Operation. Enter the appropriate class of operation for each airplane listed. Enter only one class of operation for each airplane. The classes of operations are: Single-Engine Land, Single-Engine Sea, Multiengine Land, Multiengine Sea, and Helicopter.

G. Type of Operation. Enter the appropriate en route flight rule for each airplane. If the airplane is approved for instrument flight rules (IFR) operations, enter “IFR/VFR” in the column labeled “En Route Flight Rule.” Part 121 operations are required to conduct operations in IFR. If the airplane is restricted to visual flight rules (VFR) operations only, select “VFR Only.” Select the day/night condition for each airplane. If the airplane is approved for both day and night conditions, select the phrase “Day/Night” in the column labeled “Condition.” If the airplane is approved for daylight conditions only, select “Day Only.”

OPSPEC/MSPEC A004, SUMMARY OF SPECIAL AUTHORIZATIONS AND LIMITATIONS.

H. Purpose. This paragraph summarizes optional authorizations applicable to a particular operator.

I. Part 145. For part 145 repair stations, this paragraph summarizes special (optional) authorizations and/or limitations applicable to the certificate holder. The OPSS application extracts the specific paragraphs that authorize a specific activity; it provides a summary of the authorized activity and reference number of the specific paragraph.

OPSPEC/MSPEC A005, EXEMPTIONS AND DEVIATIONS. In order for an operator to conduct operations under the provisions of any exemption or deviation, the exemption or deviation must be listed in A005.

A. Exemptions. The current exemption number and expiration date must be selected for insertion into A005. List the exemption numbers in numerical order. Enter a brief description of the exemption or, if appropriate, the exempted regulations in the space labeled Remarks and/or

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References (adjacent to each exemption). If certain conditions or limitations related to the exemption are specified in another paragraph of the OpSpec, the reference number of the other paragraph must also be entered in this space. For example, if a single high frequency (HF) radio is permitted by exemption in certain areas of en route operation, insert a reference to OpSpec B050 ( see paragraph B050). In this example, the appropriate areas of en route operation in B050 should contain a note authorizing the provisions of that exemption for those areas.

B. Deviations. Enter the applicable 14 CFR sections to which a deviation has been granted in A005b. Select the applicable deviations by 14 CFR section. In the space labeled Remarks and/or References (adjacent to each deviation), briefly describe the provisions of the deviation. For example, if an operator is granted a deviation to permit the same person to serve as director of operations and director of maintenance, list the applicable 14 CFR. In the Remarks and/or Reference space, enter information specific to that operator or NA for “not applicable”. Table 3-5 explains the standard OpSpecs paragraphs that must be referenced and issued when granting deviations in each subject area (others may also be applicable).

NOTE: There are no deviations for part 145 repair stations.

Table 3-5. Standard OpSpecs Paragraphs to Reference When Granting Deviations

SUBJECT PARAGRAPH NUMBER

APPROPRIATE REGULATION

Management A006 Various, depends on operating regulation, management position, and qualifications

Extended-Overwater Operations without liferafts

A013 Sections 121.339(a)(2), (3), and (4)

Basic Part 135 Operator On-Demand Operations Only

A038 Sections 119.69(b), 135.21(a), and 135.341(a)

Basic Part 135 Operator Commuter and On-Demand


Part 135 Single Pilot-in-Command Operator


Extended-Range Operations with Two-Engine Airplanes

B042 Sections 121.161(a)

Special Fuel Reserves in International (Flag) Operations

B043 Sections 121.645(b)(2)

OPSPEC A006, MANAGEMENT PERSONNEL.

A. Titles. An operator’s management personnel may have titles different from titles of management positions used in 14 CFR. The intent of A006 is to clearly identify the operator’s management personnel who are fulfilling 14 CFR management positions. A006 is also used to approve deviations from required management positions. Direction and guidance for approving

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deviations from management requirements is in subparagraph C below. Indicate approval of these deviations in A006 as follows:

1) For deviations which permit less than the required management positions, leave the positions which are not filled blank. Enter NA for “not applicable” for single-pilot operators and single pilot in command operators.

2) For deviations that permit the same person to fill two or more positions, enter the name and title of that person in the appropriate positions.

3) For deviations that permit a person to hold a management position when that person does not meet the regulatory qualification requirements, enter the name and title of that person in the appropriate position.

4) In all cases list the appropriate regulatory section in OpSpec A005(b) of the OpSpecs.

B. Required Information. The OPSS must be accurate and contain at least the information required for OpSpecs in order for them to be correct. Additional text may be added to A006 without making it nonstandard, provided the extra paragraph is used to identify additional management positions (such as more than one chief pilot), or to specify conditions of a deviation. If the extra paragraph provides for anything other than the preceding, it must be processed in accordance with Volume 3, Chapter 2, Exemptions, Deviations, Waivers, and Authorizations, paragraph 3-37B.

C. Required Management and Technical Personnel Positions.

1) Part 119, § 119.65 requires management and technical personnel positions for certificate holders operating under part 121 (i.e., director of safety, director of operations, chief pilot, director of maintenance, chief inspector).

2) Section 119.69 requires management and technical personnel positions for certificate holders operating under part 135 (i.e., director of operations, chief pilot, director of maintenance).

3) Sections 119.67 and 119.71 specify the airman and experience qualifications for personnel serving in these positions for parts 121 and 135, respectively.

4) Sections 119.67(e) and 119.71(f) specify airman, managerial, and supervisory experience deviation authority.

5) The regulations are intended to ensure that persons holding these required management and technical positions have the measure of experience as well as the demonstrated capability needed to effectively manage these types of programs. In addition, persons exercising control over the maintenance and operations programs must have that level of qualification and experience that will allow these persons to carry out their duties and responsibilities with the degree of expertise consistent with the certificate holder’s responsibility to operate with the highest possible degree of safety.

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6) The deviation request element of the regulations is intended to provide the certificate holder a measure of flexibility in order to allow employment of persons who may not possess the exact type or level of experience outlined in the regulations but have other experience that is found to be comparable. Further, the deviation request procedure is not intended to accommodate individuals who do not possess the length of experience required by the regulations.

D. Management Deviation Request. When a certificate holder requests a management experience deviation, or management positions or numbers of positions other than the requirements of §§ 119.65 through 119.71, it must make such requests through its certificate-holding district office (CHDO). The request must adhere to the following processes and procedures, and contain a minimum of the following information for evaluation:

1) Management deviation request contents.

a) Full certificate name including “doing business as” (DBA) of the requesting entity (i.e., ABC Airlines, Inc. DBA XYZ Air);

b) Complete address and certificate number of certificate holder;

c) Full name and airman certificate number of the management applicant;

d) Number of aircraft by category, class and type;

e) Number of employees/pilots/other crewmembers;

f) Areas and kinds of operations (e.g., CONUS, domestic) authorized;

g) Statement of operations authorized (e.g., single pilot in command (PIC), Basic Part 135 On Demand Only, part 121);

h) Any other management deviations held by the certificate holder;

i) Statement of why the certificate holder requires a management deviation, management position(s) involved, and what comparable experience the individual has that would justify the management deviation; and

j) A resume for the individual which specifically outlines their work experiences and duration of each work experience to include, if appropriate, PIC, certified mechanic, and/or management experience for the kind of operations conducted.

NOTE: The information contained in the resume must be verified by the principal operations inspector (POI) or principal maintenance inspector (PMI), as appropriate.

2) Evaluating management experience deviation requests part 119.

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a) Lack of Airmen Certificates. The regulations do not permit the issuance of an airman certificate requirement deviation for individuals who do not hold the required airmen certificates or ratings. However, they may apply for an exemption under 14 CFR part 11.

b) Director of Safety Position. Each certificate holder that conducts operations under part 121 must have a director of safety. This person is responsible for keeping the certificate holder’s highest management officials fully informed about the safety status of the company. An independent, full time position is required. However, in a small part 121 operation, the director of safety functions may be an additional function of a current manager. Any request for a management deviation involving a director of safety position must be approved by the Air Transportation Division (AFS-200).

NOTE: Requests for one individual to fill this position for more that one certificate holder concurrently will not be considered.

c) Comparable Experience. A management position experience deviation may be issued for individuals who lack the precise experience requirements (specified in § 119.67 and/or § 119.71) if acceptable comparable experience is presented and accepted by the Administrator.

1. Director of Operations/Chief Pilot Positions. Experience in any position where the normal duties and responsibilities included management/supervisory oversight and/or control of the development upkeep, and the performance of one or more elements of an operator’s operational control system, may be considered as comparable experience. Management positions, wherein the applicant exercised management decisionmaking processes, may be considered as comparable experience (e.g., assistant director of operations, assistant chief pilot, general manager). Experience involving operational control may also be acceptable (e.g., supervisory aircraft dispatcher, supervisory flight follower).

2. For certificate holders with only a single PIC or a basic part 135 operation, the following examples may be considered as comparable experience:

• Experience as a PIC conducting the same kinds of operations that the applicant would be responsible for managing;

• Experience as a manager of a corporate flight department with operations similar to an air carrier;

• Experience in a military PIC position with responsibilities and Experience comparable to a civil aircraft operation PIC; or

• Experience in a management position with responsibilities for safely transporting passengers and/or military executive charter.

3. All acceptable, comparable experiences added together must equal the required three years. However, experience as a military fighter pilot flying in combat scenarios, a flight instructor, a crop duster, or a helicopter external load operator, would not be considered comparable experience. A college education or educational experience in aviation or writing manuals does not substitute for actual work experience.

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Table 3-6. Example for a Chief Pilot Deviation

POSITION/TITLE LENGTH OF EMPLOYMENT

COMPARABLE EXPERIENCE

Part 135 PIC 24 months Acceptable (24 months)

Assistant Chief Pilot 13 months Acceptable (13 months)

Flight/Ground Instructor 26 months Unacceptable (0 months)

Total: (37 months)

4. In the example, the applicant would be approved. The applicant had 24 months of actual experience required by the regulation combined with 13 months of comparable experience for a total of 37 months (36 months required). The 26 months as a flight instructor is not comparable experience.

5. Director of Maintenance Positions. Experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, as well as the performance of one or all of the following elements of an aircraft maintenance or inspection program:

• The maintenance program manual; • Responsibility for airworthiness; • Maintenance and inspection organization; • Performance and approval of maintenance, preventive maintenance,

and alterations; • Alterations performed by maintenance providers or contractors; • Continuing analysis and surveillance system; • Maintenance recordkeeping; and • Maintenance personnel training.

6. Chief Inspector Positions. Experience in any position where the normal duties and responsibilities included management oversight and/or control of the development, upkeep, as well as the performance of one or all of the following elements of an aircraft maintenance inspection, quality control, or quality assurance functions within a maintenance or inspection program:

• The inspection program policy and procedures; • Responsibility for airworthiness; • Inspection organization; • Quality assurance of the performance and approval of maintenance,

preventive maintenance, and alterations; • Alterations performed by maintenance providers or contractors; • Maintenance recordkeeping; and • Inspection personnel training.

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7. Combined Positions. Any certificate holder who requests approval to combine two or more required management positions into one position must ensure that the person who will serve in that position meets the qualifications for, or receives a deviation for, each management position to be combined (e.g., chief pilot and director of operations), in addition to receiving an approval to combine the management positions. The size, scope, complexity, and work load of the operations that the applicant has been involved with, and will be involved with in the combined management position, must be considered when evaluating this request. Requests to combine the positions of director of maintenance and chief inspector will not be approved.

NOTE: Applicants who serve in a combined management position should not be assigned to any additional duties (e.g., check airman, aircraft instructor).

3) Authority to approve or deny management requests.

a) CHDO.

1. The manager of the CHDO is authorized to approve or deny management experience deviation requests for a certificate holder with only a single PIC, and for Basic Part 135 On-Demand Only certificate holders conducting on demand passenger and/or cargo operations. This authority includes any combined positions or numbers of management positions other than the management positions specified in § 119.69(a). The CHDO’s evaluation must include the following:

• Size, scope, any known expansion plans, and safety records of the certificate holder;

• Accident/enforcement history of the certificate holder and management applicant;

• Verification of the applicant’s resume, including whether the applicant holds the required certificates and ratings;

• Any significant justification or personal knowledge of the operator/management candidate; and

• Reasons for recommending approval or denial of the request.

2. If the CHDO has the authority, it will approve or deny the request. The CHDO will respond to the operator in writing. If the CHDO does not have the authority, it will make a written recommendation for approval or denial and forward the request to the regional Flight Standards division (RFSD).

b) RFSD. The RFSD manager is authorized to approve or deny management experience deviations for all other part 135 certificate holders, except part 135 operators conducting commuter operations. This authority includes any combined positions or numbers of management positions other than the management positions specified in § 119.69(a). The RFSD will review the package from the CHDO. If the RFSD has the authority as stated above, it will approve or deny the request. The RFSD will reply in writing to the CHDO with a statement of approval or denial for the request. If the RFSD does not have the authority, the RFSD will attach

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their memo of recommendation for approval/ denial and forward the request to AFS-200 or Aircraft Maintenance Division (AFS-300), as appropriate.

c) Air Transportation Division (AFS-200) and/or Aircraft Maintenance Division. (AFS-300), as appropriate, will review the package forwarded from the RFSD. AFS-200 and/or AFS-300 will reply in writing to the CHDO through the RFSD with a statement of approval or denial of the request. AFS-200 and/or AFS-300 will not take action on requests received directly from certificate holders or CHDOs without CHDO manager and RFSD manager recommendations.

E. Program Tracking and Reporting Subsystem (PTRS) Input. Enter activity code number 1381 or 3381, as appropriate and enter “119DEV” in the “national use” field. POIs/PMIs should record comments of interaction with the operators in the comments section.

OPSPEC/MSPEC A007, OTHER DESIGNATED PERSONS.

A. Template A007. In the automated Operations Safety System (OPSS), Template A007 is used for identifying each operator’s agent for service, persons designated to apply for and receive applicable authorizations, persons designated to receive Safety Alerts for Operators (SAFO) and/or Information for Operators (InFO), and other designated persons. Each Template A007 is labeled specific to the OPSS 14 CFR database:

1) Title 14 CFR parts 121, 125, 133, 135, and 145 databases: Template A007 is labeled an operations specification (OpSpec).

2) Title 14 CFR parts 141 and 142 databases: Template A007 is labeled a training specification (TSpec).

3) Title 14 CFR part 91 subpart K (part 91K) database: Template A007 is labeled a management specification (MSpec).

4) Part 91 subpart J and part 125 subpart M databases: Template A007 is labeled a letter of authorization (LOA).

5) Title 14 CFR part 137 and other databases also have A007 templates to identify designated persons.

B. Agent for Service. An agent for service is a person or company designated by the operator upon whom all legal notices, processes and orders, decisions, and requirements of the Department of Transportation (DOT), FAA, and National Transportation Safety Board (NTSB) shall be served. Once any of these documents has been served upon the operator’s agent for service, the certificate holder cannot claim (legally) that it did not receive the documents. Title 49 of the United States Code (49 U.S.C) § 46103 requires air carriers to designate an agent for service. The name, title, and address of the agent for service must be obtained from the operator and correctly entered into the OPSS Certificate Holder’s Personnel tab. This information will load into the A007 template.

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C. Persons Designated to Apply for and Receive OpSpecs/TSpecs/MSpecs/LOAs. Names and titles of persons designated by the operator as authorized to apply for and receive OpSpecs/TSpecs/MSpecs/LOAs must be entered in Template A007. The “Parts” of the operator’s authorizations for which the designated person is responsible must also be entered. Principal inspectors (PI) may determine that it is appropriate to have signatures of these designated persons recorded in this subparagraph.

D. Persons Designated to Receive SAFOs and/or InFOs. All A007 templates (with the exception of part 141 and 142 databases in the OPSS) are used to collect the name, e-mail address, telephone number, and type of SAFO/InFO information that person should be sent (i.e., Operations, Airworthiness, or both). Part 141 pilot schools and part 142 training centers will not have a person designated to receive SAFOs or InFOs in Template A007. Part 145 repair stations will have a person designated to receive InFOs in Template A007. A reply message signifying receipt of the SAFO/InFO information by a designated person is not required. (Refer to the current editions of FAA Orders 8000.87, Safety Alerts for Operators, and 8000.91, Information for Operators (INFO).)

NOTE: If an operator does not have an e-mail address, a facsimile number may be entered in the e-mail address block.

1) A SAFO contains important safety information, often of an urgent nature, and may include recommended action. SAFO content is valuable to air carriers and other air operators in meeting their statutory duty to provide service with the highest possible degree of safety in the public interest.

2) Much like a SAFO, which contains critical safety information, an InFO contains valuable information for operators that should help them meet administrative requirements or certain regulatory requirements with relatively low urgency or impact on safety.

3) Government and industry have agreed on the importance of having a prompt, reliable delivery system for SAFOs and InFOs and taking advantage of e-mail and postings at FAA public Web sites. Accordingly, they have ratified that a recipient of SAFOs and InFOs must be identified in Template A007 so that the FAA may notify an operator of a new SAFO or InFO and recommended action to be taken by the respective operators identified in each SAFO/InFO.

E. Part 91K. Part 91K fractional ownership operations must identify the specific persons in MSpec A007 as follows:

1) Agent for service for the program manager.

2) Personnel designated to apply for and receive management specifications for the program manager.

3) Point(s) of contact (POC) and required positions for those authorized a Continuous Airworthiness Maintenance Program (CAMP).

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4) Voluntary Disclosure Program Personnel for part 91K only. Reference Advisory Circular (AC) 00-58, Voluntary Disclosure Reporting Program, current edition, and Volume 11, Chapter 1, Section 1.

5) Personnel designated to receive SAFOs/InFOs for the program manager.

F. Part 145 Repair Stations. List the authorized person(s) by name, title, and the paragraph of the OpSpec he/she is authorized to sign.

NOTE: Individuals’ titles listed in Template A007 should match the title in the Enhanced Vital Information Database (eVID).

OPSPEC A008, OPERATIONAL CONTROL; MSPEC A008, FLIGHT MANAGEMENT.

A. General. Each 14 CFR part 121 and part 135 operator must have a system and/or procedures for the control of flight movements. The intent of A008 is to promote a mutual understanding between an operator and the FAA concerning the system and/or procedures used by that operator. Volume 3, Chapter 25, Operational Control for Air Carriers details the three basic systems and/or procedures required by parts 121 and 135. The three systems and/or procedures are as follows:

1) Part 121 domestic and flag operations must have dispatch systems. See Volume 3, Chapter 25, Section 2, Flight Dispatch Systems and Domestic Operating Rules.

2) Part 121 supplemental operations must have flight following systems when the operator does not have an established dispatch system. See Volume 3, Chapter 25, Section 3, Part 121 Flight Release Systems and Supplemental Operating Rules.

3) Part 135 operators use flight locating procedures. See Volume 3, Chapter 25, Section 5, Title 14 CFR Part 135 Flight Locating Systems and Operating Rules.

4) MSpec A008 must describe the flight management used by the program manager to provide program control for flight operations and other procedures and policy instructions regarding program operations. This information may also be notated by reference to the appropriate manual (part 91, § 91.1029). In addition, MSpec A008 requires the program manager to give the location of the current list of fractional aircraft owners (part 91, § 91.1027).

B. Referencing With Paragraph A008. Describe or reference the system and/or procedures used by an operator in A008. It is preferable to complete A008 with references to an operator’s manual or sections of an operator’s manual which describe the system and/or procedures used by that operator. It is not necessary to control these references by date. Change the references only when a revision to the operator’s manual makes the reference in the OpSpecs incorrect. When an operator’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be necessary. Often, it may not be appropriate to use references in this paragraph, (especially with smaller part 135 operators). In these cases narrative description may be necessary. When a narrative description is used, it

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should be brief but provide sufficient information so that the FAA and the operator have the same understanding about the system and/or procedures used by the operator.

C. Necessary Information for Description of Systems/Procedures. The description of the systems and/or procedures for controlling flight movement as described in the operator’s manual and referenced in the OpSpecs, or as narratively described in the OpSpecs, should include the following information, as appropriate, to the kind of operation:

• Methods and procedures for initiating, diverting, and terminating flights; • Persons or duty positions authorized to, and responsible for, exercise of

operational control; • Facilities and location of facilities used by the operator in the exercise of

operational control; • Communication systems and procedures used by the operator; • Special coordination methods and/or procedures used by the operator to assure the

aircraft is airworthy; and • Emergency notification procedures.

OPSPEC A009, AIRPORT AERONAUTICAL DATA; MSPEC A009, AERONAUTICAL DATA.

A. General. Part 121, §§ 121.97 and 121.117 require part 121 operators to have an approved system for obtaining, maintaining, and distributing airport aeronautical data. A009 provides the method for approving airport aeronautical data systems for part 121 operators. Title 14 CFR part 91, § 91.103 and 14 CFR part 135 subpart I, § 135.83 require part 135 operators to obtain, maintain, and distribute essentially the same types of airport aeronautical data. Although a part 135 operator is not required to obtain FAA approval of the system used, A009 provides a method of promoting the same understanding between the operator and FAA concerning the system used to comply with the regulations pertinent to airport aeronautical data. Volume 4, Chapter 3, Section 4, Airport Data Acquisition Systems provides direction and guidance concerning airport aeronautical data systems.

B. Referencing Systems Used for A009. Describe or reference the system approved for part 121 operators or used by part 135 operators in A009. When possible, the paragraph should be completed by referencing pertinent sections of the operator’s manual or other documents which describe the system used by the operator. When the airport aeronautical data system is not described in a manual or another document, a narrative description of the system must be used to complete A009. When a narrative description (or outline) is used, it should be brief but provide sufficient information to describe the system used to obtain, maintain, and distribute required airport aeronautical data.

C. Description of Aeronautical Data System. The program manager’s description of the aeronautical data system in MSpec A009 should be brief but provide sufficient information describing the system used to obtain, maintain, and distribute required aeronautical data.

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OPSPEC/MSPEC A010, AERONAUTICAL WEATHER DATA.

A. General. OpSpec A010 is intended to promote understanding between the operator and the FAA concerning the system used for obtaining and disseminating required weather data and other aeronautical data. Numerous regulatory requirements in 14 CFR parts 121 and 135 require operators to have or use a system for obtaining and disseminating aeronautical weather data.

• Part 91 subpart K program managers are expected to maintain an equivalent level of safety as a part 135 certificate holder.

• Part 121, § 121.97 requires operators who conduct domestic and flag operations to use an FAA-approved system for obtaining, maintaining, and distributing current aeronautical data.

• Part 121, § 121.101 requires operators who conduct domestic and flag operations to use an FAA-approved system for obtaining forecasts and reports of adverse weather phenomena.

• Part 121, § 121.117 requires operators who conduct supplemental operations to use an FAA-approved system for obtaining, maintaining, and distributing current aeronautical data.

• Part 121, § 121.119 requires operators who conduct supplemental operations to use an FAA-approved system for obtaining forecasts and weather reports.

• Part 125 has no requirement for using an FAA-approved system for weather or aeronautical data.

• Part 135, § 135.213 requires operators who conduct instrument flight rules (IFR) operations under that part to use the U.S. National Weather Service or a source approved by the Administrator.

B. Approving Weather Collection and Dissemination System. OpSpec A010 provides the method for approving this adverse weather phenomena collection and dissemination system. Volume 3, Chapter 26, Aviation Weather Information Systems for Air Carriers, provides additional direction and guidance on aeronautical weather data systems.

C. Approval to Use Enhanced Weather Information Systems. Enhanced Weather Information Systems (EWINS) are approved by OpSpec/MSpec A010. Approval for an operator to use EWINS must be accomplished by referencing the EWINS Policy and Procedures Manual in OpSpec/MSpec A010. The original date of the EWINS manual and the last revision must also be referenced in OpSpec/MSpec A010. See Volume 3, Chapter 26, Section 4, Sources of Weather Information.

D. Approval for Adverse Weather Phenomena Reporting and Forecasting System. Part 121 operators (domestic and flag operations) who are not approved to use EWINS must obtain approval of an Adverse Weather Phenomena Reporting and Forecasting System. For these operators, OpSpec/MSpec A010 must be completed as follows:

1) Reference sections of the operator’s manual or other documents that describe the operator’s Adverse Weather Phenomena Reporting and Forecasting System. If such manual

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sections or other documents do not clearly describe the Adverse Weather Phenomena Reporting and Forecasting System, a narrative description (combined with references where available) of the approved system must be added to OpSpec/MSpec A010. See Volume 3, Chapter 26, Section 3, Parts 121/135 Weather Information Systems, paragraphs 3-2096 and 3-2097.

2) Reference or describe the methods used for obtaining and disseminating other types of weather data (not related to the approved Adverse Weather Phenomena Reporting and Forecasting System) in OpSpec/MSpec A010.

E. Requirement to Use Qualified Internet Communications Provider. For Internet communications of aviation weather and Notices to Airmen (NOTAM) used in flight operations, all part 121 and 135 operators are required to use an approved Qualified Internet Communications Provider (QICP).

1) List the QICPs used by the operator in OpSpec/MSpec A010 subparagraph a, Table 1.

2) The QICP used must be obtained from the approved list provided by the FAA.

3) For more detailed information in regard to QICPs, refer to AC 00-62, Internet Communications of Aviation Weather and NOTAMs, and Volume 3, Chapter 26, Aviation Weather Information Systems for Air Carriers.

OPSPEC/MSPEC A011, APPROVED CARRY-ON BAGGAGE PROGRAM.

A. General. Part 121, § 121.589 requires part 121 operators to have an approved carry-on baggage program. This regulation also requires FAA approval to be in the operator’s OpSpecs. When the FAA issues OpSpec/MSpec A011, the operator is authorized to either allow passengers to stow carry on bags in the aircraft cabin or restrict the items brought inside the aircraft cabin to passenger personal items. Operators that do not allow carry-on bags in the cabin of the aircraft are considered to have a no-carry-on baggage program. Advisory Circular (AC) 120-27, Aircraft Weight and Balance Control, current edition, provides further details regarding the definitions of carry-on baggage and personal items. OpSpec/MSpec A011 must describe or reference the carry-on baggage program or the no-carry-on baggage program. It is permissible for OpSpec/MSpec A011 to reference a separate carry-on baggage document developed by the operator that describes the program. However, the operator may elect to implement the carry-on baggage program by describing the requirements of the program in various sections of its manuals, such as the passenger services manual and the flight attendant manual. In this case, template A011 should reference specific sections of the pertinent manuals. Reference to the approved program in the template must be controlled by revision number and/or date, as appropriate. When an operator’s manual or separate carry-on baggage document does not adequately describe the approved carry-on baggage program, a combination of references and narrative description may be necessary. The description of the approved carry-on baggage program must address the items discussed in the current editions of AC 121-29, Carry-On Baggage, and AC 120-27. Additionally, one or more of templates A096, A097, A098, and/or A099 must be issued to track the approved carry on bag/personal item actual or average weights.

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B. Accounting for Carry-On Baggage Weight. Parts 91, 91 subpart K, and 135 operators requesting authorization to use average or segmented passenger weights that meet the requirements specified in AC 120-27, current edition, must either have a letter of authorization or been issued OpSpec/MSpec A011 to account for the actual or average weights used to account for carry-on baggage. Additionally, one or more of OpSpecs/MSpecs A096, A097, A098, and/or A099 must be issued to track the approved carry-on bag/personal item actual or average weights.

C. No Carry-On Baggage Program. Operators of small- and medium-cabin aircraft, as referenced in AC 120-27, current edition, may elect to only allow personal items onboard the aircraft. Operators with no-carry-on baggage programs must have procedures in place that ensure carry-on bags are either checked at the ticket counter, the gate, or plane side. Training programs should include the recognition of carry-on bags and procedures for removing such bags if they are inadvertently brought onboard the aircraft.

OPSPEC A012, PART 121 DOMESTIC OPERATIONS TO CERTAIN AIRPORTS OUTSIDE THE 48 CONTIGUOUS UNITED STATES AND ALASKA.

A. General. Title 14 CFR part 119, § 119.3(2)(iv), definition of “domestic operation,” gives the Administrator the authority to allow a 14 CFR part 121 certificate holder with flag authority to conduct operations to and from specific airports outside the 48 contiguous United States and Alaska, in accordance with the rules applicable to domestic operations instead of the rules applicable to flag operations. Operations specification (OpSpec) paragraph A012 is the method that the Administrator uses to grant this authorization.

B. Applicability. A012 is an optional OpSpec paragraph that is applicable to part 121 certificate holders who hold economic authority and are authorized in OpSpec paragraph A001 to conduct domestic and flag operations.

C. Conditions and Limitations. The following are some of the key conditions and limitations that must be met in order for certificate holders to operate under the authority granted by OpSpec paragraph A012:

1) The origin and destination airports must be listed in the certificate holder’s OpSpec paragraph C070 as a regular, provisional, or refueling airport. Although some certificate holders list alternate airports in their C070, part 121, § 121.631(a) specifically states, “A certificate holder may specify any regular, provisional, or refueling airport, authorized for the type of aircraft, as a destination for the purpose of original dispatch or release.”

2) Destination airports outside of the contiguous United States that are not located in the state of Alaska must be within 950 nautical miles (NM) from the territorial limits of the 48 contiguous United States.

3) An alternate airport for the destination must be listed in the dispatch release:

a) If the flight is scheduled for more than 6 hours, regardless of the destination.

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b) For flights conducted to Alaska if the destination airport does not have more than one separate suitable runway authorized for the type of aircraft to be used.

4) Certificate holders must comply with all regulations applicable to domestic operations when conducting operations in accordance with OpSpec paragraph A012.

NOTE: Principal operations inspectors (POI) must ensure that certificate holders fully understand the provision in subparagraph C4), particularly when it comes to fuel planning. There are several OpSpecs paragraphs, such as B043, B044, and B343, which apply only to flag and supplemental fuel reserves. A certificate holder operating flights in accordance with the provisions of OpSpec A012 cannot apply any regulations or OpSpec paragraphs applicable to flag or supplemental operations. In other words, OpSpec A012 cannot be combined with OpSpecs such as B043, B044, and B343.

NOTE: Please review the actual OpSpec paragraph A012 template in the Web-based Operations Safety System (WebOPSS) to view the full authorization contained in the OpSpec, along with all of the conditions and limitations listed therein.

D. Policies and Procedures. Certificate holders who are seeking approval for OpSpec A012 must have adequate policies, procedures, and training in place for dispatchers and flightcrew members to ensure that flights are scheduled, planned, and released in accordance with all of the limitations and provisions of OpSpec A012.

E. If Conditions Cannot Be Met. If all of the limitations and provisions contained in OpSpec paragraph A012 cannot be met, the certificate holder is prohibited from conducting operations in accordance with its use and must conduct operations in accordance with flag rules.

OPSPEC/MSPEC A013, OPERATIONS WITHOUT CERTAIN EMERGENCY EQUIPMENT.

A. General. Use OpSpec/MSpecs A013 and A005 to approve deviations from the requirements for certain emergency equipment for extended over water operations for turbojet-powered airplanes.

1) Authorization for issuance requires the concurrence of the principal operations inspector (POI), the appropriate region, and the Air Transportation Division, AFS-200.

2) Approval is indicated by listing in OpSpec/MSpec A013 the make and model of the aircraft and the routes and/or areas to which the deviation applies.

B. Applicability of OpSpec/MSpec A013 and Associated Deviations.

1) Part 91 subpart K fractional ownership program managers may apply for a deviation from part 91, § 91.509 to permit extended over water operations without carrying certain emergency ditching equipment.

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2) Part 121 certificate holders may apply for a deviation from part 121, § 121.339 to permit extended over water operations without carrying certain emergency ditching equipment.

3) Part 135 certificate holders may apply for a deviation from part 135, § 135.167 to permit extended over water operations without carrying certain emergency ditching equipment.

C. Granting Deviations. If the FAA grants a deviation and issues OpSpec/MSpec A013:

1) Part 91K, fractional ownership program managers must list part 91, §§ 91.509(b)(2), (3), (4), and (5) in MSpec paragraph A005 with the reference to A013.

2) Part 121 certificate holders must list part 121, § 121.339(a)(2), (3), and (4) in OpSpec A005 with the reference to OpSpec A013.

3) Part 135 certificate holders must list part 135, § 135.167(a)(2) in OpSpec A005 with the reference to A013.

D. Life Preserver Deviation. It is FAA policy that deviations from the requirement to carry life preservers (§§ 121.339(a)(1), 135.167 (a)(1), or 91.509(b)(1), as applicable) will not be approved.

E. Deviations From Carrying Liferafts. Deviations from the requirements for carrying liferafts and the liferaft’s required attached equipment may be approved. There is no individual deviation provision or requirement for a deviation for the following required items:

• Survival kits (§§ 91.509(e), 121.339(c), and, 135.167(c), as applicable); • Pyrotechnic signaling devices (§§ 91.509(b)(3), 121.339(a)(3), and 135.167(b), as

applicable); and • Emergency locator transmitters (§§ 91.509(b)(3), 121.339(a)(4), and 135.167(b),

as applicable).

F. Permitted Areas of Operation. The area(s) of operation permitted is any offshore area adjoining the 48 contiguous states of the United States, the Gulf of Mexico, and the Caribbean Islands, as follows:

1) The south and east coasts of the United States, below 35 degrees North latitude, the Gulf of Mexico, and the Caribbean Islands, not to exceed 30 minutes’ flying time in still air with one-engine inoperative, or 162 nautical miles (NM) from the nearest shoreline, whichever is less.

2) The east coast of the United States, 35 degrees North latitude and above, not to exceed 30 minutes’ flying time in still air with 1 engine inoperative or 100 NM from the nearest shoreline, whichever is less.

3) The west coast of the United States, not to exceed 30 minutes’ flying time in still air with one-engine inoperative or 100 NM from the nearest shoreline, whichever is less.

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G. Requirements for Supporting Documentation for Deviation Request. The operator must submit an application with supporting documentation for the deviation request with at least the following information about the conditions that must be met for the approval:

1) Aircraft operational capabilities for diversion due to an engine failure. This information must include drift down profiles, engine out cruise performance for two- and three-engine aircraft, and two-engine cruise performance for four-engine aircraft.

2) A graphical presentation of the areas and routes of en route operation and/or routes over which provisions of the deviation will apply, including proposed minimum en route altitudes and airports which could be used if diversion is necessary. The A013 authorization contains a limitation that in flight operations must not exceed the distance allowed under subparagraph F, as applicable, from a shoreline at any time. An exception is allowed for temporary maneuvering for weather avoidance.

3) Navigation and communication equipment requirements and capabilities for normal flight conditions and for engine inoperative flight conditions in the proposed areas of en route operation.

4) Existing and/or proposed procedures for diversion contingency planning and training curricula for flight and cabin crewmembers concerning ditching without liferafts.

5) A description of search and rescue facilities and capabilities for the proposed areas of en route operations.

H. Reviewing the Application.

1) The principal operations inspector (POI), in coordination with the principal maintenance inspector (PMI) and principal avionics inspector (PAI), must evaluate and substantiate submitted information. If a POI does not concur with the operator’s proposal, the POI will forward a letter to the operator denying the application for a deviation with an explanation of the reasons for denial. If a POI concurs that the deviations should be approved, the POI will prepare and forward a recommendation along with the operator’s application and supporting information to the Air Transportation Division, AFS-200, through the regional Flight Standards division.

2) AFS-200 will review the application, the supporting information, and the POI’s recommendation. If AFS-200 does not concur with the POI’s recommendation, AFS-200 will forward a letter to the POI, with a copy to the region, indicating nonconcurrence with an explanation of the reasons. If AFS-200 agrees with the POI’s recommendation, AFS-200 will advise the POI by letter of the concurrence. With AFS-200 concurrence, the POI may approve the deviation by issuing A013 and A005.

OPSPEC A014, IFR EN ROUTE OPERATIONS IN CLASS G AIRSPACE.

A. General.

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1) A014 provides the initial authorization for instrument flight rules (IFR) en route operations in Class G airspace. Other IFR en route authorizations may be found in OpSpecs B031, B034, B035, and B036, as applicable and appropriate.

2) OpSpec B032 prohibits special IFR en route operations in Class G airspace unless the POI approves such operations by issuing A014. IFR operations in Class G airspace are not provided any air traffic control (ATC) separation services. The certificate holder and the pilot in command (PIC) are responsible for avoiding obstacles and other air traffic.

B. Prerequisites for Authorizing En Route IFR Operations. Before authorizing en route IFR operations in Class G airspace to part 121, 121/135, 125, or 135 certificate holders:

1) The POI must confirm that the operator has a method or procedure for assuring that any facilities and services that this type of operation depends upon are operational during the periods in which flights are to occur.

2) The POI must also confirm that the operator has developed procedures and guidance for crewmember use while operating in areas of en route operations in Class G airspace. Aeronautical Information Publications (AIP) or flight information region (FIR) publications have broadcast in the blind procedures and other guidance for crewmember use when large areas of Class G airspace are within the area covered by the AIP or FIR.

NOTE: See Volume 4, Chapter 1, Section 1, General Navigation Concepts, Policies, and Guidance, and Section 4, Class II Navigation, for further discussion on en route operations in Class G airspace.

3) The reference to OpSpec B051 is to provide for part 121 reciprocating and turbo propeller powered aircraft operations only.

C. Special Terminal Area IFR Operations. OpSpecs C064, C080, and/or C081 now authorize special terminal area IFR operations in Class G airspace or at airports without an operating control tower. One or both types of these operations may be authorized.

D. Program Manager Authorizations. MSpec A014 authorizes the program manager to conduct IFR operations in Class G airspace and at airports without an operating control tower. Part 91 subpart K program managers will not have a separate MSpec C064 or C080.

OPSPEC A015, AUTOPILOT IN LIEU OF REQUIRED SECOND IN COMMAND.

A. General. In accordance with part 135, § 135.105(b), a part 135 operator may apply for authorization to use an autopilot in place of a second in command. The principal operations inspector (POI) must coordinate with an avionics inspector to ensure each particular aircraft/autopilot combination is installed in accordance with FAA-approved data, is airworthy, and is operationally capable of maintaining control of the aircraft to the degree specified in § 135.105(c).

B. Making Note of Conditions and Limitations. List the aircraft make and model and the autopilot manufacturer and model identification in A015. Any conditions or limitations

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which the POI determines necessary for a particular aircraft/autopilot combination must also be listed. It is not necessary to repeat conditions or limitations already specified in an Airplane Flight Manual (AFM) or AFM supplement. If no conditions or limitations apply, enter the word “none” in that part of the listing.

OPSPEC A016. Reserved. It was split into four separate authorizations: A037, A038, A039, and A040.

OPSPEC A017, APPROVED SECURITY PROGRAM FOR HELICOPTERS.

A. General. Title 49 of the Code of Federal Regulations part 1,500 does not include provisions for helicopter security programs. Helicopter operators who wish to enplane or deplane passengers or checked luggage into “sterile areas” must apply for, and receive authorization to use, an approved security program. A017 conveys the authority for helicopter operators to use an approved security program. Principal operations inspectors will not issue A017 without concurrence of the Civil Aviation Security Field Office.

B. Using References. Describe or reference the security program used by the operator in A017a. Reference sections of the operator’s manual that describe the program used by that operator. It is not necessary to control these references by date. Change the references only when a revision to the operator’s manual makes the reference in the OpSpecs incorrect. When the operator’s manual does not adequately describe the system and/or procedures used, a narrative description combined with references may be needed.

C. Listing Airports and/or Heliports. List the airports and/or heliports where operators must comply with the approved security program in A017b.

OPSPEC A018, SCHEDULED HELICOPTER OPERATIONS. A018 is issued to helicopter operators who operate scheduled passenger or cargo carrying operations.

A. Completing Approach and Landing With Powerplant Failure. Subparagraph A018a(2) authorizes scheduled helicopter operations along “Restricted Helicopter Routes” with helicopters which do not have Transport Category “A” one engine inoperative performance capabilities. The operator must show that helicopters using these routes can, at any point along the route and while at the minimum authorized altitude, complete a safe approach and landing if powerplant failure occurs. Determining compliance with these conditions will almost always be a controversial and difficult inspector task. For this reason, only currently qualified and highly experienced helicopter specialists should be used to evaluate these types of routes. In controversial cases, a team of helicopter specialists should be employed for this task.

B. Defining Restricted Helicopter Routes. OpSpec B050 must precisely define “Restricted Helicopter Routes.” This may be accomplished in accordance with instructions in Volume 3, Chapter 18, Section 4, Part B Operations Specifications—En Route Authorizations and Limitations, paragraph B050, subparagraph B(2)(e). In certain situations, detailed descriptions (including maps, charts, ATC letters of agreement, special provisions, and limitations) of “Restricted Helicopter Routes” may be lengthy and complex. Therefore, it is permissible to incorporate these documents in B050 by reference.

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OPSPEC A019, AUTOMOTIVE GASOLINE AS AIRCRAFT FUEL. A certificate holder may request authorization to use automotive gasoline as fuel in reciprocating engine aircraft used in 14 CFR part 135 cargo operations. When an inspector receives a request for this authorization, he must take all of the following actions before issuing A019:

A. Approval to Use Automotive Gasoline. In coordination with an Airworthiness inspector, determine that the specific aircraft is approved to use automotive gasoline as fuel.

B. Inspect the List of Aircraft. Inspect the proposed list of aircraft the certificate holder must maintain under 14 CFR part 119, § 119.59(b) for compliance with the provision of A019b(2).

C. Inspect Certificate Holder Procedures. In coordination with an Airworthiness inspector, determine that the certificate holder has written procedures which provide compliance with the requirements of OpSpec paragraphs A019b(3) and (4).

D. Necessary Entry in Aircraft and Powerplant Historical Record. The certificate holder must enter, in each appropriate aircraft and powerplant historical record, the following entry:

“This aircraft/powerplant has been operated using automotive gasoline as fuel and is prohibited for use in part 135 passenger carrying operations until the following events have been completed and documented by a person authorized to perform an annual inspection of this aircraft:

1) Remove all automotive fuel and fuel residue from the aircraft and powerplant fuel systems.

2) Inspect all components of the aircraft fuel system and appropriate components of the powerplants to determine that those components are airworthy and conform to the appropriate type design.

3) Record events (1) and (2) in the aircraft and/or powerplant records.”

OPSPEC A020, AIRPLANE OPERATIONS WITHOUT INSTRUMENT RATED PILOTS. A certificate holder who applies for this authorization may be issued A020 after each of the following considerations are satisfied.

A. Criteria for an Isolated Area. The area to be approved must be isolated. In determining whether an area is an “isolated area,” consider the following criteria:

1) Isolated areas may include small settlements or villages. Commercial transportation, such as bus or train, is not available. Major highways do not transit or penetrate isolated areas although secondary and unimproved roads (suitable for cars and trucks) may be available. In many cases, the destinations are so isolated that air travel is the primary means of transportation.

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2) Landing areas may be unimproved strips or water sites depending on the kinds of airplanes used and the time of year. Ski equipped airplane operations would be appropriate to frozen lakes or rivers and to suitable, snow covered land areas.

3) The size of isolated areas may vary considerably, depending on the needs of a particular certificate holder. However, part 135, § 135.243(d) states that flights may not exceed 250 nautical miles (NM) from the operator’s base of operations. The point of departure, en route portion of flight, and landing site all must be within the boundaries of the approved isolated area.

4) Within isolated areas flight planning and navigational requirements are normally performed by pilotage only. Radio navigational signal coverage (very-high frequency omnidirectional range or nondirectional radio beacon facilities) is usually limited, or largely ineffective, in these areas. However, a radio facility may be located at or near a landing site without changing the classification of the isolated area.

5) Weather hazards that may be encountered in the proposed area and planning strategies that may reduce risk. (e.g., valleys may produce heavy fog in morning hours. Should a destination airport become fogged in while en route, consider using ABC airport as an alternate.)

B. Application for Isolated-Area Operations Using a PIC Without an Instrument Rating. Applicants requesting approval for these operations must hold an Air Carrier Certificate or an Operating Certificate and OpSpecs authorizing part 135 on-demand visual flight rules (VFR) day-only operations using single-engine land or seaplanes. Isolated-area operations using a pilot in command (PIC) without an instrument rating must not be authorized for commuter operations. Application for this authorization must be made by letter requesting amended OpSpecs. A map or current aeronautical chart identifying the area involved must be attached to the letter of application. This chart must clearly show the boundaries of the isolated area, the principal landing sites, and the distances from the operator’s operations base.

C. Review of the Application for Compliance. Inspectors must review the application to confirm compliance with § 135.243(d)(3) (that the area is isolated) and § 135.243(d)(6) (flight distances do not exceed 250 NM). Inspectors must determine whether the certificate holder has a manual that incorporates instructions concerning operations in isolated areas. This manual must include a procedure that guarantees that noninstrument-rated PICs will not be used outside of the approved isolated areas. The principal operations inspector must determine that the following requirements are met before issuing A020.

1) All aircraft to be used are single, reciprocating engine powered, nine or fewer passenger airplanes equipped for at least day VFR operations.

2) Operations are limited to on demand, day VFR flights within the boundaries of the approved isolated area and not more than 250 NM distance from the base of operation.

3) Flight locating procedures are adequate.

4) The regional Flight Standards division concurs with the approval of the isolated area operation.

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OPSPEC A021, HELICOPTER EMERGENCY MEDICAL SERVICES (HEMS)/AIR AMBULANCE OPERATIONS—HELICOPTER.

A. General. OpSpec A021 authorizes a certificate holder operating under part 135 to conduct air ambulance visual flight rules (VFR) emergency medical service operations in helicopters. The terms air ambulance, helicopter emergency medical services (HEMS), and helicopter emergency medical evacuation services (HEMES) are used interchangeably in regard to this authorization.

1) This HEMS/air ambulance authorization requires that the intended takeoff and landing site be adequate for the proposed operation considering the size of the site, type of surface, surrounding obstructions, and lighting.

2) If the HEMS operation is to be conducted at night, the takeoff and landing site must be clearly illuminated by a lighting source that will provide adequate lighting for the site itself and for any obstructions that could create potential hazards during approach, hovering, taxiing, and departure operations.

B. Provisions and Limitations. OpSpec A021 specifies that the certificate holder may not use a pilot in command (PIC) in HEMS operations unless that PIC has satisfactorily completed the certificate holder’s FAA-approved training program for such operations. Because HEMS operations often involve flights during periods of inclement weather, the training program for HEMS operations must include a segment that covers the recovery from inadvertent instrument meteorological conditions encountered because of unforecasted weather conditions.

1) OpSpec A021 specifies the conditions (day/night), area (local/cross country), ceiling, and visibility the certificate holder is authorized to use for HEMS operations in Class G (uncontrolled) airspace. Night conditions are further defined by identifying different minimums for high and low lighting conditions. In addition, OpSpec A021 specifies different ceiling and visibility minimums for these considerations and areas when operating in mountainous and nonmountainous areas. Each specific combination of conditions and areas are listed in OpSpec A021.

a) The possible combinations of conditions and area include time of day (night or day), level of light available at night (low and high lighting conditions), area of operation (local or cross country), and the kind of area (mountainous or non-mountainous). Each of these combinations is specified along with ceiling and visibility authorizations.

b) Instrument flight rules (IFR) operators authorized to fly point-in-space special instrument approach procedures (IAP) with a “Proceed VFR” transition to the heliport must apply their visual flight rules (VFR) weather minimums in determining their landing minimums.

1. Since these operations require that the aircrew be specifically qualified for the use of these approaches, the visual segment area may be considered “local” in nature.

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2. Because the pilot and aircraft are trained, equipped, and authorized as fully IFR capable under Part H authorizations, the area may be considered the equivalent of a “high lighting conditions” area at night.

3. The effect of precipitous terrain has been accounted for in the development of the minimum descent altitude (MDA) so, for purposes of applying VFR minimums in determining IFR landing visibility minimums, the area may be considered “nonmountainous.” For planning purposes, this consideration applies when the distance from the missed approach point to the landing area is less than 3 NM.

4. Therefore, when applying the VFR weather minimums of OpSpec A021 in determining the minimums for all Special PinS approaches, with a “Proceed VFR” transition to the heliport, apply the local, nonmountainous, day, or night high lighting conditions (as appropriate) minimums in Table 1 of OpSpec A021 in determining the landing minimum if the distance from the missed approach point to the heliport is 3 NM or less. However, if the distance from the missed approach point to the heliport exceeds 3 NM, the certificate holder must apply the VFR minimums prescribed in Table 1 of OpSpec A021 appropriate to the actual existing conditions (local, mountainous, day or nonmountainous, cross country, night, etc.).

NOTE: For instrument approaches with a “Proceed visually” visual segment, the minimums provided in OpSpec A021 do not apply; the minimums specified in the instrument approach procedure apply.

c) Requests for lower weather minimums for operations in uncontrolled airspace must be coordinated with and approved by AFS-200 through the regional Flight Standards division (RFSD). These requests must follow the nonstandard OpSpec approval process outlined in Volume 3, Chapter 18, Section 2, Automated Operations Safety System (OPSS), paragraph 3-713, Procedures for Requesting Nonstandard Authorizations.

C. Local Area. OpSpec A021 contains a description of the “local area.” The local area is an area designated by the certificate holder which generally may not exceed 50 NM from the dispatch location, taking into account man made and natural geographic terrain features that are easily identifiable by the PIC, and from which the PIC may visually determine a position at all times.

1) The local area may be the same for night and day operations unless the terrain features used for the day local area would not be discernible at night. In such a case, both a day and night local area must be described.

2) For example, in mountainous or desert locations, geographical features may facilitate day operations but because of the lack of such features and/or lighted landmarks, night operations would not be authorized.

3) Additional information on local flying areas is provided in Volume 4, Chapter 5, Section 3, Air Ambulance Service Operational Procedures, paragraph 4-947, Local Flying Area for HEMS Operations.

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D. Additional Information. For more information, see OpSpec A024, Air Ambulance Operations—Airplane, and OpSpec A050, Helicopter Night Vision Goggle Operations, in this section.

OPSPEC A022, APPROVED EXIT ROW SEAT PROGRAM. Reserved.

OPSPEC A023, USE A PROGRAM DURING GROUND ICING CONDITIONS.

A. Part 121. Part 121, § 121.629(c) requires part 121 certificate holders to have an approved ground deicing/anti-icing program, unless the certificate holder complies with § 121.629(d), which requires an outside the aircraft pretakeoff contamination check. Principal inspectors (PI) will issue OpSpec A023 to authorize the use of an approved ground deicing/anti-icing program or the use of an outside the aircraft pretakeoff contamination check. See Volume 3, Chapter 27, Ground Deicing/Anti icing Programs, for guidance on approving a ground deicing/anti-icing program.

B. Parts 125 and 135. Part 125, § 125.221 and part 135, § 135.227 require parts 125 and 135 certificate holders who operate during ground icing conditions to have approved aircraft pretakeoff contamination check procedures. PIs will issue OpSpec A041 to authorize a pre takeoff contamination check (not necessarily outside the aircraft). A part 125 or 135 certificate holder may choose to comply with § 121.629(c) by having an approved ground deicing/anti icing program, in which case the PI will issue OpSpec A023. If a part 125 or 135 operator chooses to operate without a pre takeoff contamination check or without a § 121.629(c) program, then PIs may only authorize them to operate when ground icing conditions do not exist by issuing OpSpec A042. See Volume 3, Chapter 27 for guidance on approving a ground deicing/anti-icing program.

OPSPEC A024, AIR AMBULANCE OPERATIONS—AIRPLANE.

A. General. Airplane air ambulance operations do not differ significantly from other types of airplane air carrier operations. A024 authorizes a certificate holder operating in accordance with parts 121 or 135 to conduct EMS operations in airplanes.

B. Requirement for Aircraft Used in Air Ambulance Operations. The aircraft used in air ambulance operations must be equipped with at least medical oxygen, suction, and a stretcher, isolette, or other approved patient restraint/containment device. The aircraft need not be used exclusively as an air ambulance aircraft, and the equipment need not be permanently installed.

C. Air Ambulance Operations Definition.

1) Air transportation of a person with a health condition that requires medical personnel as determined by a health care provider; or

2) Holding out to the public as willing to provide air transportation to a person with a health condition that requires medical personnel including, but not limited to, advertising, solicitation, association with a hospital or medical care provider.

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D. Complete the Training Program Before Starting Air Ambulance Flights. A024 specifies that the flightcrew must satisfactorily complete the certificate holder’s approved training program prior to commencement of air ambulance flights.

E. Additional Information. For further guidance see Volume 4, Chapter 5, Air Ambulance Operations, and OpSpec A021, Air Ambulance Operations—Helicopter.

OPSPEC/MSPEC A025, ELECTRONIC RECORDKEEPING SYSTEM.

A. General. A025 is required for 14 CFR part 121 air carriers in accordance with part 121, § 121.683. It is an optional paragraph for 14 CFR part 91 subpart K (part 91K) program managers and 14 CFR part 135 air carriers. Recordkeeping for part 121 air carriers is covered in part 121 subpart V, and 14 CFR part 145 for repair stations.

1) The full description of the electronic recordkeeping system may be kept in the operator’s General Operations Manual (GOM). Reference the GOM appropriately in A025.

2) Volume 3, Chapter 31, Sections 1–4 give details of the requirements for approving an air carrier’s recordkeeping system.

3) Volume 6, Chapter 2, Section 24 provides guidance for inspections that include the review of required records.

B. Additional Information. See the A025 job aid in the automated Operations Safety System (OPSS) for other current information.

C. Part 145. For part 145 repair stations, A025 identifies the electronic/digital recordkeeping system acceptable to the administrator. It also identifies the certificate holder and their electronic signature procedures.

OPSPEC A026, RESTRICTED OPERATION OF CERTAIN STAGE 2 AIRPLANES. Reserved.

OPSPEC/MSPEC A027, LAND AND HOLD SHORT OPERATIONS. (OPTIONAL)

A. General. OpSpec A027 authorizes Land and Hold Short Operations (LAHSO) for part 121, 125, and 135 certificate holders, and part 91 subpart K program managers. Certificate holders must meet certain requirements for operational policies, procedures, and training for LAHSO before the principal operations inspector (POI) may issue this OpSpec. No operator may participate in LAHSO unless it has accomplished flightcrew training. FAA Air Traffic Order 7110.118, Land and Hold Short Operations (LAHSO), must be used in conjunction with the information provided in this paragraph.

NOTE: Waivers will not be issued to any LAHSO procedures.

B. Requirement for Participating in LAHSO. Operators may not participate in LAHSO and the FAA will not issue OpSpec A027 until the following are met:

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1) Local Flight Standards District Office (FSDO) managers and local and regional Air Traffic managers must coordinate, (in accordance with FAA Order 7210.3, Facility Operation and Administration and Order 7110.118) the following for airports in their district conducting LAHSO:

• Participation of Flight Standards Service (AFS) representatives in local LAHSO development teams;

• Review of air traffic control (ATC) procedures to ensure that procedures are consistent with aircraft/aircrew performance capabilities according to the type of aircraft operations involved;

• Assisting in the identification of eligible aircraft that may operate on each runway, based on the available landing distance (ALD); and

• Ensuring that no air carrier is approved to operate aircraft to a runway, for the purpose of conducting LAHSO, with less than that specified on Order 7110.118, appendix 1, Aircraft Group/Distance Minima.

NOTE: Aircraft not identified in Order 7110.118, appendix 1 do not participate in LAHSO. Aircraft additions to Appendix 1 may be requested through the local ATC facility manager to Air Traffic Service (AAT) and AFS at FAA Headquarters.

2) POI.

a) Each POI must review the following:

• FAA Order 7110.118, in order to identify AFS roles and responsibilities to support joint development of procedures for conducting LAHSO at specific airports. FAA Order 7110.118 may be found at http://ato.faa.gov.

NOTE: If Internet access is unavailable, contact ATP 120 at (202) 267-7265 for the most current guidance document.

• Regulatory requirements, as applicable: parts 125 and 135 subpart I; and §§ 91.1037, 23.75; 25.125; and 121.195.

b) Each POI must ensure the following actions have been accomplished before issuing or re-issuing, as appropriate, OpSpec A027:

• The air carrier has instituted flightcrew member training on LAHSO; • The air carrier has a system that accurately determines the landing

distance or maximum landing weight required for LAHSO and that ensures no aircrew accepts a landing clearance to a runway with a landing distance less than the distance identified in FAA Order 7110.118, appendix 1;

• The air carrier has provided flightcrew members with all necessary information needed to conduct LAHSO; and

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• Paragraph A027c describes the location of the air carrier’s LAHSO procedures. These procedures may be contained in any flightcrew member manual or document readily available to flightcrew members for reference.

NOTE: The FAA strongly recommends that all carriers provide aircrews with in flight single source documentation on LAHSO procedures. See Volume 4, Chapter 3, Section 5, Selected Practices, paragraph 600, Land and Hold Short Operations (LAHSO), for additional information.

OPSPEC A028—AIRCRAFT WET LEASE ARRANGEMENTS. In FAA use, the term “wet lease” is any leasing arrangement whereby a person agrees to provide an entire aircraft and at least one crewmember (part 119, § 119.3). This OpSpec authorizes certificate holders who conduct common carriage operations under parts 121 and 135 to enter into wet lease arrangements with other part 119 certificate holders. See Volume 12, Chapter 2, Section 9, Lease, Interchange, and Charter Arrangements, for the wet lease of any aircraft by a U.S. air carrier to a foreign air carrier or foreign person engaged in common carriage wholly outside the United States. Volume 3, Chapter 13, Section 4, Wet Lease Agreements, provides direction and guidance for processing and authorizing wet lease arrangements.

A. Reviewing Wet Lease Arrangements. When reviewing proposed § 119.53 wet lease arrangements between U.S. certificate holders authorized to conduct common carriage operations, there are two critical factors to consider: (1) whether or not the lessee has exclusive legal possession and use of the entire aircraft, and (2) whether or not the lessor retains actual possession and operational control of the aircraft by virtue of providing and controlling the crewmembers.

1) Possession. In an FAA-defined wet lease, the lessor surrenders legal possession of specific aircraft to the lessee, but in general retains actual possession of the aircraft by virtue of providing and controlling the crewmember(s). This form of lease implies that the lessee has possession or custody, not ownership, of the aircraft for a specified period of time or a defined number of flights.

a) The lessor is the certificate holder who grants legal possession and use of specific aircraft to another certificate holder.

b) The lessee is the certificate holder who obtains legal possession and use of specific aircraft from another certificate holder.

c) If the lessor/grantor never transfers legal possession or custody of the entire aircraft, the arrangement is not a § 119.53 wet lease. Likewise, if the arrangement makes it clear that actual possession of the entire aircraft is never transferred; the arrangement is not a § 119.53 wet lease. In this case the arrangement might actually be a charter. An example of such an arrangement is a provision of “aircraft with crew” agreement where no legal or actual transfer of the possessory rights to the aircraft occurs. Such an arrangement is a services agreement for provision of a flight service to a customer even if characterized as a wet lease by the parties to the agreement.

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2) Operational Control. As defined in 14 CFR part 1, operational control is the exercise of authority over initiating, conducting, or terminating a flight. The certificate holder exercising operational control—generally the lessor—is responsible for the safety and regulatory compliance of the flights. The FAA rarely has allowed operational control to be exercised by the lessee certificate holder. An example of such a case entails a lessee certificate holder who obtains legal possession of the lessor certificate holder’s aircraft and, as part of the arrangement, the lessor agrees to furnish two flight attendants with the aircraft. In addition, the lessee furnishes the pilot crewmembers to operate the aircraft. In this case, the lessee certificate holder obtains both actual and legal possession of the aircraft and operational control by virtue of providing and controlling the pilot crewmembers. If there is a question that the lessee may have operational control, the lease must also be reviewed by AFS-200 and AGC-300. In this case, both must concur in the issuance of OpSpec A028.

3) Wet Lease Types. Operational control under an FAA-defined wet lease will be one of two types.

a) The lessor certificate holder will have operational control of the listed aircraft. If the lessor certificate holder will have operational control, that certificate holder is authorized to conduct operations in accordance with each applicable wet lease arrangement identified in Table 1 of the OpSpec.

1. The certificate holder issued this authorization must at all times be responsible for and maintain the operational control and airworthiness of each aircraft identified in each lease arrangement. The lease arrangement(s) must be listed in Table 1 of the OpSpec.

2. The nationality, registration, and serial number of each aircraft to be used under the terms of the wet lease arrangement will be identified in paragraph D080 or D087, as applicable, and D085 of the certificate holder’s OpSpecs.

3. While conducting operations under this authorization, the lessor may use the call sign and flight number(s) of the lessee, provided that, for all flights the lessor certificate holder explains in the remarks section of the applicable flight plan that the flight is actually being conducted under the call sign and flight number(s) of the lessee.

4. Both lessor and lessee certificate holders will have their role and information of the wet lease arrangement documented in OpSpec A028 of their respective OpSpecs.

b) The lessor certificate holder will not have operational control of the listed aircraft. This type of arrangement is rare. For the FAA to approve such an arrangement, the parties to it will have to establish to the FAA’s satisfaction how the lessee will exercise operational control of the aircraft. For the party to each applicable wet lease who will not have operational control, that determination must be stated in Table 2, of the respective certificate holders’ OpSpecs. Under this example, the lessor certificate holder not having operational control will exercise the wet lease arrangement(s) listed in Table 2 with the following limitations and provisions:

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1. The lessee, as the party exercising operational control, is singularly responsible for the safety and regulatory compliance of the flights.

2. The lessee, as the party having operational control in the wet lease arrangement listed in Table 2, must at all times be responsible for, and maintain the operational control and airworthiness of the aircraft identified in each wet lease arrangement listed.

3. The lessor certificate holder is not authorized to have, and may not have, operational control of any operation conducted by the lessee certificate holder under this subparagraph of the OpSpec.

4. Both lessor and lessee certificate holders will have their role and information of the wet lease arrangement documented in OpSpec A028 of their respective OpSpecs.

B. Wet Leasing Prohibitions. Section 119.53(b) prohibits part 119 certificate holders’ wet leasing from a foreign air carrier or any other foreign person or any person not authorized to engage in common carriage. This prohibition is to prevent confusion as to which carrier would be held accountable for the safety of the flight, which country’s air carrier safety rules would be followed, and which civil aviation authority would have primary oversight responsibilities.

1) It is common practice among commercial operators to enter into agreements which the two parties characterize as wet leases but which actually are charters when compared to the FAA definition of wet lease. The term “charter” is not defined in FAA regulations. However, in operational terms, a charter is an agreement whereby a person provides lift capacity (cargo or passengers) to another person for a defined period of time or number of flights. In other words, a charter is a services agreement for the provision of a flight service—not transfer of possession or custody of an aircraft and the FAA expects the charter operator providing an aircraft with crew to have operational control over all flights conducted pursuant to the agreement.

2) A U.S. air carrier that enters into an agreement with a foreign air carrier for both an aircraft and crew to perform part of the U.S. air carrier’s international operations may not be entering into a wet lease as defined by the FAA if certain conditions (described below) are met. Note that, for commercial reasons both U.S. and foreign air carriers may characterize such arrangements as wet leases even though they are more in the nature of a charter. These agreements, even if characterized by the parties as wet leases, are a type of charter and are subject to the requirements of 14 CFR part 212.

3) In some commercial arrangements, the term provision of aircraft with crew (or similar phrasing) rather than charter may be used. The provision of aircraft with crew arrangement does not involve any legal or actual transfer of the possessory rights to the aircraft; it is a services agreement or arrangement for a lessor to provide a flight service and does not transfer possession of the aircraft to the lessee.

4) Charter or provision of aircraft with crew arrangements are commercial arrangements between carriers that require a statement of authorization from the Office of the

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Secretary of Transportation (OST); they are not documented by OpSpec. The OST authorization process includes a determination that the requirements of part 212 are met and the proposed operation is in the public interest. Such determinations are made in coordination with the FAA, which will review the arrangements and make determinations relating to operational control, possession of the aircraft, the safety oversight of the operation, and the safety audit of the foreign air carrier. Where a foreign air carrier will be involved in such a lease or provision of aircraft with crew arrangement to a U.S. air carrier, approval will be subject to the following requirements:

a) The foreign air carrier involved holds a foreign air carrier permit or exemption authority from OST to conduct charter operations;

b) The country that issued the foreign air carrier’s air operator certificate has been rated as Category 1 under the FAA’s International Aviation Safety Assessment program.

c) The operations to be conducted represent foreign air transportation and not prohibited cabotage, in accordance with Title 49 of the United States Code, § 41703;

d) The foreign air carrier would be conducting a flight or series of flights. The U.S. air carrier has the economic authority for the flight or series of flights that will be conducted with the foreign air carrier’s aircraft and crew;

e) The foreign air carrier files an application for a statement of authorization for any such operation proposed;

f) The foreign air carrier demonstrates that it would be in operational control of the proposed operation, for example, by providing with its application, for review by the FAA, copies of the lease arrangement for the aircraft with crew, that it has entered into with the U.S. certificated air carrier;

g) The foreign air carrier demonstrates that it will retain legal and actual possession of the aircraft;

h) The foreign air carrier provides evidence, for example, that the U.S.-certificated air carrier involved has conducted a safety audit of the foreign carrier, consistent with an FAA-approved safety audit program, and has submitted a report of that audit to the FAA for review; and

i) The FAA notifies the OST that it has determined that operational control of the proposed flights rest with the foreign air carrier applicant, that the oversight of the operation will remain with the country that issued the foreign air carrier’s air operator certificate, and that the safety audit meets the standards of the U.S.-certificated air carrier’s safety audit program.

OPSPEC A029, AIRCRAFT INTERCHANGE ARRANGEMENTS. Volume 3, Chapter 13, Section 5, Interchange Agreements, provides direction and guidance for processing and authorizing interchange arrangements. When an interchange arrangement is authorized, A029 must be issued to both parties of the interchange agreement by each responsible principal

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operations inspector. All interchange arrangements authorized for an operator must be listed in A029. Enter the name of the operator who would normally operate the aircraft if an interchange agreement were not in effect in the column labeled Primary Operator. List the name of the other party to the interchange agreement in the column labeled Interchange Operator. List the aircraft make/model/series of the aircraft used and all specified interchange points for each agreement in the appropriate columns. If it is necessary to specify other conditions or limitations such as expiration dates, they should be specified by adding text to A029.

OPSPEC A030, SUPPLEMENTAL OPERATIONS BY A CERTIFICATE HOLDER AUTHORIZED TO CONDUCT DOMESTIC OR FLAG OPERATIONS.

A. General.

1) A030 is an optional OpSpec that authorizes a 14 CFR part 121 certificate holder to conduct supplemental operations between airports listed for scheduled operations in that certificate holder’s OpSpec C070. Principal operations inspectors (POI) may issue A030 to a certificate holder who is authorized in OpSpec A001 to conduct the following types of operations:

• Domestic and supplemental. • Flag and supplemental. • Domestic, flag, and supplemental.

2) POIs may not issue A030 to a certificate holder who is only authorized to conduct supplemental operations because such a certificate holder is not issued an OpSpec C070. Thus, the certificate holder would be required to operate under supplemental rules at all times.

B. Authorizations.

1) Conducting Supplemental Operations in Accordance with Domestic or Flag Rules to Airports Listed in C070. OpSpec A030 subparagraph b authorizes a certificate holder with domestic and/or flag authority to conduct supplemental operations using domestic or flag rules, as applicable, between the regular, provisional, and refueling airports listed in the certificate holder’s OpSpec C070. A030 may not be applied to airports listed solely as alternate airports.

2) Conducting Supplemental Operations in Accordance with Supplemental Rules to Airports Listed in C070. OpSpec A030 subparagraph c authorizes a certificate holder with domestic and/or flag authority to conduct supplemental operations between the airports listed in the certificate holder’s C070 under supplemental rules.

3) Optional Nonstandard Provisions. OpSpec A030 contains a field in which POIs can enter optional/nonstandard text. This field is commonly referred to as “TEXT99.” POIs may not issue nonstandard text to OpSpec A030 without obtaining prior approval from the Air Transportation Division (AFS-200).

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OPSPEC A031, ARRANGEMENTS WITH TRAINING CENTER(S) OR OTHER ORGANIZATION(S) FOR CERTIFICATE HOLDER TRAINING; MSPEC A031, ARRANGEMENTS WITH TRAINING CENTERS, AIR AGENCIES, AND/OR OTHER ORGANIZATIONS FOR PERSONNEL TRAINING. This paragraph is used to document the approval of the operator’s/certificate holder’s training program.

OPSPEC A032, ADOPTION OF FLIGHT CREWMEMBER FLIGHT TIME LIMITATION RULES TO ESTABLISH FLIGHT ATTENDANT DUTY AND FLIGHT TIME LIMITATIONS AND REST RESTRICTIONS; MSPEC A032, FLIGHT ATTENDANT FLIGHT, DUTY, AND REST RULES. The program manager may be authorized to adopt the flightcrew member’s flight, duty, and rest requirements for its flight attendants in accordance with written approved procedures as provided in part 91, § 91.1062(b) and described or referenced in MSpec A032.

OPSPEC A033, TITLE 14 CFR PART 135 FLIGHT AND REST TIME LIMITATIONS FOR CERTAIN PART 121 AND CERTAIN 135 OPERATIONS.

A. General. A033 is issued to authorize the certificate holder to conduct:

1) Certain part 121 operations with airplanes having a passenger seat configuration of 30 seats or fewer and a payload capacity of 7,500 pounds or less in accordance with part 121, §§ 121.470(a), 121.480, and/or 121.500, using flight and rest time limitations under part 135, §§ 135.261 through 135.273, and/or

2) Certain 14 CFR part 135 operations using flight and rest time limitations under § 135.265, in lieu of any other §§ 135.261 through 135.273.

B. Compliance With Applicable 14 CFR Sections. Part 119 establishes that all certificate holders conducting scheduled passenger-carrying operations with turbine-powered airplanes and/or airplanes having 10 or more passenger seats must operate under part 121, § 121.470(a), Flight Time Limitations, Domestic Operations; § 121.480, Flight Time Limitations, Flag Operations; and § 121.500, Flight Time Limitations, Supplemental Operations. These sections contain, in pertinent part, the provisions that a certificate holder conducting operations with airplanes having a passenger seat configuration of 30 seats or fewer, excluding each crewmember seat, and a payload capacity of 7,500 pounds or less may comply with the applicable requirements of §§ 135.261 through 135.273. Section 135.261(a)(2) allows certain part 135 certificate holders to comply with the requirements of § 135.265, when OpSpec A033 is issued.

MSPEC A033, FLIGHT AND REST TIME REQUIREMENTS. As allowed by part 91, § 91.1057(j), the program manager may be authorized to conduct program operations using the applicable unscheduled flight time limitations, duty period limitations, and rest requirements of part 121 or 135, instead of the flight time limitations, duty period limitations, and rest requirements of part 91 subpart K, as described in MSpec A033.

OPSPEC/MSPEC A034, ADVANCED QUALIFICATION PROGRAM (AQP).

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A. When to Issue OpSpec A034. Following initial/Phase IV approval, all Advanced Qualification Program (AQP) air carriers must be issued OpSpec paragraph A034. For all AQP documents and phases for which the Extended Review Team (ERT) is designated as the approval authority, the FAA manager AQP and the principal operations inspector (POI) or training center program manager (TCPM) will cosign the approval letters. Following approval for continuing operation (Phase V), the POI will manage and sign approved curriculum outline changes.

B. About AQP. AQP is a voluntary program; Flight Standards Service encourages air carriers to participate. AQP provides for enhanced curriculum development and a data driven approach to quality assurance along with the flexibility to target critical tasks during aircrew training. The AQP methodology directly supports the FAA’s safety enhancement goals. The Voluntary Safety Programs Branch, AFS-230, will provide assistance to the Flight Standards District Office (FSDO), certificate management office (CMO), or Certificate Management Unit (CMU) from initial application through the final fleet approval as a collaborative effort. An accepted air carrier AQP application will initiate the AFS-230/FSDO/CMO/CMU partnership. AFS-230 will assist in the development, implementation, and review as well as follow on reviews for the air carrier’s AQP. AFS-230 and the FSDO/CMO/CMU will manage program approvals and revisions through an ERT process.

C. Additional Information. More detailed information on AQP can be found in Volume 3, Chapter 21, The Advanced Qualification Program, Sections 1 through 5.

OPSPEC A035, U.S. REGISTERED AIRCRAFT—FOR PART 129 ONLY.

OPSPEC A036. Reserved.

OPSPEC A037, BASIC 14 CFR PART 135 OPERATOR—COMMUTER AND ON DEMAND OPERATIONS. A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into OpSpecs A037, A038, A039, and A040. The four types of operations authorized are: Single-Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On-Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135, sections 1 through 6. Deviations are required to authorize a single pilot in command or a basic part 135 operator. The appropriate regulatory sections that an operator is authorized deviations from will also be listed in OpSpec A005.

OPSPEC A038, BASIC TITLE 14 CFR PART 135 OPERATOR—ON DEMAND OPERATIONS ONLY. A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into OpSpecs A037, A038, A039, and A040. The four types of operations authorized are: Single-Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On-Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, The Certification Process—Title 14 CFR Part 135, sections 1 and 2. Deviations are required to authorize a Single Pilot in Command or a Basic Part 135 Operator. The appropriate regulatory sections that an operator is authorized deviations from will also be listed in OpSpec A005.

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OPSPEC A039, SINGLE PILOT IN COMMAND OPERATOR (PART 135). A016 was comprised of four different authorizations. Because of the new OPSS, the four authorizations were split into paragraphs A037, A038, A039, and A040. The four types of operations authorized are: Single-Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On-Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, Section 2, Phase 2—Formal Application. Deviations are required to authorize a single pilot in command or a basic part 135 operator. Therefore, the appropriate regulatory sections that the operator is authorized deviations from must also be listed in OpSpec A005.

OPSPEC A040, (PART 135 AND 135/121 DATABASES ONLY) SINGLE PILOT OPERATOR (PART 135). A016 was comprised of four different paragraphs. Because of the new Operations Safety System, the four authorizations were split into paragraphs A037, A038, A039, and A040. The four types of operations authorized are: Single Pilot Operators, Single Pilot-in-Command Operators, Basic Part 135 Operators (On-Demand Operations Only), and Basic Part 135 Operators (Commuter and On-Demand Operations). Further direction and guidance for certification of these types of operators are in Volume 2, Chapter 4, Section 1. It is not required to issue an A005 for the single pilot operator for deviations from the requirements for an operations manual, management personnel and positions, and an approved pilot training program. However, OpSpec A005 must list other appropriate regulatory sections from which the operator is authorized deviations.

OPSPEC A041, PRETAKEOFF CONTAMINATION CHECK OR APPROVED ALTERNATE GROUND DEICING/ANTI-ICING PROCEDURE FOR TITLE 14 CFR PART 125/135 AIRPLANE OPERATIONS.

A. Part 125, § 125.221 and Part 135, § 135.227. These sections require part 125 and 135 certificate holders who operate in ground icing conditions to have approved aircraft pretakeoff contamination check procedures or an approved alternate ground deicing/anti-icing procedure to determine the airplane is free of frost, ice, or snow. Principal inspectors (PI) will issue OpSpec A041 to authorize a pretakeoff contamination check (not necessarily outside the aircraft) or the approved alternate procedure. A part 125 or 135 certificate holder may choose to comply with part 121, § 121.629(c) by having an approved ground deicing/anti-icing program, in which case the PI will issue OpSpec A023. See Volume 4, Chapter 8, Low Visibility Taxi Operations, for guidance on approving a ground deicing/anti icing program.

B. OpSpec Paragraph A041. This paragraph will be used to authorize the use of the alternative procedure using the services of a provider with an approved § 121.629 program and thereby authorizing the use of the holdover times (HOT) as limiting values instead of as advisory information only. The conditions specified in this OpSpec must be complied with in order for the operator to use this alternate procedure. Before issuing the OpSpec the operator’s General Operations Manual (GOM) and training program must be updated to include the elements contained in this guidance. The flightcrew, and, if appropriate, other ground personnel (example: persons charged with prearranging ground deicing services) must be trained as per the approved training program as updated to address the elements contained in this guidance. For an operator choosing to implement this alternate procedure, OpSpec A041 allows the operator to

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chose for each takeoff between conducting a pretakeoff contamination check in accordance with the Aircraft Flight Manual (AFM) or certificate holder’s approved program within five minutes of takeoff, or, if authorized, and all the conditions of their approved alternate procedure and the OpSpec can be met, to use the holdover time/allowance times as limiting values. OpSpec A023 should not be issued for the purpose of authorizing this alternate procedure. This is an alternate procedure to conducting a pretakeoff contamination check and not in full compliance with the requirements of an approved § 121.629 program.

C. Approved Alternate Ground Deicing/Anti-icing Procedure. By providing this guidance for the development of an alternate ground deicing plan the FAA anticipates an improvement in the level of safety in winter operations by encouraging part 125 and 135 operators to develop aircraft ground de/anti-icing plans similar to an approved § 121.629 program. By incorporating the procedures outlined in this guidance and by incorporating and conducting the training specified, the operator will have available for use quality assured de/anti-icing fluids, applied with equipment meeting the proper specifications, and applied by qualified ground personnel under the quality assurances built into a § 121.629 approved ground deicing program. An operator under part 125 or 135 may choose to implement the alternate procedures for ground de/anti-icing as outlined in this guidance or continue to operate in ground icing conditions by conducting a pretakeoff contamination check within five minutes of takeoff using procedures in their approved ground deicing plan, and AFM limitations. Under these alternate procedure guidelines the operator is restricted to using the ground deicing services of an air carrier or an air carrier contract service provider conducting ground deicing service under an approved § 121.629 ground deicing program. Since the quality control requirements for the fluids and application equipment along with the activation of the program/plan as it relates to the ground service readiness is under the control of the holder of the § 121.629 approved program, the operator under these alternate procedures need not have policies and procedures for these elements in their alternate plan. Likewise, all ground deicing personnel are required to have been trained and qualified by the holder of the § 121.629 approved program being used, therefore the holder of these alternate ground deicing procedures must conduct only aircraft-specific training. In lieu of prior training of the ground deicing personnel on the specific aircraft, the flightcrew may, in person, supervise the de- /anti-icing process. This supervision must be supplemented by pictorial description (provided to the application personnel) of the aircrafts critical and sensitive surfaces indicating those areas that must be checked as part of the post deicing and anti-icing inspections. In order to use this flightcrew supervision provision the flightcrew must be trained on all fluid application procedure requirements except for actual hands on practice. In essence, the operator’s ground de/anti-icing alternate procedures plan must contain all other elements of an approved § 121.629 program as detailed in the current edition of AC 120-60, Ground Deicing and Anti-icing Program, except as indicated above. The required elements of the operator’s alternate procedure plan and required training is provided below. This guidance is extracted from AC 120-60 with limited additional guidance from other FAA ground deicing guidance material. In addition, inspectors and certificate holders should consult the AFS-200 Web site for current guidance.

1) Required Ground De/Anti-Icing Elements. This paragraph describes ground de/anti-icing elements required to be contained in a part 125 and 135 alternate procedures in-lieu of a pretakeoff contamination check in order to be authorized the use of the current

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FAA-published fluid HOT as limiting time values rather than advisory times when utilizing the ground de/anti-icing service provider with an approved part 121, § 121.629 program.

a) Management Plan. In order to properly exercise operational control (when conditions are such that frost, ice, snow, or slush may reasonably be expected to adhere to an aircraft), the certificate holder should develop, coordinate with other affected parties, implement, and use a management plan for proper execution of its alternative de/anti-icing plan. A plan encompassing the following elements is acceptable:

1. Responsibility. Where operations are expected to be conducted in conditions conducive to ground icing, determine who is responsible for deciding when ground deicing/anti-icing procedures are in effect and the ambient conditions for implementing ground deicing procedures.

2. Manuals Requirements. The certificate holder should incorporate a detailed description of the deicing/anti-icing plan in its manuals for flightcrew members, flight followers, ground operations personnel, and management personnel to use when conducting operations under ground icing conditions. This description should include the functions, duties, responsibilities, instructions, and procedures to be used.

3. Coordination. The certificate holder should develop a winter operations plan to include procedures for coordination with the deicing service provider, air traffic control (ATC), and airport authorities as appropriate.

b) De/Anti-icing Fluid Application Procedures. In an appropriate manual, certificate holders must specify the deicing and anti-icing fluid procedures for each type of aircraft operated. Thickened anti-icing fluids (Type II, III, and IV), may only be used on aircraft that the aircraft manufacturer has provided documentation that these fluids are safe to be used on that make and model aircraft. Type I deicing fluid may be used on any aircraft with a takeoff rotation speed of 65 knots or greater with an outside air temperature of -19 C or warmer. In order to use the HOT as limiting time values the de/anti-icing service must be provided by an operator with an approved de/anti-icing program approved under § 121.629 or a contract provider to that operator under the operators approved § 121.629 approved program. Ground personnel trained and qualified to apply deicing and anti-icing fluid, in accordance with a certificate holder’s approved § 121.629 program, do not require additional training and qualification to deice and anti-ice similar aircraft operated by another certificate holder. If the deicing service provider has been trained by another part 125 or 135 air carrier using an alternate deicing procedures in accordance with this guidance for the same type of aircraft additional training under the provisions of this guidance is not required. However, specific training and/or direct flightcrew supervision, supplemented with pictorial descriptions of the de/anti-icing procedures to be used identifying the critical aircraft surfaces, sensitive areas, and areas to be checked in the post deicing and post anti-icing inspections is needed for deicing personnel to deice different types of aircraft or aircraft with different configurations.

c) HOT Tables and Procedures for Their Use. The operator’s alternate ground de/anti-icing procedures must include HOT tables and the procedures for the use of these tables

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by the certificate holder’s personnel. The following elements must be included in the operator’s alternate plan:

1. Responsibilities and Procedures. The certificate holder’s program must define operational responsibilities and contain procedures for the flightcrew, ground personnel, and maintenance personnel that apply to the use of HOTs and resultant actions if the determined HOT is exceeded.

a. Procedures to address deicing operations at specific deicing locations (e.g., gate, remote, or centralized facilities, engines running/not running, auxiliary power unit (APU), etc.), including how to determine radio frequencies to be utilized for communications between the flightcrew and the ground personnel.

b. Procedures for ground crew and flightcrew to communicate:

• During aircraft positioning, (if required), • Other pertinent information regarding the deicing/anti-icing

process, • Start of the HOT (start time of final fluid application), • The aircraft departure process from the deicing area, and • Equipment clear/job done (post de/anti-icing inspections

completed)—safe to start taxiing.

c. In addition, procedures must be developed for the flightcrew’s use of the pertinent HOT tables, coordination with flight followers and ATC as appropriate.

2. FAA HOT Tables. An operator’s alternate procedure must implement HOT tables for use by its personnel. The FAA develops HOT tables for Type I deice/anti-ice fluid and manufacturer specific and generic Type II, III, and IV anti-ice fluid in accordance with SAE ARP 4737, Aircraft Deicing/Anti-Icing Methods, and ISO 11076, Aerospace Aircraft Deicing/Anti-Icing Methods with Fluids. HOTs that exceed those specified in the current edition of the FAA specific HOT of approved fluids are not acceptable. However, the certificate holder may require the use of more conservative times than those specified in the FAA tables.

3. Use of HOT Tables. HOT ranges are an estimate of the time that deicing/anti-icing fluid will prevent the formation of frost or ice and the accumulation of snow on the unprotected surfaces of an aircraft. HOT begins when the start of the final application of deicing/anti-icing fluid commences and expires when the deicing/anti-icing fluid applied to the aircraft loses its effectiveness (e.g., when ice begins to form on or in the fluid). HOTs vary with weather conditions. The effectiveness of deicing/anti-icing fluids is based on a number of variables (e.g., temperature, moisture content of the precipitation, wind, and the aircraft skin temperature). The HOT tables are to be used for departure planning and in conjunction with pretakeoff check procedures.

d) Frozen Contaminants on the Aircraft. The operators must have procedures that insure the aircraft is free of all frozen contaminants adhering to the wings, control surfaces, propellers, engine inlets, or other critical surfaces before takeoff.

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1. Identification of Critical Aircraft Surfaces. The critical aircraft surfaces, which must be clear of contaminants before takeoff should be described in the aircraft manufacturer's maintenance manual or other manufacturer-developed documents, such as service or operations bulletins.

a. Generally, the following should be considered to be critical aircraft surfaces, if the aircraft manufacturer’s information is not available:

• Pitot heads, static ports, ram-air intakes for engine control and flight instruments, other kinds of instrument sensor pickup points, fuel vents, propellers, and engine inlets. These are both critical areas for flight safety and classified as sensitive surfaces because they may be adversely affected by direct de/anti-icing fluid application and therefore require special attention during cold weather preflight and fluid application.

• Wings, empennage, and control surfaces. • Fuselage upper surfaces on aircraft with center mounted engine(s).

b. Certificate holders must list in the general operations manual, for each type of aircraft used in their operations, the critical and sensitive surfaces that should be checked on flight-crewmember preflight inspections, pretakeoff checks, and pretakeoff contamination checks.

c. Critical surfaces must be defined for the use of ground personnel for conducting the check following the deicing/anti-icing process and for any pretakeoff contamination checks that may be accomplished by ground personnel.

2. Identification of Representative Aircraft Surfaces (if used in place of critical surfaces). Representative aircraft surfaces are for use in conducting pretakeoff checks only; this is not to be confused with pretakeoff contamination check requirements. For each type of aircraft operated, certificate holders should list, in the general operations manual, the representative surfaces that may be checked while conducting pretakeoff checks. Some aircraft manufacturers have identified certain aircraft surfaces that the flightcrew can readily observe to determine whether or not frozen contaminants are accumulating or forming on that surface and, by using it as a representative surface, can make a reasoned judgment regarding whether or not frozen contaminants are adhering to other aircraft surfaces. When identifying a representative aircraft surface, the following guidelines should be considered:

a. The surface can be seen clearly to determine whether or not frozen contaminants are forming or accumulating on the surface and if the estimated HOT is valid considering the precipitation conditions actually present.

b. The surface must be unheated.

c. If using a treated surface during the deicing/anti-icing procedure, the representative surface should be one of the first surfaces treated with deicing/anti-icing fluid. However, the designation of representative surfaces is not limited to treated surfaces.

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3. Recognition Techniques. Certificate holders must have aircraft specific guidance for the recognition of contamination on aircraft surfaces. The flightcrew and other personnel should use these type-specific techniques while conducting preflight aircraft icing checks, pretakeoff checks, and pretakeoff contamination checks. Frozen contaminants can take the form of ice, frost, snow, or slush. Initial, Transition, Recurrent, Upgrade, or Advanced Qualification Program and Continuing Qualification training curricula should include aircraft type-specific techniques for use by the flightcrew and other personnel for recognizing contamination on aircraft surfaces. The flightcrew and other personnel should use these type-specific techniques while conducting preflight aircraft icing checks, pretakeoff checks, and pretakeoff contamination checks. Frozen contaminants can take the form of ice, frost, snow, or slush. The formation of clear ice may be difficult to detect visually. Therefore, specific techniques for identification of clear ice should be included.

e) Types of Icing Checks. The operator’s alternate ground deicing/anti-icing plan must include procedures for pretakeoff and pretakeoff contamination checks that, when applicable, are required to be accomplished. The aircraft deicing/anti-icing procedure must also include a post deicing/anti icing check of all aircraft critical surfaces.

1. Pretakeoff Check (within the HOT, not to be confused with a pretakeoff contamination check that is applied after the expiration of the HOT). This check is required anytime HOT are used. The flightcrew must accomplish the check within the HOT. The flightcrew should check the aircraft’s wings or representative aircraft surfaces for frozen contamination. The surfaces to be checked are determined by manufacturer’s data or guidance contained in AC 120-60, current edition. The pretakeoff check is integral to the use of HOTs. Because of the limitations and cautions associated with the use of HOTs, the flightcrew must assess the current weather and other situational conditions that affect the aircraft’s condition and not rely on the use of HOTs as the sole determinant that the aircraft is free of contaminants. Several pretakeoff checks may be required during the HOT period based on factors that include the length of the HOT range, weather, or other conditions. The flightcrew must maintain a continued awareness of the condition of the aircraft and accomplish, as a minimum, a pretakeoff check just before taking the active runway for departure. When conducting the pretakeoff check, the flightcrew must factor in the application sequence (i.e., where on the aircraft the de/anti-icing process began).

2. Pretakeoff Contamination Check (when HOT has been exceeded). Completing a pretakeoff contamination check is one of the conditions that allows a takeoff after a HOT has been exceeded. When a HOT has been exceeded, certificate holders must have appropriate pretakeoff contamination check procedures for the flightcrew’s and/or other qualified ground personnel’s use to ensure that the aircraft’s critical surfaces remain free of frozen contaminants. Flightcrews and/or other qualified ground personnel must complete the pretakeoff contamination check within 5 minutes before beginning takeoff. This check must be accomplished from outside the aircraft unless the certificate holder’s program specifies otherwise. If any doubt exists concerning the aircraft’s condition after completing this check, the aircraft cannot takeoff unless it is deiced again and a new HOT is determined. The following should be considered while developing procedures for this check:

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a. For all hard wing aircraft (those without leading edge devices) this check must be an outside the aircraft tactile check (feel). For all high wing aircraft this check must also be an outside the aircraft check and maybe visual or tactile based on the aircraft manufacturers procedures or as approved by the FAA. Also aircraft with aft, fuselage-mounted, turbine-powered engines must conduct pretakeoff contamination checks from outside the airplane.

b. Operators of aircraft other than those addressed in paragraph a) above, should conduct this check from outside the aircraft unless they can show that the check can be adequately accomplished from inside the aircraft. The operators plan must detail procedures and requirements for this check. When developing a procedure—not described in the AFM—for conducting the pretakeoff contamination check from inside the aircraft, certificate holders should consider if crewmembers are able to see enough of the wings, control surfaces, and other surfaces to determine whether or not they are free of contaminants. When making this determination, consider the aircraft type, the method of conducting the check (from the cockpit or cabin), and other factors, such as aircraft lighting and ambient conditions.

3. Post-Deicing/Anti-Icing Check. The operator must have procedures outlining these check procedure for each aircraft. This multi-part check is an integral part of the deicing/anti-icing process. The check ensures that:

a. All critical surfaces are free of adhering frozen contaminants after deicing.

b. If anti-icing fluid is to be applied it assures that all critical surfaces are free of frozen contaminants before the application of any anti-icing fluid.

c. All critical surfaces are free of frozen contaminants before pushback or taxi. And if anti-icing fluid has been applied that all critical surface have been treated with an even coating of the applicable fluid.

NOTE: Certificate holders must have procedures that require that qualified ground personnel or flightcrew personnel conduct this check. If conducted by qualified ground personnel, certificate holders should establish communication procedures to relay pertinent deicing/anti-icing information and the results of this check to the pilot in command (PIC).

f) Communications. The operator must have standardized communication procedures for communications between the flightcrew and ground deicing personnel. Communication between ground personnel and the flightcrew before commencing deicing/anti icing operations is critical. Upon completion of deicing/anti-icing operations, ground personnel should communicate with the flightcrew to determine the start time of the final fluid application procedure and therefore the start of the HOT. The particular HOT the flightcrew uses is extremely critical. Because many deicers service multiple carriers, the FAA recommends that all operators include the following flow sequence and information to provide standardization:

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1. Before commencing deicing/anti-icing operations, ground personnel and the flightcrew should review the following (as applicable):

a. Deicing/anti-icing prior to crew arrival.

b. Gate or remote deicing/anti-icing procedures.

c. Aircraft-specific procedures.

d. Communications between ground personnel and the flightcrew.

2. Just before commencing the application of deicing/anti-icing fluid, ground personnel should confirm with the flightcrew that the aircraft is properly configured for deicing, as the following example states: “N90FAA, is your aircraft ready for deicing/anti-icing?” Response from N90FAA, “Learjet N90FAA, parking brake is set, engines are running, APU is off, aircraft is configured for deicing, and anti-icing with Type IV fluid.” Response from deicing crew, “Roger N90FAA commencing deicing.”

3. Upon completion of deicing/anti-icing, the flightcrew must be provided the following elements:

a. Fluid type (e.g., Type I, Type II, Type III or Type IV), the fluid product name is optional for each type of fluid if the fluid meets product on-wing viscosity requirements.

b. Fluid/water mix ratio by volume of Types II, III, and IV. (Reporting the concentration of Type I fluid is not required.)

c. Specify, in local time (hours and minutes) the beginning of the final fluid application (e.g., 1330).

d. Post application check accomplished. Specify date (day, written month, year).

NOTE: The element listed in subparagraph 3d is required for recordkeeping; it is optional for crew notification.

NOTE: Transmission of elements listed in subparagraphs a through c, to the flightcrew, confirms that a post deicing/anti-icing check was completed and the aircraft is clean.

4. Below are two examples of the ground/flightcrew communication sequence.

a. One Step Process with Type I or other approved deicing fluid: “N90FAA are you ready for your deicing report?” “N90FAA is ready to copy deicing report.” “N90FAA your aircraft has been deiced with Type I fluid. Your fluid application began at 1430.”

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b. Two Step Process with Types II, III, or IV: “N90FAA are you ready for your deicing report?” “N90FAA is ready to copy deicing report.” “N90FAA your aircraft has been deiced with Type I fluid and anti-iced with Type IV. An anti-ice fluid mixture of 75/25 was used. Your anti-ice fluid application began at 1645.”

2) Training Requirements Required for the Authorization of the Alternate Procedures Allowing the Use of HOT as Limiting Values. Training for flight followers is only required if that person plays a role in the planning, execution, or recording of aircraft ground de/anti-icing. Training for ground deicing personnel is only required if each de/anti-icing fluid application is not to be supervised by flightcrew personnel.

a) Initial/Recurrent Ground Training and Qualification. Only trained and qualified personnel may carry out deicing/anti-icing procedures. A flightcrew member trained on fluid application procedures for the applicable aircraft and operator may, in person, supervise the de/anti-icing of the aircraft in lieu of the fluid application personnel being trained on the specific aircraft, provided the application personnel have been appropriately trained and currently qualified under a § 121.629 approved program and the application personnel are provided pictorial diagrams indicating the critical and sensitive areas of the aircraft, and areas to be inspected as part of the post deicing and post anti-icing inspection, and instructed on the proper methods for treatment of the critical and sensitive areas.

1. Each certificate holder’s approved program must consist of the following:

a. Certificate holders must conduct initial and annual recurrent training for flightcrews, and, as applicable, flight followers, and ground personnel and must ensure that all such crews obtain and retain a thorough knowledge of aircraft ground deicing/anti-icing policies and procedures, including required procedures and lessons learned.

b. Flightcrew, and, as applicable, flight follower, and ground personnel training programs must include a detailed description of initial and annual recurrent ground training and qualification concerning the specific requirements of the alternate plan and the duties, responsibilities, and functions detailed in the plan.

c. Flightcrew, and, as applicable, flight follower, and ground personnel training programs must have a Quality Assurance Program to monitor and maintain a high level of competence. An ongoing review plan is advisable to evaluate the effectiveness of the deicing/anti-icing training received.

d. The program must have a tracking system that records all required personnel have been satisfactorily trained. Certificate holders must maintain records of personnel training and qualification for proof of qualification.

e. Personnel must be able to adequately read, speak, and understand English in order to follow written and oral procedures applicable to the deicing/anti-icing program.

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2. Certificate holders must train and qualify flightcrew, and as applicable flight followers, and ground personnel on at least the following subjects, identified as All personnel (no identification) Flightcrew (F), Flight Followers (FF) (persons charged with pre-arranging of ground deicing services), if applicable to the operators operation, or Ground Personnel (G) if applicable, all pilots that supervise the application of de/anti-icing fluids need to be trained on the subjects for Ground personnel (G) except for hands on training of fluid application techniques:

a. Effects of Frozen Contaminants on Aircraft Surfaces. Provide an understanding of the critical effect the presence of minute amounts of frost, ice, or snow has on flight surfaces. This discussion should include, but is not limited to:

• Loss of lift (F), • Increased drag and weight (F), • Decreased control (F), • Tendency for rapid pitch-up and roll-off during rotation (F), • Stall occurs at lower-than-normal angle of attack (F), • Buffet or stall occurs before activation of stall warning (F), • Aircraft specific areas: (F/G), • Engine foreign object damage potential, • Ram air intakes, • Instrument pickup points, • Leading edge device (LED) aircraft (aircraft that have slats or

leading edge flaps) and non-LED aircraft, • Airworthiness Directives (AD)/specific inspections, and • Winglets.

b. Aircraft Ground Icing Conditions. Describe conditions that cause implementation of deicing/anti-icing procedures (F).

• In-Flight Ice Accumulation. Certificate holders should have procedures for flightcrews on arriving flights to report occurrences of in-flight icing to the personnel responsible for executing the certificate holder’s deicing/anti-icing program. In-flight ice accumulation could result in a ground-deicing situation when flights are scheduled for short turnaround times (e.g., for 30 minutes or less and when ambient temperatures on the ground are at or below freezing).

• Frost, including hoarfrost (F). • Freezing precipitation (snow, freezing rain, freezing drizzle, or

hail, which could adhere to aircraft surfaces) (F). • Freezing fog (F). • Rain or high humidity on cold soaked wing (F). • Rain or high humidity on cold soaked wing fuel tanks (F).

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• Under-wing frost (may not require deicing/anti-icing within certain limits) (F/G).

• Fluid failure identification (F/G).

c. Location specific deicing/anti-icing procedures (F/G, as appropriate).

d. Communications procedures between the flightcrew, ground personnel, ATC, and company station personnel (F/FF/G).

NOTE: Communication procedures must include ground crew confirmation to the flightcrew after the deicing and anti-icing process is completed that all personnel and equipment are clear before reconfiguring or moving the aircraft.

e. Means for obtaining most current weather information (F/FF).

f. Characteristics and capabilities of fluids used (F/D/G).

• General fluid descriptions (F/G), • Composition and appearance (F/G), • Differences between Type I and Type II/IV deicing/anti-icing

fluids(F/G), • Purpose for each type (F/G), • Deicing fluids (F/G), • Anti-icing fluids (F/G), • De/anti-icing fluids capabilities (F/G), • Approved deicing/anti-icing fluids for use (SAE, ISO, etc.) (F/G), • Fluid-specific information provided by fluid or aircraft

manufacturer (F/G), • Fluid temperature requirements (hot vs. cold) (F/G), • Properties associated with infrared deicing/anti-icing (F/G), • Health, safety, and first aid (F/G), • Environmental considerations (G), • Fluid selection (F/G), and • Unusual flying qualities, such as the need for additional takeoff

rotation stick-force (F).

g. Methods/Procedures (F/G).

• Inspection of critical surfaces, • Clear ice precautions, • Flightcrew/groundcrew preflight check requirement, • Deicing/anti-ice determination, • Deicing/anti-ice location, • Communication before deicing/anti-icing, • General deicing/anti-ice precautions, • Aircraft specific requirements,

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• Deicing: • Requirements, • Effective removal of frost, snow, and ice. • Anti-icing: • Requirements • Preventative anti-icing, • Application, • Deicing/anti-icing: • One step, • Two step, • Guidelines for the application of deicing/anti-icing fluids, • Post deicing/anti-icing checks requirement, • Flight control check, and • Communications after deicing/anti-icing.

h. Use of HOTs (F/G).

• Definition of HOT; • When HOT begins and ends; • Limitations and cautions associated with the use of HOTs; • Source of HOT data; • Relationship of HOT to particular fluid concentrations and for

different types of fluids; • Precipitation category (e.g., fog, drizzle, rain, or snow); • Precipitation intensity; • How to determine a specific HOT from the HOT range that

accounts for moderate or light weather conditions; and • Adjusting HOT for changing weather conditions.

i. Pretakeoff Check Requirement (F/G). Identification of representative surfaces.

j. Pretakeoff Contamination Check Requirement (F/G). Communications.

k. Aircraft Surface Contamination Recognition (F/G).

3) Confirmation of Service Provider Qualification. The operator must have procedures for the flightcrew to determine that ground de/anti-icing service providers are providing their service under a current approved § 121.629 aircraft ground deicing program. These procedures must include a regular check, by the operator, to ensure the currency of the service providers continued approval status under § 121.629. The flightcrew instructions must be clear that if the service provider’s approval under § 121.629 cannot be assured that the HOT tables revert to being advisory information only and a pretakeoff contamination check per the applicable procedures must be performed.

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4) Recording Requirements. The operator’s plan must include procedures for the recording of the location that de/anti-icing was performed, the name of the provider, the type of fluid and mixture used, the final fluid application start time, and the takeoff time. This record may be included as part of an existing record requirement (example: aircraft discrepancy log). This record must be retained and made available to the FAA upon request for a period of at least 12 calendar-months.

OPSPEC A042, TITLE 14 CFR PART 125/135 AIRPLANE OPERATIONS WITHOUT A DEICING/ANTI ICING PROCEDURE WHEN GROUND ICING CONDITIONS DO NOT EXIST. If a part 125 or 135 operator chooses to operate without a pre takeoff contamination check as required by part 125, § 125.221 and part 135, § 135.227, or without a part 121, § 121.629(c) program, then principal inspectors may only authorize them to operate when ground icing conditions do not exist by issuing OpSpec A042. See Volume 3, Chapter 27, Ground Deicing/Anti-Icing Programs, for guidance on approving a ground deicing/anti icing program.

MSPEC A043, AFFILIATE PROGRAM MANAGERS. MSpec A043 allows fractional owners to use program aircraft operated by the program manager’s affiliate’s program. The program manager certifies to the Administrator that the affiliate program manager listed in MSpec A043 meets the requirements of part 91 subpart K.

OPSPEC A044, (PART 133 DATABASE ONLY) CLASS D OPERATIONS INVOLVING CARRIAGE OF PERSONS. (TBD)

OPSPEC A045, SUBSTITUTE SCHEDULED SERVICE AS A SUPPLEMENTAL OPERATOR. (TBD) (See the non standard, A345 job aid for information.)

OPSPEC A046, SINGLE-ENGINE IFR PASSENGER CARRYING OPERATIONS UNDER 14 CFR PART 135. A046 is issued to authorize single-engine instrument flight rules (SEIFR) passenger-carrying operations under part 135. Additional Maintenance Requirements OpSpec paragraphs D100–104, must be issued as applicable. The operator must meet the conditions part 135, § 135.163 and other appropriate sections, to be issued the authority to operate under IFR with passengers or a combination of passengers and cargo. A046 provides the operational limitations and provisions necessary to operate under IFR while carrying passengers in a single-engine aircraft. The principal operations inspector, principal maintenance inspector, and principal avionics inspector must coordinate the issuance of A046 and the applicable Part D paragraphs (by the authority of 119, § 119.51(b)). Once the operator has met the requirements to conduct SEIFR operations, all the applicable OpSpec paragraphs must be issued for SEIFR authorization.

OPSPEC/MSPEC A047, REPLACED BY OPSPEC A447.

OPSPEC A048, FLIGHT DECK ACCESS AUTHORIZATION PROCEDURES.

A. General. Operations specification (OpSpec) A048 is provided for a 14 CFR part 119 certificate holder that elects to have an approved program to allow persons eligible under part 121, § 121.547(a)(3) access to the flight deck using the Cockpit Access Security System

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(CASS) program and/or the Flight Standards Service (AFS) Flight Deck Access Restriction (FDAR) program in accordance with the limitations and provisions of the OpSpec. It is important to note that the Transportation Security Administration (TSA) may restrict flight deck access through the issuance of Security Directives (SD). The TSA also evaluates and approves (or denies) use of any system that is used to vet persons requesting flight deck access, such as CASS.

B. CASS Participation. CASS is a voluntary program. It is acceptable if an individual operator does not elect to participate. If they do decide to use the CASS, they must meet all of its criteria.

1) An airman certificate is not specifically required for CASS, as not all persons eligible for flight deck access need one (e.g., flight followers).

2) CASS is not an FAA program. However, it is available to air carriers for use in determining identification and eligibility of individuals seeking access to flight deck jump seats. CASS accommodates most positions that are eligible for flight deck access, such as flightcrew members and flight followers. An air carrier should contact ARINC’s CASS representative directly with questions about program accommodation for specific position(s) that are eligible for flight deck access.

3) If the Director of Operations (DO) elects to delegate the task of auditing the database, the DO retains full responsibility for its accuracy, completeness, currency, etc.

C. Background. In the past, the TSA, industry, and FAA agreed upon the use of a valid passport when using this system.

1) Since that agreement, technology has advanced to the point that an individual’s photograph is now a required element of that person’s electronic record in the CASS system.

2) A passport is no longer specifically required for CASS participation.

3) TSA has issued a SD that requires an air carrier to include digitized pictures of persons participating in CASS before that air carrier is approved for participation by the TSA.

4) Also, as the guidance states, TSA may impose further restrictions on flight deck access through issuance of SDs.

D. Table 3-6D, Operations Specification A048 Manual Procedures Checklist. The checklist in Table 3-6D should be used to ensure the part 119 certificate holder’s manual procedures for the required verification and access procedures for accessing the flight deck jump seat meets requirements. The appropriate sections of this checklist should be completed by the operator and provided to that operator’s FAA principal operations inspector (POI) along with their request for amendment of their OpSpecs to include OpSpec A048.

1) The certificate holder may elect to include procedures for one or both of the following verification programs in its manual procedures:

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a) CASS.

b) FDAR.

2) The checklist should be completed using the following methodology:

a) Number (item and sub item number).

b) Item description (provide a description of the item).

c) Response (circle “Yes” or “No” to indicate whether or not the item is adequately addressed in the program).

d) Manual page reference (enter the manual page number where the item is addressed).

Table 3-6D. Operations Specification A048 Manual Procedures Checklist

NO. ITEM DESCRIPTION RESPONSE MANUAL PAGE REFERENCE

1. Do the certificate holder’s procedures include a requirement to obtain the requester’s employer-issued photo identification card?

Yes/No

2. Does the certificate holder’s procedures include a requirement to verify at the time of check-in the information obtained from the person requesting flight deck jump seat access using one of the following methods (the certificate holder may select one or more of the following methods):

2.a. CASS? Yes/No 2.b. FDAR - Electronic Database? Yes/No 2.c. FDAR - Telephone? Yes/No 2.c-i. If yes, do the certificate holder’s

procedures contain a list of part 119 certificate holders with which flight deck jump seat agreements are in place and the respective contact numbers and/or e-mail addresses for use in employee flight deck jump seat eligibility and employment status verification?

Yes/No

2.d. FDAR - E-mail? Yes/No

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2.d-i. If yes, do the certificate holder’s procedures contain a list of part 119 certificate holders with which flight deck jump seat agreements are in place and the respective contact numbers and/or e-mail addresses for use in employee flight deck jump seat eligibility and employment status verification?

Yes/No

2.e. FDAR - Facsimile? Yes/No 2.e-i. If yes, do the certificate holder’s

procedures contain a list of part 119 certificate holders with which flight deck jump seat agreements are in place and the respective contact numbers and/or e-mail addresses for use in employee flight deck jump seat eligibility and employment status verification?

Yes/No

3. Does the certificate holder’s procedures assign responsibility to the Director of Operations for:

3.a. Completion of an initial audit to confirm accuracy of employee records used under this operations specification authorization?

Yes/No

3.b. Completion of recurring audits to confirm accuracy of employee records used under this operations specification authorization at least once every 12 months?

Yes/No

3.c. Updating any and all employee status changes of the employee records used in accordance with this authorization within 24 hours of the time that the change(s) occurred?

Yes/No

4.a. Has the certificate holder satisfactorily demonstrated their software and procedures to the principal operations inspector?

Yes/No N/A

4.b. Did the demonstration reveal any instances where flight deck jump seat access was granted when it should have been denied?

Yes/No N/A

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5. Did the initial audit (see item 3.a. above) reveal any records representing former employees as current employees?

Yes/No N/A

6. Is the certificate holder in receipt of an applicable TSA authorization to use a vetting system for persons requesting flight deck access (e.g., CASS)?

Yes/No

OPSPEC/MSPEC A049, REPLACED BY OPSPEC/MSPEC A449.

LOA A049, LETTER OF AUTHORIZATION FOR COMMERCIAL AIR TOUR OPERATIONS AND ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM REGISTRATION.

A. Applicability. LOA A049 applies to part 91 operators and part 119 certificate holders operating under part 121 or part 135 who conduct commercial air tour operations for compensation or hire under § 91.147.

1) If a part 91 operator is not already identified in OPSS, general instructions for putting an operator into the OPSS, in order to issue the automated part 91 LOA A049 is associated with all OpSpec/MSpec A001 templates in the part 91 database of the OPSS. If you need further assistance, please contact Aviation Safety (AVS) Support Central at 405-954-7272.

a) Because of programmatic limitations, we are unable to provide any other title than POI, PMI, or PAI for the signature block in the OPSS for part 91 LOAs. Thus, the office manager or applicable supervisor who chooses to sign the part 91 authorizations will be identified as a POI, PMI, or PAI instead of manager or supervisor.

b) When issuing a part 91 authorization from the OPSS, at a minimum the A001, Issuance and Applicability; and A004, Summary of Special Authorizations and Limitations templates must be included in the operator’s package.

2) Operators who are uncomfortable with the limitations in § 91.146 and wish to continue flights supporting charities, nonprofit organizations, and community events may also use § 91.147 and must be issued A049. Part 91 operators using § 91.147 also have the option of becoming certificated operators in order to conduct commercial air tour operations under part 135 or part 121.

B. Air Carriers Operating Under Section 91.147. Part 121 or 135 certificate holders that conduct commercial air tour operations under § 91.147 must be issued a separate LOA from the part 91 database and issued a separate four character identifier. Certificate holders must implement a second drug and alcohol testing program to conduct operations under § 91.147. Even though the same company may be conducting operations under part 135 or 121 and air tour operations under § 91.147, the FAA’s regulations consider the two operations to be separate entities for drug and alcohol purposes.

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C. Commercial Air Tours (defined in 14 CFR part 136, § 136.1). These operations are passenger-carrying flights conducted in accordance with § 91.147. As of September 11, 2007, all operators or certificate holders must have applied for and have been operating in accordance with LOA A049, issued by the FSDO nearest to its principal place of business. The seven items listed in § 91.147(c) represent the minimum amount of information required for the national database and the issuance of LOA A049 to the part 91 operators. Certificate holders comply with most of these requirements through the issuance of other applicable OpSpecs:

1) Name of operator, agent, and any DBA under which that operator does business (template/OpSpec A001);

2) Principal business address and mailing address (template/OpSpec A001);

3) Principal place of business (if different from business address) (template/OpSpec A001);

4) Name of person responsible for management of the business (LOA A049);

5) Name of person responsible for aircraft maintenance (LOA A049);

6) Type of aircraft, registration numbers(s), and make/model/series (LOA A049); and

7) A copy of the Antidrug and Alcohol Misuse Prevention Program registration (LOA A049). This information will be used to populate Table 3 (Location of Records for Inspection) in LOA A049. The population of this table “activates/registers” the drug abatement program for future inspection by AAM-800.

NOTE: The operator must implement its drug and alcohol testing programs in accordance with part 121 appendices I and J.

D. Special Agreements. Some operators may have agreements with other parts of the FAA, such as air traffic, directly or through outside industry associations to conduct flights in a certain way or airspace. These special agreements need to be documented in the LOA A049. The documentation of these agreements in LOA A049 does not imply nor require that the agreements are approved by the Flight Standards PI.

NOTE: Section 136.3 now allows amendment and reconsideration of LOAs through § 119.51.

E. Hawaiian Air Tour Operators. The Hawaii air tour operators conducting these commercial air tour operations under § 91.147 must be issued LOA A049. The Hawaiian air tour operators may be issued a deviation (previously under SFAR 71) using LOA/OpSpec B048. The deviation authorizes the operator/certificate holder to conduct § 91.147 commercial air tour operations below an altitude of 1,500 feet above the surface in accordance with the appropriate requirements of part 136 and part 136 appendix A, and the limitations and provisions of B048.

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F. Air Tour Operations Under § 91.147 and § 136.37. The requirements of § 91.147 and those of § 136.37 are two separate requirements. Some commercial air tour operators conduct overflights of national parks and fall under the exception in § 136.37. OpSpec/LOA B057 is required for national parks and is issued in addition to LOA A049. OpSpec/LOA B057 authorizes a certificate holder or operator to conduct commercial air tour operations over national park(s) and tribal lands within or abutting the national park in accordance with part 136. See OpSpec/LOA B057 for guidance regarding air tour operations under § 136.37.

G. The National Air Tour Safety Standards Final Rule (72 FR 6911). Final Rule 72 FR 6911 published on February 13, 2007, and effective March 15, 2007, set safety and oversight rules for a broad variety of sightseeing and commercial air tour flights with changes in parts 61, 91, 119, 121, 135, and 136. Intended effects of this rule are to identify the air tour operators in a national database, standardize requirements for commercial air tour operators, and consolidate air tour safety standards within part 136. The rule change responded to NTSB recommendations, Government Accountability Office (GAO) reports, and DOT General Reports that recommend better oversight of the sightseeing (commercial air tour) industry. The preamble and final rule are posted on the DOT Web site at URL: http://dms.dot.gov/search/document.cfm?documentid=452251&docketid=4521.

NOTE: Exemptions to this rule are outlined in § 91.146.

OPSPEC A050, HELICOPTER NIGHT VISION GOGGLE OPERATIONS (HNVGO). (TBD).

OPSPEC A051. Reserved.

OPSPEC/MSPEC/LOA A052. Reserved.

OPSPEC A053. Reserved for Emergency Charter Operations. (TBD.)

OPSPEC A054, (PART 133 DATABASE ONLY) INSTRUMENT FLIGHT RULES OPERATIONS (FOR PART 133, EXTERNAL LOAD OPERATIONS ONLY). (Guidance is found in Volume 2, Chapter 7, Initial Certification/Renewal of a Part 133 Operator.)

OPSPEC A055, CARRIAGE OF HAZARDOUS MATERIALS.

A. Authorization. Operations specification (OpSpec) A055 is an optional authorization applicable to certificate holders conducting operations under 14 CFR parts 121 or 135 that choose to comply with the applicable regulations to carry hazardous materials (hazmat).

B. Regulatory Changes. With the publication of Federal Register (FR) 58796, Vol. 70, No. 194, Friday, October 7, 2005, a change to part 119, § 119.49(a)(13) was effective November 7, 2005, as follows:

1) Section 119.49(a)(13) requires all certificate holders conducting operations under parts 121 or 135 to indicate in their operations specification that they “will-carry” or

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“will-not-carry” hazmat. OpSpec A055 is issued for those that “will-carry” hazmat. OpSpec A004 must contain the statement in subparagraph b that the certificate holder “will-not-carry” hazmat.

2) This FR also required that after February 7, 2007, these certificate holders must comply with the manual requirements of parts 121 and 135, §§ 121.135(b)(23) or 135.23(p) and with the hazmat training program requirements of §§ 121.1003 through 121.1007 or §§ 135.503 through 135.507, as applicable.

3) These changes align U.S. implementation with International Civil Aviation Organization (ICAO) standards for the carriage of hazmat, which recommend initial and biennial recurrent training programs. Additionally, ICAO recommends the certificate holder be specifically authorized by its state of authority to carry hazmat.

C. Part 91 Subpart K (Part 91K) Program Managers and Part 125 Operators. There is no OpSpec A055 for part 125 operators or management specification (MSpec) A055 for part 91K. Section 91.1085 requires hazardous material (hazmat) recognition training. No program manager may use any person to perform any assigned duty/responsibility for handling or carriage of hazmat unless that person has received training in the recognitions of hazmat.

1) Therefore, any program manager who delegates such an assignment would be a “hazmat employer” in accordance with Title 49 of the Code of Federal Regulations (49 CFR) part 172, § 172.702(d).

2) Any person so assigned, must be trained in accordance with § 172.704(a).

3) If the part 91K program manager makes a business decision not to accept hazmat and does not assign any person to perform a duty or responsibility to handle or carry hazmat, then recognition training is not required.

D. Certificate Holders That Choose to Carry Hazmat (Will-Carry).

1) A certificate holder conducting operations under part 121 or 135 that chooses to carry hazmat (and Company Materials (COMAT) identified as hazardous) must provide to its principal operations inspector (POI) a general outline of the aspects of the proposed training program as presented in Table 1, Operators That Transport Hazardous Material – Will-Carry Certificate Holders, of part 121, appendix O and the manual with the procedures and information to be used to assist the flightcrew members. The POI will forward this material to the appropriate regional hazmat branch manager’s office (see Volume 2, Chapter 2, Section 6 for references). Generally, air carriers must only submit an outline sufficient to provide an overview of the training program in regard to the aspects and functions covered in Tables 1 and 2, Operators That Do Not Transport Hazardous Materials – Will-Not-Carry Certificate Holders, of part 121 appendix O. The hazmat branch manager will review the submission to determine that it includes the relevant training aspects for the cited job functions.

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2) Provided the following conditions are met, the certificate holder may be authorized to accept, handle, and transport materials, including COMAT (regulated as hazmat in transport under 49 CFR parts 171 through 180 (part 175 in particular)).

a) Packages containing hazmat are properly offered and accepted in compliance with parts 171 through 180;

b) Packages containing hazmat are properly handled, stored, packaged, loaded, and carried onboard the certificate holder’s aircraft in compliance with parts 171 through 180;

c) The requirements for the notification to the PIC (part 175, § 175.33) are complied with; and

d) Aircraft replacement parts, consumable materials or other items regulated by parts 171 through 180 are properly handled, packaged, and transported.

3) Additionally, for each crewmember and person performing or directly supervising the following job functions involving items for transport on an aircraft, the certificate holder’s manual required by §§ 121.133 or 135.21 shall contain those procedures and information necessary to assist the crewmember or other person in identifying packages marked or labeled as containing hazmat or show signs of containing undeclared hazmat, including procedures and information on the following:

• Acceptance. • Rejection. • Handling. • Storage incidental to transport. • Packaging of company material. • Loading.

4) The manual required by §§ 121.133 or 135.21, as appropriate, shall contain the certificate holder’s procedures for rejecting packages that do not conform to the Hazardous Materials Regulations (HMR) in parts 171 through 180, or that appear to contain undeclared hazmat.

5) The manual required by §§ 121.133 or 135.21, as appropriate, shall contain the certificate holder’s procedures for complying with the hazmat incident reporting requirements of part 171, §§ 171.15 and 171.16 and discrepancy reporting requirements of § 175.31.

6) The certificate holder is responsible for maintaining the records in initial and recurrent hazmat training within the three preceding years of all direct employees, contractors, and subcontractors directly supervising or performing an applicable job function as described in part 121 subpart Z for or on behalf of the certificate holder. The training records may be electronic or paper and must be made available to the FAA upon request at the location the trained person performs or directly supervises the covered job function.

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7) The following recordkeeping requirements are identical to those required by § 172.700, the International Air Transport Association (IATA), and the International Civil Aviation Organization (ICAO):

• Individual’s name. • Most recent training completion date. • A description, copy, or reference to training material. • Name and address of organization providing training. • Copy of certification used to show test was satisfactorily completed.

E. Certificate Holders that Choose Not to Carry Hazmat (Will-Not-Carry).

1) OpSpec A004 will state that the certificate holder conducting operations under part 121 or 135 is not authorized and shall not carry hazmat, satisfying the OpSpec regulatory requirement for a “will-not-carry” certificate holder. The certificate holder is prohibited from accepting, handling, or transporting those materials, including hazardous COMAT, regulated as hazmat in transport under parts 171 through 180.

2) Consistent with this prohibition, for each crewmember and person performing or directly supervising the acceptance, handling, storage incidental to transport, or loading of items for transport on an aircraft, the certificate holder’s manual required by §§ 121.133 or 135.21 (as appropriate) shall contain those procedures and information necessary to assist the crewmember or other person in identifying packages that are marked or labeled as containing hazmat or that show signs of containing undeclared hazmat.

3) The manual required by §§ 121.133 or 135.21, as appropriate, shall contain the certificate holder’s procedures for rejecting packages offered for transport that contain hazmat or that appear to contain undeclared hazmat.

F. Basic, Single PIC, and Single-Pilot Operators.

1) Operators issued OpSpecs A037 through A039 must have an approved hazmat program and should use the hazmat program currently accepted/approved by their respective regional hazardous material branch. These certificate holders conducting operations under part 135 will need to have OpSpec A055 issued if they are a “will-carry” certificate holder. These certificate holders may have to comply with the manual requirements for the carriage of hazmat if the hazardous material branch manager requires it.

2) Single-pilot operators issued OpSpec A040 may comply with the hazmat program by submitting a program for acceptance by the FAA if they are a “will-carry” certificate holder. They will be issued OpSpec A055 if they are a “will-carry” certificate holder. There is no manual requirement for a single-pilot operator issued OpSpec A040.

G. Reference.

• 70 FR 58796 (No. 194); October 7, 2005.

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OPSPEC/MSPEC/LOA A056, DATA LINK COMMUNICATIONS.

A. General. Template A056 contains specific operational limitations and provisions for granting authorization to operators of aircraft under part 91, 121, 125, 135, or 91 subpart K to conduct data link communications using aircraft systems that are certificated for air–ground air traffic services (ATS).

1) Parts 91, 121, 125, and 135 operators, and part 91K program managers conducting flight operations in oceanic and remote airspace may use data link communications systems (i.e., Future Air Navigation System (FANS) (FANS-1/A or equivalent)). Operations using data link communications within domestic airspace require very-high frequency (VHF) radios called very-high frequency digital link Mode 2 (VDL-2), compatible with ATS.

2) Data link may be used as a supplement to voice communications with ATS. Voice communications must be continually monitored because aircraft still must be equipped with operating VHF voice and, when required, high frequency (HF) voice radios along the entire flight route.

3) All data link operations in domestic airspace are limited to the en route phase of flight where radar or an equivalent surveillance system such as Automatic Dependence Surveillance-Broadcast (ADS-B) is available for surveillance services.

4) All aircraft used to conduct data link operations in domestic airspace must be equipped with an FAA-certified collision avoidance system that is on and operating. (Reference part 91, § 91.221; part 121, § 121.356; part 125, § 125.224; part 129, § 129.18; and part 135, § 135.180.)

5) An exception to the requirement for data link communication systems is the FANS-1/A system in oceanic or remote airspace. The FANS-1/A communications system can only be approved for data link operations in oceanic and remote area airspace. FANS-1/A systems are not interoperable with the VDL-2 infrastructure for domestic data link communications.

B. Data Link Training. Part 121 and 135 air carriers, and part 91K program managers must have an approved data link training program for their maintenance and flightcrew personnel, as outlined in FAA AC 120-70, Operational Authorization Process for use of Data Link Communication System, current edition.

C. Authorization for Data Link Use. For part 91, 121, 125, and 135 operators and part 91K program managers, the POI will coordinate with the principal avionics and PMIs on the following matters:

1) Equipment and systems certification, and airworthiness approval review;

2) The content of the OpSpec authorization;

3) The required communication performance;

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4) The AFM;

5) Additional MEL requirements and relief; and

6) Other elements necessary for the safe and effective use of data link communications.

NOTE: POIs should be aware that there may be additional limitations and guidance for specific airplanes in Flight Standardization Board (FSB) reports.

D. Contents of Operator Application for Operational Authorization to Use Data Link. The operator’s application to obtain authorization to use data link must address and contain the following subjects:

1) List of source documents used:

a) For generic data link operations (e.g., aircraft/avionics manufacturer documents).

b) For area of operations specific policy/procedures. (See item 3 below.)

2) Description of aircraft data link systems including certification documents and current configuration (e.g., current avionics load).

3) Data link system make/model/series. All STC and AFM limitations and procedures.

4) General information.

5) Areas of operation/routes where operator intends to use data link.

a) List of areas and/or routes where operator intends to conduct data link operations.

b) List of air traffic centers/service providers with which the operator intends to communicate via data link.

c) List of policy and procedures source documents applicable to each area(s) of operations, such as:

1. Operations manuals for specific areas of operations (e.g., FANS-1/A Operations Manual (FOM) for operation in Asia–Pacific flight information regions (FIR)).

2. State Aeronautical Information Publications (AIP).

3. State Notices to Airmen.

4. FAA chart supplements (e.g., Pacific and Alaska chart supplement).

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6) Flightcrew qualification programs.

7) Manuals and other publications.

8) MMEL/MEL.

9) Issues unique to a particular operator.

10) Maintenance programs.

E. Contents of Flightcrew Qualification Programs.

1) Academic Training Subjects. A basic source document for data link procedures in oceanic areas is the FOM, part 5. Policy and procedures applicable to specific FIRs are in state AIPs and NOTAMs. Address the following areas:

• Acronym Source: FOM part 2, • General concepts of digital and analog communications, • Expected flightcrew response, • ATS coordination, • Aircraft digital or analog communication equipment components, displays,

alerts. (Sources: aircraft manufacturer documents.), • Interface with other aircraft systems, • AFM information MEL provisions, • Data link events reports, • Data link malfunction or irregularity reports, and • Human factors—lessons learned.

2) Operational Use Training.

• General requirement, • Simulators, • Computer-based instruction, • Policy on initial pilot evaluation, and • Recurrent training and evaluation.

3) Currency (recent experience).

4) Line Checks and Route Checks (if applicable).

5) Line-Oriented Flight Training (if applicable).

F. Operational Authorization Documents. This issuance of paragraph A056 grants approval to use data link communications in operations. Either the certificate management office or Flight Standards District Office should coordinate the approval with AFS-400.

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Table 3-23. Communications Systems and Operating Environments. This table lists the systems and their operating environment including the applicable criteria with references.

Operating Environment Row Aircraft Data Link

System Type of Airspace

ATS Unit System

Capabilities and Uses

Applicable Standards

1 ATN B1 Domestic (Continental)

ATN B1 Supplemental ATC communications:

Communication application supports data link initiation capability (DLIC) data link service.

Controller Pilot Data Link Communications (CPDLC) application supports ACM, ACL, and AMC data link services.

Note 1: departure clearance (DCL), downstream clearance (DSC), (Digital- Automatic Terminal Information Service (D-ATIS), and Flight Plan Consistency (FLIPCY) data link services are not supported.

a. DO-290/ED-120, Chg 1 and Chg 2, Continental Safety and Performance (SPR) Standard.

b. DO-280B/ED-110B air traffic management (ATM) B1 INTEROP Standard.

2 FANS 1/A+ Domestic (Continental)

ATN B1 FANS-1/A

Same as row 1 except:

Uses Aeronautical Telecommunications Network (ATN) ATC Facilities Notification (AFN) application for DLIC data link service.

Same as row 1 plus:

a. DO-305/ED-154, FANS 1/A-ATN INTEROP Standard (Applies only to ATS Unit except see note 2).

b. DO-258A/ED-100A, FANS

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ATS Unit System



For CPDLC application, UM 215, TURN (direction) (degrees) is not supported.

Note 2: FANS 1/A aircraft will require use of DM67 (free text) to mimic certain message elements per DO-290/ED-120 Chg 1 and Chg 2. See DO-305/ED-154 paragraph 4.2.13.2.

Note 3: In accordance with DO-290/ED-120, Chg 1 and Chg 2, FANS 1/A aircraft will require use of a message latency timer per DO-258A/ED-100A, paragraph 4.6.6.9 and is denoted by a “+” appended to the “FANS 1/A” label.

Note 4: Only via VHF data link subnetwork.

1/A INTEROP Standard (Applies only to aircraft).

3 FANS 1/A+ or FANS 1/A

Oceanic and remote

FANS-1/A Normal means of ATC communication uses AFN and CPDLC applications for direct controller-pilot communications (DCPC).

Eligible for:

a. DO-306/ED-122, Oceanic SPR Standard.

b. DO-258A/ED-100A (or earlier versions) FANS 1/A INTEROP Standard.

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ATS Unit System



Required Communication Performance (RCP) 240 operations via VHF, Satcom Iridium and Satcom Inmarsat subnetworks.

RCP 400 operations via HF data link subnetwork.

No RCP operations.

Note 4: Aircraft capability that supports multiple RCP type operations needs to include appropriate indications and/or alerts to enable the flightcrew to notify ATC when aircraft equipment failures result in the aircraft’s ability to no longer meet its criteria for any of the RCP types, per DO-306/ED-122, paragraph 5.2.6.a) and 5.2.6.b).

Uses ADS-C application for automatic position reporting.

4 FANS 1/A+ or

FANS 1/A

Oceanic and Remote

CADS No CPDLC application.

Uses ADS-C application for automatic position reporting.

a. DO-306/ED-122 Oceanic SPR Standard.

b. DO-258A/ED-100A (or earlier version), FANS 1/A

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ATS Unit System



INTEROP Standard (Applies only to aircraft)

c. Centralized ADS (CADS) Common Specification, Version 2.0, approved ICAO NAT FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit)

5 Flight management system waypoint position reporting (FMS WPR)

Oceanic and Remote

CFRS Same as row 4 a. DO-306/ED-122, Oceanic SPR Standard

b. ARINC 702A, Advanced Flight Management Computer System (Applies only to aircraft)

c. Central Flight Management Computer Waypoint Reporting System (CFRS) Common Specification, Version 2.0, approved International Civil Aviation Organization (ICAO) North Atlantic (NAT) FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit when ATS unit is CADS)

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ATS Unit System



6 FANS 1/A

ADS-C

Oceanic and Remote

FANS-1/A or CADS

Same as row 4 a. DO-306/ED-122 Oceanic SPR Standard

b. DO-258A-ED-100A (or earlier version) FANS 1/A INTEROP Standard (If ATS unit is CADS, applies only to aircraft)

c. CADS Common Specification, Version 2.0, approved ICAO NAT FIG/10, Paris, March 29–April 2, 2004 (Applies only to ATS unit when ATS unit is CADS

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MSPEC A058, SINGLE PILOT PROGRAM FLIGHTS. The program manager may be authorized to use certain program aircraft with approved autopilot systems in single pilot program flights provided the limitations and provisions of MSpec A058 are met.

MSPEC A059, USE OF ALTERNATE MANUALS, PROGRAMS, OR SYSTEMS. The program manager may be authorized to use specific alternate manuals, programs, or systems (except for flight, duty, and rest provisions) in accordance with the limitations and provisions of MSpec A059.

OPSPEC A060, EUROPEAN AVIATION SAFETY AGENCY RATINGS FOR REPAIR STATIONS LOCATED OUTSIDE THE UNITED STATES. This paragraph authorizes work performed under European Aviation Safety Agency (EASA)-rated repair stations if the appropriate form (EASA Form 3) authorizes the scope of the work.

OPSPEC/MSPEC/LOA A061, USE OF ELECTRONIC FLIGHT BAG.

A. Applicability. Paragraph A061 is an optional authorization available to all operators conducting airplane operations under 14 CFR parts 91 subpart K (part 91K), 121, 125 (the Letter of Deviation Authority (LODA) 125 operators), and 135. Paragraph A061 authorizes the use of Class 1, Class 2, and/or Class 3 Electronic Flight Bags (EFB), and describes the conditions and limitations for EFB use.

NOTE: Questions regarding the issuance of OpSpec/MSpec/LOA A061 should be directed to the Flight Technologies and Procedures Division (AFS-400) at 202-385-4743, the Air Transportation Division (AFS-200) at 202-267-8166, or the General Aviation and Commercial Division (AFS-800) at 202-267-8212.

B. General. Aviation safety inspectors (ASI) and Aircraft Evaluation Groups (AEG) will no longer approve Class 1 and 2 EFB hardware and associated Type A and B application software. Instead, ASIs may authorize the use of Class 1 or 2 EFB devices, including those Class 2 EFBs containing Type C application software meeting requirements of the current edition of Technical Standard Order (TSO) C165, Electronic Map Display Equipment for Graphical Depiction of Aircraft Position, for display of “own-ship” position on airport moving map displays. Installation requirements and airworthiness approval remain unchanged.

1) Class 3 hardware and Type C software will be FAA-approved by the normal type certification processes (type certificate (TC)/Supplemental Type Certificate (STC)). For operations conducted under parts 91K, 121, 125 (including deviation holders), and 135, all EFBs will be authorized for use by OpSpec/MSpec/LOA. AEG evaluation of Class 3 and/or Type C will be published in the applicable Flight Standardization Board (FSB) report.

2) Class 1 or 2 hardware (with Type A and/or B software applications) must be demonstrated to reliably meet intended EFB functions. It is the responsibility of the applicant and/or the EFB hardware/software vendor to ensure that its EFB system and Type A and B software applications can accurately perform intended functions. AEG evaluation of a Class 1 or 2 EFB (with Type B applications) will be at the AEG’s discretion and published in an Operational Suitability Report (OSR) for the particular EFB.

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C. Background. Advisory Circular (AC) 120-76, Guidelines for the Certification, Airworthiness, and Operational Approval of Electronic Flight Bag Computing Devices, current edition, and expired Notice N 8200.98, Electronic Flight Bag Job Aid, reference several instances of FAA inspector and AEG approval requirements for Class 1 and 2 EFB hardware and associated Type A and B application software (whether that software is sold separately or embedded in an EFB device). The guidance in this section replaces procedures and advisory material in FAA orders and ACs requiring an FAA inspector or the AEG to approve Class 1 and 2 EFB hardware and associated Type A and B software applications. The guidance in this section is not intended to stop or restrict the operational use of these devices and software. This section also replaces the cancelled Notice N 8000.353, Revised Guidance for Authorizing the Use of Electronic Flight Bags, Issuance of A061, Electronic Flight Bag, and Revision to A025.

1) In AC 120-76, the words “approved” and “approval” are used in many instances when referring to actions that may be accomplished by Flight Standards Service (AFS) ASIs. The uses of these words are intended to reflect the general process for approval or acceptance. The general process of approval or acceptance of certain operations, programs, documents, procedures, methods, or systems is an orderly method used by AFS inspectors to ensure that such items meet regulatory standards and provide for safe operating practices. It is a modular, generic process that can be applied to many types of approval or acceptance tasks. It is important for inspectors to understand that this process is a tool to be used with good judgment.

2) The application of the approval process described in ASI handbooks, coupled with the plain English definitions of approved and approval, has led to some confusion in the aviation community. AFS ASIs have no authority to approve EFB hardware or EFB application software. The guidance in this section is not intended to stop or restrict the operational use of these devices and software, but to clarify the role of AFS ASIs with regard to EFBs.

D. Guidance.

1) The authorization to use an EFB is optional and applicable to operators conducting operations under parts 91K, 121, 125 (including LODA holders), and 135. ASIs may authorize the use of Class 1, 2, and 3 EFB devices. (OpSpec/MSpec/LOA A025 is no longer used for the EFB authorization.)

2) Use A061 Table 1 for authorizing the use of a Class 1 EFB with Type “B” software installed or any Class 2 or 3 EFB. OpSpec/MSpec/LOA A061 will be used to document the aircraft make, model, and series (M/M/S), the EFB hardware class, manufacturer, model, software type, source, and revision number. Compliance with the requirements of OpSpec/MSpec/LOA A061 should be validated during routine inspections of the operator before it is issued.

3) ASIs and AEGs are not responsible for approving Class 1 and 2 EFB hardware and associated Type A and B application software.

a) Installation requirements and airworthiness approvals remain unchanged as specified in AC 120-76.

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b) The appropriate AEG, at their discretion, may evaluate the EFB device installations that present new or novel functions and provide a report of operational suitability and/or adverse findings to the responsible aircraft certification or airworthiness entity having approval authority for the initial installation. OSRs are available at http://fsims.avs.faa.gov under “Publications,” “MMEL & AEG Guidance Documents,” “Flight Standardization Board (FSB) Reports.” ASIs should ensure that an operator complies with these reports when they are available for a particular EFB.

4) Class 1 and 2 EFB devices. A061 provides standardized text for the use of Class 1 and 2 EFB devices. The following is applicable for authorizing the use of Class 1 and 2 EFB devices:

a) Class 1 and/or 2 devices with Type A and/or B application software may be authorized for use in accordance with the technical guidance specified in AC 120-76. Class 1 devices with Type A or B application software and/or Class 2 devices with Type A or B application software and/or software approved under TSO-C165 (Type C) may be used.

NOTE: Technical guidance on Class 2 EFBs with Type C application software providing “own-ship” position is found in the current edition of AC 20-159, Obtaining Design and Production Approval of Airport Moving Map Display Applications Intended for Electronic Flight Bag Systems.

b) The maintenance and avionics inspectors must ensure that the aircraft and equipment have the proper airworthiness approvals for any power, databus connections, or mounting.

c) Training for the use and/or maintenance of the EFB by the certificate holder/program manager must be documented and included in the operator’s approved training program and applicable maintenance program.

d) The certificate holder/program manager will specify the procedures for updating and maintaining any databases necessary to perform the intended functions of the EFB in its manual.

e) The principal inspector (PI) is responsible for conducting a review of the system performance to ensure its acceptability prior to granting authorization to use. The PI should review the system performance using the EFB system user’s manual/pilot’s guide. The PI is responsible for evaluating the operators use of the EFB in normal and emergency operations, but not a review of the actual hardware or software.

f) The AEG is available to assist with questions and guidance regarding EFB operational evaluations. The PI should contact the AEG when an operator submits a request for authorization to use an EFB that includes a new or novel function. The AEG may evaluate Class 1 or 2 hardware or Type B software applications as necessary to address progression in available EFB equipment and functions in the aviation industry.

g) If a Class 1 or 2 EFB device is authorized for use, the ASI must enter the appropriate EFB information into the cells of the table. All other information in regard to the

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authorization for the use of an EFB should be documented in the operator’s manual and not written into A061.

5) Aircraft Certification Service (AIR) must provide design, installation, and airworthiness approval for Class 3 EFB hardware that is permanently installed on an aircraft. This will be accomplished by incorporating the EFB into the aircraft type design or STC, not by field approvals. If a Class 3 EFB device is authorized to be used, the table in A061 should be appropriately filled out.

a) The Type C application software associated with Class 3 EFB device is also certified by AIR in reference to the current edition of RTCA/DO-178B, Software Considerations in Airborne Systems and Equipment Certification. Type A and B application software may be installed on these devices, but require no approval by the ASI as this software is protected from the Type C application software in the RTCA/DO-178 standard.

b) Operators should have procedures to control revisions to the EFB software in their manuals. Software version control is accomplished by using Table 1 in OpSpec/MSpec/LOA A061.

c) If Type A or B software is used in conjunction with Type C software in the Class 3 EFB, the name of the software must be documented in Table 1 of OpSpec/MSpec/LOA A061.

6) Simulator and/or in-flight validation tests may be needed to fully determine the suitability of the use of an EFB (see AC 120-76, paragraph 12(j), pages 21 and 22). Each operator’s proposed EFB functionality and software will vary, and scenarios should be customized for the particular situation by the inspector and applicant. It is the operator’s responsibility to demonstrate the function and reliability of the EFB.

a) Validation flight scenarios should be used to ensure that the EFB device’s use has adequately transitioned into the operator’s overall training and operations programs. In some cases, the task will be completed entirely with an EFB, while in other cases the EFB device may be used together with other sources of information, such as paper charts or documents, depending on the capabilities of the EFB device and its operational implementation.

b) The required EFB validation flight scenario differences could be affected by other factors, such as:

• Software: Type A, B, or C application; • Hardware: Classes 1, 2, or 3, which include factors such as location in the

flight deck and connectivity to other aircraft systems; • Aircraft/Operations: Single pilot versus dual pilot, single EFB versus dual

EFB; and • Weather conditions: Visual versus instrument; very-low visibility.

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E. Inspector Action. ASIs will review this section and provide pertinent information to the affected operators. OpSpec/MSpec/LOA A025 would be a nonmandatory revision to remove any EFB authorization.

1) ASIs will provide technical advice and guidance to operators, when requested, to assist them in evaluating their selected EFB devices using the technical guidance found in AC 120-76 but will no longer issue FAA approvals for the hardware and software. Authorization for use will be issued in reference to subparagraph E3) below.

2) If the operator has OpSpec A025 issued for electronic recordkeeping systems without the use of an EFB, it is not necessary to reissue that operator’s OpSpec A025. Electronic recordkeeping system functions may co-reside on an EFB device and, if so, OpSpec A025 as well as OpSpec A061 should be issued as instructed below.

3) ASIs will use the new OpSpec/MSpec/LOA A061 EFB to authorize the use of a Class 1, 2, or 3 EFB device. Compliance with the requirements of OpSpec/MSpec/LOA A061 should be validated prior to the initial authorization to use an EFB and during routine inspections of the operator. If an EFB is authorized to be used, the table in A061 should be appropriately filled out. All other information in regard to the authorization should be documented in the operator’s manual and not written into A061.

OPSPEC/MSPEC A096, ACTUAL PASSENGER AND BAGGAGE WEIGHT PROGRAM FOR ALL AIRCRAFT. Passenger and cargo only operations conducted under 14 CFR parts 91K, 121, 125, and 135 that use actual weights, or asked/volunteered weights plus 10 pounds to account for the weight and balance of all company owned and operated aircraft, must be issued OpSpec A096. If OpSpec A096 is issued, OpSpecs A097, A098, and/or A099 may not be issued.

NOTE: Operators authorized to use average weight always retain the option to use actual weights.

OPSPEC/MSPEC A097, SMALL CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of small-cabin aircraft (aircraft type certificated for 5 to 29 passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A097. (The classification of small-, medium-, and large-cabin aircraft is based on the maximum type certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated) If an operator elects to use only actual passenger and baggage weights, only OpSpec A096 must be issued. Table 1 of OpSpec A097 approves and tracks the general weight and balance control program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar-months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A097 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger

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and baggage weights. Review AC 120-27, Aircraft Weight and Balance Control, current edition, before issuing OpSpec A097 to verify operator weight and balance control program compliance.

OPSPEC/MSPEC A098, MEDIUM CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of medium-cabin aircraft (aircraft type certificated for 30 to 70 passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A098. (The classification of small- , medium- , and large-cabin aircraft is based on the maximum type certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated.) If an operator elects to use only actual passenger and baggage weights, OpSpec A096 must be issued. Table 1 of OpSpec A098 approves and tracks the general weight and balance program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar-months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A098 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120-27, Aircraft Weight and Balance Control, current edition, before issuing OpSpec A098 to verify operator weight and balance control program compliance.

OPSPEC/MSPEC A099, LARGE CABIN AIRCRAFT PASSENGER AND BAGGAGE WEIGHT PROGRAM. Operators of large-cabin aircraft (aircraft type-certificated for 71 or more passenger seats) that wish to use any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights must be issued OpSpec A099. (The classification of small-, medium-, and large-cabin aircraft is based on the maximum type-certificated number of passenger seats authorized for an aircraft, not the seating configuration as operated.) If an operator elects to use only actual passenger and baggage weights, OpSpec A096 needs to be issued. Table 1 of OpSpec A099 approves and tracks the general weight and balance program weights that may consist of any combination of average, survey derived average, segmented, and/or actual weights. Operators approved for survey derived average weights must specify the expiration date of such weights. The expiration date for survey derived average weights may not exceed 36 calendar-months, beginning the month the survey was completed to derive such average weights. Use Table 2 of OpSpec A099 to approve route specific program weights. The route specific program weights may be comprised of any combination of standard average, survey derived average, segmented, and/or actual passenger and baggage weights. Review AC 120-27, Aircraft Weight and Balance Control, current edition, before issuing template A099 to verify operator weight and balance control program compliance.

OPSPEC A101, ADDITIONAL FIXED LOCATIONS. This paragraph identifies additional locations (facilities) within the FSDO that collectively form a certificated part 145 repair station’s operational base without having to certificate each facility as a stand-alone or satellite repair station.

A. Additional Locations. All additional locations of the certificated repair station must be under the full control of the primary facility listed in OpSpec A001. Individual facilities are

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not required to be completely equipped with tools, equipment, and parts, but must have them available when they perform the work.

B. Repair Station Manual (RSM). The RSM must contain detailed procedures for the transport of equipment and parts between facilities. The RSM should also outline procedures to ensure adequate personnel are available to support the additional fixed locations/facilities while articles are undergoing maintenance. Further, using additional fixed locations does not constitute work away from the repair station.

C. Bilateral Agreement (BA) Including Provisions for Maintenance. When a repair station is located in a country with which the United States has signed a BA that includes provisions for maintenance of aircraft, engines, and appliances for installation on U.S.-registered aircraft, the repair station may operate in multiple facilities under one FAA air agency certificate within that country. The authorization requires the cooperation of the local national aviation authority.

NOTE: The repair station’s additional locations may only be within the geographic boundaries of the BA country.

OPSPEC A317, ACCEPTANCE OF A FATIGUE RISK MANAGEMENT PLAN (FRMP).

A. General. On August 1, 2010, the President signed Public Law (PL) 111-216, referred to as the Airline Safety and Federal Aviation Administration (FAA) Extension Act of 2010, which focuses on improving aviation safety. Section 212(b) of the Act requires each air carrier conducting operations under Title 14 of the Code of Federal Regulations (14 CFR) part 121 to develop, implement, and maintain a Fatigue Risk Management Plan (FRMP). The FRMP is an active plan specific to the air carrier’s type of operations that describes, through its policies and procedures, methods for managing and mitigating fatigue to improve flightcrew alertness and reduce performance errors. An FRMP is a management plan for addressing the potential effects of day-to-day flightcrew member fatigue associated with the air carrier’s specific type of operations. The air carrier’s FRMP should reflect its appropriate fatigue mitigation strategies applicable to its operations. For specific information on a FRMP, see Volume 3, Chapter 58, Section 1.

B. Review and Acceptance Process. The Air Transportation Division, AFS-200, is responsible for reviewing and either accepting or rejecting the air carrier’s FRMP. For specific procedures on the FRMP review and acceptance process, refer to Volume 3, Chapter 58, Section 1.

C. OpSpec Issuance. The issuance of OpSpec A317 requires headquarters (HQ) approval.

1) The FAA will issue OpSpec A317 to each part 121 air carrier signifying its FRMP has been reviewed and has been determined to be acceptable. The maximum duration of the OpSpec is 24 calendar-months from the date of issuance and will be reflected on the air carrier’s OpSpec A317. Therefore, at a minimum, each part 121 air carrier must submit an amended draft FRMP for review every 24 calendar-months.

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2) The POI will be responsible for issuing OpSpec A317 upon receiving approval from AFS-200, and will incorporate the applicable text into the OpSpec as specified in the approval memo issued by AFS-200. For specific guidance on issuing OpSpec A317, refer to Volume 3, Chapter 58, Section 1.

OPSPEC/MSPEC/LOA A353, ADS-B OUT OPERATIONS IN THE HUDSON BAY AREA, CANADA: 14 CFR PARTS 91, 91 SUBPART K, 121, 125, 125M, AND 135 OPERATORS.

NOTE: To obtain the nonstandard authorization A353, the operator and the PI are required to use the nonstandard request process. See Volume 3, Chapter 18, Section 2, paragraphs 3-712 to 3-713, for the nonstandard request process. For all operators, a formal request must be sent to the Flight Technologies and Procedures Division (AFS-400). After review by AFS-400, the formal request will be authorized by:

• The Air Transportation Division (AFS-200) for operators conducting operations under parts 121 or 135.

• The General Aviation and Commercial Division (AFS-800) for operators conducting operations under part 125, including part 125 LODA holders, under part 91, or under part 91K.

A. Applicability. OpSpec A353 is applicable to all operators conducting airplane operations under parts 91, 91K, 121, 125 (including the LODA 125 operators), and 135. Paragraph A353 authorizes operators to conduct Automatic Dependent Surveillance-Broadcast (ADS-B) Out operations in the Hudson Bay area of Canada. OpSpec/MSpec/LOA A353 is an optional authorization for:

1) Part 91 operators (LOA),

2) Part 121 and 135 operators (OpSpec),

3) Part 125 (including 125 LODA) operators (OpSpec/LOA), and

4) Program managers conducting operations under part 91K (MSpec).

B. Background. ADS-B is a surveillance system that uses a Global Navigation Satellite System (GNSS), aircraft avionics, and a ground infrastructure to accurately and quickly transmit flight information between the airplane and air traffic control (ATC). ADS-B consists of two functions: ADS-B Out and ADS-B In. ADS-B Out, defined as the capability necessary to transmit ADS-B messages, is the core of the operational system. The ability to receive and display ADS-B messages and broadcast services, both from the ground and directly from other aircraft is called ADS-B In. The Hudson Bay area will only utilize ADS-B Out functions.

1) The system is automatic since it functions without intervention from the flightcrew as long as the necessary avionics are in place, connected and functioning. Contrary to the independent primary radar system, ADS-B is dependent because it requires the aircraft to state its position.

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2) The implementation of ADS-B has significant benefits that include the following:

a) Application of 5 nautical miles (NM) lateral separation based on a surveillance system in lieu of procedural separation minima;

b) Fuel savings due to the opportunity for more user preferred trajectories; and

c) Enhanced safety in the air through increased areas of surveillance coverage.

3) ADS-B is not being mandated in Canada in the near term. It is acknowledged that ADS-B technology will supplement the current ground-based radar surveillance system and may eventually replace it to some extent, however, the intent of not mandating the ADS-B system is to allow owners and operators to volunteer their participation in a surveillance system where Nav Canada will offer ADS-B, and to benefit from its advantages.

C. Transport Canada Requirements. The operator must meet the requirements of Transport Canada Civil Aviation (TCCA) Advisory Circular (AC) 700-009, Automatic Dependent Surveillance-Broadcast, as it relates to “foreign air operators.” A link to the current TCCA AC is provided in paragraph D below and the relevant section (see paragraph 6.2, Foreign Air Operators) currently reads as below:

1) A foreign air operator must meet the conditions of operational specification No. 610, provided in Appendix B of this document, to obtain operational approval for ADS-B operations in the Hudson Bay area. The conditions are as follow:

a) The aircraft, the equipment and the installation must;

1. Meet the airworthiness requirements of the State of the Foreign Air Operator; and

2. Meet the certification considerations of the European Aviation Safety Agency (EASA) AMC 20-24, Certification Considerations for the Enhanced ATS in Non-Radar Areas using ADS-B Surveillance (ADS-B-NRA) Application.

b) The air operator must establish procedures in its Company Operations Manual for the guidance of its personnel and any other procedures related to ADS-B that are necessary for safe operations. These procedures must include at least a system description, the operational aspects described in document EASA AMC 20-24, operational and contingency procedures, and training elements for use of the ADS-B-NRA application.

c) The air operator must provide training to each flightcrew member involved with ADS-B operations that address at least the items listed at sections 10.3.2 and 10.4 of EASA document AMC 20-24 (end of excerpted TCCA AC 700-009).

NOTE: Part 91 operators do not need this manual, but part 91 operators must have relevant supporting documents.

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D. Operator Requirements. The operator must submit documentation which verifies that each aircraft intended for use in the Hudson Bay area meets TCCA airworthiness requirements for both initial and continuing authorization. The operator must also submit the unique International Civil Aviation Organization (ICAO) 24-bit aircraft address for each aircraft intended for use in the Hudson Bay area. The unique ICAO 24-bit aircraft address should be verified to be correct as assigned by the responsible authority to each airframe.

1) Aircraft Flight Manual (AFM). An FAA-approved Aircraft Flight Manual Supplement (AFMS) or Supplemental Aircraft Flight Manual (SAFM) must be carried in the airplane at all times when the ADS-B Out equipment is installed in accordance with a Supplemental Type Certificate (STC). The operator’s pilot’s operating handbook (POH) may be sufficient for aircraft which do not have an applicable AFM and must be carried on board the aircraft in lieu of the AFMS or SAFM. However, the POH alone may not be sufficient evidence for airworthiness approval of the aircraft to meet ADS-B standards of AMC 20-24.

2) Required Pilot Training. Each member of the flightcrew must have completed an approved training program that includes ADS-B Out equipment, operating practices, procedures, conditions, and limitations before being authorized to use the ADS-B Out equipment, unless one of the crewmembers is an appropriately trained check airman.

3) The inspector should verify that the operator’s training is accomplished, and the AFM or supplements shows compliance with EASA AMC 20-24. The operator must contact Transport Canada with their OpSpec and the unique ICAO 24-bit aircraft address for each aircraft which will be used in the Hudson Bay area.

4) Table 1 of the OpSpec requires the aircraft registration number, aircraft serial number, and the ICAO 24-bit aircraft address for each aircraft approved for operations in the Hudson Bay area. When authorizing A353 in WebOPSS, the aircraft registration number and serial number can be pre-loaded by selecting “Hudson Bay” in the aircraft listing. However, the ICAO 24-bit address must be entered manually for each authorized aircraft.

E. Source Documents. The source documents include:

• Transport Canada AC 700-009, available at http://www.tc.gc.ca/CivilAviation/IMSdoc/ACs/700/700-009.htm, and

• European Aviation Safety Agency (EASA) document AMC 20-24 at http://www.easa.europa.eu/ws_prod/g/rg_certspecs.php.

F. Contacts. To ensure timely attention for foreign operators applying to Transport Canada for OpSpecs, requests should be made directly to the Foreign Inspection Division (FID). The principle points of contact are:

1) Mr. David Biehn Chief, Foreign Inspection Division Telephone—(613) 998-9074 Fax—(613) 991-5188 Email—[email protected]

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2) Mr. Keith Levia Operations Inspector, Foreign Inspection Telephone—(613) 990-1079 Email—[email protected]

3) Postal Address: Transport Canada, Enterprise Building 427 Laurier Ave, 11th Floor AARJ Ottawa, Ontario Canada K1A 0N5

G. Additional Information. For additional ADS-B information, contact the Flight Technologies and Procedures Division (AFS-400) at (202) 385-4597 or [email protected]. For additional information on part 121 and 135 special authorizations (300 series OpSpecs), contact AFS-200 at (202) 267-8166. For additional information on part 91 and 125 special authorizations (300 series OpSpec/MSpec/LOA), contact AFS-800 at (202) 267-8212.

OPSPEC A354. Reserved for United Airline use only.

OPSPEC/MSPEC A447, EMERGENCY AIRWORTHINESS DIRECTIVES (AD) NOTIFICATION INFORMATION.

A. General. OpSpec A447 is a permanent data collection OpSpec paragraph for certificate holders that conduct operations under 14 CFR parts 121, 125, and 135. The Emergency Airworthiness Directive (AD) Notification was originally put into OpSpec A047 and now is contained in A447 (see below for completion and issuance instructions for A447).

1) Essentially, the notification of emergency AD “receipt” is the responsibility of an operator’s management personnel. Part A of the templates is for general operations and management responsibilities.

2) The principal operations inspector (POI), along with the principal maintenance inspector (PMI) and the principal avionics inspector (PAI), is responsible to see that a certificate holder complies with an AD, as applicable for the operations of any particular aircraft. All three PIs are responsible for all the templates in Part A.

3) If needed, the principal inspector (PI) should fill out the appropriate information for the certificate holder and “activate” the OpSpec paragraph. The certificate holder is not required to sign the paragraph in the same way as an OpSpec authorization. If the FAA signs and activates the paragraph, it is considered to be effective.

4) The FAA uses the 400-series of templates in the OPSS for data collection.

B. When to Issue an AD. ADs are substantive regulations issued by the FAA in accordance with 14 CFR part 39. ADs are issued when an unsafe condition has been found to exist in particular aircraft, engines, propellers, or appliances installed on aircraft. ADs are also issued when that unsafe condition is likely to exist or develop in other aircraft, engines,

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propellers, or appliances of the same type design. Once an AD is issued, no person may operate a product to which the AD applies except in accordance with the requirements of that AD.

C. Emergency ADs Require Immediate Action. The FAA only distributes emergency ADs that affect transport category aircraft by facsimile. As such, all certificated operators are being required by an approved document to provide an AD point of contact (name, address, city, state, zip, telephone, and e-mail) and a facsimile transmission telephone number for emergency AD notification. The owner or operator of an aircraft is responsible for maintaining that aircraft in an airworthy condition, as required by part 39 and part 91, § 91.403(a).

D. Notification of AD Issuance. Delegation and Airworthiness Programs Branch (AIR-140), will notify all affected operators of the issuance of the emergency ADs via the facsimile number(s) identified by the operator’s method of notification in the template.

1) Parts 121 and 125 operators. AIR uses facsimiles for the official notification of the transport category emergency ADs to part 121 and 125 operators. AIR mails paper copies of ADs to all applicable registered owners (part 135 and others).

2) All other operators. Due to a large number of owners/operators (parts 91, 129, 135, etc.), AIR uses the FAA Aircraft Registry address database and the United States Postal Service for official notification of emergency ADs. AIR uses the information in template A447 to verify those addresses.

3) AIR no longer uses Societe International de Télécommunications Aeronautiques (SITA), ARINC, or TELEX codes for electronic notification. AIR does not use e-mail for official emergency AD notification or receipt acknowledgement.

E. Confirmation of AD Receipt. Upon receipt of an emergency AD, the certificate holder will immediately confirm receipt of the AD by signing the fax cover page and faxing it to AIR-140 at (405) 954-4104. This ensures the FAA that all operators affected by an emergency AD have been notified in time to comply with its requirements and avoid any undue safety risks.

F. Listing of Historical ADs. ADs from the 1940s to the present are now available in electronic format for full text searching on the FAA Web site at www.airweb.faa.gov/rgl. You can also find ADs from the FAA home page (www.faa.gov) by clicking on Airworthiness Directives. Direct questions to any of the following:

Automated Systems Branch (AFS-520) (202) 267-3522 Airworthiness Programs Branch (AFS-610) (405) 954-6896

AIR-520 (202) 267-3682

OPSPEC/MSPEC/LOA A449, ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM. OpSpec/MSpec A449 is applicable for parts 121, 121/135, and 135 certificate holders, part 91K (fractional owners) program managers, and part 145 repair stations. Inspectors must use LOA A049 for part 91K operators conducting sightseeing operations under § 91.147.

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• The certificate holders, program managers, or operators are responsible for providing the information required by part 121 appendices I and J to the POIs for the issuance of OpSpec/MSpec A449 or MSpec A449, as applicable;

• OpSpec/MSpec A449 is a “data collection” template and should not be construed as a Flight Standards authorization;

• Oversight of the actual implementation of the Antidrug and Alcohol Misuse Prevention Program is the function of the Office of Aerospace Medicine, Drug Abatement Division (AAM-800);

• When any changes occur, certificate holders and operators are responsible for providing Flight Standards with current information to update and amend A449;

• Even though the A449 OpSpec or template is for data collection purposes, it should be signed by the certificate holder or operator because they are “certifying” that the information is accurate and that they will comply with the applicable requirements of part 121, appendices I and J; and

• In the part 91K database, the program manager is certifying that the information is accurate for its Antidrug and Alcohol Misuse Prevention Program.

A. Applicability. The following must comply with the Antidrug and Alcohol Misuse Prevention Program regulations in accordance with part 121 appendices I and J, and must have OpSpec A449 issued by Flight Standards:

• All parts 121 and 135 certificate holders; and • All part 91K, program managers must have an antidrug and alcohol misuse

prevention program. MSpec A449 must be issued indicating where those records are kept.

B. Issuance. All parts 121 and 135 certificate holders must be issued OpSpec A449.

• Existing parts 121 and 135 certificate holders must provide the information to their POIs that is required by part 121 appendices I and J for the issuance of OpSpec A449;

• New parts 121 and 135 certificate holders must have an Antidrug and Alcohol Misuse Prevention Program and OpSpec A449 issued by their POI before beginning operations pursuant to the certificate;

• The Antidrug and Alcohol Misuse Prevention Program shall be implemented concurrently with beginning such operations;

• When a part 121 or 135 certificate holder surrenders its certificate or its certificate is terminated, revoked, or suspended, it must discontinue testing under its Antidrug and Alcohol Misuse Prevention Program. OpSpec A449 should be archived when the certificate is no longer in an active status;

• Part 135 certificate holders must declare whether they have 50 or more safety-sensitive employees or fewer than 50 safety-sensitive employees. Whenever the number changes from 50 or more to fewer than 50, or vice versa, the certificate holder must inform the POI and OpSpec A449 would need to be amended; and

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• Certificate holders that operate under parts 121 and 121/135 are required to report testing data annually to the FAA, Office of Aerospace Medicine, regardless of the number of safety-sensitive employees in their company. Therefore, there is no requirement to declare when the number of their safety-sensitive employees crosses over or below 50.

C. Air Tour Operators Under 91K. Part 121 or 135 certificate holders that conduct commercial air tour operations under § 91.147 must be issued a separate LOA from the part 91 database and issued a separate four character identifier. Certificate holders must implement a second drug and alcohol testing program to conduct operations under § 91.147. Even though the same company may be conducting operations under part 135 or 121 and air tour operations under § 91.147, the FAA’s regulations consider the two operations to be separate entities for drug and alcohol purposes. Exemptions to this rule are outlined in § 91.146.

D. Restriction. No applicable certificate holder or operator shall use a contractor’s employee to perform safety-sensitive functions who is not subject to its own or a certificate holder’s or operator’s Antidrug and Alcohol Misuse Prevention Program. All new applicable certificate holders and operators must ensure that their contract employees who perform safety-sensitive functions are subject to an Antidrug and Alcohol Misuse Prevention Program.

E. Responsibilities. All oversight of the Antidrug and Alcohol Misuse Prevention guidance, inspections, and enforcement activity will be conducted exclusively by the Drug Abatement Division (AAM-800), Office of Aerospace Medicine. Any and all enforcement actions to be taken for violations of part 121, appendices I and J, and other sections of 14 CFR related to drug and alcohol testing by the aviation industry is the sole responsibility of the Drug Abatement Division. Any indication of possible regulatory violations of these provisions must be referred to the Drug Abatement Division. All questions regarding the Antidrug and Alcohol Misuse Prevention Program must be directed to the Drug Abatement Division.

F. Part 145 Repair Stations. New and existing part 145 certificate holders may obtain an OpSpec A449 if they opt to have drug and alcohol programs because they perform safety-intensive functions for an air carrier. Only one OpSpec is required for both the drug and alcohol programs.

1) OpSpec A449 serves as a verification to the operators (parts 121, 135, 91, and 136) that the repair station performing the maintenance is under an antidrug and alcohol misuse prevention program.

2) Those certificate holders who operate under § 135.1(a)(5) or 135.1(c)(1) or (2) who do not hold a part 119 certificate and who operate under the provisions of § 91.147 are permitted to use a person who is otherwise authorized to perform aircraft maintenance or preventative maintenance duties and who is not subject to antidrug and alcohol misuse prevention program to perform the following:

• Aircraft maintenance or preventative maintenance on the operator’s aircraft if the operator would otherwise be required to transport the aircraft more than

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50 NM further than the repair point closest to the operator’s principal place of operation to obtain these services, or

• Emergency repairs on the operator’s aircraft if the aircraft cannot be safely operated to a location where an employee subject to FAA-approved programs can perform the repairs.

NOTE: If the above circumstances do not exist, the repair station must adhere to the regulations found in § 91.147 and part 136.

3) Since 1988, part 121 appendices I and J have required specified aviation employers to implement drug and alcohol testing programs. Originally, a part 145 repair station submitted an antidrug and alcohol misuse prevention program to the Drug Abatement Division for approval. In 2004, the regulations were changed to allow part 145 repair stations to obtain OpSpec A449 to certify compliance with the regulations. Upon obtaining OpSpec A449, each part 145 repair station is required to implement its testing program under these regulations. The regulations require that each part 119 certificate holder, with the authority to operate under part 121 and/or 135, or sightseeing operation defined under § 91.147, ensure that any individual who performs safety-sensitive functions (directly or by contract) is subject to testing under the FAA’s drug and alcohol testing regulations.

a) The operator may choose one of two ways to comply with the regulations:

• Include individuals performing safety-sensitive functions from a part 145 repair station under the operator’s own drug and alcohol testing program, or

• Ensure the part 145 repair stations including the individual performing safety-sensitive functions are under an FAA-mandated drug and alcohol testing program.

b) When a part 145 repair station chooses to implement its own proprietary drug and alcohol testing program, it may choose one of two ways:

• Obtain OpSpec paragraph A449 in its OpSpecs, or • Register a combined drug and alcohol testing program directly with the

Drug Abatement Division. “Combined” means a repair station with multiple locations or certificates.

4) As identified earlier, OpSpec A449 is applicable for part 121, 121/135, or 135 certificate holders, or LOA A049 for part 91 operators conducting sightseeing operations under § 91.147. OpSpec A449 is also applicable to certified part 145 repair station maintenance facilities that perform safety-sensitive functions for the above-identified operations and choose to implement their own FAA-mandated drug and alcohol testing program.

a) Certificate holders, program managers, or operators are responsible for providing the information required by part 121, appendices I and J, to the PI for the issuance of OpSpec A449 as applicable. When any changes occur, certificate holders and operators are responsible for providing AFS with current information to update and amend OpSpec A449.

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b) The following questions and answers should help:

Table 3-6B. Operations Specification A449 Questions and Answers

Question Answer Explanation Is a part 145 certificated repair station required to comply with FAA drug and alcohol regulations?

No

But a part 119 certificate holder, with the authority to operate under parts 121 and/or 135, or sightseeing operation defined under § 91.147, are prohibited from using any contractor or contract employee to perform safety-sensitive work, unless that individual is subject to testing under a domestic and or FAA drug and alcohol program.

Should I, as a principal maintenance inspector (PMI), ensure a part 145 certificate holder is in compliance with the drug and alcohol testing program regulations?

No

Refer any questions that you or a company might have about program compliance or implementation by a part 145 certificate holder to the Drug Abatement Division, (202) 267-8442 or at [email protected].

What oversight responsibility does the POI or PMI have regarding a certificate holder’s requirement to ensure that contractors who perform safety-sensitive work are subject to the drug and alcohol testing program?

None

All Flight Standards inspectors’ primary responsibilities relating to the drug and alcohol testing regulations are to issue and make changes to an air carrier’s OpSpec A449 or to issue LOA A049 for § 91.147. For any questions, please contact a Drug Abatement manager at (202) 267-8442 or [email protected].

5) When certificating a new part 145 repair station or when providing oversight of an existing part 145 repair station that provides safety-sensitive functions for parts 121, 121/135, and 135 certificate holders, or part 91 operators conducting sightseeing operations under § 91.147, the PI records or validates the location of the repair station’s antidrug and alcohol misuse prevention program records in OpSpec A449 as described below.

a) Implementation of proprietary program. If the part 145 repair station certificate holder has elected to implement its own antidrug and alcohol misuse prevention program, record or validate where their antidrug and alcohol misuse prevention program records are maintained and available for inspection by FAA drug abatement compliance and enforcement inspectors by filling out OpSpec paragraph A449, as shown in Figure 3-67A:

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Figure 3-67A. Example A449 Table 1 for a Propriety Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records: Telephone Number: A1 (202) 575-8732

Address: 699 Strander Dr. Address: N/A

City: Tukwila State: WA

Zip code: 98899

EXAMPLE: RS101 is a repair station that provides safety-sensitive functions to a major airline operating in their area. RS101 chooses to implement their own drug and alcohol testing program to cover their safety-sensitive employees. RS101 contacts their PI and requests an OpSpec paragraph A449 be included in their OpSpecs.

b) Registered proprietary program. If a part 145 repair station certificate holder has registered its antidrug and alcohol misuse prevention program directly with the Drug Abatement Division of the FAA, record or validate their antidrug and alcohol misuse prevention program records by filling out OpSpec paragraph A449 as shown in Figure 3-67B:

Figure 3-67B. Example A449 Table 1 for a Registered Propriety Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records: Telephone Number: A2

Address: Address:

City: State:

Zip code:

EXAMPLE: RS102 is a corporation or repair station. They have a central location in Kansas City, as well as several outlying repair stations in Denver, Atlanta, and Miami. RS102 chooses to implement their own drug and alcohol testing program, which will include all of their locations. RS102 contacts AAM-800 to submit a contractor registration, which includes a listing of all the repair stations and locations their program will cover.

c) Included in air carrier’s program. If the part 145 repair station certificate holder is included as part of the air carrier’s (parts 121, 135, or part 91, § 91.147) drug and alcohol testing program, record or validate their antidrug and alcohol misuse prevention program records by filling out OpSpec paragraph A449 as shown in Figure 3-67C:

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Figure 3-67C. Example A449 Table 1 for a Program Included in Air Carrier’s Program

Location & Telephone of Antidrug and Alcohol Misuse Prevention Program Records: Telephone Number: A3

Address: Address:

City: State:

Zip code:

EXAMPLE: An air carrier operating under part 121 also maintains a part 145 repair station (RS103). RS103 works solely for that air carrier. The air carrier chooses to implement its drug and alcohol testing program for the part 121 and includes its RS103 employees. RS103 does not implement its own testing program. If RS103 chooses to contract out to a third-party air carrier, the third-party air carrier is required to ensure that the employees working for RS103 are subject to an FAA-mandated drug and alcohol testing program. To do this, the third-party air carrier must obtain this verification with the part 121 air carrier that includes the RS103 employees under its testing program.

NOTE: It is the Drug Abatement Division’s responsibility to ensure that the third-party air carrier has obtained assurance from the part 121 air carrier that the RS103 employees performing safety-sensitive functions are subject to testing.

OPSPEC A501, LIABILITY INSURANCE SUSPENSION FOR SEASONAL OPERATIONS.

A. Liability Insurance Does Not Apply to Certificate Holders With Operating Certificates. Liability insurance coverage and the associated Department of Transportation (DOT) forms (Office of the Secretary of Transportation (OST) Form 6410, U.S. Air Carrier Certificate of Insurance) are an inclusive part of the economic authority required for parts 121 and 135 air carrier certificate holders. This is not applicable to those with operating certificates. 14 CFR part 205, § 205.4(b) states, in part, that “Aircraft shall not be listed in the carrier’s operations specifications with the FAA and shall not be operated unless liability insurance coverage is in force.”

B. Suspending Liability Insurance for Seasonal Operations. Title 14 CFR part 119, § 119.61(b)(4) provides for the issuance of OpSpec A501, Liability Insurance Suspension for Seasonal Operations, which effectively suspends the air carrier certificate holder’s OpSpecs and requirement for liability insurance for the period of time established in Table 1 of OpSpec A051. The operator cannot use the aircraft during that period of time to conduct operations in air transportation. The POI and the PMI must coordinate this effort.

C. Circumstances Under Which to Issue OpSpec A501. OpSpec A501 may be issued in order to comply with the requirements of § 119.61, § 205.4(b) and, if the air carrier certificate holder:

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• Does not want to surrender its certificate during nonoperational periods, • Requests the issuance of OpSpec A501 in writing, specifying the date it chooses

to cease operations and the date it will resume operations, • Wants to cancel the liability insurance on all of its aircraft for a period of 60 days

or more during the specific period of non-use, and • Completely ceases operations for a period of 60 days or more during the specific

period of non-use.

D. No Status Change to VIS or OPSS. The status of the air carrier certificate holder’s certificate remains active even though the OpSpecs are in the “suspension” status. Make no status changes to the Enhanced Vital Information Database (eVID) or the OPSS.

E. Opting to Not Carry Liability Insurance. If the air carrier certificate holder does not want to cease all operations but wants only to reduce the number of aircraft operated for a period of time and not carry the liability insurance for those aircraft, it has two options:

1) Remove those aircraft completely from its OpSpecs, or

2) Place those aircraft into long term maintenance or long term storage and issue OpSpec D106, Aircraft in Long Term Maintenance or Storage (reference Volume 3, Chapter 18, Section 6, Parts D and E—Maintenance MSpecs/OpSpecs.

F. Notification of Suspension of Insurance. The air carrier certificate holder or its insurance company will send notification of the suspension of liability insurance to the appropriate FAA or DOT office as required by part 205, § 205.7(a). (The FAA will record the notification and the red alert clause, “Insurance in a Non-Compliant State,” will appear at the top of the “Maintain Operations Specifications” window in the OPSS for that certificate holder.) (Use the “Review Insurance Info” selection in the OPSS to view the details of the noncompliance.)

G. Separate Uses for OpSpecs A501 and D106. At no time will OpSpecs A501 and D106 be active at the same time. These paragraphs are developed as separate provisions for specific needs. (See Volume 3, Chapter 18, Section 6 for guidance on OpSpec D106.)

H. Start Up Procedures and Rescinding OpSpec A501.

1) Before the “Re-Start of Operation” date listed in Table 1 of OpSpec A501, the air carrier must reinstate the required liability insurance. OST Form 6410 must be filed with the appropriate FAA or OST office at least 5 days prior to the “Re-Start of Operation” date listed in Table 1 of the OpSpec.

2) PIs should verify with AFS-260 (for air taxi operators), AAL-230 (for Alaskan air carriers), and OST-X-56 (for DOT certificated and commuter carriers) that the air carrier has filed evidence of liability insurance coverage as required by 14 CFR part 205 and that it otherwise continues to hold the necessary economic authority to resume operations.

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3) See Volume 6, Chapter 2, Section 38, Evaluate a Part 121/135.411(a)(2) Operator Aircraft Storage Program, paragraph 6-1048, OpSpec D106, Aircraft in Long Term Maintenance or Storage for additional guidance in regard to liability insurance.

4) OpSpec A501 must be rescinded and archived in the OPSS. Again, make no changes to the VIS or the OPSS for the certificate status. When the required liability insurance documentation is received by AFS-260, the red alert clause will be removed for that certificate holder. See Volume 3, Chapter 18, Section 2, Automated Operations Safety System (OPSS), paragraph 3-718, OPSS Liability Insurance Subsystem, for information regarding the alert clause.

5) The principal inspector must review the recency requirements of § 119.63 for the air carrier certificate holder and reexamine as necessary prior to the start of the seasonal operations.

OPSPEC A502, AIR CARRIER MERGER AND/OR ACQUISITION.

A. General. OpSpec A502 is provided to specifically address conditions that must be met by the operator during the transition process. Fields are provided to outline specific conditions that must be met by the operator in order to continue operations during the transition period. These fields are (1) General, (2) Operations, and (3) Airworthiness.

B. Description of Fields. After the transition team reaches consensus on the transition plan, primary conditions provided in the plan should be entered in the appropriate field by the PI responsible for that area.

1) General. Principal inspectors (PI) of either specialty may use the General field to identify conditions that do not belong specifically to operations or airworthiness. Examples include station personnel training, flight numbering, and administrative department functions (such as reservations and sales).

2) Operations. The Operations field is provided to identify specific operational conditions. There are three areas that should be addressed in the Operations field. They are Operational Control, Training and Qualification, and Other.

a) Operational Control. Operational control fields identify which air carrier will assume operational control responsibility over the combined operation and the date that transfer is planned to take place. If the change over is to be phased in over a period of time, such as by fleet, enter appropriate milestones here. Milestones listed in this field must correlate with the same milestones in the transition plan.

b) Training and Qualification. Training and qualification fields identify planned dates crewmember training and qualification will be completed. If two or more fleets will be phased in over different time periods, enter the fleet types and their associated training and qualification date milestones in the free text fields provided. Include training plans for dispatchers and flight followers here, as well. Milestones listed in this field must correlate with the same milestones in the transition plan.

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c) Other. This field is provided for other operations milestones not addressed in Operational Control or Training and Qualification. Examples include manual revisions, computer system support, and record keeping.

3) Airworthiness. The Airworthiness field is provided to identify specific conditions that apply to airworthiness. List maintenance program manual milestones in this field. Identify training and qualification of mechanics and inspectors here, as well. Major milestones outlining the transition of maintenance responsibilities and record keeping are appropriate for this field.

OPSPEC A570, ONE YEAR EXTENSION OF COMPLIANCE TIMES IN SECTIONS 121.1117(E) AND 129.117.

A. Applicability.

1) Except as provided in paragraph C below, OpSpec A570 can only be issued to part 121 certificate holders or part 129 foreign air carriers/foreign persons with U.S.-registered airplanes who notified their PI or CHDO of their intention to use the relief specified in §§ 121.1117(k) or 129.117(k) before March 29, 2009 and who then applied for OpSpec A570 before June 24, 2009. OpSpec A570 is time-limited and will expire on December 26, 2018.

2) OpSpec A570 applies to transport category turbine-powered airplanes with a TC issued after January 1, 1958, that, as a result of original type certification or later increase in capacity have a maximum TC’ed passenger capacity of 30 or more, or a maximum payload capacity of 7,500 pounds or more. This authorization does not apply to the airplanes listed in §§ 121.1117(m) and 129.117(k). Specifically, it applies to the airplanes listed in Table 3-23A.

Table 3-23A. Airplanes Which Require Ground Air Conditioning Systems

Boeing Airbus 737 series A318, A319, A320, A321 series 747 series A300, A310 series 757 series A330, A340 series 767 series 777 series

3) OpSpec A570 is used to extend the compliance dates in §§ 121.1117(e) and 129.117(e) by one year. In order to be eligible for the extension, a certificate holder or foreign air carrier/ person must have notified their PI or CHDO before March 29, 2009, of its intention to use ground air conditioning systems on its applicable airplanes in accordance with §§ 121.1117(k)(2) and (3) and 129.117(k)(2) and (3), and the certificate holder or foreign air carrier/person must have applied for OpSpec A570 by June 24, 2009. With the issuance of this OpSpec, the compliance date specified in §§ 121.1117(e)(1) and 129.117(e)(1) is extended to December 26, 2015 and the final compliance date is extended to December 26, 2018.

B. Issuing OpSpec A570. OpSpec A570 is the joint responsibility of the POI and the PMI. Before issuing OpSpec A570. The office manager of all affected CHDOs, CMOs, IFOs, and IFUs should bring this guidance to the attention of the principal inspectors of any operator who has applied for this OpSpec and ensure that it is properly issued.

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1) The PMI must ensure that the certificate holder’s manual required by § 121.133 (for part 121) or maintenance program (for part 129) includes a listing, by N-registration number and fleet type, of those airplanes in the certificate holder’s fleet that ground conditioned air systems applies to. That listing should be identical to the operator’s Flammability Reduction Means (FRM)/Ignition Mitigation Means (IMM) retrofit listing that is provided to the CHDO. As airplanes are retrofitted they should be removed from the list.

2) The POI must ensure that the certificate holder’s manual required by § 121.133 (for part 121) or equivalent manual for part 129 includes a requirement for the airplanes in this listing to use ground air conditioning systems for actual gate times of more than 30 minutes, when available at the gate and operational, whenever the ambient temperature exceeds 60 degrees Fahrenheit.

3) The office manager will determine which principal inspector will sign OpSpec A570 and ensure that it is issued.

C. Certificate Holders Certificated After December 26, 2008. A certificate holder or foreign air carrier/person for which an operating certificate is issued after December 26, 2008, and that has notified their PI or CHDO of its intention to use ground air conditioning systems on its applicable airplanes (see Table 3-23A above), the compliance date specified in § 121.1117(e) may be extended by one year, provided that the certificate holder meets the requirements of §§ 121.1117(k)(2) or 129.117(k)(2) when its initial OpSpecs are issued and, thereafter, uses ground air conditioning systems as described in § 129.117(k)(2) on each airplane subject to the extension. OpSpec A570 must be approved by the PMI, using the guidance above, concurrent with the initial OpSpecs.

TEMPLATE A999, AIR OPERATOR CERTIFICATE (AOC) IN THE INTERNATIONAL CIVIL AVIATION ORGANIZATION (ICAO) FORMAT.

A. Annex 6 Requirements. Annex 6 to the Chicago Convention requires air operators to carry onboard their aircraft a standardized, certified true copy of their AOCs when operating internationally. See the following ICAO Web site for more information: http://www.icao.int/fsix/_Library/Annex%206-Part%20I%20-%20AOC%20Template%20en.pdf. Template A999 is applicable to part 121 and 135 air carriers.

B. Federal Aviation Administration (FAA) Role. To enable certificate holders to fulfill this ICAO requirement, the FAA made an ICAO standardized AOC available as Template A999 in the Web-based Operations Safety System (WebOPSS). (See Figure 2-9A in Volume 2, Chapter 1, Section 4 for a sample of Template A999.) Much of the data contained in the AOC will be preloaded from WebOPSS. The principal operations inspector (POI) or the certificate holder must enter some of the data. This standardized ICAO AOC is in addition to the FAA Operating Certificate or Air Carrier Certificate. For compliance with Annex 6, certificate holders must carry this ICAO AOC onboard their aircraft when operating internationally.

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C. Specific Guidance for Issuing Template A999. For specific guidance on issuing Template A999, see Volume 2, Chapter 1, Section 4, Preparation of Federal Aviation Administration Operating Certificates, paragraph 2-74.


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CHAPTER 18 OPERATIONS SPECIFICATIONS

Section 4 Part B Operations Specifications—En Route Authorizations and Limitations

3-816 PART B OPERATIONS SPECIFICATIONS (OPSPECS) PARAGRAPHS.

NOTE: All 300-series (300-399) OpSpecs/management specifications (MSpecs)/training specifications (TSpec)/letters of authorization (LOA) (Parts A, B, C, D, E, and H) require approval by the appropriate headquarters (HQ) policy division. Title 14 of the Code of Federal Regulations (14 CFR) parts 91, 91 subpart K (part 91K), 125, 125M, 133, 137, and 141 operators’ nonstandard operational requests must be approved by the General Aviation and Commercial Division (AFS-800); 14 CFR parts 121, 135, and 142 nonstandard operational requests must be approved for issuance by the Air Transportation Division (AFS-200); 14 CFR part 145 repair station and all airworthiness nonstandard requests must be approved by the Aircraft Maintenance Division (AFS-300); and All Weather Operations (AWO) relating to instrument procedures must be approved by the Flight Technologies and Procedures Division (AFS-400). Any additional provisions and/or authority added to an OpSpec/MSpec/TSpec paragraph or LOA through the use of nonstandard text entered in the nonstandard text block (sometimes referred to as “Text 99”) must also be approved by the appropriate HQ policy division. For detailed guidance on the process for obtaining HQ approval for nonstandard authorizations, principal inspectors (PI) must read the guidance contained in Volume 3, Chapter 18, Section 2.

NOTE: The following OpSpec paragraphs designated with a “*” are for the part 142 database only.

*OPSPEC B001, 14 CFR PART 61 APPROVED CURRICULA—OTHER THAN AIRLINE TRANSPORT PILOT—AIRPLANE. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B002, 14 CFR PART 61 AIRLINE TRANSPORT PILOT CERTIFICATE AND ADDED AIRCRAFT TYPE RATING—AIRPLANE. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B003, 14 CFR PART 61 FLIGHT INSTRUCTOR APPROVED CURRICULA. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B004, AIRMAN CERTIFICATION OTHER THAN PILOT. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B006, REMOVAL OF CENTERLINE THRUST LIMITATIONS. General Guidance found in Volume 3, Chapter 54.

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*OPSPEC B008, SATELLITE TRAINING CENTERS OPERATIONS AND AUTHORIZATIONS. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B009, REMOTE TRAINING SITES AUTHORIZATIONS. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B011, 14 CFR PART 61 APPROVED CURRICULA—OTHER THAN AIRLINE TRANSPORT PILOT—ROTORCRAFT/ HELICOPTER. General Guidance found in Volume 3, Chapter 54.

*OPSPEC B012, 14 CFR PART 61 AIRLINE TRANSPORT PILOT CERTIFICATE AND ADDED AIRCRAFT TYPE RATING—ROTORCRAFT/HELICOPTER. General Guidance found in Volume 3, Chapter 54.

OPSPEC B029, DRIFTDOWN OR FUEL DUMPING.

A. Purpose. OpSpec B029 is used to authorize driftdown or fuel dumping procedures used by the 14 CFR part 121 or 135 certificate holder to demonstrate compliance with 14 CFR terrain clearance requirements. The certificate holder uses the system described or referenced in the OpSpec for its approved driftdown or fuel dumping procedures, limitations, and data.

B. “Nonstandard” OpSpec Paragraph. This is the template to use that is referred to in the guidance as the “nonstandard” OpSpec paragraph for this authorization. It is “nonstandard” only because of the addition of free text. It is issued as a “standard” OpSpec.

C. Further Guidance. See Volume 4, Chapter 3, Section 5, Selected Practices, paragraph 4-593 for more information.

OPSPEC B030, IFR NAVIGATION USING GPS/WAAS RNAV SYSTEMS.

A. Purpose. En route Area Navigation (RNAV) operations in the State of Alaska and its airspace on published air traffic routes using Technical Standard Order (TSO)-C145a/C146a navigation systems as the only means of instrument flight rules (IFR) navigation appropriate for the route to be flown.

B. Wide Area Augmentation System (WAAS) Equipment. This OpSpec also authorizes TSO-C145a/C146a WAAS equipment to be used for IFR en route operations at special minimum en route altitudes (MEA) that are outside the operational service volume of ground-based Navigational Aid (NAVAID) if the aircraft operation meets the requirements of sections 3 and 4 of Special Federal Aviation Regulation (SFAR) 97.

C. Global Positioning System (GPS). The recent availability of TSO-C145a/C146a WAAS equipment constitutes a significant improvement in GPS RNAV technology by the incorporation of WAAS, Fault Detection and Exclusion (FDE), along with receiver autonomous integrity monitoring (RAIM). For a complete discussion of the equipment, see Volume 4, Chapter 1, Section 1, paragraph 4-3D, GPS and WAAS Navigation, and Volume 4, Chapter 1, Section 2, paragraph 4-32, FAA Approval of GPS/WAAS.

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D. Automated Operations Safety Subsystem (OPSS). Principal operations inspectors (POI) can access OpSpec B030 in the OPSS. Required information must be entered to specify the applicable aircraft make, model, and serial number, WAAS manufacturer and model, and the equipment type and class (See Table 3-7, Wide Area Augmentation System Equipment Classes, below).

Table 3-7. Wide Area Augmentation System Equipment Classes

WAAS EQUIPMENT CLASSES

TSO-C145a/C146a

EQUIPMENT CLASS

Oceanic and Domestic En Route, Terminal Area Operations, Nonprecision Approach

LNAV/VNAV Approaches

LPV APPROACHES

WAAS Sensor [TSO-C145a]

Class 1 yes no no

Class 2 yes yes no

Class 3 yes yes yes

WAAS Navigation Equipment [TSO-C146a] (note 1)

Class 1 yes no no

Class 2 yes yes no

Class 3 yes yes yes

Class 4 (note 2) no no yes

NOTE 1: WAAS sensor: While the TSO-C145a sensor supports the operations denoted, the integrated navigation system may not support all of these operations. Consult the Approved Flight Manual (AFM), AFM supplement, pilot’s guide, etc., for more information.

NOTE 2: Class 4 equipment will typically also be authorized under TSO-C145a Class 3. In that configuration the WAAS equipment will support all phases of flight. The integrated navigation system may not support all of these operations (see NOTE 1).

E. Special Navigation Limitations and Provisions. WAAS equipment uses whatever GPS and WAAS satellites are in view and will provide the best available service. If the navigation service does not meet all of the requirements for the phase of flight, the equipment annunciates the “Loss of Integrity” or an RAIM indication. If all GPS guidance is lost, the

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equipment will revert to dead reckoning and the flightcrew should take appropriate action (e.g., revert to alternate means of navigation, climb into ground NAVAID coverage, request radar services, proceed visually). Special navigation limitations and provisions are included in this OpSpec to ensure that flightcrews have been properly trained, tested, and qualified. Procedures must also be established for flightcrews and aircraft dispatchers (when applicable) to govern operation during periods of degraded navigation capability and/or satellite outages. Additional special conditions included in this paragraph require the certificate holder to use an approved program to predict navigation outages that impact WAAS equipment.

F. Independent Systems. Approval of this paragraph requires the aircraft to be equipped with two independent systems capable of supporting the operation. This may be met with:

• Dual TSO-C146a Class 1, 2 or 3 equipment, installed in accordance with the current edition of Advisory Circular (AC) 20-138, Airworthiness Approval of Positioning and Navigation Systems; or

• At least one flight management system (FMS) that complies with TSO-C115b (installed in accordance with the current edition of AC 20-130, Airworthiness Approval of Navigation or Flight Management Systems Integrating Multiple Navigation Sensors) and dual TSO-C145a Class 1, 2 or 3 receivers (installed in accordance with AC 20-138).

G. Navigation System. The navigation system must be fully operational or operated in accordance with an approved minimum equipment list (MEL). The approved navigation system may only be used to navigate along routes defined by fixes residing in the aircraft navigation system database.

H. Example Program. POIs are encouraged to use the University of Alaska Anchorage Aviation Technology’s Capstone II Training Program for Part 121/135 Operations as a template for approving their certificate holders’ GPS/WAAS ground and flight training. The University of Alaska’s training program proved to be very successful during the Alaska Regions Capstone Phase I Program. Air Transportation Oversight System (ATOS) 14 CFR part 121 POIs should incorporate this review with ATOS tools in determining appropriate action. It is recommended that POIs evaluate the carrier’s specific system installation to determine if any program modifications are required.

*OPSPEC/MSPEC B031, AREAS OF EN ROUTE OPERATION.

A. Operators. OpSpec B031 is issued to all 14 CFR part 121, 121/135, 135, and 125 operators (fixed-wing and/or rotorcraft).

1) Only the lead-in paragraph is issued to those part 135 operators who operate under visual flight rules (VFR) only. In the automated Operations Safety Subsystem (OPSS), you will be prompted in the “text tab” to highlight the statement “Load this value only for VFR operation” and then click on “Load Value From Database” button.

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2) All instrument flight rules (IFR) operators are issued the lead-in paragraph and subparagraphs a through f as prescribed below. You will be prompted in the “text tab” of the OPSS to highlight the statement “Load this value only for IFR operation” and then click on “Load Value From Database” button.

3) Select subparagraph g if the certificate holder is authorized to use global positioning system (GPS) navigation equipment for IFR Class I Navigation.

B. Specific Authorizations. The delimiting phrases, “if issued” or “if that paragraph is issued” is used in the subparagraphs that refer to other OpSpecs that give the specific authorizations (i.e., IFR in Class G Airspace, Class I Navigation, Class II Navigation). The principal operations inspector (POI) must complete these authorizations and coordinate them with principal maintenance inspectors (PMI).

C. Subparagraph B(3). Subparagraph b(3), “Operate IFR flights including flights to alternate or diversionary airports in Class G Airspace in accordance with the provisions of paragraphs A014, C064, C080, H113, and/or H121, as applicable, of these OpSpecs, if issued” is a provisionary statement dependent upon the issuance of the other aforementioned OpSpecs for authorization to operate in Class G Airspace.

D. Subparagraph C. Subparagraph c reads, “Deviations from routings specified in this paragraph are authorized when necessary due to in-flight emergencies or to avoid potentially hazardous meteorological conditions.”

E. Subparagraphs D, E, and F. Subparagraphs d, e, and f are to be selected for issuance only if they apply to the IFR operator.

1) Subparagraph d reads, “For operations within [U.S.] Class A Airspace, the certificate holder is authorized to conduct Class I Navigation under positive radar control with the Area Navigation (RNAV) or long-range navigation systems (LRNS) specified in OpSpec B035 of these OpSpecs if that paragraph is issued,” according to the following guidelines:

a) OpSpec B035 must also be issued to authorize IFR Class I Navigation in U.S. Class A Airspace using RNAV systems, including LRNS.

b) Any one or all of the aircraft to be operated under the certificate must be capable of conducting part 121 or 135 operations in excess of flight level (FL) 180.

c) And the airplane(s) has LRNS installed.

d) OR the aircraft(s) has RNAV systems installed.

e) An air carrier must have an approved method of “off airway navigation” to depart from established airways. When this capability is lost, the carrier must return to the established airway.

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2) Subparagraph e reads, “The certificate holder is authorized to conduct Class I Navigation, including en route IFR operations outside positive radar control, with the RNAV systems specified in OpSpec B034 of these OpSpecs, if that paragraph is issued,” and is authorized according to the following guidelines:

a) OpSpec B034 must also be issued to all air carriers conducting Class I Navigation in U.S. and foreign operations who wish to proceed “direct” to a point or destination in or out of controlled airspace.

3) Any one or all of the aircraft to be operated under the certificate must be authorized IFR Class I Navigation using RNAV systems certified in accordance with the current edition of Advisory Circular (AC) 90-45, Approval of Area Navigation Systems for Use in the U.S. National Airspace System.

4) Subparagraph f reads, “The certificate holder is authorized to conduct Class II Navigation in accordance with OpSpecs B032 and B036 of these OpSpecs, if those paragraphs are issued.”

a) Any one or all of the aircraft to be operated under the certificate must be authorized IFR Class II Navigation using approved LRNS (OpSpec B036 issued), in accordance with the current edition of AC 90-79, Recommended Practices and Procedures for the Use of Electronic Long-Range Navigation.

b) OpSpec B032, IFR En Route Limitations and Provisions, must be issued to all IFR operators; it does not apply if the operator is VFR only.

c) This approval may be issued with or without a flight navigator as authorized in OpSpec B047.

F. Subparagraph G. For en route authorization to use GPS for Class I IFR Navigation, if the existing aircraft avionics installation does include RNAV capability, subparagraph g would be selected, which reads, “The certificate holder is authorized to use approved GPS navigation equipment as a supplement to International Civil Aviation Organization (ICAO)-standard navigation equipment while conducting Class I Navigation.”

G. OpSpec B050. OpSpec B050, Areas of Operations, must also be issued.

OPSPEC/MSPEC B032, EN ROUTE LIMITATIONS AND PROVISIONS. This paragraph is issued to operators who conduct any instrument flight rules (IFR) operations. The second sentence of the lead-in paragraph prohibits IFR operations outside of controlled airspace unless the operator is authorized to conduct such operations by appropriate OpSpecs. In certain situations, OpSpec B032 permits the operator to navigate outside the operational service volume of airways navigation facilities (Class II Navigation) without long-range navigation (LRN) equipment. Some of the criteria that must be met when conducting Class II Navigation without LRN equipment are as follows:

• Navigation is predicated on International Civil Aviation Organization (ICAO) standard ground-based Navigational Aids (NAVAID) (Very high frequency

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Omnidirectional Range (VOR), VOR/distance measuring equipment (DME), and nondirectional radio beacon (NDB));

• A “reliable fix” using ICAO standard NAVAIDs can be obtained at least once each hour;

• Navigation is conducted to the degree of accuracy required for air traffic control; and • Route of flight is a “great circle” route between the two NAVAIDs.

OPSPEC B033. RESERVED.

OPSPEC/MSPEC/LOA B034, IFR CLASS I TERMINAL AND EN ROUTE NAVIGATION USING RNAV SYSTEMS.

A. Authorization. B034 authorizes an operator to conduct instrument flight rules (IFR) Class I Navigation using an Area Navigation (RNAV) system, as applicable, in the areas authorized in operations specification (OpSpec)/management specification (MSpec)/letter of authorization (LOA) B050.

NOTE: Questions regarding the issuance of B034 should be directed to the Flight Technologies and Procedures Division (AFS-400) at 202-385-4623.

1) The RNAV system must meet the en route performance criteria prescribed by the current edition of Advisory Circular (AC) 90-45, Approval of RNAV Systems for Use in the U.S. National Airspace System. See Federal Aviation Administration (FAA) Order 8900.1, Volume 4, Chapter 1, Section 2, Air Navigation Approval Requirements.

2) A Global Positioning System (GPS) navigation system with Technical Standard Order (TSO) TSO-C129 or TSO-C145a/C146a compliant GPS/wide area augmentation system (WAAS) RNAV systems (or later revisions that meet or exceed the performance requirements of this TSO/revision as approved by the Administrator) may be authorized as a supplement to International Civil Aviation Organization (ICAO) standard navigation equipment while conducting Class I Navigation.

3) When the capability exists to revert to conventional dual airborne very high frequency Omnidirectional Range (VOR), VHF omni-directional range station/distance measuring equipment (VOR/DME), and/or non-directional radio beacon (NDB) navigation systems, only a single RNAV system needs to be specified. If this capability is not available, dual or redundant (separate and independent) RNAV systems must be specified.

4) B034 permits the use of a fix obtained from a redundant RNAV system (authorized by B034) to substitute for a required ground-based Navigational Aid (NAVAID) fix when that NAVAID is temporarily out of service.

B. Additional Authorization. B034 also authorizes an operator to conduct IFR operations in designated Basic RNAV (B-RNAV)/RNAV 5 and Precision RNAV (P-RNAV) airspace.

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NOTE: In accordance with the terminology adopted in ICAO Doc. 9613, Performance-Based Navigation Manual, B-RNAV requirements are termed RNAV 5.

1) The route design determines whether the operation is terminal or en route navigation.

2) For B-RNAV/RNAV 5 terminal and en route operations, the navigation performance is ±5 nautical miles (NM) for 95 percent of the flight time.

3) For P-RNAV terminal and en route operations, the navigation performance is ±1 NM for 95 percent of the flight time.

4) If the RNAV equipment is certified for P-RNAV, it may be authorized for both P-RNAV and B-RNAV/RNAV 5 terminal and en route operations.

NOTE: Authorization for B-RNAV/RNAV 5 terminal and en route operations does not automatically qualify the certificate holder/program manager/operator for RNP 10 oceanic operations (RNAV 10). (See ICAO Doc. 9613, Part B, Implementing RNAV.)

5) The following documentation provides guidance material in regard to onboard RNAV equipment requirements and operational approval for operators of U.S.-registered civil aircraft:

a) AC 90-96, Approval of U.S. Operators and Aircraft to Operate Under Instrument Flight Rules in European Airspace Designated for B-RNAV and P-RNAV (current edition).

b) Regional Supplementary Procedures contained within ICAO Doc. 7030/4-EUR, Part 1, Rules of the Air, Air Traffic Service and Search and Rescue, require aircraft operating under IFR in designated European P-RNAV airspace to meet a ±1 NM 95-percent accuracy criteria. For B-RNAV/RNAV 5, the criteria requirement is ±5 NM 95-percent accuracy.

c) Functional and performance requirements are contained within ICAO Doc. 9613 and FAA AC 90-96, appendix 1 (B-RNAV/RNAV 5) and appendix 2 (P-RNAV).

6) The following documentation should be evaluated by the principal inspectors (PI) for authorizing B-RNAV/RNAV 5 and/or P-RNAV:

a) Sections of the Aircraft Flight Manual (AFM) that document the appropriate approval in accordance with AC 90-96, appendix 1 or appendix 2, as applicable.

b) Training and operations manuals that reflect the operating policies in AC 90-96.

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C. Equipment Eligibility. If the operator is unable to determine B-RNAV/RNAV 5 or P-RNAV equipment eligibility from the AFM, the operator will ask the field office (certificate-holding district office (CHDO)/Flight Standards District Office (FSDO)/International Field Office (IFO)) to assess the RNAV equipment for B-RNAV/RNAV 5 or P-RNAV eligibility. The operator should provide the following, as applicable:

Table 3-8. Requirements for B-RNAV or P-RNAV Equipment Eligibility

B-RNAV/RNAV 5 (±5NM) Navigation Performance

P-RNAV (±1NM) Navigation Performance

RNAV system make, model and part number

RNAV system make, model and part number

Evidence of meeting ±5 NM accuracy, 95% Evidence of meeting ±1 NM accuracy, 95%

Proof that the system meets the required functions for B-RNAV/RNAV 5 operations

Proof the system meets the required functions for P-RNAV operations

Crew operating procedures, bulletins Crew operating procedures, bulletins

Any other pertinent information Any other pertinent information

D. Determining Eligibility. If the field office is unable to determine equipment eligibility for B-RNAV/RNAV 5, it should forward the request and supporting data through the appropriate FAA regional divisions to AFS-400 for review.

E. Aircraft Evaluation Group (AEG). If the field office is unable to determine equipment eligibility for P-RNAV, it should forward the request and supporting data through the appropriate FAA Flight Standards regional division to the appropriate AEG.

1) The AEG will verify that the aircraft and RNAV system meet the criteria for P-RNAV.

2) The AEG will provide written documentation (e.g., amended Flight Standardization Board (FSB) report or other official documentation) to verify the eligibility of that equipment.

3) The written documentation will identify any conditions or limitations necessary (e.g., navigation systems or procedures required, routes, areas, or procedures authorized) when conducting P-RNAV operations.

F. Appropriate Authorizations. The principal operations inspector (POI) shall coordinate with the principal avionics inspector (PAI) to obtain the proper nomenclature of the manufacturer and model and to ensure that the RNAV system is installed in accordance with approved data and meets the criteria of AC 90-45 and/or AC 90-96, as applicable. After the PIs determine that the operator is eligible and the navigation equipment is eligible for B-RNAV/RNAV 5 and/or P-RNAV operations based on the documentation provided by the operator, OpSpec/MSpec/LOA B034 may be issued indicating the appropriate authorizations.

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1) The aircraft (make/model) and the manufacturer and model of the RNAV systems authorized for this type of navigation must be listed in Table 1 of OpSpec/MSpec/LOA B034.

2) If B-RNAV/RNAV 5 (±5NM) and/or P-RNAV (±1NM) are authorized, these can be selected for insertion into column 4 of Table 1. If neither is authorized, select N/A.

OPSPEC/MSPEC/LOA B035, CLASS I NAVIGATION IN THE U.S. CLASS A AIRSPACE USING AREA OR LONG-RANGE NAVIGATION SYSTEMS.

A. Purpose. The OpSpec/MSpec/LOA B035 template is used to authorize an operator to conduct Class I navigation within the U.S. Class A airspace using an Area Navigation (RNAV) system or long-range navigation system (LRNS). This authorization is applicable to operators conducting operations under 14 CFR parts 91 subpart K (91K), 121, 125 (including those issued a Letter of Deviation Authority (LODA) part 125 subpart M (part 125M)), and 135. (For 14 CFR part 129, see Volume 12, Chapter 2, Section 4.)

B. Not Eligible or Trained. If an operator’s aircraft are not eligible (properly equipped) and/or its flightcrews are not appropriately trained to conduct RNAV Q-routes, then that authorization should not be selected for inclusion in Table 1 and a selection of “N/A” is used when OpSpec/MSpec/LOA B035 is issued. The current edition of Advisory Circular (AC) 90-100, U.S. Terminal and En Route RNAV Operations, provides guidance for operators regarding operations on RNAV routes.

C. Procedures. Procedures utilized under this approval should be outlined in the appropriate operations manual or outlined in OpSpec/MSpec/LOA A008, as applicable.

1) RNAV routes designated as domestic Q-routes are being developed for areas throughout the National Airspace System (NAS) in accordance with AC 90-100.

2) This guidance, the OpSpec/MSpec/LOA B035 authorization, and AC 90-100 do not apply to RNAV routes designated as Q-routes in the Gulf of Mexico. (See Notice to Airmen Publication (NTAP) for Gulf of Mexico information.)

D. RNAV Within the Continental United States (CONUS). Q-routes can be flown using Global Positioning System (GPS) or distance measuring equipment (DME)/DME/Inertial Reference Unit (IRU). In some cases, sufficient ground-based navigation sources are inadequate/unavailable to support DME/DME/IRU operations. When this occurs, the route must be annotated “GNSS REQUIRED.” Q-route procedures require the aircraft’s track-keeping accuracy remain bounded by + 2 nautical miles (NM) for 95 percent of the total flight time. Unless the RNAV route specifically requires GPS or Global Navigation Satellite System (GNSS) equipage, aircraft on the RNAV route must be within air traffic control (ATC ) radar surveillance and communication (except for operations in Alaska).

E. RNAV Aircraft Equipped with Technical Standard Order (TSO)-C129, TSO-C145, or TSO-C146 on Q-Routes in Alaska. For Q-route operations in Alaska, the entire portion of the intended route of flight, using the RNAV systems or LRNS, shall be under ATC radar surveillance and communication.

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F. Training. An operator’s FAA-approved training program should include subject areas and frequency in accordance with the following:

1) Training and qualification should be conducted in the specific equipment being used and type of procedure(s) approved under the template B035 route authorization and include the following subject areas:

a) Operating procedures in AC 90-100;

b) Pilot knowledge requirements and training described in AC 90-100;

c) Recognition that some manually selectable aircraft bank-limiting functions might reduce the ability to satisfy ATC path expectations, especially during large angle turns; and

d) Procedures for verification that the correct routes are entered into the navigation system database.

2) Recurrent training and continuing qualification should be based upon the following: crewmembers should be trained to proficiency on these RNAV routes during their first training sequence with the specific airplane type and equipment being used by the operator.

G. Determining Eligibility. Operators and pilots should use the guidance in AC 90-100 to determine their eligibility for domestic U.S. RNAV Q-routes. For the purpose of this authorization, “compliance” means meeting operational and functional performance criteria.

NOTE: Aircraft compliant with the current edition of AC 90-45, Approval of Area Navigation Systems for Use in the U.S. National Airspace System, may not be compliant with the criteria in AC 90-100.

1) Domestic Q-routes not labeled “GNSS REQUIRED” require DME/DME/IRU sensors and/or GPS inputs. Due to gaps in the DME infrastructure of the NAS, Q-routes not labeled “GNSS REQUIRED” require IRU sensor inputs to augment DME/DME, which is often referred to as DME/DME/IRU.

2) The operator is responsible for providing equipment eligibility documented by the Approved Flight Manual (AFM). If the operator is unable to determine that the aircraft is eligible, the operator must provide the applicable information in Table 3-9, Required Route Documentation, to the certificate-holding district office (CHDO).

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Table 3-9. Required Route Documentation

Domestic Route Authorization

Requires the following documentation: RNAV system make, model, and part number(s); Evidence of compliance with AC 90-100 requirements; Crew operations procedures; Crew training program; and Any other pertinent information.

3) Based on the information supplied by the operator, the principal operations inspector (POI) must coordinate with the principal avionics inspector (PAI) to determine equipment eligibility for RNAV routes via the Performance Based Flight System Branch (AFS-470) Web site at http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/afs/afs400/afs470/media/AC90-100compliance.xls.

a) The PAI determines the proper nomenclature of the manufacturer’s make/model/software version and that the RNAV system is installed in accordance with approved data and meets the criteria of AC 90-100.

b) If the CHDO is unable to determine equipment eligibility for RNAV routes via the AFS-470 Web site, contact AFS-470 for guidance.

4) After the principal inspectors (PI) agree that the operator’s navigation equipment, procedures, and flightcrew training are eligible for RNAV route operations, the B035 template may be issued indicating the appropriate authorizations.

H. Certificate Holders and Program Managers Authorized European Precision Area Navigation (P-RNAV) Operations. The criteria in AC 90-100 required for U.S. RNAV procedures are generally consistent (but there are exceptions) with the criteria for P-RNAV operations in Europe.

1) P-RNAV terminal and en route operations require a track-keeping accuracy of ±1 NM for 95 percent of the flight time.

2) If an operator has met the requirements for and is authorized P-RNAV in the B034 template, that operator may also be eligible for RNAV routes without additional verification of equipment eligibility. POIs should still evaluate their operator’s procedures and training to ensure compliance with AC 90-100.

3) Appropriate P-RNAV references are:

• AC 90-96, Approval of U.S. Operators and Aircraft to Operate Under Instrument Flight Rules (IFR) in European Airspace Designated for Basic Area Navigation (B-RNAV) and Precision Area Navigation (P-RNAV);

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• European Aviation Safety Agency (EASA) TGL-10; and • Volume 3, Chapter 18, Section 4 (see OpSpec/MSpec/LOA B034).

I. References (current editions):

• Part 91, §§ 91.123, 91.205, and 91.503 • Part 95, • Part 121, § 121.349, • Part 125, § 125.203, • Part 129, § 129.17, • Part 135, § 135.165, and • FAA Order 7110.65, Air Traffic Control.

OPSPEC/MSPEC B036, CLASS II NAVIGATION USING MULTIPLE LONG-RANGE NAVIGATION SYSTEMS. OpSpec B036 authorizes Class II Navigation when long-range navigation systems (LRNS) are required due to the inability to obtain a reliable fix at least once each hour from International Civil Aviation Organization (ICAO) standard Navigational Aids (NAVAID). OpSpecs paragraph B047 should be issued when an operator uses a flight navigator for any type of Class II Navigation. OpSpec B036 authorizes the operator to use LRNS and prohibits the use of a flight navigator.

A. Required LRNS. In certain areas, LRNS may also be required even though reliable fixes may be obtained more than once each hour. In these areas, traffic density and the navigation accuracy necessary for air traffic control may require the use of LRNS.

1) Direction and guidance for authorizing Class II Navigation is in Volume 4, Chapter 1, Section 4.

2) When an operator applies for authorization to conduct Class II Navigation using LRNS or a flight navigator, validation tests are required. See Volume 3, Chapter 29, Section 8.

3) OpSpec B036 prohibits Class II Navigation within Central East Pacific Airspace (OpSpec B037), North Pacific Airspace (OpSpec B038), Operations Within North Atlantic Minimum Navigation Performance Specifications Airspace (OpSpec B039), and areas of magnetic unreliability (OpSpec B040), unless operations in those areas are authorized by issuing the appropriate referenced paragraphs.

4) Subparagraph B036b(5) permits the use of a fix obtained from a LRNS to substitute for a required ground-based NAVAID fix when that NAVAID (an airways navigation facility) is temporarily out of service.

5) The aircraft (make/model) and the LRNS (manufacturer/model) authorized for Class II Navigation must be listed in OpSpec B036. Dual or redundant (separate and independent) LRNS must be indicated in the list.

6) There are certain areas where a single long-range navigation system (S-LRNS) may be authorized (see OpSpec B054).

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B. Operator’s Long-Range Navigation (LRN) Program. The principal operations inspector (POI) must ensure the operator’s LRN program incorporates the practices and procedures recommended in the most recent version of Advisory Circular (AC) 90-79, Recommended Practices and Procedures for the Use of Electronic Long-Range Navigation, or the operator has approved procedures equivalent to or exceeding those in AC 90-79 or other applicable ACs. These procedures must be in the operator’s manuals and in checklists, as appropriate. Training on the use of LRN equipment and procedures must be included in the operator’s training curriculums. The operator’s minimum equipment lists (MEL) and maintenance programs must address the LRN equipment. The POI must coordinate with the principal avionics inspector (PAI) to obtain the proper nomenclature of the manufacturer and model and to ensure the LRN equipment is installed and maintained in accordance with approved data. See Volume 4, Chapter 1, Section 2.

C. RNP-10 Documentation. The current edition of FAA Order 8400.12, Required Navigational Performance 10 (RNP-10) Operational Approval is a guide to RNP-10 aircraft and operator approval in any airspace where RNP-10 navigation criteria are required.

1) If an operator requests to deviate from the practices and procedures in Order 8400.12, the inspector should forward a request for assistance through the regional Flight Standards division (RFSD) to AFS–400.

2) The steps in this process should be followed when an operator seeks authority to operate an airplane type/LRNS combination in Class II Navigation areas where RNP-10 is applied and the operator has not previously received RNP-10 approval for that specific airplane type/LRNS combination. Normally, if an operator has received initial Class II Navigation/RNP-10 approval for a specific airplane type/LRNS combination, that operator should not be required to reapply for approval to conduct Class II Navigation/RNP-10 operations on additional routes or areas.

a) Required Application Items. Order 8400.12 provides guidance on the content of an operator’s RNP-10 application. The application should contain the items listed below.

1. Aircraft/Navigation System Group. Airworthiness documents that establish the proposed aircraft/navigation system group, its RNP-10 approval status, and a list of airframes in that group.

2. Sources of LRNS. Approved or requested RNP-10 time limit for aircraft for which inertial navigation systems (INS) or Inertial Reference Units (IRU) are the only source of LRN.

3. RNP-10 Area of Operations. Documentation establishing the RNP-10 area of operations or routes for which the specific aircraft/navigation system is eligible.

4. Operating Practices and Procedures. Documentation that the operator has adopted operating practices and procedures related to RNP-10 operations.

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5. Pilot and Aircraft Dispatcher Knowledge. Documentation showing that the pilot and, if applicable, aircraft dispatcher knowledge of RNP-10 operating practices and procedures have been adopted.

6. Airworthiness Practices. Documentation that appropriate maintenance practices and procedures have been adopted.

7. MEL updates, if applicable.

8. Operating History. Operating history that identifies past problems and incidents, if any, and actions taken to correct the situation.

9. Removal of RNP-10 Operating Authority. Awareness of the necessity to follow up action after navigation error reports, and the potential for removal of RNP-10 operating authority.

b) Aircraft Groups and Eligibility Aircraft Groups (Fleets of Aircraft), Paragraph 11 and Determining Aircraft Eligibility, Paragraph 12 of Order 8400.12.

1. Aircraft Groups (Fleets of Aircraft). In accordance with Order 8400.12, the operator must show the aircraft/navigation system groups that will be presented for approval of RNP-10 operations and provide a list of airframes that are determined to be in the specific aircraft/navigation system groups to be evaluated.

2. Determining Aircraft Eligibility. For aircraft navigation systems which have been approved by an aircraft certification authority to RNP-10 or better, the operator must provide appropriate sections of the Approved Flight Manual (AFM) that address RNP, including any associated time limits for INS and IRU navigation systems.

3. Aircraft Equipped with Global Positioning Systems (GPS) Approved to Primary Means of Navigation Standards. For aircraft equipped with GPS, where such GPS units are the only systems for LRN, the operator must show that it is approved in accordance with Order 8400.12. An RNP-10 time limit is not applicable.

4. Multisensor Systems Integrating GPS (with GPS Integrity Provided by Receiver Autonomous Integrity Monitoring (RAIM)). For multisensor systems incorporating GPS, the operator must show that systems are approved and operated in accordance with Order 8400.12. An RNP-10 time limit is not applicable.

5. GPS Equipage with Other Approved LRNS (e.g., INS or IRU). See the current editions of AC 90-94, Guidelines for Using GPS Equipment for IFR En Route and Terminal Operations and for Nonprecision Instrument Approaches, and AC 20-138, Airworthiness Approval of Global Navigation Satellite System (GNSS) Equipment. The operator must show that aircraft equipped with GPS and one or more approved LRNS are installed and operated in accordance with AC 90-94 and AC 20-138. An RNP-10 time limit is not applicable.

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6. Equipage Where INS or IRU Provide the Only Means of Long-Range Navigation. The operator must show that INS or IRU installation is approved in accordance with Order 8400.12. Unless the operator takes action to extend the approved navigation system time limit and/or plans to update the system en route, a baseline RNP-10 time limit of 6.2 hours, starting at the time the system was placed in navigation mode, is applicable. See paragraph c)1 and d) below.

7. Aircraft Eligibility Through Data Collection (Eligibility Group 3). For navigation systems not approved under existing criteria, the operator may demonstrate RNP-10 eligibility through data collection in accordance with the processes detailed in appendices 1 or 6 of Order 8400.12.

c) Route Evaluation for RNP-10 Time Limits for Aircraft Equipped with Only INSs or IRU, Order 8400.12. If restrictions (e.g., INS RNP-10 time limit) apply to navigation systems, the operator must show the routes or areas where it is eligible to operate. The operator can conduct a one-time evaluation of eligibility to fly in an RNP-10 area of operations or on specific RNP-10 routes or may elect to evaluate on a per-flight basis.

1. One-Time Evaluation. For one-time evaluation of a specific RNP-10 area or track system, aviation safety inspectors (ASI) should expect the operator to accomplish the following:

• Calculate the longest distance from either departure airports or en route update points (if applicable) to the point at which the aircraft will begin to navigate by reference to very high frequency Omnidirectional Range State (VOR), distance measuring equipment (DME), non-directional radio beacon (NDB), or comes under air traffic control (ATC) radar surveillance;

• As detailed in Order 8400.12, using 75 percent probability wind component, convert this distance to en route time;

• As detailed in Order 8400.12, if navigation systems are to be updated en route, adjust the base line RNP-10 time limit approved for the specific operator navigation system to account for update accuracy;

• Subtract 0.3 hours from the baseline for DME/DME; • Subtract 0.5 hours from the baseline for VOR/DME; • Subtract 1 hour from the baseline for manual update; • Compare calculated en route time to the navigation system RNP-10

time limit (adjusted for en route update, if applicable) to determine if the airplane is eligible for the operation; and

• If the aircraft navigation system is found eligible for operation on the specific routes evaluated, then the RNP-10 area of operations or routes on which RNP-10 operations can be conducted are established. If the aircraft navigation system is not found eligible for operation on all routes evaluated, then the operator will need to designate routes for which it is eligible or take action to gain approval for an extended RNP-10 time limit. See subparagraph d) below.

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2. Calculation of Time Limit for Each Specific Flight, Order 8400.12. For a per-flight evaluation of eligibility to fly a specific RNP-10 route, follow the steps shown in paragraph c)1 above, using flight plan winds to determine en route time. If the RNP-10 time limit is exceeded, the flight must be re-routed or delayed.

d) Time Limit Extension. Obtaining an RNP-10 Time Limit Extension for INS- or IRU-equipped aircraft, Order 8400.12. An operator can show eligibility for an extended time limit by:

1. Obtaining approval from an appropriate Aircraft Certification Office (ACO), or

2. Conducting operational data collection using the processes established in appendices 1 or 6 of Order 8400.12.

e) Maintenance Requirements. The certificate holder must provide documentation that appropriate maintenance practices and procedures have been adopted.

f) MEL Requirements. In accordance with Order 8400.12, if applicable, the operator must revise the MEL to address any new operating requirements.

g) Operations Program. Operations manuals and checklists in accordance with FAA Order 8400.12

1. Title 14 CFR part 121, 125, and 135 certificate holders must provide revisions to manuals and checklists to show the adoption of the RNP-10 operating practices and procedures contained in the reference paragraphs and sections listed in this paragraph.

2. Operations training programs and operating practices and procedures are addressed in Order 8400.12.

h) Deviation to RNP-10 Requirements. The administrator may authorize a certificate holder to deviate from the RNP-10 requirements of OpSpec B036 for a specific flight in designated RNP-10 airspace if the Air Traffic Service (AAT) provider determines that the airplane may be provided appropriate separation and the flight will not interfere with, or impose a burden on other operators. For operations under such authority, the certificate holder will not take off for flight in designated RNP-10 airspace, unless the following requirements of subparagraphs b and d of OpSpec B036 are met:

1. If fuel planning is predicated on en route climb to flight levels where RNP-10 is normally required, an appropriate request must be coordinated with the AAT provider in advance of the flight.

2. The appropriate information blocks on the ICAO flight plan filed with the AAT provider show that the airplane and/or certificate holder is not approved for RNP-10 as specified in the certificate holder’s OpSpec B036.

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3. For these flights, at least one of the navigation system configurations listed below must be installed and operational:

• At least two independent INS; • At least two flight management system (FMS)/navigation sensor

combinations (or equivalent); • At least two independent approved GPS navigation systems acceptable

for primary means of Class II Navigation in oceanic and remote areas; and

• At least two approved independent LRNS from the list below:

• Inertial navigation system; • FMS/navigation sensor combination (or equivalent); and • GPS navigation system approved for Class II Navigation in

oceanic and remote areas.

4. Anchorage and Tokyo Oceanic Notices to Airmen (NOTAM), U.S. Government Flight Information Publication (FLIP) supplement for Alaska. AAT providers have established procedures to accommodate in RNP-10 airspace a limited number of flights by airplanes and/or operators not approved for RNP-10. The operator should show that it has adopted appropriate policies and practices to enable it to operate unapproved airplanes in RNP-10 airspace in situations such as:

• Ferry flights; • Flights that do not meet RNP-10 MEL requirements; and • Non-scheduled charter flights using unapproved airplanes.

5. Contacts at Tokyo and Anchorage Oceanic Centers and air traffic policy and procedures for such flights are listed in NOTAMs and/or the Alaska FLIP Supplement and on the FAA RNP Web site. Part 121, 125, and 135 certificate holders will be expected to comply with the provisions of OpSpec B038 for deviation from RNP-10 requirements.

i) Application Evaluation. The operator should indicate awareness of the provisions of Order 8400.12, for operator follow-up action on reported navigation errors and of the potential to remove RNP-10 operating authority.

j) Validation. For guidance on validation tests and validation flights for part 121 and 135 operators, reference Volume 3, Chapter 29. Validation testing requires an evaluation of the operator’s programs and documents in accordance with the guidance for RNP-10 approval.

1. General. The following is intended to provide broad guidance for establishing requirements for validation tests and/or validation flights. The POI should consider each application on its own merit and in accordance with Volume 3, Chapter 29. Consult with the RFSD, as necessary.

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2. Establishing the Necessity for Validation Flights. The following is provided as guidance for ASIs to consider in determining whether or not validation flights are required.

• Operators with previous Class II Navigation experiences with the same navigation equipment as that being proposed for RNP-10 approval. Evaluation of the applicant’s programs and documents should normally suffice. A validation flight should not normally be required.

• Operators with previous Class II Navigation experience navigating with an LRNS other than that being proposed for RNP-10 approval. Evaluation of the applicant’s programs and documents is required. A validation flight should normally be required. If conducted in Class I airspace, the validation flight may be conducted in revenue service. If conducted in Class II airspace, it must be non-revenue with the exception that cargo may be carried.

• Operators with no previous Class II Navigation experience proposing to operate where RNP-10 is required. Evaluation of the operator’s programs and documents is required. A validation flight should be required and should be conducted in Class II airspace. It should be a non-revenue flight with the exception that cargo may be carried.

3. Conditions for Validation Flights.

• At least one flight should be observed by an FAA ASI. • A demonstration of any required dispatch procedures must be

conducted for routes or areas where RNP-10 is required. • The flight(s) should be of adequate duration for the pilots to

demonstrate knowledge of dispatch requirements, capability to navigate with the system, and to perform the normal and non-normal procedures.

k) OpSpec/MSpec Entries.

1. Required Navigation Performance Type Block. This is the RNP type for which the specific navigation system has been approved. Entry options for this block are:

• RNP-X. Example: RNP-4, RNP-10, etc. • Per AFM. Example: For B747-400 equipped with FANS-1 package,

AFM establishes RNP Type availability based on GPS satellite availability at dispatch.

• NA (not applicable). Example: aircraft not used for RNP operations.

2. RNP Time Limit Block. This is the RNP-10 or RNP-4 time, if applicable, for which the navigation system has been approved. Entry options are:

• X Hours. Example: 6.3 hours, 10.0 hours.

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• UNL (Unlimited). Example: Primary means GPS, approved multi-sensor system that incorporates GPS.

• NA (not applicable). Example: aircraft/navigation system no used in RNP operations.

3. OpSpec B038, Operations in the North Pacific (NOPAC) Airspace and OpSpec B037, Operations in Central East Pacific (CEPAC) Airspace, must also be issued.

4. For RNP 4 operations, an aircraft must meet a cross-track keeping accuracy and along-track positioning accuracy of no greater than +7.4 km (4 nautical miles (NM)) for 95 percent of the flight time. Different routes that require RNP-4 may have different separation, equipment, and communications requirements. It is possible in the future that a route or airspace could be established that would require RNP-4 navigation capability with very high frequency (VHF) communication and radar. Some examples of routes that require RNP-4 are:

• Australian Tasman Sea (detailed guidance is contained in Australian Government, Civil Aviation Authority, AC 91U-3(0), Required Navigation Performance 4 (RNP-4) Operational Certificate);

• Eastern Russia, the Magadan region (requires FANS 1/A-equipped aircraft); and

• Western region of China and north of the Himalayas, Route 888 (because of the remoteness of the area, RNP-4, Controller-Pilot Data Link Communication (CPDLC), and Automatic Dependent Surveillance (ADS) are required).

5. Eligibility of aircraft and certification of its navigation equipment for RNP-4 must be determined:

• For RNP-4 operations in oceanic or remote airspace, at least two fully serviceable independent LRNS, with integrity such that the navigation system does not provide misleading information, must be fitted to the aircraft. These will form part of the basis upon which RNP-4 operational approval is granted.

• For aircraft incorporating GPS, AC 20-138 or equivalent documents provide an acceptable means of complying with installation requirements for aircraft that use but do not integrate the GNSS output with that of other sensors. The current edition of AC 20-130, Airworthiness Approval of Navigation or Flight Management Systems Integrating Multiple Navigation Sensors, describes an acceptable means of compliance for multi-sensor navigation systems that incorporate GPS.

• Flightcrew training and operating procedures for the navigation systems to be used must be identified by the operator.

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OPSPEC/MSPEC B037, OPERATIONS IN CENTRAL EAST PACIFIC (CEPAC) AIRSPACE. OpSpec B037 authorizes Class II Navigation in the airspace designated as CEPAC airspace. The operator must be authorized to conduct Class II Navigation in accordance with OpSpec B036a before B037 can be issued. If the operator is authorized to conduct Class II Navigation in compliance with OpSpec B036a, no additional validation tests need to be accomplished. However, before issuance, the principal operations inspector (POI) must ensure the operator has a program that includes training or briefing of flightcrews on requirements and standards for conduct of flight in CEPAC airspace.

OPSPEC/MSPEC B038, NORTH PACIFIC (NOPAC) OPERATIONS. OpSpec B038 authorizes Class II Navigation conducted in airspace designated as NOPAC operations airspace. The operator must be authorized to conduct Class II Navigation in compliance with OpSpec B036 before B037 can be issued. Validation tests of the operator’s ability to operate in NOPAC airspace are required. If the operator is authorized to conduct Class II Navigation in compliance with OpSpec B036, a temporary authorization in the form of a letter may be issued so that the operator may conduct validation tests with revenue passengers. One of the purposes of validation tests for NOPAC operations is to verify the operator’s ability to properly use airborne weather radar for monitoring navigational system accuracy to assure avoidance of Soviet airspace. The operator must have manual procedures on the use of airborne weather radar for this purpose. Additionally, if flights are to be conducted at or above flight level (FL) 280, the operator must have a program which trains or briefs flightcrews on requirements and standards for flight in NOPAC airspace. Use of flight navigators in NOPAC airspace (at or above FL 280) is not authorized. When validation tests are completed, OpSpec B038 may be issued.

OPSPEC/MSPEC B039, OPERATIONS WITHIN NORTH ATLANTIC (NAT) MINIMUM NAVIGATION PERFORMANCE SPECIFICATIONS (MNPS) AIRSPACE.

A. Purpose. OpSpec B039 authorizes Class II Navigation in the airspace designated as NAT/MNPS airspace. The operator must be authorized to conduct Class II Navigation in compliance with OpSpec B036 before B039 can be issued. Validation tests of the operator’s ability to operate in NAT/MNPS airspace are required. If an operator has not been previously issued OpSpec B036, or when a new airplane and/or navigation system is being added to OpSpec B036, validation tests must be conducted to verify the operator’s ability to conduct operations in compliance with both OpSpecs B036 and B039. When validation tests are successfully completed, including passing specified NAT/MNPS pass or fail criteria, OpSpec B039 may be issued.

B. Airplane and Long-Range Navigation System (LRNS) Models. The airplane (make/model) and the LRNS (manufacturer/model) authorized for operations in NAT/MNPS airspace must be listed in subparagraph B039c. Dual or redundant (separate and independent) LRNS must be indicated in this list.

C. Single Long-Range Navigation System (S-LRNS). OpSpec B039 provides for flight operations in NAT/MNPS airspace over special contingency routings with an S-LRNS. Usually, all airplanes and navigational system combinations listed in OpSpec B039 should also be listed in B039, but in a manner that indicates an S-LRNS authorization. This authorization permits revenue operations while positioning the airplane for repair of a malfunctioning navigational

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system. Additionally, other aircraft and navigational equipment combinations which may need to be ferried over these routes in non-revenue operations should be listed. This is necessary because NAT/MNPS authorization is required regardless of revenue considerations. The following are examples of how airplanes and navigational systems authorized for flight over special contingency routings should be listed.

D. Canadian MNPS. Title 14 CFR part 135 certificate holders and 14 CFR part 91K program managers that do not have or need Class II (OpSpec B036) authorization but do need authorization to conduct flights in Canadian MNPS, may be issued OpSpec/MSpec B059 in lieu of OpSpec/MSpec B039. See Volume 4, Chapter 1, Section 5, for more information.

OPSPEC/MSPEC B040, OPERATIONS IN AREAS OF MAGNETIC UNRELIABILITY.

A. Purpose. OpSpec B040 authorizes either Class I or Class II Navigation in areas of magnetic unreliability (AMU). If flight operations in these areas involve Class II Navigation requiring long-range navigation systems (LRNS), OpSpec B036 must also be issued. Validation tests of the operator’s ability to conduct flights in AMUs are required. Except for inertial navigation systems (INS), validation tests of any type of navigational equipment (or a flight navigator) must be non-revenue. When validation tests are successfully completed, OpSpec B040 may be issued. When an operator requests authorization to conduct operations in AMUs, the principal operations inspector (POI) will advise AFS–400 (202-385-4586). AFS–400 will arrange for one of the FAA’s navigation specialists to work with the POI to ensure that operations in AMUs meet appropriate requirements. For more information on flight operations in AMUs, see Volume 4, Chapter 1, Section 5.

B. Airplane and Navigational Models. The airplane (make/model), the manufacturer and model of the navigational equipment, and the type of navigation (heading reference) to be used must be listed in subparagraph B040a. When pilot-operated electronic LRNS are authorized, they must be dual or redundant systems. When heading information is obtained from sources which are not inertially referenced, the manufacturer and model of the heading reference system (compasses) must also be specified. The following are examples of how this information should be listed.

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Table 3-10. Examples of Airplane and Navigational Equipment Information for OpSpec B040a

AIRCRAFT TYPE (MAKE/MODEL)

NAVIGATION EQUIPMENT (MANUFACTURER/MODEL) TYPE NAVIGATION

EN ROUTE APPROACH

Doug DC10 Dual Delco Carousel IV INSS

True True/Mag

Doug DC8 Single Litton LTN-3100 ONS, Dual Bendix PB20 Polar Path Compasses and a flight navigator

Grid Grid/True

Lkheed 382 Dual Collins ADF 462 and dual King//Bendix KNR-634 VORs and Dual Bendix PB60 Polar Path Compasses

True/Grid Station Referenced & Pilotage

True/Grid Station Referenced & Pilotage

OPSPEC B041, NORTH ATLANTIC OPERATION (NAT/OPS) WITH TWO ENGINE AIRPLANES UNDER PART 121.

A. Purpose. OpSpec B041 is issued to those 14 CFR part 121 operators who demonstrate the capability and competency to safely conduct operations over the North Atlantic with two-engine airplanes within the 60-minute constraint of part 121, § 121.161. This paragraph restricts the authorized area of operation to those portions of the North Atlantic which have a maximum diversion time, from any point along the route of flight, to a diversionary airport of 60 minutes or less at the approved one-engine inoperative cruise speed (under standard conditions in still air). Due to the unique nature of these operations, OpSpec B041 will not be issued until review and concurrence is obtained from regional Flight Standards division (RFSD) and AFS–400. It is FAA policy and direction that these operations be evaluated and approved on a case-by-case basis. This evaluation must include consideration of the character of the terrain within the proposed area of operation, kind of operation, performance of the airplane to be used, capabilities of the alternate airports en route, and the provisions of OpSpec B041. This evaluation must also include consideration of the routes of flight, and airports and instrument approaches likely to be used during an en route diversion resulting from an in-flight contingency.

B. Other OpSpecs. Since these operations involve Class II Navigation, OpSpec B036 must also be issued. OpSpec B039 must be issued if an operation involves flight in North Atlantic Minimum Navigation Performance Specifications (NAT/MNPS) airspace. OpSpec B043 (special fuel reserves) and/or OpSpec B044 must also be issued if an operator is authorized to use the provisions of these paragraphs while conducting operations authorized by OpSpec B041. OpSpec B050 must authorize operation in the North Atlantic and must specify appropriate reference paragraphs including any restrictions/limitations necessary to

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accommodate operations of two-engine airplanes in the North Atlantic. Since the operations authorized by OpSpec B041 are restricted by the 60-minute rule, these operations comply with the basic provisions of § 121.161. Therefore, a request for deviation from the basic provisions of this rule is not required for this type of operation.

C. Airplane Model. Each airplane (make/model) authorized for these operations must be listed in OpSpec B041. Any special equipment or limitations applicable to operations in the NAT/OPS area, including any prohibition of the operation of certain series of aircraft, must also be listed in OpSpec B041 for each make and model listed. The following is an example of how each authorized airplane should be listed.

Table 3-11. Example Listing of Additional Special Equipment/Limitations by Authorized Airplane

AIRPLANE TYPE MAKE/MODEL

ADDITIONAL SPECIAL EQUIPMENT/LIMITATIONS

Boeing 767 DUAL NDB REQUIRED

Airbus 310 A-310-200 ONLY

OPSPEC/LOA B043, SPECIAL FUEL RESERVES IN INTERNATIONAL OPERATIONS.

A. Purpose. OpSpec B043 provides the method for approving operators that conduct operations under 14 CFR part 121 or 125 to use fuel supplies specified in OpSpec B043 in place of fuel supplies required by part 121, § 121.645 or part 125, § 125.377, as applicable. This authorization, OpSpec B043, is applicable to 14 CFR part 119 certificate holders conducting operations under part 121 or 125. As LOA B043, it is also applicable to those operators that have been issued a deviation from the certificate and OpSpec requirements of part 125 but are still required to conduct operations in accordance with part 125.

1) This authorization grants the operator a deviation from certain requirements of § 121.645(b) or § 125.377(b), as applicable. Therefore, § 121.645(b) or § 125.377(b), as applicable, and OpSpec B043 must be listed in the operator’s OpSpec A005.

2) Fuel supplies required by OpSpec B043 are a hybrid between domestic fuel reserves and international fuel reserves.

a) When a portion of the route is conducted in an area(s) where the aircraft’s position can not be reliably fixed at least once each hour in accordance with paragraph B032 of these OpSpecs additional international reserve fuel supplies must be loaded in accordance with subparagraph b) below.

b) The additional reserve fuel must be equal to the amount of fuel required to fly for a period of 10 percent of the time it takes to fly that portion of the route in Class II Navigation, unless utilizing this deviation in conjunction with OpSpec B343, Fuel Reserve for Nonstandard Flag and Supplemental Operations.

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B. Rationale. The rationale for the provisions of OpSpec B043 includes the following:

1) The additional international fuel supply is required only for that portion of a flight in areas where there is a lack of International Civil Aviation Organization (ICAO) standard Navigational Aids (NAVAID), reliable very-high frequency (VHF) communications, reliability of winds aloft flight planning forecast, and diversionary airports. Examples of areas lacking these facilities and services include transoceanic areas, Northern Canada, the Polar Regions, and certain areas in South America, Africa, the Middle East, and Asia.

2) The additional international reserve fuel supply is not required for flights in areas where there are ICAO standard NAVAIDs (Class I Navigation), reliable VHF communications, reliable upper air wind pattern information and availability of adequate diversionary airports.

3) For example, the additional international reserve fuel supply is not required between inter-European cities or for certain routes between U.S. cities and Central and South American cities. In another example, the additional international reserve fuel supply is not required for certain airways between the U.S. and Canada, or Alaska exclusive of the Northern Control Area (NCA) tracks which require long-range navigation systems (LRNS) to adequately navigate to the degree of accuracy required by air traffic control (ATC) Class II Navigation.

C. Reviewing the Proposed Operations. When an operator requests authorization to conduct operations using the special fuel reserves described in OpSpec B043, the principal operations inspector (POI) will advise AFS–400 or AFS–220/820 (202-267-7493) and the San Francisco International Field Office (SFO-IFO) (650-876-2756) navigation specialists as appropriate. AFS–400 will arrange for one of the FAA’s navigation and aircraft dispatch aviation safety inspector (ASI) specialists to work with the POI to ensure the operator’s proposed operations with special fuel reserves will meet appropriate requirements. AFS–220/820 will review the operator’s request and supporting documentation and advise the POI of concurrence and or comments.

D. Operator Procedures. Before issuing OpSpec B043, the operator must develop procedures, which ensure that flightcrews and aircraft dispatchers (or flight followers) are made specifically aware of fuel supplies to be used for a particular flight.

1) The procedures must provide for strict in-flight monitoring of fuel consumption and calculation of fuel remaining at the end of flight.

2) These procedures must specifically prohibit use of the provisions of OpSpec B044 (re-dispatch or re-release) when a flight is conducted in accordance with OpSpec B043.

3) These procedures must require flightcrews report immediately to the aircraft dispatcher or flight follower anytime the estimated time of arrival at the destination exceeds 15 minutes beyond the flight plan estimated time of arrival (ETA), the cruise altitude varies by 4,000 feet or more from the flight plan, or the airplane deviates more than 100 nautical miles (NM) from the flight-planned route.

4) Procedures must be established for flightcrews, aircraft dispatchers, or flight followers, as applicable, for the reporting of a fuel emergency or any fuel states that result in

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coordination with ATC or dispatch that then result in ATC providing priority handling of that aircraft.

5) These procedures must be included in the operator’s manual.

6) Flight crewmembers and aircraft dispatchers or flight followers, as applicable, must be trained to use these procedures.

E. Reviewing the Proposed Procedures. The POI must ensure the operator’s procedures are adequate and that crewmembers and aircraft dispatchers (or flight followers), as applicable, who will be using the procedures are properly trained. The POI should request the assistance of the AFS–400 navigation specialists and AFS–220/820 specialists to review the procedures. OpSpec B043 authorization may be issued when the response from AFS–400 and AFS–220/820 has concurred that the procedures are adequate. The POI will review the response and comments and resolve any issues and issue OpSpec B043.

NOTE: OpSpec/LOA A005 must also be amended to list the deviation from § 121.645 or § 125.377, as applicable.

OPSPEC B044, PLANNED REDISPATCH OR RERELEASE EN ROUTE.

A. Authorization. OpSpec B044 provides the means for approving certificate holders that conduct operations under 14 CFR part 121 to conduct planned redispatch or planned rerelease operations in accordance with part 121, § 121.631. OpSpec B044 provides authorization for a certificate holder to conduct these operations on long range flights, provided the conditions and limitations of the paragraph are met. The term “redispatch” applies to certificate holders conducting flag operations. The term “rerelease” applies to certificate holders who are only authorized to conduct supplemental operations. For the purposes of this section, the term “redispatch” will be used when discussing both flag and supplemental operations.

1) Authorized Areas of Use. Planned redispatch can only be conducted where B044 is referenced within the specific areas of en route operations authorized by OpSpec paragraph B050, Authorized Areas of En Route Operation, Limitations, and Procedures. In other words, B044 should be authorized in all areas of B050 through which the aircraft will operate on a planned redispatch. A certificate holder cannot conduct planned redispatch operations in accordance with B044 in an authorized area of en route operations unless B044 is specifically referenced in that area.

2) Reduction in En Route Reserve Fuel. Planned redispatch, as authorized by OpSpec B044, provides for a reduction in the en route reserve fuel required by § 121.645(b)(2) by allowing that fuel to be based partially on the time it would take to get to an intermediate destination, provided the flight can be redispatched from a predetermined redispatch point, to the desired or “intended” destination.

3) Fuel Supply at the Time of a Redispatch/Rerelease. If the fuel reserves required by § 121.645(b)(2) have not been used at the time the aircraft reaches the redispatch point, then the flight can be redispatched to the intended destination as long as the fuel supply on board the aircraft is enough to allow compliance with §§ 121.645 and 121.647 (when necessary),

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and the conditions en route and at the intended destination airport will allow the flight to continue with safety.

B. Conditions and Limitations. B044 contains 11 specific conditions and limitations that must be complied with. Principal operations inspectors (POI) must ensure that each of the specific conditions and limitations are complied with prior to issuing B044; for the continued approval of B044; and when adding B044 to a new authorized area of en route operations. The 11 conditions and limitations are as follows:

1) Within the specific area of en route operations, the OpSpec subparagraph must be listed in OpSpec B050.

2) The dispatch or flight release must contain the following:

a) A release to the initial destination airport.

b) A plan for redispatch or rerelease from the planned redispatch or rerelease point to the intended destination airport. The planned redispatch or rerelease point must be a point that is common to both the route from the origin airport to the intended destination airport and the route from the origin airport to the initial destination airport.

c) Alternate airports for both the initial destination airport and the intended destination airport in accordance with § 121.621 or § 121.623.

d) The fuel required to fly from the origin airport and land at the initial destination airport.

e) The fuel required to fly from the redispatch or rerelease point and land at the intended destination airport.

f) The total fuel required to fly from the origin airport and land at the intended destination airport based on the redispatch or rerelease. In determining these fuel requirements, the certificate holder must comply with § 121.647.

g) The appropriate weather reports, forecasts, and Notices to Airmen (NOTAM) affecting the route to be flown, and the facilities at all airports specified in the dispatch or flight release.

3) The flight plan must be prepared prior to departure from the origin airport to the initial destination airport and from the redispatch or rerelease point to the intended destination airport. The flight plan must contain an operational analysis that includes the following:

a) The total fuel listed in subparagraph b(2)(f) of this OpSpec.

b) Routes to be flown, including the flight levels. The portions of the routes that are common to both the route from the origin airport to the initial destination airport, and the route from the origin airport to the intended destination airport, may be combined in the body of the flight plan.

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c) Estimated times en route.

d) Alternate airports for both the initial destination airport and the intended destination airport in accordance with § 121.621 or § 121.623.

4) A new operational analysis must be conducted within 2 hours prior to the flight’s arrival at the planned redispatch or rerelease point. In preparing the new operational analysis, the dispatcher or person designated to exercise operational control (other than the pilot in command (PIC)) must:

a) Conduct an updated fuel analysis based on the current route of flight, wind conditions, and aircraft weight, on the route from the planned redispatch or rerelease point to the intended destination airport, and any required alternate airports; and

b) Inform the PIC of the results of the updated fuel analysis and all current information concerning weather conditions, navigation and ground facilities, known air traffic delays, and services at the intended destination and alternate airports specified in the redispatch or rerelease, as required by § 121.601(c) for flag operations, or § 121.603(b) for supplemental operations.

5) If the operational analysis required in subparagraph b(4) of this OpSpec indicates there is sufficient fuel on board (FOB) to complete the redispatch or rerelease to the intended destination airport, the dispatcher or person designated to exercise operational control (other than the PIC) must issue a dispatch or flight release from the planned redispatch or rerelease point to the intended destination airport. That redispatch or rerelease must contain:

a) A release from the planned redispatch or rerelease point to the intended destination airport;

b) Updated route, if required based on the operational analysis conducted in subparagraph b(4) of this OpSpec;

c) Alternate airport for the intended destination airport, as required by § 121.621 or § 121.623;

d) The fuel required to fly from the planned redispatch or rerelease point and land at the intended destination airport. In determining these fuel requirements, the certificate holder must comply with § 121.647;

e) The appropriate weather reports, forecasts, and NOTAMs affecting the route to be flown, and the facilities at all airports specified in the dispatch or flight release; and

f) The name of the dispatcher or person authorized to exercise operational control issuing the redispatch or rerelease along with the time of issuance.

6) The PIC’s decision on whether or not to accept the redispatch or rerelease shall be made part of the redispatch or rerelease. The redispatch or rerelease must be retained in accordance with § 121.695 or § 121.697, as applicable.

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7) If while the aircraft is en route the flight cannot continue in accordance with the dispatch or flight release provided in subparagraph b(2) or b(5) of this OpSpec, the certificate holder must comply with the provisions of § 121.631(f) and (g) to amend the release.

8) Loss of communication:

a) If there is a total loss of communication while en route, the PIC must follow the lost communications procedures as outlined in the Aeronautical Information Manual (AIM), or the provisions specified in International Civil Aviation Organization (ICAO) Annex 2, as applicable to the airspace in which communication is lost.

b) If there is a total loss of communication while en route, the aircraft dispatcher or person designated to exercise operational control must follow the emergency procedures set forth in § 121.557(b) and (c) for flag operations, and § 121.559(b) and (c) for supplemental operations.

9) If the estimated time of arrival (ETA) at the initial destination or intended destination exceeds 15 minutes beyond the flight plan, or the cruise altitude varies by 4,000 feet or more from the flight plan, or the airplane deviates more than 100 nautical miles (NM) from the route specified in the flight plan, the flightcrew must notify the aircraft dispatcher or person designated to exercise operational control as soon as practicable. The aircraft dispatcher or person designated to exercise operational control must then evaluate the FOB and determine if additional action is necessary.

10) The certificate holder must establish policies and procedures for monitoring the actual fuel burn during flight and comparing it to the planned fuel burn. The certificate holder must conduct a real time analysis of any fuel burn en route that exceeds the planned fuel burn, and ensure sufficient fuel remains at the redispatch or rerelease point to allow a flight to continue to the intended destination airport. If sufficient fuel for continuation to the intended destination is not onboard the aircraft at the time of redispatch or rerelease, the certificate holder must have policies and procedures in place to ensure the flight lands at the initial destination or alternate airport or, if appropriate, amend the dispatch or flight release to include another suitable airport authorized for that type of aircraft.

11) The provisions of this OpSpec must not be used in conjunction with the provisions of OpSpecs B043 or B343.

C. Certificate Holder’s Policies and Procedures. Prior to issuing B044, POIs must ensure that the certificate holder’s manuals for use by flightcrew members and dispatchers (or persons designated to exercise operational control if the certificate holder is only authorized to conduct supplemental operations) contain adequate policies and procedures regarding the authority contained in OpSpec B044 and comply with each of the conditions and limitations contained therein.

NOTE: POIs must ensure that an aviation safety inspector (ASI)-aircraft dispatcher (AD), commonly referred to as a dispatch inspector or dispatch safety inspector (DSI), reviews the certificate holder’s procedures and methods of compliance with the conditions and limitations. If there is no ASI-AD resource

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available in the certificate-holding district office (CHDO), the POI should contact the regional Flight Standards division (RFSD) for assistance in locating a DSI within the region. If the RFSD is unable to locate an ASI-AD resource, then the appropriate branch of the RFSD should send a request for assistance to AFS-200 in locating an ASI-AD to provide the necessary subject matter expertise. The guidance and instructions for ensuring compliance with the conditions and limitations of OpSpec B044 should be completed by both the POI and ASI-AD (DSI).

D. Training. The certificate holder applying for OpSpec B044 must provide evidence that their approved training program includes information and instruction for flightcrew members and dispatchers, or persons designated to exercise operational control, on the application of the authorization, and compliance with the conditions and limitations contained in B044. If the approved training program does not contain the necessary information, then the POI must ensure that the certificate holder submits a revised training program for approval that does include this requirement, prior to issuing this OpSpec.

E. Issuing the OpSpec. POIs must refer to the B044 Job Aid contained in the Operations Specifications Subsystem (WebOPSS). The Job Aid can be found by clicking on the “Guidance” tab applicable to B044 in WebOPSS. POIs must also review the guidance regarding planned redispatch and rerelease contained in Volume 3, Chapter 25, Section 4. Once the POI reviews the additional guidance and job aid, and establishes that the certificate holder’s policies, procedures, and approved training program adequately incorporate and comply with all of the conditions and limitations contained in OpSpec B044, he or she may issue the OpSpec paragraph.

OPSPEC B045, EXTENDED OVERWATER OPERATIONS USING A SINGLE LONG-RANGE COMMUNICATION SYSTEM.

A. Requirements. All 14 CFR part 121 operations must be conducted in accordance with part 121, §§ 121.711 and 121.359. All 14 CFR part 125 operations must be conducted in accordance with part 125, § 125.203(e). All 14 CFR part 135 operations must be conducted in accordance with part 135, § 135.151. Each airplane equipped with only one operating high frequency (HF) or satellite link communication system must be capable of monitoring and communicating with air traffic control (ATC) during the flight segment when the airplane is operated beyond the range of ground-based very-high frequency (VHF) radio communications equipment.

B. Letters of Agreement. Prior to commencing operations in the extended overwater area approved in OpSpec B045, the carrier will enter into and obtain letters of agreement from the appropriate oceanic control areas. Copies of these letters should be maintained by FAA in the OpSpecs correspondence file.

C. VHF Communications Gap. All flights in oceanic airspace conducted with a functional Single Long-Range Communication System (SLRCS), over any airway or other approved route should not normally exceed a two-way VHF communications gap of 30 minutes when operating at the aircraft’s normal en route altitude.

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D. Exceeding the VHF Communications Gap. A request for authorization to operate over a portion of a route that exceeds a 30-minute VHF communications gap may be submitted to the Administrator if the oceanic control center agrees by letter. The certificate holder may request approval for a nonstandard OpSpec B045 that meets the requirements of §§ 121.351(c), 125.203(e), or 135.165(d), as applicable. The nonstandard OpSpec B045 must be requested from the Administrator through AFS–200 or the General Aviation and Commercial Division (AFS-800) as appropriate.

E. Part 135. If operations are conducted under part 135 using this OpSpec paragraph, each certificate holder’s manual will contain procedures that ensure that the additional requirements of OpSpec B045 subparagraph f are met.

F. Part 125. If the operations are conducted under part 125 using this OpSpec B045, each certificate holder’s manual will contain procedures that ensure that the additional requirements of OpSpec B045 subparagraph e are met.

G. Functional Check Procedures. The certificate holder’s manual will contain procedures to ensure that the pilot in command (PIC) satisfactorily completes a functional check of the SLRCS prior to entering oceanic airspace.

H. Principal Operations Inspector (POI) Dispatch Manual Review. The POI will review the dispatch manual, if appropriate, to ensure the proper procedures have been included.

I. POI Training Program Review. The POI will review and approve any changes to the training program to ensure that all flightcrews are familiar with the use of this authorization. The POI should ensure that overwater SLRCS has been incorporated and appropriately addressed in the certificate holder’s approved training curricula. Part 125 initial and recurrent pilot testing programs should be updated with applicable information from these paragraphs.

J. Coordination Requirements. Coordination with avionics and airworthiness inspectors is required to ensure proper installation of the SLRCS.

K. Minimum Equipment List (MEL) Review. The MEL should be reviewed to ensure that the deferral of communications equipment does not conflict with this authorization. See Volume 4, Chapter 1, Section 2, Paragraph 4-27.

OPSPEC/MSPEC B046, OPERATIONS IN REDUCED VERTICAL SEPARATION MINIMUM (RVSM) AIRSPACE.

A. Purpose. OpSpec B046 provides general authority for RVSM airspace operations RVSM airspace authorization is applicable to all 14 CFR part 91 operators and 14 CFR part 121, 125, and 135 certificate holders that have been or wish to be authorized to operate on RVSM route systems. RVSM is in effect in the North Atlantic, the Pacific Oceanic Flight Information Regions (FIR) including the North Pacific (NOPAC) and Central East Pacific (CEPAC) Route Systems. RVSM programs enable 1,000-foot vertical separation to be applied between aircraft above flight level (FL) 290. Part 91, § 91.706, Operations Within Airspace Designed as Reduced Vertical Separation Minimum Airspace, and part 91 appendix G, Operations in Reduced Vertical Separation Minimum (RVSM) Airspace, provide regulatory policy for RVSM programs.

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B. RVSM FIRs and FLs. The FIRs where RVSM may be implemented are listed in part 91 appendix G. The specific FLs where RVSM is implemented within each FIR are published in the Aeronautical Information Publication (AIP) and Notices to Airmen (NOTAM) published by the responsible Air Traffic Service (AAT) provider. Each operator that is authorized RVSM operations is responsible for verifying those FLs before conducting RVSM operations.

C. Relationship Between Minimum Navigation Performance Specification (MNPS) and RVSM Approvals. If the operator intends to operate in MNPS airspace at FLs where RVSM is applied, then approval of both lateral and vertical navigation performance is required. For part 121, 125, and 135 operators, paragraphs B039 (MNPS), B046, and D092 must be issued. If these operators choose to operate in MNPS at FLs where RVSM is not applied, then only approval of lateral navigation through issuing paragraph B039 is required.

D. Specific Emphasis. Two items have shown to need specific emphasis in RVSM authorizations:

1) Training on the Effect of RVSM on Traffic Alert and Collision Avoidance System (TCAS) Operations. Operators whose aircraft are equipped with TCAS must ensure that pilots are knowledgeable on the effect of RVSM on TCAS operation.

2) Wake Turbulence Procedures. Operators must ensure that pilots are knowledgeable on lateral offset procedures to mitigate the effect of wake turbulence. AAT providers have published procedures to enable pilots to mitigate the effect of wake turbulence in oceanic airspace where RVSM is applied.

E. Verification of Aircraft RVSM Eligibility. Aviation safety inspectors (ASI) need to confirm an aircraft’s eligibility to conduct RVSM operations. The aircraft engineering and maintenance that are required for an in-service aircraft to be approved for RVSM operations have normally been documented in Service Bulletins (SB) and Aircraft Service Changes. These documents have been developed by aircraft manufacturers and reviewed by the appropriate Aircraft Certification Office (ACO) prior to distribution. Since the initial implementation of RVSM in March 1997, a number of aircraft manufacturers have incorporated RVSM aircraft equipage and altitude-keeping performance requirements into the certification process for production aircraft. In such cases, SBs or Aircraft Service Changes should not be required. If questions arise on the RVSM eligibility, ASIs can contact the Aircraft Engineering Division (AIR-100) at (202) 267-9580, or AFS–400 at (202) 385-4586. For RVSM eligibility of in-production or new-production aircraft, Flight Standards inspectors should request that the operator provide them with a copy of one of the following documents:

1) The Aircraft Flight Manual (AFM) should contain a statement that the aircraft is eligible for operation in RVSM airspace, or

2) The type certificate data sheet (TCDS) can specifically describe the avionics configurations and continued airworthiness criteria, or provide reference to FAA-approved documentation in the form of a written report.

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F. Evaluating the Operator’s Programs. The operator should submit the maintenance program and the operations program for approval simultaneously. Evaluation of operations programs should be completed in conjunction with the evaluation of Continuous Airworthiness Maintenance Programs (CAMP). OpSpec D092, Maintenance Program Authorization for Airplanes Used for Operations in Designated Reduced Vertical Separation must also be issued for RVSM authorization. OpSpec D092 lists the aircraft that are authorized and maintained in accordance with an approved maintenance program.

G. OpSpec B050. OpSpec paragraph B046 should be listed in the specific areas of operation listed in OpSpec paragraph B050 when the operator is granted authorization to conduct RVSM operations in those areas. If an operator has RVSM authorization, the principal operations inspector (POI) must ensure that the differences in procedures for a new area of operation are addressed before adding OpSpec B046 to the new area in B050.

H. Further Guidance. For extensive and inclusive guidance and documentation for RVSM authorization, go to the RVSM homepage at: http://www.faa.gov/about/office_org/headquarters_offices/ato/service_units/enroute/rvsm/. For other questions, contact the navigation specialists in AFS–400 at (202) 385-4586.

OPSPEC B047, CLASS II NAVIGATION USING A FLIGHT NAVIGATOR. OpSpec B047 authorizes the use of a flight navigator in Class II Navigation. Operator requests for an option that authorizes the use of flight navigators as the primary means of Class II Navigation occur infrequently. When an operator requests authorization to use a flight navigator in any of the areas listed in OpSpec B050, the principal operations inspector (POI) will advise AFS–400 (202-385-4586). AFS–400 will arrange for one of the FAA’s navigation specialists to work with the POI to ensure the operator’s long-range navigation (LRN) program (including the use of a flight navigator) meets appropriate requirements.

OPSPEC B048, OPERATIONS IN THE VICINITY OF THE HAWAIIAN ISLANDS. OpSpec B048 contains specific operational limitations and provisions for granting an operator deviation authority to conduct sightseeing and air tour operations in the state of Hawaii below 1,500 feet above the surface. Special Federal Aviation Regulation (SFAR) 71, Special Operating Rules for Air Tour Operators in the State of Hawaii, prescribes the operating rules for airplane and helicopter operators to conduct visual flight rules (VFR) sightseeing and air tour operations in Hawaii. This authorization cannot be issued to fractional ownership program managers (14 CFR part 91K).

A. SFAR 71 Procedures Document. Each operator must have a FAA-approved SFAR 71 Procedures Document that contains a minimum of the following:

1) A description of specific sites, transition segments, and overwater segments.

2) The restrictions that apply for operations below 1,000 feet above the surface at specific sites, including height-velocity restrictions and raw terrain descriptions.

3) An identification of designated areas at specific sites or transition segments suitable for an emergency landing in the event of an engine failure.

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4) A description of the planned entry to and egress from the approved specific sites.

5) The operator’s plan for ensuring that its pilots conducting flights under this authorization will conduct or participate in at least one formal air tour safety meeting each 12 calendar-months, beginning from the commencement of air tour operations, to discuss safety issues and procedures that pilots will follow while conducting operations under SFAR 71. This plan should include:

a) Provisions for the documentation of each pilot’s attendance at the air tour safety meetings that must be retained for a minimum of one year or until the training is repeated, whichever is later.

b) The operator’s plan for notifying the Honolulu Flight Standards District Office (FSDO) at least 10 days prior to these meetings to give the FAA an opportunity to participate.

B. SFAR 71 Training Program. Each operator must have an FAA-approved SFAR 71 training program that covers at least the following:

1) The provisions and limitations of SFAR 71 and the operator’s FAA-approved SFAR 71 Procedures Document.

2) Initial training for each pilot, which includes flight instruction by an authorized company instructor over all site-specific locations for operations being conducted under SFAR 71.

3) Each pilot in command (PIC) will have passed a 14 CFR part 135, § 135.299 line check, which includes a representative SFAR 71 transition segment and site-specific area conducted by the Administrator or company check airman.

4) All other applicable limitations and provisions contained in OpSpec B048.

C. Initial Evaluation. The Administrator will conduct an initial evaluation of each company flight instructor over all site-specific locations before authorizing the instructor to conduct flight instruction for operations being conducted under SFAR 71.

D. Pilot Requirements. Each pilot using the provisions of this authorization who is conducting sightseeing operations under § 135.1(c) will be knowledgeable of SFAR 71 and operate in accordance with the provisions and limitations of OpSpec B048. Initially, and thereafter annually, each pilot must satisfactorily complete both knowledge and flight tests administered by an FAA aviation safety inspector (ASI) qualified to perform this function.

E. Additional Limitations and Provisions. The principal operations inspector (POI) has the option of adding additional limitations and provisions for specific Hawaiian Islands in subparagraph e of OpSpec B048 without going through the nonstandard paragraph processing. If this feature is not required, the POI must not leave the selection blank but enter N/A in place of any additional limitations and provisions.

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F. OpSpec B050. OpSpec B050 must refer to OpSpec B048, as applicable.

G. OpSpec A005. Because this OpSpec B048 authorizes a deviation to SFAR 71, it must be listed in OpSpec A005. It should be recorded as “SFAR 71 section 6” with the statement in the remarks column: “Ops below 1,500 feet AGL.”

OPSPEC B049, OPERATIONS IN THE GRAND CANYON NATIONAL PARK SPECIAL FLIGHT RULES AREA.

A. Purpose. OpSpec B049 contains specific operational limitations and provisions for granting an air carrier the authority for air tour operations in the Grand Canyon National Park-Special Flight Rules Area (GCNP-SFRA). The current edition of FAA Order 1380.2, Las Vegas FSDO Grand Canyon National Park Special Flight Rules Area Procedures Manual, outlines the procedures for this authorization. This manual may be obtained from the Las Vegas Flight Standards District Office (FSDO), Grand Canyon Unit. The Las Vegas FSDO will also provide the principal operations inspector (POI) with a memorandum outlining the process for authorizing air tour operations in the GCNP-SFRA. This authorization cannot be issued to fractional ownership program managers (14 CFR part 91K).

B. Tours Per Year. In accordance with 14 CFR part 93, § 93.319(a), no operator may conduct a greater number of commercial air tours per calendar year than the number of allocations appearing on the operator’s OpSpec B049, unless excepted by regulation. Each commercial air tour operator operating in the GCNP-SFRA is permitted to operate a certain fixed number of air tours per calendar year.

1) No operator will receive a greater number of allocations than the number of commercial air tours conducted by the operator in the GCNP-SFRA and reported to the FAA during the period beginning May 1, 1997 and ending April 30, 1998.

2) Each operator who reported air tours in the GCNP-SFRA receives allocations designated for that operator only.

3) Operators who reported commercial air tours in the Dragon and/or Zuni Point Corridors receive specific allocations for these corridors. These Dragon and/or Zuni Point Corridor allocations are included as a part of the total allocations designated for each operator, if appropriate.

4) An operator must use one allocation for each flight that is a commercial air tour, unless excepted by regulation.

5) An operator may use allocations designated for the Dragon or Zuni Point Corridors outside of those areas, but may not use allocations not specifically designated for the Dragon or Zuni Point Corridors within the Dragon and Zuni Point Corridors.

6) An operator who meets the requirements for commercial SFRA operations and operates in conformance with its GCNP-SFRA OpSpecs is not required to use a commercial air tour allocation for each commercial air tour flight in the GCNP-SFRA if the following conditions are met:

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a) The operator must have executed a written contract with the Hualapai Indian Nation granting the operator a trespass permit and specifying the maximum number of flights to be permitted to land at Grand Canyon West Airport and at other sites located in the vicinity of that airport.

b) The operator must operate in compliance with that contract.

c) The operator must have a valid OpSpec B049 that authorizes the operator to conduct the operations specified in the contract with the Hualapai Indian Nation and specifically approves the number of operations that may transit the GCNP-SFRA under this exception.

7) Operators who have previously conducted commercial air tours in the GCNP-SFRA may continue to do so without an initial allocation if they did not receive an initial allocation in 1999 or 2000 for one of the following reasons:

a) The operator conducted commercial air tours at or above 14,500 feet mean sea level (MSL) but below 18,000 feet MSL and was not required to report during the base year. The operator does not require an allocation to continue to conduct air tours at those altitudes.

b) The operator conducted commercial air tours in the area affected by the eastward shift of the SFRA boundaries and was not required to report during the base year. The operator does not require an allocation to continue operating on its specified routes in the area bounded by longitude line 111º42” west and longitude line 111º36” west.

C. Commercial Sightseeing Flight Reporting Requirements. In accordance with § 93.325, each operator conducting commercial sightseeing flights within the GCNP-SFRA will submit in writing, within 30 days of the close of each calendar quarter, the total number of commercial air tours conducted within the GCNP-SFRA during that quarter. The quarterly reports must be filed with the Las Vegas FSDO and must contain the following information:

• Make and model of aircraft; • Identification number (registration number) for each aircraft; • Departure airport for each segment flown; • Departure date and actual Universal Coordinated Time, as applicable for each

segment flown; • Type of operation; and • Route(s) flown.

D. Maximum Number of Allocations. The maximum number of allocations for the Dragon and/or Zuni Point Corridors and the maximum number of total allocations for the GCNP-SFRA must be listed in OpSpec B049 subparagraph a(2). See the OpSpecs job aid in the automated Operations Safety Subsystem (OPSS) Guidance Subsystem in association with OpSpec B049 for examples.

1) The operator may not be authorized to conduct more commercial air tours in the GCNP-SFRA per year than the number of initial allocations authorized in OpSpec B049, unless

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permitted by exemption. If an exemption is granted, this number should be altered accordingly in OpSpec B049 and the exemption listed in OpSpec A005.

2) The Grand Canyon Unit of the Las Vegas FSDO, (702) 269-1445, is the source for this number of authorized commercial air tours for each operator.

E. Curfew Limitations. As appropriate, the operator must comply with the curfew limitations of § 93.317. It reads, “Unless otherwise authorized by the Flight Standards District Office, no person may conduct a commercial Special Flight Rules Area operation in the Dragon and Zuni Point corridors during the following flight-free periods:

1) “Summer season (May 1 - September 30) - 6 p.m. to 8 a.m. daily; and

2) “Winter season (October 1 - April 30) - 5 p.m. to 9 a.m. daily.”

F. OpSpec B050. OpSpec B049 must be referenced in OpSpec B050, as applicable.

OPSPEC/MSPEC B050, AUTHORIZED AREAS OF EN ROUTE OPERATION, LIMITATIONS, AND PROCEDURES. This section provides operators and principal operations inspectors (POI) with detailed information on the OPSS functionality with regard to the issuance of B050:

• Paragraph A—Provides general overview. • Paragraph B—Describes process steps for the development of B050. • Paragraph C—Includes a list and definitions of the standard authorized areas as

displayed in OPSS. • Paragraph D—ETOPS Areas of Operation/B050 interface. • Paragraph E—Guidance for adding areas with limited FAA oversight.

A. Purpose. B050 must specify only the areas of en route operation (or individual routes that have specific limitations or procedures associated with the route) for which the operator is authorized to conduct under 14 CFR parts 91 subpart K (91K), 121, 121/135, 125 (including the Letter of Deviation Authority (LODA) 125 operators), and 135 operations. B050 must include all areas of en route operation where the operator conducts scheduled and nonscheduled operations. B050 prohibits operations in areas not listed. It is important to consider those areas where the operator may conduct nonscheduled operations. When amending B050, the POI should review the guidance for OpSpec/MSpec/LOA B450, Sensitive International Areas, to determine if B450 needs to be updated as well.

B. B050 Process Steps. To prepare B050 for issuance, the POI or operator must accomplish the following:

1) Coordinate with the operator to prepare the “list of the areas of en route operation.” The POI should work directly with the operator when preparing the list. This is particularly important when extensive international operations are involved. Operators requesting approval for special areas of operation (e.g., North Atlantic Tracks (NAT)/minimum navigation performance specification (MNPS), area of magnetic unreliability (AMU), or initial Class II

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Navigation authorization) must consult a navigation specialist, as required by policy in Order 8900.1.

2) Obtain the “list of areas of en route operation.” The OPSS guidance contains detailed information on geographical areas.

3) Select the individual areas of en route operation for authorization. Paragraph C contains the areas listing. All selected areas must be contiguous. For example, if “the 48 contiguous United States and the District of Columbia” and “the State of Hawaii” are selected and operations will be authorized between those areas, make an appropriate selection for the Pacific Ocean. The WebOPSS application approves all of the selected countries and/or territories within the authorized area by default. WebOPSS allows countries within the selected authorized area to be included, excluded, or overfly. Explanations of these selections are below:

a) None (Default) is the preferred method of selection. This selection allows selection of the entire prescribed authorized area of en route operations. In some cases FAA Headquarters unilaterally restricts some countries for the None (Default) selection. An example is Asia—Excluding North Korea, Special Federal Aviation Regulation (SFAR) 79. In this example North Korea is restricted from the selections of Include, Exclude, or Overflight. In the case where an SFAR is applicable, the POI must inform the carrier. Headquarters will remove the SFAR country from its current authorized area and develop a new selectable authorized area of en route operation that addresses the SFAR. Headquarters will issue a notice announcing the change.

b) Include is used in the rare case when the operator selects an authorized geographic area, but only one or two countries are approved for flight operations over or within those countries in the authorized area. For part 121 scheduled operators, OpSpec C070 must list the authorized airports. Use Include to authorize a geographic area where the operator has completed validation tests for the specific country, but not the entire authorized area of en route operations. This allows the operator who has limited exposure to a complicated navigation area to operate into a specific country that it has demonstrated competency by validation testing. For example, an operator is authorized operations into Hong Kong, Macao, or Taiwan, but not mainland China. Both altitude measurement standards and Reduced Vertical Separation Minimum (RVSM) procedures are different in these locations from the rest of China.

c) Exclude is used when an authorized geographic area includes a country or territory where restrictions (e.g., economic sanctions) or Notices to Airmen (NOTAM) regarding potentially hazardous conditions exist. Reasons for exclusion can be, but not limited to, NOTAM, politically sensitive areas, operator preference, or operational capabilities. An example of exclusion would be Yemen. Yemen would be selected as Exclude from the area of the Middle East—Excluding Iraq. Note that Iraq is already excluded from the Middle East due to SFAR 77.

d) Overflight is used when a geographic area is authorized, but selected countries are only authorized for overflight operations. Similar to Exclude, use Overflight when an operator has authorization to overfly a geographic area where restrictions such as economic sanctions or NOTAMs regarding potentially hazardous conditions exist. Reasons for overflight

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can be, but not limited to, NOTAMs, politically sensitive areas, operator preference, or operational capabilities. For example, to authorize overflight of Cuba, an operator would be authorized Caribbean Sea—Including the islands/nations and the Havana flight information region (FIR), with Cuba selected for overflight.

4) The operator or POI should use B050 subparagraph b Table 2, Limitations, Provisions, and Special Requirements, for any special operational considerations (refer to Table 3-15). Each limitation, provision, or special requirement number must be associated with the applicable authorized area of B050 in the Notes Reference # column of Table 1. The following are examples of Limitations, Provisions, and Special Requirements:

a) Limitation—Specific route approval required to maintain compliance with OpSpec A013 (Part 121, 125, and 135 Operations without Certain Emergency Equipment). Specific route approval would avoid operations beyond 162 nautical miles from shoreline in the Gulf of Mexico and the Caribbean.

b) Provision—Authorization to land at Guantanamo Bay NAS.

c) Special Requirement—If an operator has multiple engine/airframe combinations approved for ETOPS, and not all engine/airframe combinations are authorized in all areas listed in B050, the operator should list the specific engine/airframe combination as a note reference.

5) OPSS will auto-fill required paragraphs in B050 Table 1, Reference Paragraphs, column for each area of en route operation by CFR part. For example, for parts 121 and 135, OPSS will auto-fill B031 and B032. In part 135, B032 does not apply to visual flight rules (VFR)-only operations; therefore, it must be manually deleted for those types of operations.

6) In certain areas of en route operation, reference paragraphs are mandatory (Central East Pacific (CEPAC), B037; North Pacific (NOPAC), B038; NAT/MNPS, B039; and areas of magnetic unreliability (AMU), B040). These required paragraphs have been preloaded as reference paragraphs in B050. The POI must not manually delete these mandatory reference paragraphs when the operator is authorized to operate in these areas. The certificate holder must meet the requirements of those authorizations, and B050 must include references to those authorizations.

7) The operator or POI will select the mandatory paragraphs referenced in each area that is applicable to the CFR part. The guidance for these paragraphs is below. Evaluate and select optional paragraphs that apply to the operation in that area of operation. It is important to note that initial authorization for optional paragraphs must be coordinated with a specialist, as indicated. Upon receiving initial approval, the POI, in coordination with a navigation specialist and/or ETOPS specialist, is responsible to determine whether further validation is necessary when authorizing additional areas.

a) For example; an operator obtains ETOPS authority for a B-767 operation in Canada and the North Atlantic. The operator will add B342 in the reference paragraph in Canada and the North Atlantic MNPS airspace. The operator then requests to fly the same aircraft, B-767, from the West Coast to Hawaii. This requires the operator to validate this operation

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before placing B342 in the Central and South Pacific airspace in the reference paragraphs. The POI should consult the AFS-200 ETOPS specialist when determining whether to include these reference paragraphs.

b) Manually add other applicable optional reference paragraphs to a specific area of en route operation. These other reference paragraphs either specify a requirement such as long-range navigation equipment, or grant a specific authorization such as, use of Area Navigation (RNAV) equipment for Class I navigation. The POI must determine which reference paragraphs are pertinent to each area of en route operation. These other reference paragraphs may include, but are not limited to the following:

• B034—IFR Class I Terminal and En Route Navigation Using Area Navigation Systems.

• B035—Class I Navigation in the U.S. Class A Airspace using Area Navigation or Long-Range Navigation Systems.

• B036—Class II Navigation Using Multiple Long-Range Navigation Systems (LRNS).

• B037—Operations in Central East Pacific (CEPAC) Airspace. • B038—North Pacific (NOPAC) Operations. • B039—Operations in North Atlantic (NAT) Minimum Navigation

Performance Specifications (MNPS) Airspace. • B040—Operations in Areas of Magnetic Unreliability. • B041—North Atlantic Operations with Two-Engine Airplanes Under

Part 121. • B043—Special Fuel Reserves in International Operations. • B044—Planned Redispatch or Rerelease En route. • B045—Extended Overwater Operations Using a Single Long-Range

Communications System. • B046—Operations in Reduced Vertical Separation Minimum (RVSM)

Airspace. • B054—Class II Navigation Using Single Long-Range Navigation System

(S-LRNS). • B055—North Polar Operations. • B059—Canadian MNPS Airspace. (B059 is only issued to part 135

operators.) • B342—Extended Operations (ETOPS) with Two-Engine Airplanes Under

Part 121. • B343—Fuel Reserves for Flag and Supplemental Operations. • B344—Extended Operations (ETOPS) in Passenger-Carrying Airplanes

with More Than Two Engines Under Part 121.

8) After the reference paragraphs are either deleted or added, any special requirement pertinent to an area of en route operation or to a particular aircraft operating within the area must be prepared and added to B050. The recommended method for accomplishing this is the use of the B050 Table 2, Limitations, Provisions, and Special Requirements. In the Notes Reference # column, notes should be consecutively and uniquely numbered. After each unique

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number in the Note Reference # column the applicable limitation, provision, or special requirements must be described in the Limitations, Provisions, and Special Requirements column. The note reference number must also be entered in the Note Reference # column in Table 1 adjacent to each area of en route operation to which the note applies. The following illustration is an example of how special requirements can be annotated. For the purpose of illustration, the example presumes an operator authorized to conduct operations under part 121.

Table 3-15. Example of Special Requirements Annotations for a Part 121 Operator

Authorized Areas of En Route Operation

Reference Paragraphs Note Reference #

Atlantic Ocean—West Atlantic Route System (WATRS)—The North Atlantic Ocean west of the western boundary of NAT/MNPS airspace to include the San Juan control area (CTA)/FIR and the Atlantic portion of the Miami Oceanic CTA

A056, B031, B032, B034, B036, B045, B046, B054, B342

3, 7

Note Reference #

Limitations, Provisions, and Special Requirements

3 B-777—CPDLC Operations for New York Oceanic, Gander and Shanwick FIRs only

7 ETOPS—B-757-212 P/W 2037 engines only

C. Listing and Explanation of Authorized Areas of En Route Operation. The authorized areas of en route operations below are the standard selections from OPSS. The composition of each authorized area of operations is contained in the Authorized Areas Country Listing document located in the OPSS guidance area associated with B050. The optional paragraphs below may not include all paragraphs. The POI must consult with FAA headquarters for applicability of nonstandard paragraphs in B050. The list below does not include certain Part A OpSpecs. The POI is responsible to ensure that any Part A paragraphs that reference B050 are listed in the Reference Paragraph column of the applicable area of operation. Certain optional paragraphs will require consultation with one or more of the following: navigation specialist, Dispatch inspector, ETOPS specialist. The optional reference paragraphs that require consultation with a specialist will be identified by an asterisk (*). Examples include B044 (Re-dispatch), B043 (Special Fuel Reserves), initial Class II navigation (B036 or B054), B055 (Polar Operations), and B342 (ETOPS). Each area listed below contains a short explanation of the geographic area followed by a standard list of considerations for each area selected. The inspector should ensure that the required paragraphs are issued to the operator. The operator may require optional paragraphs depending on its complexity and type of operation.

1) Africa—Ethiopia, SFAR 87. Select this area of operation when an operator plans operations within the territory or airspace of Ethiopia. The operator must comply with SFAR 87.

a) Headquarters Approval. Yes, contact AFS-200.

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b) Navigation Specialist Coordination Required. No.

c) Applicable 14 CFR Parts. 91K, 121, 121/135, 125, 125M, and 135.

d) Required Paragraphs. B031, B032 (required for parts 121 and 125), and B450.

e) Optional Paragraphs. B032, B034, B043*, B044*, B046, and B343*.

NOTE: B036 not required for operations within Ethiopia. B343 requires Headquarters approval.

2) Africa—Excluding Ethiopia and Somalia. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of Africa, except Ethiopia and Somalia.

a) Headquarters Approval. No.




e) Optional Paragraphs. B032, B034, B043*, B044*, B046, B342*, and B343*.

NOTE: B036 not required for operations within Africa. B342 and B343 require Headquarters approval.

3) Africa—Somalia, SFAR 107. Select this area of operation when an operator plans operations within the territory or airspace of Somalia. The operator must comply with SFAR 107.






NOTE: B036 is not required for operations within Somalia. B343 requires Headquarters approval.

4) Asia—Excluding North Korea. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of Asia, except North Korea.

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NOTE: RVSM in China (Metric) differs from International Civil Aviation Organization (ICAO) standards. B342 and B343 require Headquarters approval.

5) Asia—North Korea SFAR 79 (Portions of Pyongyang FIR). Select this area of operation when an operator plans operations within the territory or airspace of North Korea. The operator must comply with SFAR 79.






NOTE: B343 requires Headquarters approval.

6) Atlantic Ocean—The Atlantic Ocean Islands/Nations. Select this area of operation when an operator plans operations within the territory or airspace of the islands and nations in the Atlantic Ocean bound in the north by 78° N. latitude and to the sound by 67° S. latitude.


b) Navigation Specialist Coordination Required. No. (Refer to the special notes below.)



e) Optional Paragraphs. B032, B034, B039*, B043*, B044*, B046, and B343*.

NOTE: Selection of this area will require authorization of at least an additional Atlantic Ocean navigational area. The additional navigational area may require coordination with a navigation specialist. OpSpec B343 requires Headquarters approval.

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7) Atlantic Ocean—The North Atlantic Ocean Specified as “Special Contingency Routings” in the Current Edition of the U.S. International Flight Information Manual (IFIM). Select this area of operation when an operator plans operations within the airspace of the Special Contingency Routings defined in the current edition of the U.S. IFIM.


b) Navigation Specialist Coordination Required. Yes.


d) Required Paragraphs. B031, B032 (required for parts 121 and 125).

e) Optional Paragraphs. B032, B034, B036*, B039*, B041*, B043*, B044*, B046, B342*, and B343*.

NOTE: B039 is required unless the operator intends to operate at altitudes above or below NAT/MNPS airspace. B342 and B343 require Headquarters approval.

8) Atlantic Ocean—Atlantic Ocean at Flight Levels Above and Below NAT/MNPS Airspace Boundaries. Select this area of operation when an operator plans operations within the airspace of the Atlantic Ocean when the operator is not approved to operate in the exclusionary NAT/MNPS airspace.




d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*.

e) Optional Paragraphs. B032, B034, B041*, B043*, B044*, B046, B342*, and B343*.

NOTE: B342 and B343 require Headquarters approval.

9) Atlantic Ocean—Atlantic Ocean NAT/MNPS Airspace. Select this area of operation when an operator plans operations within the exclusionary NAT/MNPS airspace.




d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*, B039*, and B046.

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e) Optional Paragraphs. B034, B041, B043*, B044*, B342*, and B343*.


10) Atlantic Ocean—Atlantic Ocean South of New York and Santa Maria Oceanic FIRs. Select this area of operation when an operator plans operations within the airspace South of NAT/MNPS airspace to the South Polar region (67º S.).




d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*.

e) Optional Paragraphs. B034, B041, B043*, B046, B342*, and B343*.


11) Atlantic Ocean—WATRS: the North Atlantic Ocean West of the Western Boundary of NAT/MNPS Airspace to Include the San Juan CTA/FIR and the Atlantic Portion of the Miami Oceanic CTA. Select this area of operation when an operator plans operations within the airspace as defined.





e) Optional Paragraphs. B032, B034, B036, B043*, B044*, B045*, B046, B054*, B342*, and B343*.


12) Australia and New Zealand. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of Australia and New Zealand.


b) Navigation Specialist Coordination Required. Yes. (See special notes.)



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NOTE: For operations between Australia and New Zealand, the operator must select Pacific Ocean—The Central and South Pacific Ocean. The possibility of remote or oceanic operations in this area may require B036; therefore, navigation specialist coordination is required. B342 and B343 require Headquarters approval.

13) Canada—Canadian MNPS Airspace. Select this area of operation when an operator plans operations within the Canadian MNPS airspace as defined in the Canadian Aeronautical Information Publication (AIP).



c) Applicable 14 CFR Parts. 91K, 121, 121/135, 125, 125M, 135.

d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*, and B059* (required for part 135).

e) Optional Paragraphs. A353, B032, B034, B040*, B043*, B044*, B046, B055*, B342*, B343*, B344*.

NOTE: Operations north of 78º N. Latitude require selection of the “Polar Areas—North Polar Area—North of 78 degrees North Latitude to the North Pole” area. Operations north of 68º N. latitude may require AMU authorization. A353, B342, B343, and B344 require Headquarters approval.

14) Canada—Excluding Canadian MNPS Airspace. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area defined in the Canadian AIP as the Southern Domestic Airspace.




d) Required Paragraphs. B031 and B032 (required for parts 121 and 125).

e) Optional Paragraphs. A353, B032, B034, B036*, B043*, B044*, B046, B342*, and B343*.

NOTE: A353, B342, and B343 require Headquarters approval.

15) Caribbean Sea—Including the Islands/Nations and the Havana FIR. Select this area of operation when an operator plans operations within the territory or airspace of the islands and nations in the Caribbean Sea and the Havana FIR.

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a) Headquarters Approval. No. (See special notes.)

b) Navigation Specialist Coordination Required. No. (See special notes.)




NOTE: AFS-200 coordination is required for operations within the Havana FIR and/or Cuba. Initial Class II navigation (B036 or B054) requests require coordination with a navigation specialist.

16) Caribbean Sea—Including the Islands/Nations, Excluding the Havana FIR. Select this area of operation when an operator plans operations within the territory or airspace of the islands and nations in the Caribbean Sea, excluding approval for operations within the territory or airspace Cuba and the Havana FIR.






NOTE: Initial Class II navigation (B036 or B054) requests require coordination with a navigation specialist.

17) Central America. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of Central America.







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18) China. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of the People’s Republic of China, Hong Kong, Macau, and Taiwan.






NOTE: RVSM (B046) for the People’s Republic of China authorization requires coordination with a navigation specialist. B343 requires Headquarters approval.

19) Europe—and the Mediterranean. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of Europe and the Mediterranean Sea.




d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*, and B450.

e) Optional Paragraphs. B034, B043*, B044*, B046, and B343*.


20) Gulf of Mexico. Select this area of operation when an operator plans operations within the airspace of the Gulf of Mexico.






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NOTE: B036 or B054 may be required based on operator’s complexity. Consult a navigation specialist for initial Class II navigation authorization. B343 requires Headquarters approval.

21) Indian Ocean—Including the Islands/Nations. Select this area of operation when an operator plans operations within the territory or airspace of the islands and nations in the Indian Ocean to 67° S. latitude including the Bay of Bengal and the Arabian Sea.




d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*, and B450.

e) Optional Paragraphs. B034, B043*, B044*, B046, B342*, and B343*.


22) Mexico. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of Mexico.







23) Middle East—Excluding Iraq. Select this area of operation when an operator plans operations within the territory or airspace of the geographic area of the Middle East, except for Iraq.






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NOTE: B036 is required for operations over Afghanistan. B343 requires Headquarters approval.

24) Middle East—Iraq SFAR 77. Select this area of operation when an operator plans operations within the territory or airspace of Iraq. The operator must comply with SFAR 77.





e) Optional Paragraphs. A530, B032, B034, B036*, B043*, B044*, B046, and B343*.

f) Special Notes: A530 (SFAR 77, paragraph 3) and B343 require Headquarters approval.

NOTE: A530 is not required when flight operations over or within the territory of Iraq is authorized in accordance with SFAR 77 paragraph 2 and 4.

25) Pacific Ocean—The North Pacific Ocean. Select this area of operation when an operator plans operations within the airspace north of 40° N. latitude, bound in the west by Japan’s Fukuoka FIR (inclusive), bound in the east by the North American coast line to include the Anchorage Artic CTA/FIR, and the NOPAC Air Traffic Services (ATS) routes and the Pacific Organized Track System (PACOTS).





e) Optional Paragraphs. B032, B034, B043*, B044*, B046, B342*, B343*, and B344*.

NOTE: Initial Class II approval requires consultation with a navigation specialist. B342, B343, and B344 require Headquarters approval.

26) Pacific Ocean—The Central and South Pacific Ocean. Select this area of operation when an operator plans operations within the airspace of the Central and South Pacific Ocean South of 40° N. latitude to 67° S. latitude, excluding the Fukuoka FIR (Japan’s FIR).

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d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*, and B037*.

e) Optional Paragraphs. B032, B034, B043*, B044*, B046, B342*, B343*, and B344*.

NOTE: Initial Class II approval requires consultation with a navigation specialist. B342, B343, and B344 require Headquarters approval.

27) Pacific Ocean—The Pacific Ocean Islands/Nations. Select this area of operation when an operator plans operations within the territory or airspace of the islands and nations in the Pacific Ocean.






NOTE: Selection of this area will require either the “Pacific Ocean—The North Pacific Ocean” or the “Pacific Ocean—The Central and South Pacific Ocean” navigational area authorization. The additional navigational area may require coordination with a navigation specialist. State of Hawaii operations are a separate area of authorization. B343 require Headquarters approval.

28) Polar Areas—South Polar Area 67º South Latitude to the South Pole Inclusive. Select this area of operation when an operator plans operations within the airspace of the South Polar area 67º S. latitude to the South Pole.

a) Headquarters Approval. Yes.




e) Optional Paragraphs. B034, B044*, B342*, and B344*.

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NOTE: Operators requesting South Polar area approval must give 90-day advanced notification to AFS-200 and the Flight Technologies and Procedures Division, AFS-400. B342 and B344 require Headquarters approval.

29) Polar Areas—North Polar Area North of 78º North Latitude to the North Pole. Select this area of operation when an operator is planning operations within the airspace above 78º N. Latitude to the North Pole.




d) Required Paragraphs. B031, B032 (required for parts 121 and 125), B036*, B040*, B055*, and B450.

e) Optional Paragraphs. B032, B034, B039, B043*, B044*, B046, B342*, B343*, and B344*.

NOTE: Approval for operations in the Canadian MNPS may also be required. B342, B343, and B344 require Headquarters approval.

30) Russia, Mongolia, and the Commonwealth of Independent States (CIS) Nations. Select this area of operation when an operator is planning operations within the territory or airspace of the geographic area of the Russia, Mongolia, and the other CIS nations including the ocean areas north of the Russia coast line defined as south of 78° N. latitude bound in the east by the intersection of the Arctic Circle and the International Date Line (approximately 170°/180° meridian), and bound in the west by 30° E. longitude.





e) Optional Paragraphs. B032, B034, B036*, B043*, B044*, B342*, B343*, and B344*.

NOTE: B342, B343, and B344 require Headquarters approval.

31) South America. Select this area of operation when planning operations within the territory or airspace of the geographic area of South America.



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d) Required Paragraphs. B031, B032 (required for part 121 and 125), and B450.



32) USA—The 48 Contiguous United States and the District of Columbia. Select this area of operation when an operator is planning operations within the territory or airspace of the 48 contiguous United States and the District of Columbia.





e) Optional Paragraphs. B032, B034, B035, and B046.

33) USA—The State of Alaska. Select this area of operation when an operator is planning operations within the territory or airspace of the State of Alaska.





e) Optional Paragraphs. A052, B032, B034, B035, B036, B046, B342, B343, and B344.

NOTE: B342, B343, and B344 require Headquarters approval.

34) USA—The State of Hawaii. Select this area of operation when an operator is planning operations within the territory or airspace of the State of Hawaii.





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e) Optional Paragraphs. B032, B034, B035, B036*, and B046.

D. ETOPS Areas of Operation/B050 Interface. Certain geographic areas require ETOPS authority based on the availability of adequate airports. Most ETOPS authorizations require validation testing. For ETOPS validation requirements refer to Volume 3, Chapter 29, Section 8, Validation Test Requirements, and Volume 4, Chapter 6, Section 2, Evaluate/Inspect Airworthiness Issue for Part 121 Extended-Range Operations With Two-Engine Aircraft. Table 3-15A below lists the ETOPS areas of operations and correlates them to the authorized areas in B050. Use the table below to determine ETOPS validation requirements for a specific ETOPS area of operation with respect to an OpSpec B050 authorized area of en route operations.

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Table 3-15B. ETOPS Validation Areas and Corresponding B050 Authorized Areas

ETOPS Area of Operations B050 Authorized Area(s)

Validation Flights

RequiredComments

North Polar Polar Areas - North Polar Area- North of 78 degrees North Latitude to the North Pole

Yes None

South Polar Polar Areas - South Polar Area-67 degrees South Latitude to the South Pole inclusive

Yes None

North Atlantic Atlantic Ocean - The North Atlantic Ocean specified as “Special Contingency Routings” in the current edition of the U.S. IFIM Atlantic Ocean - Atlantic Ocean at flight levels above and below NAT/MNPS airspace boundaries Atlantic Ocean - Atlantic Ocean NAT/MNPS airspace

Yes None

WATRS Atlantic Ocean - WATRS - The North Atlantic Ocean west of the western boundary of NAT/MNPS airspace to include the San Juan CTA/FIR and the Atlantic portion of the Miami Oceanic CTA

Yes Required for operators whose ETOPS approval is limited to 75-minute ETOPS authority.

South Atlantic Atlantic Ocean - Atlantic Ocean South of New York and Santa Maria Oceanic FIRs

Yes None

North Pacific Pacific Ocean - The North Pacific Ocean - North of 40º North latitude bound in the east by the North American coast line to include the Anchorage Arctic CTA/FIR, and the NOPAC Air Traffic Services (ATS) routes and the Pacific Organized Track System (PACOTS)

Yes None

Central and South Pacific

Pacific Ocean - The Central and South Pacific Ocean excluding the Fukuoka FIR (Japan’s FIR)

Yes None

Indian Ocean Indian Ocean - Including the islands/nations

Yes None

Russia, Far East Russia, Mongolia, and the CIS Nations Yes None South China Sea Asia - Excluding North Korea Yes None Africa Africa - Excluding Ethiopia and Somalia May be

required Based upon routing and airspace requirements. Consult AFS-200.

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ETOPS Area of Operations B050 Authorized Area(s)

Validation Flights

RequiredComments

Alaska USA - The State of Alaska May be required

Based upon routing and airspace requirements. Consult AFS-200.

Australia Australia and New Zealand May be required


Northern Canada Canada - Excluding Canadian MNPS airspace Canada - Canadian MNPS airspace

May be required


South America South America May be required


E. Adding Areas with Limited FAA Oversight. When a certificate holder submits a request to add a location to OpSpec B050, where limited FAA surveillance and oversight will be possible, principal inspectors (PI) evaluate the systems the certificate holder uses to produce and manage aviation products and services that ensure safety and regulatory compliance before adding the new location. This evaluation should include a comparison of those systems to the basic characteristics of all effective safety systems. These characteristics are embodied in the following attributes:

• Well-defined and well-documented procedures; • Established risk controls over key procedural steps; • Process measures to permit effective management; • Well-defined interfaces; and • Clear responsibility and authority.

1) Operational control systems vary with the kinds of operations the operator is authorized to conduct; the complexity of the operations; the means of communication; and the people who are involved in preparing for and conducting flights under the operator’s system. These functions form the basis for an operational control system that includes the functions of aircraft release, flight locating, and flight following, as applicable. Those functions alone will not satisfy the overall goal of establishing and maintaining an operational control system. PIs must evaluate the operator’s operational control system to ensure that the operator complies with the applicable U.S. and foreign regulations. The system must be effective and provide for an adequate level of safety in the actual operations.

2) Each PI will ensure that it is possible to complete work program items at the local or remotely located base of operations, or use the steps (refer to FAA Order 1800.56, National Flight Standards Work Program Guidelines, current edition, Appendix A) to deviate from the work program. Deviation may include coordination with the operator to relocate aircraft to a suitable location for specific oversight and inspections if operations are authorized and conducted in a location that is not safe for the inspector to travel. This may also include a

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provision for the operator to establish an adequate level of safety oversight to ensure continued compliance with the regulations and company procedures, etc. If the certificate-holding district office (CHDO) cannot perform onsite surveillance or establish a method to determine an adequate level of safety oversight, then the CHDO should coordinate with its regional office and the Air Transportation Division, AFS-200, to explore additional options.

NOTE: Only the certificate holder is responsible to comply with 14 CFR and establish and maintain processes, procedures, and management oversight adequate to ensure regulatory compliance and ultimately safe operations.

3) Certain conditions may preclude the CHDO from exercising an adequate level of oversight and will require the CHDO, through coordination with the regional office, to develop special conditions to be included in the OpSpec paragraph. Any nonstandard OpSpec language the CHDO proposes must be coordinated through the regional office and approved by AFS-200 before issuance. Following the special conditions, a statement will be included that directs that these special conditions must continue to be met for the authorization to remain in effect. These special conditions would then be clearly communicated to the operator before signing the OpSpec paragraph.

F. Operations in Support of the Military or in Hostile Areas. In addition to the requirements cited for operations conducted in areas of limited FAA oversight, the operator must establish the following procedures before conducting operations outside the United States in support of military operations, or in hostile areas where onsite FAA oversight cannot be accomplished.

1) For operations conducted outside the United States in support of the U.S. military or under a U.S. Government contract, the contracting Federal agency must approve the operator’s threat mitigation plan.

2) The operator must ensure all contracts with U.S. Government agencies contain provisions that require the contracting agency to report on an annual basis, or as sooner identified, an annual safety report to the operator and CHDO to ensure the operator immediately corrects all safety issues.

3) For operations conducted in hostile areas or in support of military operations, the operator must have an operational risk mitigation program that requires the pilot to contact designated part 119 management personnel for concurrence when the perceived flight risk reaches a specified level, as designated in the operator’s risk management program.

4) The operator must establish a flight following program that coordinates the initiation, diversion, and/or termination of all air carrier flights. The operator must train flight following personnel to provide current weather information to the pilot, as well as provide timely information to flightcrews before and during a flight. Part 135 flight following personnel do not need to be certificated dispatchers, but must be trained by the operator to read and disseminate aviation weather reports, applicable aircraft performance, maintenance deferrals, and deferral procedures to coordinate information between the flightcrew and part 119 management

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personnel. Flight followers must be knowledgeable of aviation communication phraseology and communication procedures to allow timely communication to flightcrews.

5) Conduct the flight following program from a location within the United States.

6) All part 119 management personnel, pilots, and flight following personnel must be trained on the operator’s threat mitigation plan and operational risk management program.

OPSPEC B051, PART 121 VISUAL FLIGHT RULES LIMITATIONS AND PROVISIONS. TBD.

OPSPEC B052. TBD.

OPSPEC B053. TBD.

OPSPEC/MSPEC/LOA B054/MB054, CLASS II NAVIGATION USING SINGLE LONG-RANGE NAVIGATION SYSTEM (S-LRNS).

A. Authorization. OpSpec/MSpec/LOA B054/MB054 provides authorization for Class II navigation using a single long-range navigation system (S-LRNS) and, where applicable, OpSpec/MSpec/LOA B054 provides S-LRNS authorization for Required Navigation Performance 10 (RNP 10) for operation in a limited number of designated areas of operation (e.g., Gulf of Mexico). Under this authorization, operators/program managers/LODA holders (operators) are authorized to conduct Class II navigation using S-LRNS in accordance with the limitations and provisions of OpSpec/MSpec/LOA MB054 and, as applicable, 14 CFR part 91, § 91.511; 14 CFR part 121, § 121.351; 14 CFR part 125, § 125.203; and 14 CFR part 135, § 135.165.

B. Background: S-LRNS and S-LRNS RNP 10 Operations. Sections 91.511, 121.351, 125.203, and 135.165 (which regulate Class II navigation using S-LRNS in the West Atlantic, Gulf of Mexico, and Caribbean Sea) were published in 1996. The first area in which S-LRNS-equipped airplanes will be eligible for RNP 10 authorization is the Gulf of Mexico. RNP 10 will be applied in the Gulf of Mexico oceanic control areas (CTA) (i.e., Houston oceanic CTA/flight information region (FIR), Gulf of Mexico portion of Miami oceanic CTA/FIR, Monterrey CTA, and the Merida High CTA within the Mexico FIR/upper control area (UTA)) in order to introduce 50-nautical mile (NM) lateral separation between airplanes authorized RNP 10 or Required Navigation Performance 4 (RNP 4). Beyond the Gulf of Mexico program, the FAA anticipates that S-LRNS/RNP 10 authorization will only be allowed in a limited number of designated areas of operation.

C. General Guidance on S-LRNS Operations. Volume 4, Chapter 1, Section 5 provides guidance on S-LRNS operations in paragraph 4-110. This paragraph discusses S-LRNS operations in the only areas in which S-LRNS operations have been authorized: the West Atlantic, the Gulf of Mexico, the Caribbean Sea, and the North Atlantic (NAT) special contingency routes.

1) Inspectors should continue to utilize OpSpec/MSpec B054/MB054 Table 1, S-LRNS Airplanes and Equipment, to authorize S-LRNS for operations in the Gulf of Mexico,

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West Atlantic, and Caribbean Sea. The applicability of Table 2, S-LRNS Airplane and Equipment Authorized RNP 10, is addressed in subparagraph F.

2) Inspectors should continue to utilize OpSpec/MSpec/LOA B039/MB039 for authorization of S-LRNS operation on NAT special contingency routes. The guidance on issuing OpSpec/MSpec/LOA B039 for NAT S-LRNS operations is available in paragraph 3-816 and Volume 4, Chapter 1, Section 5, paragraphs 4-98 and 4-99.

D. General Guidance for Evaluation of Qualification for RNP 10. Use the following sources to evaluate each operator’s qualification for RNP 10 authorization:

1) Volume 4, Chapter 1, Section 5, paragraph 4-108 also provides guidance on the evaluation of an applicant’s S-LRNS RNP 10 capabilities. This paragraph provides detailed guidance on assessing an applicant’s qualification for RNP 10 along with references to paragraphs in the current edition of FAA Order 8400.12, Required Navigation Performance 10 (RNP 10) Operational Authorization.

2) FAA Order 8400.12 is the source document for determining the airplane/long-range navigation system (LRNS) combination eligibility for RNP 10 and for assessing an applicant’s readiness for RNP 10 authorization.

E. Validation. The following paragraphs provide guidance on validation tests and validation flights (see Volume 3, Chapter 29). They are intended to provide broad guidance for establishing requirements for validation tests and for determining whether or not a validation flight is required.

1) Contact with a Next Generation (NextGen) Oceanic Specialist. The inspector should consider each application on its own merit and, in accordance with Volume 3, Chapter 29, must consult with a NextGen oceanic specialist. The oceanic specialists can be contacted through the regional NextGen Branches (AXX-220).

2) Operators with Class II Navigation Experience with the Proposed LRNS. For operators with previous Class II navigation experience with the same navigation equipment as that being proposed for RNP 10 approval, evaluation of the applicant’s programs and documents is required. Tabletop exercises and demonstrations on a static airplane may also be required for evaluation purposes. A validation flight should not normally be required.

3) Operators Without Class II Navigation Experience with the Proposed LRNS. For operators with previous Class II navigation experience navigating with an LRNS other than that being proposed for RNP 10 approval, evaluation of the applicant’s programs and documents is required. A validation flight may not be required if the inspector determines that the operator’s policies, procedures, and programs concerning the proposed LRNS can be adequately evaluated through one or a combination of the following:

• Document review; • Tabletop exercise; • Demonstration on a static aircraft; and/or

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• Any other means found acceptable.

4) Operator Without Class II Navigation Experience. For operators with no previous Class II navigation experience proposing to operate where RNP 10 is applied, evaluation of the operator’s programs and documents is required. A validation flight is required and must be conducted in Class II airspace. It should be a non-revenue flight with the exception that cargo may be carried.

5) Conditions for Validation Flights.

a) At least one flight should be observed by an FAA aviation safety inspector (ASI).

b) A demonstration of any required dispatch procedures, if applicable, must be conducted for routes or areas where RNP 10 is required.

c) The flight(s) should be of adequate duration for the pilots to demonstrate knowledge of dispatch requirements (if applicable), capability to navigate with the system, and capability to perform the normal and non-normal procedures.

F. OpSpec/MSpec B054/MB054 Tables: Table Entries and Selection of Limitations. OpSpec/MSpec/LOA B054/MB054 contains tables in which information is entered on the airplane make, model, and series (M/M/S); the S-LRNS make and model; and long-range communication equipment.

1) Table 1. Inspectors should use Table 1 for S-LRNS operators to provide the airplane’s M/M/S and the manufacturer and model of the S-LRNS system.

2) Table 2. Inspectors should also complete Table 2 for operators seeking S-LRNS RNP 10 authorization; otherwise, Table 2 will remain blank. When utilized, Table 2 contains limitations that must be selected from drop-down menus for the following:

• “RNP 10 Time Limit” (applicable to airplanes where inertial navigation system (INS) or Inertial Reference Units (IRU) provides the only means of long-range navigation (LRN)).

• “Area of Operations Where Permitted.”

G. Part 91 LOA Class II Operations in Airspace Where RNP 10 is Applied Using an S-LRNS. Inspectors should complete all tables for operators seeking S-LRNS RNP 10 authorization.

1) Table 1. Enter the following information:

• Airplane serial number. • Registration number. • Airplane M/M/S, and the manufacturer and model of S-LRNS system. • Communications equipment manufacturer and model.

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• RNP 10 time limit (applicable to airplanes where INS or IRU provides the only means of LRN).

• Area of operations where permitted.

2) Paragraph 3, Crew Training. Inspector will insert the name of the flightcrew training provider.

3) Table 2, Responsible Person. Enter the following information:

• Name. • Email address. • Telephone number.

H. Program Tracking and Reporting Subsystem (PTRS) Activity Codes. PTRS entries will be made. The operations activity code number will be 1442; the avionics activity code will be 5434; and the “National Use” field entry shall be “RNP 10” followed by three spaces. (To facilitate the PTRS search function, please ensure that a space is inserted between “RNP” and “10.”)

I. Contacts for Questions. Direct your questions or comments concerning this guidance to the Performance Based Flight Systems Branch (AFS-470) at 202-385-4623.

OPSPEC/MSPEC B055, NORTH POLAR OPERATIONS.

A. OpSpec/MSpec B055 Provides For North Polar Flight Operations Authorization. Operators are required to gain specific approval to conduct north polar operations (in addition to FAA approval for flight in the area of magnetic unreliability (AMU), OpSpec/MSpec B040). The north polar area of operations is defined as that area that lies north of latitude N 78°00' (see OpSpec/MSpec A002). OpSpec/MSpec B050 must show the specific routes approved for these north polar operations. MSpec MB055 is also available for 14 CFR part 91K authorization. The fractional ownership program manager must meet the same requirements as the 14 CFR part 121 certificate holder for the North Polar authorization.

B. Fuel-Freeze Strategy and Monitoring Requirements for North Polar Operations. The operator may wish to develop a fuel freeze analysis program in lieu of using the standard minimum fuel-freeze temperatures for specific types of fuel used. In such cases, the operator’s fuel-freeze analysis and monitoring program for the airplane fuel load must be submitted and acceptable to the FAA. The operator should have procedures established that require coordination between maintenance, dispatch, and assigned flightcrew of the determined fuel freeze temperature of the actual fuel load on board the airplane.

C. Communication Capability. In accordance with part 121, § 121.99 (Communications Facilities), the operator must have effective communications capability with dispatch and with air traffic control (ATC) for all portions of the flight route. The operator must show the FAA the communications medium(s) that it intends to use to fulfill these requirements in the north polar north area.

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1) The communications medium used must meet FAA regulatory requirements and fulfill policy/procedures established by each Air Traffic Service (AAT) unit providing control on the route of flight. Anchorage Center publishes this information in the U.S. Government Flight Information Publication Supplement for Alaska. Other countries publish AAT policies and procedures in their State Aeronautical Information Publications.

2) High Frequency (HF) Voice has been considered the primary communications medium in the Polar North Area; however, other mediums may be used in accordance with the applicable policy. For example, although HF Voice remains primary for communications with Anchorage Center, in areas where there is satellite coverage, satellite communication (SATCOM) voice may be used as a back-up to communicate with ARINC Radio and in non-routine situations to establish direct pilot-controller voice communications.

3) In areas of satellite coverage, pilot-controller datalink communications (CPDLC) may be used for ATC communications provided the AAT unit has an approved capability. In addition, provided the capability is approved, HF data link may also be used to fulfill communications requirements with AAT units having the capability and with airline dispatch.

4) It is recognized that SATCOM may not be available for short periods during flight over the North Pole, particularly when operating on designated polar routes 1 and 2 (see Volume 4, Chapter 1, Section 5). Communication capability with HF radios may also be affected during periods of solar flare activity. The operator must take into consideration for each dispatched polar flight, the predicted solar flare activity and its effect on communication capability.

D. Minimum Equipment Lists (MEL). The operator will amend their MEL for the items that must be operational for north polar operations. For Extended Operations (ETOPS) flights, all MEL restrictions for 180-minute operations will be applicable. Prior to receiving FAA authority to conduct north polar operations, the operator will be required to amend its MEL for the following systems/equipment to indicate that they are required for north polar operations dispatch:

• Fuel quantity indicator system (FQIS) (to include fuel tank temperature indicating system),

• Auxiliary power unit (APU) - for two-engine airplanes (including electrical and pneumatic supply to its designed capability),

• Autothrottle system, • Autopilot, and • Communication system(s) relied on by the flightcrew to satisfy the requirement

for effective communication capability.

E. Training. The following requirements must be addressed in the approved training program (part 125 certificate holders are not required to have an approved training program):

1) QFE/QNH (airport altitude settings) (See Advisory Circular (AC) 91-70, Oceanic Operations, current edition) and meter/feet issues are required for flightcrew and aircraft dispatcher training. See the current edition of AC 120-29, Criteria for Approval of Category I

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and Category II Weather Minima for Approach, for information in regards to cold temperature effects on altimeters.

2) Training requirements for fuel freeze strategy and monitoring requirements. Maintenance, dispatch, and flightcrew training (special curriculum segments).

3) General route-specific training on weather patterns and aircraft system limitations.

4) For diversion decision-making, the roles and responsibilities must be addressed for providing airplane systems capability information to dispatch and flightcrew in order to aid the pilot in command (PIC).

5) Flightcrew training in the use of the cold weather antiexposure suit.

F. Long-Range Flightcrew Requirements. The following long-range flightcrew issues need to be addressed by the operator:

1) Rest plan submitted to the principal operations inspector (POI) for review and approval.

2) Multicrew flight proficiency issue needs to be addressed in the training program.

3) The progression of the delegated PIC authority as designated by the operator. This does not mean that there can be more than one PIC on a flight who is responsible for the safe operation of the flight under §§ 121.535, 121.537, and International Civil Aviation Organization (ICAO) Annex 6, Part 1, Chapter 1, Definitions, and Chapter 4, Flight Operations, section 4.5.1.

G. Dispatch and Crewmember Considerations During Solar Flare Activity. The operator must be aware of the content of the current edition of AC 120-61, In-Flight Radiation Exposure.

H. Additional Required Equipment for North Polar Operations.

1) Except for all cargo operations, expanded medical kit to include automated external defibrillators (AED) (See the current edition of AC 91.21-1, Use of Portable Electronic Devices Aboard Aircraft).

2) A minimum of two cold weather anti-exposure suits will be required to be on board the aircraft so that outside coordination at a diversion airport with extreme climatic conditions can be accomplished safely.

I. En Route Polar Diversion Alternate Airport Requirements. Operators are expected to give definition to a sufficient set of alternate airports for polar diversions, such that one or more can be reasonably expected to be available in varying weather conditions (AC 120-42, Extended Operations (ETOPS and Polar Operations), current edition, provides additional guidance for two-engine airplanes). The flight must be able to make a safe landing, and the airplane maneuvered off the runway at the selected diversion airport. In the event of a disabled airplane following landing, the capability to move the disabled airplane must exist so as

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not to block the operation of any recovery airplane. In addition, those airports designated for use must be capable of protecting the safety of all personnel by being able to:

1) Offload the passengers and flightcrew in a safe manner during possible adverse weather conditions,

2) Provide for the physiological needs of the passengers and flightcrew for the duration until safe evacuation, and

3) Be able to safely extract passengers and flightcrew as soon as possible (execution and completion of the recovery is expected within 12 to 48 hours following diversion).

J. Recovery Plan for Passengers at Polar Diversion Alternate Airports. All operators conducting polar operations must submit to the FAA a recovery plan that will be initiated in the event of an unplanned diversion. The recovery plan should address the care and safety of passengers and flightcrew at the approved emergency airport, and include the plan of operation to extract the passengers and flightcrew from that airport.

1) The operator should be able to demonstrate its ability to launch and conduct the recovery plan on its initial application for north polar route approval.

2) The operator must maintain the accuracy and completeness of its recovery plan and diversion airport database at least annually.

K. Validation Requirements for Area Approval for Polar Operations. The operator will be required to conduct an FAA-observed validation flight in order to receive authorization to conduct polar operations. As part of the validation, the operator will be required to exercise its reaction and recovery plan in the event of a diversion to one of its designated en route alternate airports. Adequate and timely coordination must be made so that the FAA coordination necessary to have an FAA inspector in place at the selected emergency airport can be made.

1) The aviation safety inspector (ASI) will witness the effectiveness and adequacy of:

• Communications, • Coordination, • Facilities, • Accuracy of Notices to Airmen (NOTAM) and weather information, and • Operability of ground equipment during the simulated diversion.

2) The exercise of the operator’s reaction and recovery plan may be completed prior to the validation flight.

3) AFS–200 will give favorable consideration to a request by the operator, through the POI, to conduct the validation flight in a passenger revenue status only if the operator’s reaction and recovery plan has been previously demonstrated to the satisfaction of FAA.

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4) If the operator elects to demonstrate its reaction and recovery plan as part of and during the validation flight, the flight cannot be conducted in a passenger revenue status. The carriage of cargo revenue is permissible in this case, and is encouraged, for airplane weight and balance purpose.

L. Program Tracking and Reporting Subsystem (PTRS) Requirements. Upon completion, make appropriate record entries as follows:

1) Air Transportation Oversight System (ATOS) Part 121 Tracking. Use an element-based Dynamic Observation Report (DOR). Enter OPSPB055 in the Local/Regional/National Field.

2) Title 14 CFR Parts 125 and 135 Tracking. Use codes for PTRS Input, as follows: code 1326 (Operation Specifications Original) or 1327 (OpSpecs Revision) and, if required, 1314 (Observe Route Proving Flights).

OPSPEC B057, NATIONAL PARKS AIR TOUR MANAGEMENT OPERATIONS UNDER TITLE 14 CFR PART 136.

A. Purpose. OpSpec B057 gives Interim Operating Authority to permit certificate holders and 14 CFR part 91 air tour operators to continue to conduct air tour operations over the identified national park units and abutting tribal lands listed in its Table 1, for up to 180 days after the finalized air tour management plan (ATMP). At the end of the 180 days, the OpSpecs will need to be re-issued, if there are any limitations set forth in the final ATMP.

B. Commercial Air Tour Operations. These operations are conducted as commercial air tour operations in accordance with part 136, the applicable operating part, and the limitations and provisions of OpSpec B057.

OPSPEC/MSPEC B059, CANADIAN MNPS.

A. Purpose. For the 14 CFR part 135 certificate holders or 14 CFR part 91K program managers, the Canadian minimum navigation performance specification (MNPS) airspace approvals may be granted by issuance of OpSpec/MSpec B059 only and adding that area of en route operations to OpSpec/MSpec B050. OpSpec/MSpec B059 must be referenced appropriately in OpSpec/MSpec B050. If North Atlantic Minimum Navigation Performance Specifications (NAT/MNPS) authorization is applicable, OpSpec/MSpec B039 would also be issued.

B. Further Guidance. See Volume 4, Chapter 1, Section 5, Special Navigation Areas of Operation, for details to authorize operations in Canadian MNPS.

C. Title 14 CFR Parts 121 and 135. For the part 121 and 135 certificate holders, Canadian MNPS airspace approvals are granted by issuance of OpSpec B039 and adding that area of en route operations to OpSpec B050.

OPSPEC B342 EXTENDED OPERATIONS (ETOPS) WITH TWO-ENGINE AIRPLANES, UNDER PART 121 OR 135. The FAA issues OpSpec B342 to operators who

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are approved to conduct extended operations (ETOPS) with two-engine airplanes in accordance with the limitations and provisions of this OpSpec and 14 CFR part 121, § 121.161, or 14 CFR part 135, § 135.364.

A. General Guidance. Evaluate and approve all ETOPS in accordance with Advisory Circular (AC) 120-42, Extended Operations (ETOPS) and Polar Operations, current edition, or AC 135-42, Extended Operations (ETOPS) and Operations in the North Polar Area, current edition, and any additional criteria Order 8900.1 specifies. At a minimum, operators must meet the following conditions:

1) The proposed airplane/engine combination must be type-design approved for the proposed extended-range operation.

2) The ETOPS maintenance and the flight operation programs must meet or exceed AC 120-42, current edition or AC 135-42, current edition, criteria.

3) Higher Headquarters (region and Air Transportation Division, AFS–200) must concur with the proposed operation.

4) Successful completion of validation flights.

B. Validation Flights. In order to be authorized for ETOPS in accordance with B342, operators must satisfactorily complete validation flights as part of the ETOPS approval process. Refer to Volume 3, Chapter 29, Proving and Validation Tests, and Volume 4, Chapter 6, Airplane Authorizations and Limitations.

1) Before conducting the validation flights, the certificate-holding district office (CHDO) will request authorization from AFS–200 via its regional office, to issue the appropriate temporary OpSpec.

2) The CHDO’s request should include any specific recommendations the principal maintenance inspector (PMI), principal avionics inspector (PAI), or principal operations inspector (POI) made. Following review and concurrence by AFS–200, schedule the validation flights in accordance with any additional guidance or recommendations specified in AFS–200’s concurrence.

3) Once AFS–200 authorizes the validation test, the POI will select paragraph a in the B342 template that limits operations to only ETOPS validation flights, and issue the temporary OpSpec.

4) Following the successful completion of the validation flights, the CHDO will send a memo through its regional office and AFS–200 to the Director of Flight Standards (AFS–1), advising that the certificate holder has successfully validated their ETOPS processes and recommending that AFS–1 authorize the CHDO to issue the appropriate OpSpecs for ETOPS.

C. Limitations and Provisions. This subparagraph defines the limitations and provisions under which the operator may conduct ETOPS.

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1) Use OpSpec B342 Table 1 to document the airplanes authorized to conduct these operations. The table lists the aircraft by make/model/series (M/M/S), registration number, aircraft engine, and maximum diversion times. In the case where all M/M/S have the same maximum diversion time, the term All can substitute for the actual registration numbers. Use the following figure as an example.

Figure 3-117. Example Completed Table 1, Authorized ETOPS Airplane/Engine

AIRPLANE TYPE (MAKE/MODEL/

SERIES)

REGISTRATION NUMBERS

AIRCRAFT ENGINE

MAXIMUM DIVERSION

TIME IN MINUTES

Boeing 737-400 Boeing 757-200 Boeing 777-200 Airbus A330

All All N602PA N630PA

CFM International CFM56-3 Rolls Royce RB211-535E4 General Electric GE90-110B Pratt And Whitney PW4000-100

120 180 207 180

2) Use OpSpec B342 Table 2 to document the approved ETOPS en route alternate airports. These airports are in addition to a flight’s departure, destination, and destination alternate airports.

NOTE: After the POI grants initial approval of ETOPS, subsequent changes to Table 2, such as the addition of a new en route alternate, do not have to be forwarded for approval to AFS–200 via the regional office. This only applies to Table 2. Coordinate all other changes to this OpSpec through the regional office to AFS–200.

Figure 3-118. Example Completed Table 2, Authorized ETOPS Alternate Airports

AIRPORT (IDENT) SPECIAL CONDITIONS/LIMITATIONS

KEFLAVIK (BIKF) None SONDERSTROM (BIRK) None GANDER (CYQX) None LAJES (LPLA) None SHANNON (EINN) None REYKJAVIK (BIRK) B737 ONLY

D. Part 121 ETOPS With Diversion Times of 75 Minutes or Less. Evaluate and approve on a case-by-case basis part 121 ETOPS with maximum diversions times of 75 minutes or less. Although type-design approval is not necessary for ETOPS of 75 minutes or less, review the airplane’s design to identify any special equipment or requirements necessary to safely conduct these operations. Except for ETOPS in the Western Atlantic and Caribbean Sea, ETOPS maintenance and flight operations programs for these operations must meet the criteria in AC 120-42, current edition. The FAA, on a case-by-case basis, approves operations in the

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Western Atlantic Ocean and Caribbean Sea considering the reliability of the propulsion system, the character of the terrain, kind of operation, performance of the airplane to be used, capabilities of the alternate airports en route, and the special provisions for this area in B342. All ETOPS with diversion times of 75 minutes or less require the respective regional office and AFS–200 review and concurrence before issuing OpSpecs approval for these operations.

E. Authorizations. As appropriate, the FAA can use B342 to issue a general ETOPS authorization, a special authorization for the Western Atlantic and Caribbean Sea, or both, only under part 121.

F. B342 With Two-Engine Airplane Under Part 121 Only. Special provision for Western Atlantic Ocean and Caribbean Sea is a specific authorization and the FAA issues it if the operator has authorization to conduct any special ETOPS in the Western Atlantic Ocean and Caribbean Sea using a maximum diversion time of 75 minutes or less. Use OpSpec B342 Table 3 to document the airplanes approved for these operations. The table lists the airplane M/M/S and any special equipment or limitations required to ensure the airplane is airworthy for these operations. If appropriate, use the special equipment/limitations columns to limit the operation to a specific aircraft series. Refer to the figure below.

Figure 3-119. Example Completed Table 3, Special Provision for Western Atlantic and Caribbean Sea ETOPS

AIRPLANE TYPE (MAKE/MODEL/SERIES)

SPECIAL EQUIPMENT/LIMITATIONS

Airbus 300 Series A300B4203 Only Boeing 737 APU Generator Operating Boeing 767 None Doug DC9 MAX TOGW 138,000

G. Additional OpSpecs. In addition to the ETOPS OpSpecs, operations may require additional OpSpecs, such as: B036 for Class II navigation; B037 if the operation involves Central East Pacific airspace; B038 if the operation involves North Pacific airspace; B039 if the operation involves North Atlantic (NAT)/Minimum Navigation Performance Specification airspace; B040 if the operation involves areas of magnetic unreliability. If the operation involves transatlantic flight in the North Atlantic, the FAA can authorize these operations under B041 if the capabilities of the aircraft permit NAT/OPS under the 60-minute rule.

NOTE: This is not a complete list of additional OpSpecs. It has been included in this section to provide examples only.

H. Experienced ETOPS Operator. Once a certificate holder has authorization to conduct ETOPS, procedures and systems should be in place to support any additional ETOPS authority. The application package for an experienced ETOPS operator requesting a new aircraft/engine combination, a change to the existing authorization (e.g., 120 minutes to 180 minutes), or a new geographic area of operation, may not be as complex as a new entrant operator. The CHDO will make this determination, along with the concurrence of the regional office and Headquarters.

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NOTE: Additional information is available in AC 120-42, current edition, and AC 135-42, current edition, depending on the type of operation requested. Additional guidance regarding the approval and continued assessment of the ETOPS process can be found in Volume 4, Chapter 6, Airplane Authorizations and Limitations.

OPSPEC B344 EXTENDED OPERATIONS IN PASSENGER-CARRYING AIRPLANES WITH MORE THAN TWO ENGINES, UNDER PARTS 121 OR 135. The FAA issues OpSpec B344 to operators who are approved to conduct extended operations (ETOPS) with airplanes with more than two engines in accordance with the limitations and provisions of this OpSpec, and 14 CFR part 121, § 121.161, or 14 CFR part 135, § 135.364.

A. General Guidance. Evaluate and approve all ETOPS in accordance with Advisory Circular (AC) 120-42, Extended Operations (ETOPS) and Polar Operations, current edition, or AC 135-42, Extended Operations (ETOPS) and Operations in the North Polar Area, current edition, and any additional criteria Order 8900.1 specifies. As a minimum operators must meet the following conditions:

1) The proposed airplane/engine combination must be type-design approved for the extended range operation proposed for aircraft manufactured after February 17, 2015 for part 121, or February 15, 2005 for part 135.

2) The ETOPS maintenance and the flight operation programs must meet or exceed the criteria in AC 120-42, current edition, or AC 135-42, current edition.

3) Higher Headquarters (region and Air Transportation Division, AFS–200) must concur with the proposed operation.

4) Successful completion of validation flights.

B. Validation Flights. In order to issue OpSpec B344, operators must accomplish validation flights (as described in Volume 3, Chapter 29, Proving and Validation Tests, and Volume 4, Chapter 6, Airplane Authorizations and Limitations) as part of the ETOPS approval process.

1) Before conducting the validation flights, the certificate-holding district office (CHDO) will request authorization from AFS–200 via its regional office to issue the appropriate temporary OpSpec. Once AFS–200 authorizes the validation test, the principal operations inspector (POI) will select paragraph a in the B344 template that limits operations only to ETOPS validation flights, and issue the temporary OpSpec.

2) The CHDO’s request should include any specific recommendations the principal maintenance inspector (PMI), principal avionics inspector (PAI), or POI, made. Following review and concurrence by AFS–200, schedule the validation flights in accordance with any additional guidance or recommendations specified in AFS–200’s concurrence.

3) Following the successful completion of the validation flights, the CHDO will send a memo through their regional office and AFS–200 to the Director of Flight Standards (AFS–1),

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advising that the certificate holder has successfully validated their ETOPS processes, and recommending that AFS–1 authorize the CHDO to issue the appropriate OpSpecs for ETOPS.

C. Limitations and Provisions. This subparagraph defines the limitations and provisions under which the operator may conduct ETOPS.

1) Use OpSpec B342 Table 1 to document the airplanes authorized to conduct these operations. This table lists aircraft by make/model/series (M/M/S), registration number, aircraft engine, and maximum diversion times. In the case where all M/M/S have the same maximum diversion time, the term All may substitute for the actual registration numbers. Use Figure 3-117 in OpSpec B342 as an example.

2) Use OpSpec B344 Table 2 to document the approved ETOPS en route alternate airports. These airports are in addition to a flight’s departure, destination, and destination alternate airports.

NOTE: After initial approval of ETOPS has been granted, subsequent changes to Table 2, such as the addition of a new en route alternate, do not have to be forwarded for approval to AFS–200 via the regional office. This only applies to Table 2. Coordinate all other changes to this OpSpec through the regional office to AFS–200.

Figure 3-120. Example Completed Table 2, Authorized ETOPS Alternate Airports

AIRPORT (IDENT) SPECIAL CONDITIONS/LIMITATIONS

HONOLULU (PHNL) None MIDWAY ATOL (PMDY) None TAHITI (NTAA) None

D. Additional OpSpecs. In addition to the ETOPS OpSpecs, operations may require additional OpSpecs, such as: B036 for Class II navigation; B037 if the operation involves Central East Pacific airspace; B038 if the operation involves North Pacific airspace; B039 if the operation involves North Atlantic (NAT)/Minimum Navigation Performance Specification airspace; B040 if the operation involves areas of magnetic unreliability. If the operation involves transatlantic flight in the North Atlantic, the FAA can authorize these operations under B041 if the capabilities of the aircraft permit NAT/OPS under the 60-minute rule.

NOTE: This is not a complete list of additional OpSpecs. It has been included in this section to provide examples only.

E. Experienced ETOPS Operator. Once a certificate holder has authorization to conduct ETOPS, procedures and systems should be in place to support any additional ETOPS authority. The application package for an experienced ETOPS operator requesting a new aircraft/engine combination, a change to the existing authorization (120 minutes to 180 minutes), or a new geographic area of operation, may not be as complex as a new entrant operator. The

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CHDO will make this determination, along with the concurrence of the regional office and Headquarters.

NOTE: Additional information is available in AC 120-42, current edition, and AC 135-42, current edition, depending on the type of operation requested. Volume 4, Chapter 6, Airplane Authorizations and Limitations, contains additional guidance regarding the approval and continued assessment of the ETOPS process.

OPSPEC/MSPEC/LOA B450, SENSITIVE INTERNATIONAL AREAS.

A. Background. The FAA needs to communicate vital and time sensitive safety information regarding overflights and/or flights into foreign areas where potentially hostile situations exist. OpSpec/MSpec/LOA B450 is not an authorization, but is a data collection template that tracks what sensitive countries an operator operates into or overflies. The B450 is applicable to 14 CFR parts 121, 125 (including part 125 Letter of Deviation Authority (LODA) holders), 135, and 91 subpart K. B450 is mandatory for the areas of operation identified as sensitive international areas authorized in the operator’s B050 (see B050 guidance in this section). B450 is not mandatory for operators who do not have these affected areas of operation authorized in OpSpec B050 authorized.

B. Procedure. Any time a part 91K, 121, 125, (including part 125 LODA holders) or part 135 operator requests to add an area of operation in OpSpec B050, the principal operations inspector (POI) must determine if the added areas of operation is required to be listed on B450. The following steps will assist the POI in determining whether to issue or amend a B450:

1) Identify the B050 authorized area containing the country of proposed operation. Refer to the “Authorized Areas Country Listing” in the Web-based Operations Safety System (WebOPSS) guidance for help in locating a country within an authorized area.

2) Determine if the B050 authorized area is required to be listed on B450. Refer to the paragraph titled “Listing and Explanation of Authorized Areas of En Route Operations” located under OpSpec B050 guidance in this chapter and section. Find the authorized area and locate the Required Paragraphs listing. If B450 is a required paragraph for the authorized area, it will be listed. If the B450 is not listed do not issue or amend B450.

3) If B450 is required, identify whether the operator either overflies or operates into/out of any of the countries listed on the U.S. Prohibitions, Restrictions and Notices list of countries at the following Internet Web address: http://www.faa.gov/air_traffic/publications/ifim/us_restrictions/.

a) If the operator does not operate into/out of, or overfly a country listed on the Web site listed in paragraph B3 above (Excluding the United States, Bahamas, Canada, and Cuba):

1. Enter “N/A” in column 1, and do not fill in any other column in Table 1 of B450.

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2. Complete Table 2.

b) If the operator does operate into/out of, or overfly a country listed on the Web site (Excluding the United States, Bahamas, Canada, and Cuba):

1. List in B450 the appropriate country in column 1 of Table 1.

2. Choose the flight operation (overflight, or into/out of) in column 2.

3. Choose the International Civil Aviation Organization (ICAO) code of the airport(s) if the operator operates into/out of that country. If multiple airports apply, enter the ICAO code for each airport separated by a comma. If the operator only overflies the country, leave the column blank.

4. Choose the frequency (daily, weekly, monthly, or on-demand).

5. Choose the type of operations (passenger, cargo, U.S. Government operations, or a combination) for the listed countries.

6. Choose the responsible persons (either management or operational control person(s) or operational control organization) and list the persons or organization in Table 2 of the template. This contact must be available 24 hours a day, 7 days a week.

4) If the B450 was previously issued or must now be issued because the operator has chosen to operate into an identified sensitive country on the Web list, the operator should amend B450 before operating that flight. In the case of a short notice charter, the operator may operate into or overfly the country before amending/issuing the B450 provided that the appropriate B450 action is completed within 72 hours after accepting the charter flight.

5) Operators and program managers should review the list of countries every 3 months for any changes and be cognizant of any Notices to Airmen that may add a country to the list, and amend or issue OpSpec/MSpec/LOA B450 as appropriate.

NOTE: The U.S. Prohibitions, Restrictions, and Notices list Web site referenced in paragraph B3 above will be modified to allow operators to sign up for e-mail notification of changes using a subscription e-mail service. When the subscription e-mail service is activated, the operator will be expected to monitor email updates for changes affecting their operations into sensitive international areas and update B450 accordingly. If a subscription e-mail service is utilized, this process replaces the 3-month review requirement.


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CHAPTER 44 ASSESS CONTINUING ANALYSIS AND SURVEILLANCE SYSTEM FOR PARTS 121 AND 135

Section 1 Evaluating an Air Carrier’s CASS

3-3891 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) AND AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) ACTIVITIES.

A. Maintenance:

• New: 3333. • Revision: 3334. • Surveillance: 3635.

B. Avionics:

• New: 5333. • Revision: 5334. • Surveillance: 5635.

C. ATOS. ATOS Safety Attribute Inspection (SAI) or Element Performance Inspection (EPI) Data Collection Tool (DCT), as appropriate, for the Continuing Analysis and Surveillance System (CASS) Element 1.3.11.

3-3892 OBJECTIVE. This section provides guidance and information on the design, implementation, functions, and other considerations of an air carrier’s CASS.

3-3893 GENERAL.

A. Regulatory Requirements. Title 14 of the Code of Federal Regulations (14 CFR) part 121, § 121.373 and part 135, § 135.431 require an air carrier operating under part 121 or 135 to establish and maintain a CASS. These sections also allow the Federal Aviation Administration (FAA) to require revisions to an operator’s maintenance program based on deficiencies or irregularities revealed by the CASS.

B. Background.

1) The FAA implemented the regulatory requirement for a CASS in 1964 in response to safety concerns and discoveries of systemic weaknesses in the maintenance programs of some air carriers. We identified these concerns during accident investigations and FAA surveillance activities accomplished during the 1950s. The FAA introduced the CASS as an element of a Continuous Airworthiness Program in a 1964 rulemaking that contained other elements such as a manual, an adequate maintenance organization, a maintenance recordkeeping system, Required Inspection Items (RII), and more.

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2) There is a requirement for a CASS for air carriers operating under part 121 and § 135.411(a)(2) applicability. CASS utilizes a systems-based approach, which permits an air carrier to identify and understand maintenance program deficiencies well enough to develop and implement permanent solutions for those discrepancies. CASS is a keystone of an air carrier’s ability to produce Airworthy aircraft on a consistent basis.

C. Definitions.

1) Audit. Scheduled or unscheduled formal reviews and verifications to evaluate compliance with policy, standards, and/or contractual requirements.

2) Authority. The power to design or change fundamental policy or procedures without having to seek a higher-level management approval. Authority is a permission; it is a right coupled with an autonomous power to accomplish certain acts or order others to act. Often, one person grants another authority to act as an employer to an employee, a corporation to its officers, or as a governmental empowerment to perform certain functions.

3) Carried Out by the Certificate Holder or Other Person. The certificate holder must maintain operational control over maintenance that any person performs on its aircraft. Operational control includes independently determining the scope and type of maintenance that may be required, when to accomplish that maintenance, and if the maintenance was done in accordance with its manual and program, regardless of who accomplished the maintenance.

4) CASS. The elements of the system are always working. For example, continuing surveillance means someone is always looking and collecting information. Continuing analysis means that someone is always analyzing the information that is always being collected.

5) Corrective Action. An action designed to eliminate or mitigate a deficiency that has been identified within the air carrier’s maintenance program.

6) Deficiency. A condition which is insufficient or incomplete, or where something required is lacking. In a CASS, it is something that is missing from the air carrier maintenance program that should be there, or it is something that is there but not producing the desired results. Alternatively, it could indicate that the maintenance program documentation is not being followed. For example, a program element that has failed and is not working, or a program element that has faults and is not working as it should are deficiencies.

7) Effective. Producing or capable of producing a desired result. The maintenance program is producing the desired results when the following objectives are realized:

• Airworthy aircraft that have been properly maintained for operations in air transportation;

• Competent personnel; • Adequate facilities and equipment; and • All maintenance, preventive maintenance, and alterations are always

performed in accordance with the certificate holder’s maintenance program and manual.

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8) Establish and Maintain. To establish means that the air carrier develops a CASS that is appropriate for the type and scope of its operation. To maintain means that the air carrier keeps its CASS current and appropriate in response to changes in the type and scope of its operation.

9) Maintenance Program. The programs outlined in §§ 121.367 and 135.425, other sections of part 121 subpart L, part 135 subpart J, and described in some detail in the current edition of Advisory Circular (AC) 120-16, Air Carrier Maintenance Programs.

10) Maintenance. Inspection, overhaul, repair, preservation, and the replacement of parts, excluding preventive maintenance.

11) Performance. The act of doing something successfully; the successful execution of an action. In the CASS, performance means that the maintenance program is being accomplished or executed as outlined in the air carrier manual.

12) Person. An individual, firm, partnership, corporation, company, association, joint-stock association, or governmental entity. It includes a trustee, receiver, assignee, or similar representative of any of them.

13) Preventive Action. Action to eliminate or mitigate the cause or reduce the effects of potential nonconformity or another undesirable situation.

14) Program. An organized list of procedures.

15) Responsibility. The obligation to ensure that a task or function is successfully carried out. Responsibility includes accounting for actions related to the task or function. This is a key attribute of operational control.

16) Risk. Risk is the degree of probability that hurt, injury, or loss will occur over a specific period of time or number of operational cycles. Risk has two elements: severity and likelihood. With regard to air carrier maintenance operations standards, the relationship between these two elements must be inverse.

a) Severity. The type of harm that will be inflicted if a particular event occurs. For air carrier maintenance programs, severity should be expressed in qualitative terms as a consequence of failure: safety, operational, economic, or environmental.

b) Likelihood. The estimated probability or frequency, in quantitative or qualitative terms, of an occurrence related to the hazard; an expression of the probability that a specific unsafe event will occur.

17) Risk Mitigation. A risk control measure. It refers to the process of modifying the system in order to reduce the risk.

18) Risk Management (RM). A formal process composed of identifying hazards, analyzing risk, assessing risk, and controlling risk. This process is embedded within the processes used to provide the product/service; it is not a separate process.

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19) Root Cause Analysis (RCA). The analysis of deficiencies to determine their underlying root cause.

20) System. A functionally related group of elements. In the CASS, the elements are:

• Surveillance; • Analysis; • Corrective action; and • Followup.

3-3894 OVERVIEW OF A CASS.

A. Functions of the CASS. CASS functions as an air carrier maintenance program management tool that includes continuous and methodical monitoring and evaluation of an air carrier maintenance program. An air carrier’s CASS uses a continuous, system-safety based, closed-loop cycle of surveillance, data collection and analysis, corrective action, and followup to continually evaluate the performance and effectiveness of the maintenance program. Through the CASS, the air carrier ensures that it is performing the right maintenance at the right time and that it produces the intended results. The CASS is one of the tools an air carrier uses to exercise operational control over maintenance activities conducted on its aircraft.

NOTE: We cannot overstate that the CASS is a system and not a program. The primary responsibility for the CASS should be specific to an individual with the necessary authority, while coordination for the implementation of a CASS might be entrusted to a department.

1) CASS Monitors Maintenance Program Performance. The program performance (program execution) part of the CASS ensures that everyone, including all of the air carrier’s maintenance providers, comply with the air carrier’s manual and program and with all applicable regulations.

a) Generally, the program execution part of the CASS functions through a system of audits and investigations of operational events. The air carrier should consider each negative audit and each operational event as an indicator or symptom of a program or systemic failure. The air carrier should evaluate each one. However, depending on the results of the evaluation (risk analysis and risk assessment), every symptom or indicator may not require corrective action.

b) The program execution part of CASS should include a continuous cycle of both scheduled and unscheduled (proactive and reactive) surveillance and investigations, data collection and analysis, corrective action, and followup surveillance.

2) CASS Monitors Maintenance Program Effectiveness. The program effectiveness part of a CASS ensures that the maintenance program is producing the desired results. Primary indicators of the level of maintenance program effectiveness are the level of unscheduled maintenance and the rate of availability of the aircraft for use in air transportation.

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a) Generally, the program effectiveness part of the CASS functions through a system of data collection and analysis of operational data that results from operation of the aircraft. An operator should collect operational data and equipment failure data, which measures the output (results) of the maintenance program.

b) Since one of the primary objectives of a maintenance program is to produce Airworthy aircraft for operations in air transportation, data sets such as the rate of aircraft availability, the rate of unscheduled landings, and the rate of schedule and dispatch reliability are useful for this purpose. An operator can collect this data in relation to a particular aircraft or a particular fleet.

c) While the FAA does not mandate the specific data an operator should collect, the FAA does expect an operator to have an effective process designed to select appropriate, relevant, and useful types of collected data. This data selection process should also ensure that any data collected is useful for its intended purpose. Moreover, a periodic review of the type of collected data ensures that the collected data remains appropriate, relevant, and useful.

B. How CASS Does It. The CASS enables an air carrier to detect and correct discrepancies in all elements of its maintenance program by proactively looking for indicators and symptoms of deficiencies and reactively looking at the results of deficiencies. CASS monitors maintenance program performance and effectiveness through a systems approach using a closed-loop system of four major activities:

• Surveillance; • Data analysis; • Corrective action; and • Followup.

C. CASS Surveillance and Analysis. The regulations require that a CASS accomplish surveillance and analysis of the air carrier maintenance program from two perspectives: performance and effectiveness. An air carrier conducts the first two activities in the CASS (surveillance and analysis) in two different ways. The primary basis for one activity is audits, while the primary basis for the other is operational data collection and analysis. The results of these two types of surveillance and analysis feed into the third and fourth basic CASS activities (corrective action and followup). Table 3-124, The Major CASS Activities, summarizes the flow of the four basic activities of a CASS.

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Table 1 – 1, The Major Continuing Analysis and Surveillance System Activities

VERIFY PERFORMANCE OF THE MAINTENACE PROGRAM

VERIFY EFFECTIVENESS OF THE MAINTENANCE PROGRAM

1. Surveillance: Audit process. • Create a risk-based audit plan. • Perform work-in-progress audits. • Perform transaction audits. • Perform system audits. • Identify hazards.

1. Surveillance: Data collection process. • Select data sets. • Collect operational data. • Collect failure data. • Identify trends, anomalies, and potential

hazards. 2. Analysis: Identify hazards, accomplish risk analysis and assessment.

2. Analysis: Identify hazards, investigate adverse indicators, and accomplish risk analysis and assessment.

3. Corrective Action: Accomplish a Root Cause Analysis (RCA); develop, implement, and monitor a corrective action plan (CAP), as appropriate. 4. Follow-up: Verify that the corrective action was effective, and initiate risk-based followup surveillance planning, as appropriate.

1) Surveillance. The air carrier conducts surveillance so it can gather information and collect data for use in the evaluation of all elements of its program (including its maintenance providers) from two different perspectives: performance and effectiveness.

a) Surveillance to verify performance involves the use of audits, specifically work-in-progress audits used to make sure the manual and program are being followed.

b) Surveillance to verify effectiveness involves the collection of operational data and aircraft systems failure data so that the air carrier can make conclusions about the degree of effectiveness of the maintenance program.

2) Analysis of Data. Data analysis is the identification of system deficiencies (hazards) in an air carrier’s maintenance program through analysis of the various kinds of data that the air carrier has chosen to collect. Data analysis is also used to verify an acceptable level of program performance or effectiveness.

a) The performance (program execution) analysis function of the CASS is carried out through the analysis of data collected during the accomplishment of audits and investigations. These audits and investigations examine the actual accomplishment of the activities and tasks of a maintenance program element relative to the standard (i.e., the air carrier manual and the maintenance program). The accomplishment of audits and analysis of audit data serve to measure program execution.

b) The effectiveness (intended results produced) analysis function of the CASS is carried out through the analysis of collected operational data. Collection and analysis of operational data allows the air carrier to measure the output of the maintenance program relative to its objectives.

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3) Corrective Action. CASS identifies deficiencies through analysis of the audit and operational data that it collects. However, based on the risk assessment performed during risk analysis, not all deficiencies will require corrective action. The level of risk might be of an acceptable level. For example, a number of mechanical delays or cancellations may be acceptable in the eyes of the air carrier. This can be acceptable as long as safety is not compromised.

a) When a CASS determines a risk to be of an unacceptable level, it will employ risk controls (corrective action) to deal with an identified deficiency and the cause(s) of that discrepancy.

b) When a CASS requires the development of a corrective action plan (CAP), it will address the causal factor(s), and provide a solution to prevent recurrence. Within a CASS, an RCA is used to identify the central causes of an event and facilitate effective corrective actions. A CASS will implement and monitor the plan through completion.

4) Followup. Followup is the very important function that ensures the corrective action has addressed the deficiency. The followup ensures that the corrective action accomplishes what the air carrier intended it to do and connects the closed loop back to surveillance. Based on the assessment of risk, the air carrier can perform additional surveillance and/or modify data collection processes.

D. RM in CASS.

1) In concert with the attributes of a good organization, personnel and resources for a CASS should be prioritized as part of the overall risk management process (RMP). RM facilitates the balancing act between assessed risks and practical risk mitigation.

2) RM serves to focus safety efforts on those hazards posing the greatest risks. Essentially, any methodology used to prioritize surveillance personnel and resources (as well as to formulate corrective action decisions later in the process) involves principles of RM.

3) The following elements compose a formal RMP:

• Identifying hazards, • Analyzing risk, • Assessing risk, and • Controlling risk.

NOTE: The flow chart in Figure 3-131B, Overview of the Risk Management Process, summarizes an overview of the RMP. The elements of an RMP encompass the four major CASS activities (Table 3-124). You can find a detailed description of the RMP in paragraph 3-3898.

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Figure 3-131B. Overview of the Risk Management Process

Identify the hazards to equipment, property, personnel, or the organization.

Is the consequent risk acceptable and within the organization’s safety performance criteria?

What are the chances of it happening?

Evaluate the seriousness of the consequences of the hazard occurring.

Accept the riskTake action to

reduce the risk to an acceptable level.

HAZARD IDENTIFICATION

RISK ANALYSISSeverity/Criticality

RISK ANALYSISProbability of occurrence

RISK ASSESSMENTAcceptability

RISK MITIGATION

Yes No

Risk Management Process (RMP)

E. CASS in an Air Carrier’s Operation. An air carrier should tailor its CASS to its individual operation. Therefore, to a large degree, what the CASS looks like will depend on the design of the maintenance organization and the size, complexity, and the level of flight operations of that air carrier.

1) The basic CASS functions are always the same, but the personnel who carry out each function and the manner in which the functions are carried out will be different from one air carrier to another. For example, an air carrier with a high level of daily aircraft utilization and a very large fleet of many different kinds of aircraft may have a separate department dedicated to performing CASS activities. On the other hand, an air carrier with a fleet of 25 aircraft, operating seasonally or weekly, may find it more efficient to use its quality assurance (QA) department to perform CASS activities. An on-demand operator with few employees and one or two aircraft having an average annual utilization of less than 1,000 hours may contract most of its CASS activities.

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2) Regardless of the air carrier’s size and level of flight operations, a well-structured CASS helps an air carrier exercise operational control over maintenance activities. This involves taking a systems approach to enhancing safety and eliminating deficiencies as well as systematically determining the level of performance and effectiveness of its maintenance program. This is a key to achieving operations with the highest possible degree of safety as well as a very high degree of efficiency.

F. What CASS Examines. A CASS monitors all 10 elements of the air carrier’s maintenance program. A CASS accounts for the consequences of various internal and external influences on the maintenance program. The following are examples of some, but not all, of the items within each element that a CASS looks at. You should note that all of these items are examined by the surveillance of the maintenance program performance function of CASS; this is accomplished through audits. However, in addition to real time events such as accidents/incidents, CASS will address effectiveness discrepancies identified through the collection and analysis of operational data (i.e., RCA).

1) Airworthiness Responsibility.

a) Air carriers are primarily responsible for the performance of maintenance, including work done by maintenance providers on its aircraft. All maintenance, including work done by outside persons, must be done in accordance with the air carrier’s maintenance program and maintenance manual.

b) An air carrier certificate makes the certificate holder a maintenance entity. Each person who accomplishes maintenance on a certificate holder’s aircraft accomplishes it on the behalf of the certificate holder as an agent for the certificate holder. Consistent with the privileges and limitations of its air carrier certificate, air carriers, through their maintenance organization, are responsible for executing operational control over maintenance activities that anyone accomplishes on its aircraft. It is a requirement for air carriers to determine when maintenance is required, what maintenance is required, accomplishing the maintenance, determining if the maintenance was done satisfactorily, and approving its aircraft for return to service. Consistent with the regulations, an air carrier certificate holder may not delegate this responsibility to persons used by the certificate holder for any maintenance, preventive maintenance, or alterations.

2) Maintenance Manuals. CASS ensures that:

a) The content of all manuals, including maintenance manuals and technical content, is the responsibility of the air carrier. The basis of the manuals may be the Original Equipment Manufacturer (OEM) manuals or other information, but it is a requirement for the air carrier to use its own manual, not the OEM manuals.

b) Manuals, publications, and forms are useable, current, correct, and readily available to all personnel required to use them.

c) Each person required to comply with the air carrier’s manual has access to it during the performance of normal duties.

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3) Maintenance Organization.

a) Consistent with the responsibility described above, air carriers must have a maintenance organization that is able to effectively exercise and maintain operational control over all persons performing, supervising, managing, and amending the maintenance program. The maintenance organization must be able to manage and guide its maintenance personnel and provide the direction necessary to achieve overall maintenance program objectives.

b) The individual with overall maintenance program authority and responsibility is the Director of Maintenance (DOM) who functions as the accountable manager for the maintenance program. The organization must clearly identify this individual within the organization and the individual must be qualified in accordance with 14 CFR part 119, §§ 119.65 and 119.67(c) or §§ 119.69 and 119.71(e), as appropriate. While retaining overall authority and responsibility, the accountable manager may delegate direct responsibility for elements of the program as appropriate for the size and structure of the maintenance organization.

c) The air carrier manual must contain a chart or a description of the maintenance organization showing clear authority and responsibility, including delegated responsibility, for the overall maintenance program and all of its elements and functions. The regulations require the air carrier to include a description in its maintenance manual of the duties and responsibilities for each position in the organization so that there is not a fragmented organizational system with high risk of confusion over who is responsible for a given task.

d) In order to be effective, an adequate maintenance organization must be able to demonstrate the following four organizational duties:

1. The duty to define the environment within which individuals conduct their tasks;

2. The duty to define the policies and procedures that individuals must follow and respect;

3. The duty to allocate the resources that individuals need in order to achieve safety and production goals; and

4. The duty to investigate system failures and take all needed remedial action to avoid a repetition.

e) A maintenance organization will not be successful if it permits the following failures to occur:

1. Failure to understand the effect of people on safety and reliability of aircraft maintenance operations,

2. Failure to organize its employees’ work,

3. Failure to monitor its employees’ work effectively, and

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4. Failure to implement corrective actions.

f) The performance of the RII function(s) must be organizationally separated from the performance of the other maintenance (including inspection), preventive maintenance, and alteration functions. This organizational separation must be below the level of the individual who has primary responsibility for the RII function, other maintenance, preventive maintenance, and alterations functions. In simple terms, this means that the part of the maintenance organization that accomplishes the maintenance (including inspection), preventive maintenance, and alterations function cannot be the same part of the maintenance organization that accomplishes your RII function.

4) Maintenance Schedule. The maintenance schedule sets out the appropriate item, task, and interval of the air carrier’s scheduled maintenance effort. The FAA expects the air carrier’s maintenance schedule to be task-based and appropriately modified in accordance with the CASS data collection and analysis findings. The air carrier accomplishes the initial selection and the continuous validation of each scheduled maintenance task and its associated interval according to well-defined criteria throughout the service life of the item, system, or structure. The maintenance schedule is proactive and designed to permit the item, system, or structure to do what it is designed to do. Notwithstanding design issues, the level of unscheduled maintenance is a primary indicator of the level of effectiveness of the maintenance schedule.

5) RIIs.

a) The air carrier has specific procedures, standards, and limits necessary for the acceptance or rejection of each RII and for periodic inspection and calibration of precision tools, measuring devices, and test equipment. You should note that the OEM’s manuals and procedures do not contain RII procedures, standards, and limits as the air carrier must develop and document these.

b) Personnel authorized to accomplish RII inspections receive proper training and qualification for each RII task that they receive the authorization to perform.

c) Designated RII inspectors who perform an item of work do not perform the required inspection on that item.

d) The maintenance organization separates the performance of the required inspection functions from the other maintenance, preventive maintenance, and alteration functions.

e) The manual contains procedures to ensure that only supervisory personnel of an inspection unit or the person who has overall responsibility for the RII function as well as the other maintenance, preventive maintenance, and alteration functions may countermand the decision of any RII inspector regarding an RII.

6) Contract Maintenance. Vendors and suppliers have the qualifications and provide services and products according to the air carrier’s maintenance program and manual. There should be no difference between the way work is done by air carrier personnel or by the air carrier’s maintenance providers.

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7) Personnel Training.

a) The air carrier must have a means to determine that all maintenance personnel, including maintenance provider personnel, are competent to accomplish their duties.

b) The air carrier has a training program for personnel (including inspection personnel and maintenance provider personnel) that determine the adequacy of accomplished maintenance.

c) The program ensures that personnel are competent to perform their duties.

8) Accomplishment and Approval of Maintenance.

a) Maintenance facilities and equipment, as well as the air carrier’s maintenance providers’ facilities and equipment, are adequate to perform the maintenance. Other than scope and location, there should be no difference in the standards for facilities and equipment between the air carrier and its maintenance providers.

b) Maintenance providers properly store, dispense, identify, and handle parts and components.

c) Maintenance providers properly calibrate tools and equipment.

d) Maintenance providers identify the requirements for specialized tools or training and provide training.

e) Maintenance providers perform maintenance and alterations according to methods, standards, and techniques specified in the air carrier’s manuals.

f) Maintenance provider personnel properly document work interruptions and deferred maintenance in shift-turnover records, and accomplish them according to applicable procedures.

g) Maintenance providers properly classify major repairs and major alterations (consistent with the 14 CFR part 1, § 1.1 meaning of major alteration or repair) and accomplish them in accordance with FAA-approved technical data.

NOTE: During 1953, the Civil Aeronautics Administration (CAA) published a list of repairs to specific parts as well as specific types of repairs that were considered major repairs in Civil Aeronautics Manual (CAM) 18. This major repair list was later adopted, unchanged, as part of 14 CFR part 43, appendix A.

h) If the air carrier relies exclusively on this standardized list of major repairs to make the major/minor classification, it will result in the classification of some minor repairs as major and the classification of some major repairs as minor simply because the list has not been updated to include evolving airplane design and construction techniques such as composite structures, damage tolerant design, and the high-speed pressurized jet transport that did not exist in 1953.

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i) Appropriately certified mechanics or repairmen, who are authorized by the air carrier, execute Log Entries and Airworthiness Release Forms.

j) Maintenance providers complete log entries and Airworthiness Release Forms according to the air carrier’s written policies and procedures.

9) Maintenance Recordkeeping System.

a) Maintenance records and current status records are generated and retained in accordance with the air carrier’s manual procedures.

b) Maintenance records and current status records are complete and correct.

c) Airworthiness Directives (AD) are appropriately evaluated, accomplished, and tracked.

d) Life-limited parts are identified and the current status time in service is tracked.

10) CASS.

a) CASS has four major activities that ensure, with a system-oriented, structured approach, that all elements of the air carrier maintenance program are properly executed and are consistently effective by design rather than by chance.

b) Senior management reviews CASS issues on a regularly scheduled basis. Meetings of CASS or maintenance management committees or boards are also held on a regular basis to discuss findings, analysis, and the progress of corrective actions. These meetings may address events, as well as statistical data and trends.

3-3895 PREREQUISITES AND COORDINATION REQUIREMENTS.

A. Prerequisites. Knowledge of the requirements of parts 119, 121, and/or 135.

B. Coordination. This task may require coordination between the principal maintenance inspector (PMI) and the principal avionics inspector (PAI).

3-3896 REFERENCES, FORMS, AND JOB AIDS.

A. References (current editions):

• AC 120-16, Air Carrier Maintenance Programs. • AC 120-79, Developing and Implementing an Air Carrier Continuous Analysis

and Surveillance System. • AC 120-92, Safety Management Systems for Aviation Service Providers. • FAA Order 8000.369, Safety Management System Guidance. • FAA Order 8040.4, Safety Risk Management.

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B. Forms. None.

C. Job Aids. None.

3-3897 VERIFY THE CASS ORGANIZATIONAL STRUCTURE.

A. Identifying CASS Organization Positions. Identify the positions within the company that have authority and responsibility for the CASS. The definitions below have meaning within the context of an air carrier’s organization. Consistent with existing regulations, there should be a chart or description of the CASS organization in the air carrier’s manual.

1) Authority is a permission; it is the power to create or modify fundamental policy or procedures without higher level review or approval. Authority also means the power to accomplish a function, as well as the power to assign responsibility for carrying out the various functions of the maintenance program. The individual with authority for the CASS may design or change the CASS without having to seek approval from a higher level of management. CASS procedures should include a process to modify or revise the CASS.

2) Responsibility is an obligation that comes with accountability to ensure the successful completion of tasks and functions in accordance with applicable policies, procedures, and standards. This work may be accomplished directly by the individual with the responsibility, or the responsibility for the work may be delegated. The individual with responsibility for the CASS has the obligation to carry out the functions of the CASS, including overseeing and managing any personnel who are assigned CASS functions and duties. Note that for smaller organizations where personnel share duties and may only carry out CASS functions part-time, this oversight and management responsibility relates only to those part-time tasks.

B. Authority and Responsibility.

1) An individual or position within the maintenance organization should have authority for the CASS, and an individual or position within the maintenance organization should have overall responsibility for managing and implementing the CASS. An individual may have both responsibility and authority for the CASS.

2) That individual might also have responsibility for other functions as well as the CASS. It is common for the individual with responsibility for CASS functions to delegate some or much of this work to others within the organization, depending on the size and staffing of the operator.

3) What the FAA expects is clear responsibility for the overall CASS functions so that there is not a fragmented system with a high risk of confusion over who is responsible for executing a given task or function.

4) The potential exists for a conflict of interest between personnel managing daily operations within the carrier, and those who serve in an oversight role. Personnel with CASS responsibilities and duties should be as independent as possible from the day-to-day operations of the maintenance program. Theoretically, outside personnel contracted to perform such work for the air carrier conduct the most independent, objective audits.

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5) Air carrier personnel who are conducting audits should work in separate departments from the departments performing the actual maintenance activities that are being audited. However, this is not necessarily feasible for small operators. At small operators, personnel performing CASS functions, particularly audits, may consist of one or more of the following:

a) Borrowed personnel from other shops or departments. The operator’s procedures should include ways to avoid having these individuals assigned to audit areas where they normally work.

b) The company owner or chief executive officer (CEO), particularly if there are no other employees and the CASS audits are focused on outside vendors and maintenance providers because all or most of the actual inspection and maintenance work is accomplished through contracts.

c) Outside resources contracted to perform audits and analysis for the company.

d) Others deemed qualified by the operator to provide the operator with an independent objective audit, operational data collection, and analysis services that fulfill the requirements of a CASS.

3-3898 VERIFY THE CASS FUNCTIONS CONCERNING RM.

A. RMP. In an effective CASS, you should be able to identify the principles of the systematic RMP that:

• Establish a plan, including the scope of the process and priorities (e.g., detect and prevent noncompliance);

• Specify the areas of concern for surveillance and analysis (personnel, maintenance and inspection programs and organizations, operations, aircraft, facilities, systems);

• Identify hazards or potential threats to the operation; • Determine how likely such hazards are to be realized and actually cause harm; • Determine the severity of the consequences if the hazard is realized; • Express a combination of the likelihood and severity of harm as risk; and • Evaluate the appropriate response to the identified risk.

B. Hazard Identification. The CASS should detect and correct deficiencies in all 10 elements of its maintenance program by proactively looking for indicators and symptoms of deficiencies, and reactively looking at the results of deficiencies.

1) The CASS should identify the deficiencies (hazards) within the air carriers’ maintenance program during the analysis of data. The proactive approach for identifying deficiencies involves setting surveillance priorities based on risk assessments aimed at maintaining compliance and safety in inspection and maintenance.

2) A CASS should take into account four principal potential sources of hazards:

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a) Personnel (hiring, capabilities, interaction);

b) Equipment (design, maintenance, logistics, technology);

c) Workplace (environment, sanitation); and

d) Organization (standards, procedures, controls).

3) However, a CASS may recognize hazards through actual events such as an incident or accident (a more reactive approach). These events provide clear evidence of problems in a system and therefore provide an opportunity to investigate the event and identify the hazards putting the system at risk. In practice, both proactive processes and reactive measures can provide a valuable means of identifying hazards as a CASS should evaluate them.

4) An air carrier CASS should include clear procedures for determining:

• Who will be responsible to perform hazard identification; • What personnel training or qualifications will be required to participate in

hazard identification; • When to perform hazard identification; • How to accomplish the determination of a hazard; and • How to document the hazard.

C. Risk Analysis and Assessment.

1) After confirming the presence of a hazard, and keeping with the concept of managing risk to an acceptable level, risk analysis is required to assess its potential for harm or damage. Analyze, assess, and rank all identified hazards in the order of their risk potential.

2) Risk analysis and risk assessment use a conventional breakdown of risk by its two components: likelihood of occurrence of an injurious mishap and severity of the mishap related to an identified hazard, should it occur. A common tool for risk decisionmaking and acceptance is a risk matrix similar to those in the current edition of U.S. Military Standard (MS) MIL STD 882, Standard Practice for System Safety, and the International Civil Aviation Organization (ICAO) Safety Management Manual (SMM). Figure 3-131C, Sample Risk Matrix, shows an example of one such matrix. Operators should develop a matrix that best represents their operational environment. The matrix should be consistent throughout the operators’ organizational structure.

3) Risk Analysis.

a) The definitions and final construction of the matrix is left to the operators’ organization to design. Terms that are realistic for the operational environment will define each level of severity and likelihood. This ensures that each organization’s decision tools are relevant to their operations and operational environment, recognizing the extensive diversity in this area.

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b) An example of severity and likelihood definitions is shown in Table 3-124A, Sample Severity and Likelihood Criteria. Each operator’s specific definitions for severity and likelihood may be qualitative but quantitative measures are preferable, wherever possible.

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Table 1 – 2, Sample Severity and Likelihood Criteria

Severity of Consequences Likelihood of Occurrence Severity Level Definition Value Likelihood

Level Definition Value

Catastrophic Equipment destroyed, multiple deaths.

5 Frequent Likely to occur many times

5

Hazardous Large reduction in safety margins, physical distress, or a workload such that operators cannot be relied on to perform their tasks accurately or completely. Serious injury or death to a number of people. Major equipment damage.

4 Occasional Likely to occur sometimes

4

Major Significant reductions in safety margins, reduction in the ability of the operator to cope with adverse operation conditions as a result of an increase in workload, or as a result of conditions impairing their efficiency. Serious incident. Injury to persons.

3 Remote Unlikely, but possible to occur

3

Minor Nuisance. Operating limitations. Use of emergency procedures. Minor incident.

2 Improbable Very unlikely to occur

2

Negligible Little consequence. 1 Extremely Improbable

Almost inconceivable that the event will occur

1

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4) Risk Assessment. In the development of its risk assessment criteria, we expect operators to develop risk acceptance procedures, including acceptance criteria and designation of authority and responsibility for RM decisionmaking. You can evaluate the acceptability of risk using a risk matrix such as the one illustrated in Figure 3-131C. The example matrix shows three areas of acceptability. Risk matrices may be color coded: unacceptable (red), acceptable (green), and acceptable with mitigation (yellow).

a) Unacceptable (red). Where combinations of severity and likelihood cause risk to fall into the red area, the risk would be assessed as unacceptable and further work would be required to design an intervention to eliminate that associated hazard or to control the factors that lead to higher risk likelihood or severity.

b) Acceptable (green). Where the assessed risk falls into the green area, it may be accepted without further action. The objective of RM should always be to provide an appropriate response to an identified risk.

c) Acceptable with Mitigation (yellow). Where the risk assessment falls into the yellow area, the risk may be accepted under defined conditions of mitigation. An example of this situation would be an assessment of the impact of a non-operational aircraft component for inclusion on a minimum equipment list (MEL). Defining an operational (“O”) or maintenance (“M”) procedure in the MEL would constitute a mitigating action that could make an otherwise unacceptable risk acceptable, as long as the defined procedure was implemented.

Figure 3-131C. Sample Risk Matrix

5) Assessing the Risk of a Hazard. CASS procedures for analyzing and assessing the risk of a hazard should include:

• Who will be responsible to perform risk analysis and assessment; • Is the responsible person trained to perform risk analysis and assessment;

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• Specific set of criteria for how the determination will be made (i.e., detailed written procedures and a matrix);

• Who will have the authority to approve the assessment; and • What levels of review, if any, will be performed.

6) Risk Mitigation. The end result of the risk analysis and assessment is a decision; the risk is acceptable, acceptable with mitigation, or unacceptable. A risk control measure that is developed and implemented should be directly related to the final decision of the risk assessment.

3-3899 VERIFY THE CASS FUNCTIONS CONCERNING THE PERFORMANCE OF THE MAINTENANCE PROGRAM.

A. Surveillance of the Performance of Maintenance Programs.

1) The main tool for surveying whether the operator and its maintenance providers are properly performing the maintenance program is audits. An audit is a formal examination of the activities of an air carrier’s or maintenance provider’s departments or areas as compared to a standard, which is the air carrier’s program as written in its manual. The air carrier’s audits should be designed to measure an air carrier’s and maintenance provider’s compliance with their maintenance program requirements. The maintenance program itself must ensure that the maintenance provider accomplishes all maintenance activities in accordance with the processes and procedures of the maintenance program (§§ 121.367 and 135.425).

2) There are four types of audits usually used by air carriers. Generally, the differences are who accomplishes the audits and who the audit looks at.

a) Internal audits are performed by air carrier audit personnel on air carrier activities.

b) External audits are performed by air carrier personnel on activities of outside entities or maintenance providers.

c) A specific individual or position within a department, shop, or maintenance provider performs self-audits “in-house.”

d) Third parties (the FAA, Coordinating Agencies for Supplier’s Evaluation (C.A.S.E.), Department of Defense (DOD), etc.) perform third-party audits on the air carrier or maintenance provider.

3) There are at least three audit methods used by air carriers. Generally, the differences are the audit objective and what the audit looks at.

a) The work-in-progress method audit is the primary type of method that we expect the air carrier to use. The purpose of these audits is to determine if the worker is following the manual. This is a requirement of §§ 121.367(a) and 135.425(a). A negative finding is a program deficiency under the CASS rules and must be addressed. This follows the plain

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language meaning of the CASS regulation (i.e., the performance of the maintenance program; are they doing what the program requires?).

b) The transaction method is used primarily for reviewing records and serves to see if the maintenance program standard for the record form, record procedures, record completion, and record accuracy standards of the program are being achieved.

4) The systems method is a high level, comprehensive, and documented examination of all of the activities, records, processes, and other elements of an air carrier or maintenance provider’s various systems, to determine their conformity with the requirements of a standard such as the air carrier’s maintenance program. These audits can also identify various latent faults in the air carrier’s or maintenance provider’s overall systems. These audits are usually, but not always, accomplished by a professional audit agency and result in a written and detailed report that is used by senior management to make corrections to the systems.

5) The operator’s auditing process should have written procedures that include the scheduling of audits. The CASS must address both internal and external audits.

NOTE: If your operator assigns an onsite representative at a maintenance provider, you should ensure that the air carrier’s CASS procedures cover this individual(s)’ surveillance activities. These are classed as work-in-progress audits. Typically, these individuals will observe a noncompliance with the air carrier’s manual and ensure that the maintenance provider corrects the noncompliance usually within that same day. These events must be recorded and input to the air carrier’s CASS documentation system for analysis and evaluation. Otherwise, a pattern of noncompliance with the air carrier’s program and manual may go undiscovered by air carrier and maintenance provider management personnel.

6) CASS procedures should include a risk-based methodology for determining priorities and for establishing and adjusting audit cycles (for example, 12, 18, 24, or 36-month cycles) so that resources are focused on the most pressing issues. You should note that the RMP may show that a department or maintenance provider self-audit is applicable and effective.

7) Although the majority of the inputs to this process would be generated internally, one additional input may be the results of outside audits of the operator or its vendors conducted by entities other than the operator. For example, the results of audits or inspections conducted by the FAA or the DOD may be useful by providing an operator with:

• Specific findings requiring an RCA and possible corrective action; and • Information useful in focusing the operator’s own audits and operational data

collection.

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B. Scheduling Audits. The operator may approach this initial scheduling task in many different ways, ranging from resource allocation based on company experience and very basic analysis to the use of a sophisticated, software-supported risk analysis process. Within this range of possible methodologies, expect the operator’s CASS audit scheduling procedures to contain processes to systematically make those decisions that are compatible with the size and complexity of its operations.

C. Safety and Operational Objectives. Encourage your operator to make this process as structured as possible. The operator should place priority first on safety and regulatory compliance, and second on issues of operational efficiency. However, an effective CASS will meet all of these objectives.

1) To identify the areas to audit and to set priorities, the CASS process should include consideration of factors in outside reports. These factors could include inspections, reports, special studies, or audits conducted by outside entities such as the FAA, DOD, Department of Transportation (DOT), Office of the Inspector General (OIG), or National Transportation Safety Board (NTSB). Outside reports may address:

• Information specific to the operator or its vendors; • Information related to the industry as a whole and of interest to the operator;

or • Information about an accident, incident, procedure/process, or equipment type

that is relevant.

2) The operator should equip CASS auditors with checklists to ensure consistency and completeness of audits. The accountable manager for the CASS should ensure that the checklists are updated as needed. The checklists should be written in a manner that evaluates compliance with the 10 elements of the maintenance program. An auditor should also be permitted a level of flexibility to ask questions not contained in the checklist if he or she finds an area that requires further investigation.

3) An operator’s procedures should include identification of all areas that need to be audited, along with a process for updating this list. The following list presents examples of areas operators should consider for routine audit. A CASS audit should verify that:

a) Manuals, publications, and forms (paper and electronic versions) are useable, up-to-date, accurate, and accessible to users when they are performing assigned duties;

b) Maintenance and alterations are performed according to the methods, standards, and techniques specified in the operator’s manuals, including ensuring that major repairs and alterations are properly classified and accomplished consistent with technical data approved by the Administrator;

c) The maintenance provider properly stores, dispenses, identifies, and handles parts and components;

d) ADs are appropriately evaluated, accomplished, and tracked;

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e) Aircraft modifications that have been installed as a result of AD requirements have not been removed or modified by subsequent repairs, alterations, or other modifications;

f) Maintenance providers generate maintenance records in accordance with manual procedures and are complete and correct;

g) RIIs are identified and addressed according to the operator’s procedures;

h) Authorized individuals execute §§ 121.709 and 135.443 Airworthiness Release Forms and Log Entries according to the operator’s procedures;

i) Maintenance providers accomplish shift-turnover records, work interruptions, and deferred maintenance according to applicable procedures;

j) Maintenance facilities and equipment, including base and line stations and contract maintenance providers’ facilities, are adequate for the work that is to be done;

k) Personnel, including those of contract maintenance providers, are qualified and competent to accomplish their duties;

l) Tools and equipment are properly calibrated;

m) Requirements for specialized tools or training are met, such as for nondestructive testing, Category II/III maintenance, and run-up/taxi;

n) Computer programs for the maintenance program are used in accordance with specifications;

o) Maintenance providers, vendors, and suppliers provide services and products according to the operator’s policies and procedures; and

p) Each aircraft released to service is Airworthy.

4) CASS audits should be primarily proactive, searching out potential problem areas before they can result in undesirable events. However, CASS procedures should also address how to direct unscheduled audits in response to events or a series of events. For example, rejected takeoffs, unscheduled landings, in-flight shut downs (IFSD), accidents, or incidents may indicate the need for special audits or surveillance under a CASS.

5) One of the primary purposes of a CASS is to detect and analyze trends for indications of program weaknesses or deficiencies. For example, CASS auditors would not necessarily audit a single maintenance-related rejected takeoff, although the CASS would investigate the event as part of the reactive function. A CASS would, however, consider whether that instance indicated a need to focus audits on a particular area from the trending proactive point of view.

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6) Auditors and analysts should maintain informal lines of communication with personnel in the other departments so that maintenance personnel can discuss concerns they may have. Through this informal communications process, the operator can learn about potential hazards in the system. For example, the operator may learn about an event that could have occurred but, because of some intervention, did not. This event would be known to shop personnel but is otherwise difficult or impossible to detect in routine audits. With informal lines of communication open to shop personnel, a CASS may detect this near-event. You should ensure that the operator’s CASS procedures address how to encourage this type of communication and interaction.

D. Analysis of Audits.

1) Audit results should undergo an analysis to identify a deficiency or a real/potential hazard in any aspect or element of the maintenance program. The objective of the audit analysis is to allow the operator to address the problem in such a way as to avoid recurrence of the deficiencies. To the extent possible, the operator should set forth the analysis process in the CASS documentation.

2) The analysis tells operators where to allocate resources and helps them understand what was identified. RM principles should be incorporated into the analysis process. The analysis will help CASS personnel determine the level of priority that the issue merits and what type of additional technical expertise may be required to complete the RCA and evaluate corrective action options.

3) The analysis process should be as objective as possible to avoid any tendency to promote individual or commercial interests. The more thorough the analysis, the greater the likelihood the operator will uncover why the system deficiency occurred and how the organization can respond definitively.

4) The analysis process starts during the audit itself, because auditors must collect information for later analysis. If a CASS is to uncover a procedural weakness, for example, information about the procedure must be collected. This should be factual and objective information that does not contain premature judgment about a root cause.

a) Auditors and analysts should be encouraged to be inquisitive and think in terms of “what if?” so that the CASS functions proactively, detecting problem areas or trends before they can lead to an accident, incident, or infraction of regulations.

b) For example, what if event x occurred in conjunction with observed condition y? While audits are designed mainly to verify that an operator is performing maintenance in accordance with its manual, the regulations, and applicable requirements, auditors and analysts should also be alert for systemic deficiencies.

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c) There may be procedures in the manual that are correctly followed, but that have become outdated, conflict with other manual procedures, or for some other reason are in need of a change. This assessment of the system design should also place priority on finding the systemic or root cause of a program deficiency over seeking to assign personal blame at any level of the organization.

d) This inquisitive approach should spread throughout the CASS organization, from determining audit priorities and scheduling through auditing and analyzing, including monitoring and evaluating corrective actions. The end result for this system assessment is seeking out the identification of new or potential hazards.

5) The audit analysis process is typically more qualitative than the operational data analysis. Operators may find it useful to manage the collected data through database or quantitative applications. Be aware that this approach does not have to be complicated or costly. The level of formality and sophistication should match the operator’s conditions.

3-3900 VERIFY THE CASS FUNCTIONS CONCERNING THE EFFECTIVENESS OF THE MAINTENANCE PROGRAM.

A. Surveillance of the Effectiveness of the Maintenance Program.

1) The main tool for assessing whether the air carrier’s maintenance program is effective is the collection of operational data (data resulting from airplane operations). This way, the output of the maintenance program can be measured. However, not all operational data or information may be useful for determining maintenance program effectiveness.

NOTE: Consistent with the “effectiveness” part of the CASS regulation, the primary type of effectiveness surveillance that the operator should be accomplishing is the collection of operational data.

2) A primary goal of air carrier maintenance programs is to ensure that each air carrier aircraft released to service is airworthy, as well as to provide the maximum level of availability for operations in air transportation. However, in order to consistently reach these goals, the air carrier must have a means of determining if the maintenance program is producing the intended results.

3) Generally speaking, at the end product level, an indicator of the effectiveness of the maintenance program is the amount of time an air carrier aircraft is not available for operations in air transportation due to issues controlled by the maintenance program. This particular effectiveness indicator can be broken down into fleet availability or individual aircraft availability, and broken down still further to the reliability of aircraft systems, subsystems, and components. In simple terms, the amount of unscheduled maintenance that reduces the availability of an air carrier aircraft for operations in air transportation is a primary indicator of whether or not the maintenance program is producing its intended results.

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B. Collecting Operational Data.

1) Air carrier operational data collection systems under the CASS effectiveness activity are critical to the air carrier’s ability to determine the level of effectiveness of its maintenance program. These systems should have capabilities for collecting, storing, managing, and retrieving all types of operational data that the air carrier can use to help it determine the level of maintenance program effectiveness.

2) Current systems that collect information regarding the status of aircraft structures, systems, and engines have a wide variance ranging from simple paper systems administered manually by air carrier personnel to the very sophisticated, complex, and automatic real time data collection systems that use information collected from sensors embedded all over the aircraft. As of this writing, there are operational data collection systems planned that will manage, and sometimes repair, system faults through automatic computer activity. Newer transport category aircraft are delivered with sophisticated electronic, propulsion, flight control, and structural monitoring and data acquisition systems.

3) In recent years, an increased emphasis has been placed on using these automatic data collection capabilities, in conjunction with emerging sensor, data processing, and systems status monitoring and assessment technologies, to realize real-time conditions of aircraft components. While most of these automatic systems are not well defined, the goal is to use real-time flight data to detect system flaws or defects or abnormal operating conditions early enough to allow timely intervention.

4) The key thing to remember is that these new maintenance management systems are part of the continuing evolution of maintenance. They should be characterized as a new and different way of doing maintenance, not a means of eliminating maintenance. As maintenance is still being accomplished, these systems do not eliminate maintenance actions. They may, however, eliminate some scheduled maintenance activities.

5) Contact the Aircraft Maintenance Division (AFS-300) for specific guidance before you authorize an air carrier to use an automatic data collection system or automatic Aircraft Systems Health Monitoring and Management System.

C. Operational Data Procedures.

1) The operator should have written procedures to guide its operational data collection process. CASS procedures should include a risk-based methodology for determining the type and frequency of operational data collection so that resources focus on the most revealing data, with regard to maintenance program effectiveness. An air carrier CASS should include clear procedures for determining:

• What operational data to collect; • Who will collect it; • How to collect it; • When to collect it; and • What to do with it.

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2) Operational data can be divided into routine or non-routine data collection and analysis. The routine data element uses a proactive data collection and analysis process that seeks to identify indicators of maintenance program ineffectiveness before they can progress to a functional failure that results in a reduction in aircraft availability. Some examples are:

• Aircraft logbook information detailing unscheduled maintenance, including maintenance deferred in accordance with the MEL/Configuration Deviation List (CDL);

• “Chronic” aircraft systems that have repeat write-ups within a specified time period (e.g., 10 to 15 days);

• Corrosion prevention and control program findings; • Engine condition trend monitoring data; • Individual item failure rates; and • Mechanical Reliability Reports (MRR), Mechanical Interruption Summaries

(MIS), and similar data.

3) The non-routine operational data element is a reactive data collection and analysis process that seeks to identify indicators of maintenance program ineffectiveness after an undesirable event has occurred. Some examples are:

• Accidents and incidents, • In-flight engine and propeller separations and uncontained engine failures, • In-flight engine shutdowns, • High-load events, • Flight delays and cancellations related to mechanical issues, • Rejected takeoffs, • Unscheduled parts replacement or unscheduled maintenance, • Unscheduled landings due to mechanical issues, • Lightning strikes, and • Hard landings.

4) As with reactive audit surveillance, a CASS generally approaches problems from the analytical, systems perspective. For example, in response to one or more rejected takeoffs, a CASS might focus the operational data collection and analysis to determine if a pattern in rejected takeoffs was evident, or a CASS might examine other types of data in relation to the rejected takeoff situation.

5) The above data sets are presented only as examples. Although the data sets are oriented toward equipment, this area of a CASS may also collect other types of data, such as information on the different types of maintenance errors experienced by the operator.

6) The operator’s CASS documentation should include a means of identifying data that is relevant and useful for that operator to use in monitoring the effectiveness of its specific maintenance program. The operator should periodically review and reevaluate the usefulness of the data it collects and analyzes to accomplish this portion of the CASS.

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D. Analysis of Operational Data.

1) Provide analysts with an understanding of the potential significance of each data set and how to process the data to understand its significance. This may require statistical analysis to compare the frequency of certain events or equipment failures with a determined norm, or qualitative analysis to evaluate reports of certain types of events.

NOTE: This process is not necessarily the same as what would be used in an FAA-approved reliability program.

2) Emphasize that the analysis of operational data should consider root causes of negative trends or anomalies. This preliminary RCA, including human factors, may require collaboration with technical personnel in the affected areas or specialists in engineering and reliability departments, or the OEM.

3) Delineate the roles of the CASS analysts as well as other departments or personnel in the analysis of operational data.

4) Some operators select a system that uses alerts or warnings if results of the analysis exceed certain predetermined parameters. A CASS should not rely completely on such alerts to the exclusion of analysts’ judgment. The FAA’s expectation of a CASS in this regard is that the operator has a complete, written procedure to review and analyze the operational data collected, and to determine when further review is necessary.

5) While the surveillance and analysis steps differ for the verification of the performance of the maintenance program versus verification of the effectiveness of the program, the process merges when responding to CASS findings and providing a corrective action, as necessary.

6) Results from the two requirements of CASS (performance and effectiveness) identify potential deficiencies (hazards) in the maintenance program. In responding to these findings and analyses, the objective of a CASS is to determine the root causes of program deficiencies and address them appropriately, regardless of the perspective from which the deficiencies are found. Note that the discussion is focused on a CASS function, not an organization. For a given operator, that function might be performed by more than one organization.

7) Generally, the area responsible for surveillance will present their results to the technical or production area of the operator with a preliminary analysis of the collected information and, in some cases, possible underlying causes of the problem. Personnel in technical or production areas usually complete the RCA and develop proposed corrective action alternatives.

3-3901 VERIFY THE CASS FUNCTIONS CONCERNING THE CORRECTIVE ACTION PROCESS. A corrective action process is the process of interdependent activities that traces the symptom(s) of a problem to its cause, produces solutions in a timely manner for preventing the recurrence of the problem, and implements the changes. The activities within the corrective action process are:

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• RCA; • Development of corrective action; • Implementation of corrective action; and • Monitoring a corrective action.

A. RCA.

1) RCA applies to both audit findings and analysis of results and trends in the operational data. For example, either audits or operational data analysis may point to maintenance errors caused by inadequate training. Analysis should not stop with simply determining which mechanics received inadequate training and then retraining the mechanics. Rather, the analysis should determine why the training breach occurred and consider areas in management, communications, scheduling, or training program design that may be involved.

2) The key is to have a CASS structure that addresses the basic disciplines and elements involved in finding and correcting program deficiencies. The CASS procedures should note that in performing an RCA, all relevant areas should be considered, including the role of senior management in setting appropriate policies, procedures, and an environment of communication.

3) Following a systems approach, an RCA treats errors as defects in the system rather than in an individual. RCA looks beyond the symptom to find the organizational defect that permitted an error to occur, to correct the fundamental problem, and to prevent recurrence. The more thorough the analysis, the greater the likelihood that the operator will uncover why the system deficiency occurred and how the organization can respond definitively.

4) The process starts during the audit itself, because auditors must collect information conducive to later analysis. If a CASS is to uncover a procedural weakness, for example, information about the procedure must be collected. This should be factual and objective information, not a premature judgment about the root cause. RCA is a key to any complete CASS, even though procedures may vary in complexity from operator to operator.

5) Regarding the thoroughness of the analysis, the principles and considerations of an RCA are closely related to those of risk assessment. Both processes do not simply consider the person involved in an issue (for example, the mechanic made a mistake), but all aspects of the organization within which that person works. This approach includes the premise that human error is a consequence of the system rather than a deliberate action of an individual, and that proactive measures and continuous reform of different aspects of the processes and organization can address latent conditions in the system and increase the system’s resistance to operational hazards. The term “latent condition” refers to flawed procedures or organizational characteristics that are capable of creating hazards if the right conditions or actions occur.

6) Ensure that the operator’s procedures or corporate culture do not advocate the blame culture. The blame culture can have a significant negative effect on safe operations. Terminating the individual who has the blame assigned is usually not consistent with an effective RCA.

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a) Operators that adopt the blame culture:

• Fix the blame and move on, • Focus on the individual(s) who made the error, • Stop short of identifying systemic problems and root causes, • Never fix the problem, and • Allow mishaps/mistakes to recur.

b) Written CASS procedures for an RCA should address the following questions:

• Do documented procedures lay-out when the RCA process will be used? • What events would trigger the RCA process? • Do procedures describe who will perform an RCA? • Are CASS auditors and other CASS personnel trained in RCA? • Are personnel who are developing a corrective action trained in RCA? • Do the personnel performing an RCA have a direct knowledge of the

process deficiency? • Are there procedures specific to how an RCA will apply equally to the

performance and effectiveness of CASS? • Does management “support” RCA? • How does an RCA address findings from outside sources?

B. Areas of Emphasis for an RCA.

1) Systems analysis plays an increasingly important role in a CASS because of the increasing complexity and variety of operations, equipment, and organizations. Systems analysis emphasizes a coordinated approach to an enterprise in terms of integrated networks of people and other resources performing activities that accomplish some mission or goal in a prescribed environment.

2) Focusing on a systems approach for identifying why a deficiency occurred, personnel working on the proposed corrective action(s) should ensure that they evaluate the characteristics within the design of a process. This approach recognizes the wide range of interrelated issues that may be associated with a problem in the system, such as management policies, communications, and pilot technique, in addition to the maintenance activities themselves.

3) Human factors analysis looks at how humans communicate and perform in the work environment and then seeks to incorporate that knowledge into the design of equipment, processes, and organizations. This enhances safety and maximizes the human contribution, partly by designing systems to anticipate the inevitability of human error. Human factors that audit checklists can address include basic issues, such as whether there is adequate lighting for mechanics and inspectors to perform their work, and whether schedules permit personnel to get proper rest. But the discipline addresses a wider range of issues affecting how people interface with technology and the operational system, including:

• Human physiology;

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• How people learn and perceive; • Equipment, technology, and documentation; and • Workplace.

4) Knowledge gained from human factors analysis can:

• Help avoid maintenance errors, • Ensure that personnel skill sets match task requirements, • Ensure that skill sets are maintained and improved, and • Enhance the work environment.

a) This knowledge can help CASS analysts perform an RCA.

b) Continuing with the previous example of inadequate training, with insufficient awareness of human factors issues, operators may trace a maintenance error to a mechanic or technician who appears to have received insufficient training for the task and determine that the solution is more technical training. However, further analysis may reveal that there are contributing flaws in equipment design, job cards, manuals, the work environment, or organizational procedures, such as shift turnover, that more training will not satisfactorily overcome. Or, it may turn out that a different kind of training, perhaps involving decision-making skills, is called for.

5) As of this writing, the FAA is deeply involved in cooperative efforts with industry and academia in promoting human factors in aviation. This field is rapidly evolving, particularly in its application to aviation maintenance. According to a study conducted for the FAA, which cited Boeing research, maintenance error contributes to a significant portion of air carrier accidents, with shift-turnover errors and work interruptions standing out as leading underlying causes. Based on the growing importance of human factors and information available to industry, the FAA expects that operators will apply concepts of human factors to their CASS surveillance and analysis.

6) CASS surveillance also should ensure that an RCA considers human factors. Those personnel designated to respond to events such as rejected takeoffs should also include human factors as part of their investigation of individual events. Otherwise, data reviewed in a CASS may be incomplete.

7) One challenge presented by the increasing emphasis on human factors is how to balance two seemingly contradictory purposes. On the one hand, the FAA and industry need to encourage personnel to cooperate in addressing system organization and design issues without inhibitions caused by fear of discipline or enforcement. On the other hand, in some cases, individual employees or the operator may bear a degree of culpability (e.g., deliberately bypassing important controls or committing a serious regulatory infraction in the commission of a maintenance error).

a) In some rare instances, personnel may receive disciplinary action or even FAA administrative or legal enforcement if the action was deliberate and not a result of corporate culture. In any case, a CASS should accomplish an RCA.

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b) In any event, the specific concern of a CASS is identifying and correcting deficiencies in the maintenance program, not assigning blame to any individual or individuals. A CASS should identify and correct deficiencies in the maintenance program, rather than resolve specific events, even if CASS analysts have the task of researching specific events.

C. Analytical Tools and Processes. While it is not a requirement for an operator to implement any specific externally developed system, analytical tools or processes are available to assist in the analysis process. In view of the continuing evolution of this process, as of this writing, some examples of these tools are listed below.

1) The Maintenance Error Decision Aid (MEDA) tool was developed by the Boeing Human Factors Engineering group in collaboration with the FAA, airlines, and the International Association of Machinists for analyzing human performance issues related to maintenance errors and trends. Operators use MEDA to track events, investigate and prevent maintenance errors, and identify contributing factors, corrective actions, and prevention strategies. A software analysis package has been developed to work with this aid and facilitate analysis of systemic issues.

2) The University of Manchester developed the Managing Engineering Safety Health tool in collaboration with British Airways Engineering. The focus of this system is researching the workplace and organizational environment in aircraft maintenance to find the issues with the greatest potential to contribute to human factors problems. The system uses software, diagnostic, and sampling tools. Managing Engineering Safety Health conducts anonymous survey-like assessments among personnel at the work location. This is a more structured, data-intensive approach toward determining and monitoring personnel attitudes toward the system than the interview process discussed earlier. The industry has far less practical experience with Managing Engineering Safety Health than with MEDA.

3) The Human Factors Accident Classification System Maintenance Extension tool was developed by the U.S. Naval Safety Center in collaboration with the FAA for use in the air carrier industry as well as naval aviation. This comprehensive system incorporates a number of analytical tools and has profiled maintenance errors and contributing conditions, permitting development of potential prevention measures. While the Human Factors Accident Classification System Maintenance Extension may be more sophisticated than many operators would need, it demonstrates principles and techniques of software-aided analysis that operators could apply to a CASS.

D. Developing and Implementing a CAP.

1) Development. After the assessment of risk and completion of an RCA, a final decision can be made on a proposed CAP. As directed by written procedures, the CAP should address the root cause of the deficiency and provide a means of verifying that the corrective action fixed the problem.

a) Responsibility/Authority.

1. A CASS should designate the position or organization responsible for evaluating and approving proposed corrective actions as well as the parties responsible for

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implementing, monitoring, and ensuring that all affected parties receive notification, both within the company and externally, if necessary.

2. The CASS director or other designated manager may appoint a corrective action team to design and propose a corrective action. The team, which typically represents a cross section of the departments involved in audits, operational data collection, analysis, and production, oversees the implementation of the corrective action.

3. Technical and reliability control boards are most often used in conjunction with FAA-approved reliability programs; however, a similar concept applies to a CASS, even if no FAA-approved reliability program exists.

4. The danger exists that one individual might be assigned to develop an entire CAP for which they have relatively little or no control (authority) to implement, and is a discrepancy in itself and must be fully addressed before any corrective action is assigned. Ultimately, the direct responsibility must always remain with the department required to address the discrepancy.

5. For example, a corrective action may require a revision to a manual. The department (inspection) that is responsible for the CAP might require the assistance of another department (technical publications) to publish the revision. Consequently, the department that is able to publish the manual would now be responsible (secondary) for publishing the manual.

6. It would be acceptable for auditors to help guide the responsible persons through the corrective action process. However, the auditors must remain independent from the corrective actions they may subsequently audit. The roles of auditors, analysts, managers, and committees should be clear when implementing the CAP.

7. The appropriate authority must accompany the responsibility if the process is to be effective. CASS procedures should address:

• Who has received the authority to develop the CAP? • Who will be responsible to develop the CAP? • Who is responsible to approve the CAP? • Does the air carrier maintain the appropriate role of auditors in

developing a CAP?

b) Duties.

1. The CASS procedures should identify how this plan will receive approval and at what level of the company. The CAP should address all relevant issues, including a timetable for completion of the action with milestones, if appropriate. The appropriate technical department (and other departments, such as flight operations, if the corrective action goes beyond the inspection and maintenance organizations) should then implement the plan.

2. While developing a corrective action, consideration should be made for determining the effectiveness of the corrective action. The corrective action should address what exactly would determine the effectiveness of the corrective action during the followup process.

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Being that the corrective action is developed to address the causal factor(s), the determination of the effectiveness should be based on what measure(s) would be used to validate the effectiveness.

3. For example, if the deficiency involved the installation of incorrect fasteners and the root cause was determined to be the lack of training, the future followup would evaluate the effectiveness of any training that might have been implemented as it relates to the deficiency. Are the incorrect fasteners being installed after training has been accomplished?

c) CASS procedures should specify that personnel will analyze a corrective action proposal carefully before its selection and implementation to ensure that corrective action is necessary and will actually fix the problem and not lead to unintended negative consequences.

1. Air carrier procedures should instruct both the CASS and technical area personnel of the need to consider the impact of the proposed corrective action on other aspects of the operation. This includes other areas of the maintenance program, such as manuals. The corrective action may require coordination with other areas, such as flight operations, that might be affected.

2. A CASS should provide written procedures for the development of a CAP that addresses:

• When a CAP will be developed, based on risk assessment; • How to develop a corrective action proposal with the focus being on

addressing the root cause, as necessary; • Documentation of timelines for accomplishment of tasks within the

CAP; • How will the plan be approved; • The recordkeeping and documentation requirements of the CAP; • How risk assessment and/or systems analysis will be used to guard

against unintended consequences; and • How the effectiveness will be determined during the followup process

(as necessary).

3. In some cases, the operator may require data or assistance from a manufacturer to help correct a deficiency detected by the CASS. The operator should offer guidance in its CASS procedures, based on its particular experience, on how CASS and other personnel should address the need for assistance or information from manufacturers, and how to proceed in case of unsatisfactory or slow responses. This may include developing a standardized letter citing the need for this information or assistance to satisfy the requirements of §§ 121.373, 135.431, or other pertinent regulations. It may also include working with the FAA principal inspector (PI) to find solutions.

2) Implement the CAP. After development of a CAP, the responsible individual(s) must implement the plan. The importance of actually implementing the plan cannot be overstated. The completion of the corrective action must occur so that the discrepancy is

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addressed and the necessary followup surveillance can occur so that the effectiveness of the corrective action can be determined.


1. The danger exists that one individual might be assigned to implement an entire CAP for which they have relatively little or no control (authority) to implement, and is a discrepancy in itself and must be fully addressed before any corrective action is assigned. Ultimately, the direct responsibility must always remain with the department that is required to address the discrepancy.

2. For example, a corrective action may require a revision to a manual. The department (inspection) that is responsible for the CAP might require assistance from another department (technical publications) to publish the revision. Consequently, the department that is able to publish the manual would now be responsible (secondary) for publishing the manual.

3. In the event that a CAP requires changes, procedures should assign authority to specific individuals to enable them to make changes to the plan.

4. It would be acceptable for auditors to help guide the responsible persons through the corrective action process. However, the auditors must remain independent from the corrective actions that they may subsequently audit.

5. The roles of auditors, analysts, managers, and committees should be clearly defined when implementing the CAP.

6. The appropriate authority must accompany the responsibility if the process is to be effective. CASS procedures should address the following questions:

• Who will be responsible for implementing the CAP? • Who is responsible for making changes to the CAP? • Who will determine when the CAP has been completed? • Does the air carrier maintain the appropriate role of auditor when

implementing a CAP?

b) Duties. Accomplishment of these duties is essential to the success of a CAP.

1. CASS procedures should ensure that the corrective action is implemented. Procedures should specify how to implement the plan from the time of development to closure.

2. The CAP should be specific as to what is expected to occur or to be accomplished. Clear timelines should document the completion of specific actions within the plan. For example, a CAP might have numerous actions that must occur in order to complete the plan, perhaps in a sequential order.

3. It is essential that communication exists throughout the corrective action process. Procedures should include guidelines for how the technical area will communicate the status of the corrective action to the person responsible for monitoring implementation. Also,

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procedures should provide all parties involved with what will constitute a closure of individual action items within the plan and/or the plan in whole.

4. The procedures for auditors, analysts, managers, and committees should be clearly established if the process is to be effective. CASS procedures should address the following questions:

• How will the implementation of a CAP be accomplished? • How will changes to the documented plan and/or timeline be

addressed? • When will individual action items within the CAP and/or entire CAP

be considered “closed”?

3) Monitoring the CAP.

a) Under the CASS, monitoring of the CAP should be a documented and systematic approach towards ensuring the implementation of the documented CAP. Without documented procedures for monitoring the CAP, the possibility exists that corrective action will not be implemented.

b) Furthermore, if a corrective action was developed to mitigate or eliminate causal factors and was not implemented, the effectiveness of the corrective action could not be measured and the causal factors would still exist. CASS procedures should ensure that the corrective action was completed.

c) Responsibility/Authority.

1. An identifiable individual or entity (such as a CASS board) should be given the overall responsibility and authority for monitoring the status of the CAP. CASS auditors or analysts may have the direct responsibility of ensuring that the corrective action has been completely implemented in accordance with the established timetable or, if not, determining why the timetable has changed.

2. Responsibilities should include determining if any changes in the corrective action are acceptable, as well as who will make the determination for plan closure.

3. The roles of auditors, analysts, managers, and committees should be clear when monitoring the CAP. The appropriate authority must accompany the responsibility if the process is to be effective.

4. CASS procedures should address:

• Who will monitor the status of the CAP? • Who will approve changes to the CAP? • Who will determine when the CAP has been completed?

d) Duties. The following procedures are essential to the success of the corrective action:

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1. CASS procedures should ensure that the corrective action was completed. Therefore, procedures should specify how the plan will be monitored from the time of implementation to closure.

2. The means for tracking the corrective action against a timeline will vary between operators, and methods are normally dependant on the policies of the operator. Monitoring the plan may be accomplished through the use of electronic media and/or paper media. Procedures should identify what method or methods will be used to monitor the implementation of the CAP.

3. Effective communication must exist between the owner of a CAP and the individual who is monitoring the plan. Procedures should include clear guidelines for communicating the status of the corrective action from the affected technical area to the individual responsible for monitoring implementation. Also, procedures should provide all parties involved with a clear performance standard for closure of individual action items within the plan and/or the plan as a whole.

4. Auditors, analysts, managers, and committees must have clearly-established procedures if the monitoring process is to be effective. CASS procedures should address the following questions:

• How will the CAP be tracked (monitored) in accordance with the timeline?

• How will automation or computerized systems be used to monitor the implementation?

• How will changes to the documented plan and/or timeline be addressed?

• When will individual action items within the CAP and/or entire CAP be considered “closed”?

E. Verify the CASS Functions Concerning the Followup Process.

1) At the beginning of the corrective action process, a risk-based determination was made to mitigate or eliminate the associated risk. This determination led to the development and implementation of a CAP (risk control).

2) When a CAP included an RCA, the primary goal of the CAP would have been to prevent recurrence of the discrepancy. To be effective, the plan would have specifically addressed the identified causal factor(s).

3) Additional surveillance or data collection may be necessary to validate the effectiveness of the CAP. The followup surveillance plan is the means by which the effectiveness is validated and has two principles: verifying the effectiveness of the CAP and additional surveillance planning (auditing and/or data collection).


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1. An identifiable individual or entity (such as a quality organization) should be given the responsibility and authority for performing the followup of the CAP. CASS auditors or analysts may have the responsibility for making a determination of the effectiveness of the CAP and may sometimes determine that the corrective action was not effective and requires additional action(s).

2. The roles of auditors, analysts, managers, and committees should be clearly defined in the CAP process as well as the additional surveillance planning process. The appropriate authority must always accompany the responsibility if the process is to be effective.

3. CASS procedures should address the following questions:

• Who will validate that the CAP was effective? • Who will approve changes to the surveillance planning or immediate

actions?

b) Duties.

1. Performance measures to evaluate the effectiveness of the corrective action should be specific. The performance measures should have been established during the development of the CAP, and should provide the information necessary to determine the level of action plan effectiveness.

2. Verifying the CAP effectiveness may require a one-time audit or could require a series of frequent audits. CASS procedures should include how to determine the level of followup audits for verifying corrective action implementation. For example, based on the risk assessment or complexity of the corrective action, the designated CASS analyst or team may schedule special, less frequent, or more frequent audits.

3. They may also change the data collection process or institute other means of verification. The FAA expects the operator to have a well-designed and logical process to design the followup actions.

4. The accomplishment of the followup process should be verifiable. The operator should document the outcome of the process. This documentation should provide enough information to be able to conclude that the process has been accomplished.

5. The procedures for auditors, analysts, managers, and committees should be clear if the process is to be effective. The methodology will probably vary from one operator to another, but the principles should be evident and verifiable in written procedures.

6. CASS procedures should address:

• What measures will be used to evaluate the effectiveness of the corrective action, including identification of data to be collected, awareness of the possibility of unintended consequences, and events that should trigger a response;

• When and/or how often the followup will occur;

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• How to use the automation or computerized systems to document the followup process; and

• How to determine changes to surveillance planning and/or data collection.

F. Analyze Results. Upon completion of the review/surveillance, analyze the results and determine if the operator/applicant’s CASS meets all of the requirements. If there are deficiencies, initiate collaborative discussions with the operator/applicant to resolve the issues.

3-3902 TASK OUTCOMES.

A. Complete the PTRS Record.

B. Complete the Task. Complete ATOS SAI or EPI DCT, as appropriate, for the CASS Element 1.3.11. Successful completion of this task will result in the acceptance of the CASS program or revision and/or a determination that the CASS is being performed properly and is producing the desired results.

C. Document the Task. File all supporting paperwork in the operator/applicant’s office file.

3-3903 FUTURE ACTIVITIES. Normal surveillance.


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VOLUME 5 AIRMAN CERTIFICATION

CHAPTER 7 REEXAMINATION OF AN AIRMAN

Section 1 Conduct a Reexamination Test of an Airman Under Title 49 of the United States Code

5-1416 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODE. 1534.

5-1417 OBJECTIVE. The objective of this task is to determine if an airman is qualified to exercise the privileges of a particular airman certificate or rating. Completion of this task results in either no action taken against the airman’s certificate or rating, or initiation of an enforcement investigation.

5-1418 GENERAL.

A. Authority. Under Title 49 of the United States Code (49 U.S.C.) § 44709 (formerly § 609 of the Federal Aviation Act of 1958 (FA Act)), the Administrator is authorized to reexamine any airman at any time. Reexamination of an airman does not hinder the taking of punitive enforcement action when appropriate. When an airman fails to comply with a request for reexamination, 49 U.S.C. § 44709 provides legal procedures to be followed to enforce reinspection or reexamination. Detailed information on the enforcement aspects is found in Federal Aviation Administration (FAA) Order 2150.3, FAA Compliance and Enforcement Program.

B. Basis for Reexamination. The reexamination of an airman on the basis of lack of competency is never to be undertaken lightly. There must be ample or probable cause for requesting the reexamination. In most cases a reexamination will result from the inspector’s investigation of an accident or incident where the pilot’s competence was the apparent cause of the occurrence.

5-1419 BASIS OF REEXAMINATION TEST. When an inspector has sufficient reason to believe that an airman may not be qualified to exercise the privileges of a particular certificate or rating, a reexamination may be required. The inspector reaches this conclusion either through reliable reports, personal knowledge, or on the basis of evidence obtained through an accident, incident, or enforcement investigation.

A. Notification. The inspector notifies the airman by letter (Figure 5-140, Letter of Notification of Reexamination) that a reexamination is necessary. The letter must be sent by certified mail and must include a return receipt.

1) The letter should give adequate consideration to the convenience of the airman.

2) The letter should not indicate in any way that the FAA considers the reexamination a punishment for an act that the airman may have committed. Instead, the letter should clearly state that, through the process of reexamination, the FAA is promoting safety in air commerce by ensuring the airman’s competence.

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3) The letter must identify the certificate or ratings for which the inspector wishes to conduct the reexamination. If appropriate, specific flight maneuvers or flight phases in a particular aircraft and crew position should be identified as questionable. For example, an airman who was involved in a directional control landing accident in a Piper PA-18 should be reexamined for competence in takeoffs and landings in either the PA-18 or another aircraft which has, in the inspector’s opinion, similar landing characteristics.

B. Contents of Reexamination Letter. The reexamination letter must specify the following:

• The reasons for the reexamination (such as accident, incident, occurrence); • The specific certificate and/or rating for which the reexamination is necessary; • The type of reexamination; • The category and class of aircraft required (if applicable); • The location of the reexamination (usually left to the airman’s discretion); and • A time limit for accomplishing the reexamination (giving adequate consideration

to the airman).

C. Time Limits. Reexamination should normally take place within 15 days after receipt of the letter of notification. There may be exceptions, and the inspector should be as accommodating as possible. However, the inspector cannot allow the airman to postpone the reexamination indefinitely.

1) One exception would be an airman who was seriously injured and hospitalized for an extended period of time as a result of an aircraft accident. In this case the airman would obviously not be capable of operating an aircraft. The inspector should attempt to determine if the airman intends to continue piloting aircraft after recuperation. If not, or if the airman’s injuries preclude performing pilot duties, the airman may wish to surrender the certificate or associated ratings voluntarily. The airman must not be coerced, and all rules of voluntary surrender must be strictly followed. If the airman does not intend to operate aircraft for a short period of time, or needs time to practice and cannot meet the 15-day deadline, the airman may temporarily deposit the certificate or associated rating at a Flight Standards District Office (FSDO) for a maximum of 30 days in accordance with the temporary deposit and reissue policy. (See Volume 5, Chapter 2, Section 5, Miscellaneous Part 61 Certification Information.)

2) Another exception would be a situation when the inspector suspected that the airman was intending to continue to fly commercially while carrying passengers. In this case, prompt action (less than 15 days) should be taken. The airman should be given the opportunity to be reexamined immediately, or, if the airman elects not to do so, the airman may wish to surrender the certificate or associated rating voluntarily for temporary deposit at the FSDO. The airman should then be encouraged to receive dual instruction from a certificated flight instructor (CFI). If the airman finds it necessary to conduct solo practice while the airman certificate is temporarily deposited at the FSDO, the inspector may issue FAA Form 8060-4, Temporary Airman Certificate, valid for 30 days instead of 120 days. That certificate should bear all ratings previously held by the certificate holder; however, ratings for which the airman is to be reexamined must have the limitation “FOR STUDENT PILOT PURPOSES ONLY—PASSENGER CARRYING PROHIBITED.”

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5-1420 SPECIAL CONSIDERATIONS.

A. Handling an Airman’s Response to a Reexamination Letter at an Office Other than the Requesting Office. Usually, the FSDO that requested the reexamination by letter conducts the reexamination test and follows up with any needed enforcement action. However, an airman may respond to a reexamination letter by contacting a FSDO that did not issue the letter. In such a case, the inspector at the other FSDO must contact the FSDO that requested the reexamination.

1) Immediately upon scheduling a reexamination test, the inspector must inform the requesting FSDO of the appointment and request a copy of the original reexamination letter.

2) After completion of the reexamination test, the inspector who conducted the test at the other FSDO forwards a copy of the test results to the requesting FSDO.

3) If enforcement action is necessary as a result of the reexamination test, the inspector who conducted the test advises the FSDO manager. The FSDO manager contacts the manager of the requesting FSDO. The FSDO managers decide which office is responsible for carrying out the enforcement action.

B. Airman Scheduling Appointment at a Date Later than Indicated. An airman may request an appointment for the reexamination test beyond the time limit stated in subparagraph 5-1419C. However, if the delay is excessive or unjustified, the airman must either schedule the reexamination within a reasonable time, or the airman must place his or her certificate or rating on temporary deposit at the FSDO. If the airman chooses to deposit the certificate, an inspector issues a 30-day Temporary Airman Certificate with specific limitations (see Figure 5-141, FAA Form 8060-4). Volume 5, Chapter 2, Section 5 discusses the temporary deposit of a certificate or rating.

C. Voluntary Downgrade or Voluntary Cancellation of Certificate or Rating. If the airman volunteers to downgrade the certificate or rating in question, the inspector issues a Temporary Airman Certificate with specific limitations (see Figure 5-141). The airman may also volunteer to surrender the certificate in question for cancellation. If this occurs, the airman has no reissuance rights other than passing all knowledge and practical tests. Volume 5, Chapter 2, Section 5 discusses voluntary downgrades and voluntary surrender.

D. Airman Refusal to Submit to Reexamination. If the airman fails to submit to a reexamination within a reasonable period of time (excluding unforeseen problems such as weather, mechanical problems, etc.) or demonstrates an unwillingness to submit to a reexamination, emergency enforcement action to suspend the airman’s certificate shall be initiated. (See FAA Order 2150.3, Chapter 8, Enforcement Investigative Report.)

1) The Enforcement Investigation Report (EIR) need only consist of section A of FAA Form 2150-5, Enforcement Investigative Report, citing 49 U.S.C. § 44709. Any documentation supporting the need for reexamination, a copy of the original notification letter sent to the airman, and any evidence of the efforts made to obtain voluntary reexamination should be attached. A copy of FAA Form 2150-5 shall be forwarded to the Regional Assistant Chief Counsel by the investigating FSDO through the Flight Standards division.

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2) The Regional Assistant Chief Counsel will issue an emergency order of suspension and appropriate certificate stop order, providing the evidence submitted is sufficient to establish that the airman is not qualified to hold the certificate or rating, or that safety in air commerce or air transportation and the public interest requires such action.

3) The emergency order suspends the certificate or ratings until the airman agrees to reexamination and establishes the appropriate qualifications to continue to hold the certificate and exercise its privileges.

5-1421 APPLICATION FOR REEXAMINATION TEST. The only acceptable application used for a reexamination test is FAA Form 8710-1.

5-1422 INSPECTOR QUALIFICATIONS. Inspectors must be qualified in the aircraft. An inspector conducting a reexamination test shall hold the same aircraft category and class ratings that the airman is being tested on. (A Designated Pilot Examiner (DPE) shall not conduct a reexamination test.)

5-1423 CONDUCT OF REEXAMINATION. The method of reexamination should be in accordance with the appropriate practical test standards (PTS) for the certificate or rating involved.

A. Extent of Reexamination. The inspector should test the airman only in the areas specified in the letter of notification. However, if other deficient areas are noted during the reexamination, these would also be the basis for failure of the test. For example, during a reexamination when the airman was to be tested on the ability to recognize and recover from stalls, the inspector noted that on takeoff the airman over-rotated to a dangerously high pitch attitude, requiring the inspector to take corrective action. In this situation the reexamination should be discontinued, and the airman should be informed of failing the test because of deficient skills exhibited while en route to demonstrate the maneuvers.

B. Special Emphasis. The inspector conducting the reexamination should consult the letter issued to the airman for the areas reexamined. Special emphasis may be placed in certain areas, such as crosswind landing techniques after an incident or an accident occurring during a crosswind landing.

C. Standards. The airman must meet the appropriate PTS for the certificate or rating being reexamined. The inspector can fail the airman for any maneuver or procedure in which the airman is found to be unqualified.

D. Knowledge Reexamination. The reexamination may be conducted using an oral or knowledge test, devised by the inspector, if the area to be reexamined is one of knowledge rather than skill or flight proficiency.

E. Reexamination in Simulators. If the airman requests that the reexamination be conducted in a simulator, the inspector must decide if the airman’s qualifications can be determined in the simulator. If so, the test may be conducted in a simulator.

5-1424 REEXAMINATION RESULTS.

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A. Airman Satisfactorily Completes Reexamination.

1) If the reexamination has been satisfactorily completed, and the airman’s certificate had been suspended pending the reexamination test results, the inspector issues a letter of results (Figure 5-142, Letter of Results) to the airman. The FSDO forwards a copy of the letter of results to the Regional Assistant Chief Counsel, who then takes appropriate action to terminate the suspension. If the airman needs use of the certificate immediately, the Regional Assistant Chief Counsel may authorize the inspector to issue a temporary certificate that bears all ratings and limitations from the original certificate.

2) If the reexamination test has been satisfactorily completed, and the airman’s certificate had not been suspended pending the results of the reexamination test, the inspector issues a letter of results (Figure 5-142). The airman may then continue to exercise the privileges of the certificate and/or ratings.

B. Airman’s Performance Unsatisfactory. The airman must be informed in detail of each deficiency. Additionally, if the airman’s certificate had been temporarily deposited at the FSDO and the temporary deposit term is nearing expiration, a decision must be made to suspend the certificate or to extend the temporary deposit period for another 30 days. If, in the opinion of the inspector, the airman could successfully complete another reexamination by obtaining additional instruction, every effort must be made to encourage the airman to do so.

1) When the inspector decides to allow the airman additional time, the inspector takes the airman's certificate for temporary deposit at the FSDO and issues a temporary certificate. The temporary certificate must have a limitation against carrying passengers and a 30-day expiration date. The airman has 30 days in which to practice or obtain additional dual instruction before being reexamined again.

2) If the inspector determines the airman is unable to establish qualification to hold the certificate or rating, legal enforcement action must be taken to revoke the airman’s certificate and/or ratings. (See FAA Order 2150.3, Chapter 8.)


A. Prerequisites. This task requires knowledge of the regulatory requirements of Title 14 of the Code of Federal Regulations (14 CFR) part 61 and FAA policies and qualification as an aviation safety inspector (ASI) (Operations). Additionally, the inspector must meet certain aircraft qualification requirements as outlined in paragraph 4-1422.

B. Coordination. This task may require coordination with another FSDO, an Airworthiness inspector, and/or the Regional Assistant Chief Counsel.

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A. References.

• Appropriate PTS and related tasks from this order. • FAA Order 2150.3, FAA Compliance and Enforcement Program. • FAA Order 8900.1 Volume 15, FAA Safety Team (FAASTeam) Policies and

Procedures. • Letter of Notification of Reexamination (Figure 5-140). • PTRS Procedures Manual (PPM). • Title 14 CFR parts 1, 13, 61, and 91. • Title 49 U.S.C.

B. Forms.

• FAA Form 8000-26, Program Tracking and Reporting Subsystem Data Sheet; • FAA Form 8060-4, Temporary Airman Certificate (Figure 5-141); and • FAA Form 8710-1, Airman Certificate and/or Rating Application (Figure 5-143).

C. Job Aids. Sample letters and figures.

5-1427 PROCEDURES.

A. Determine the Need for the Reexamination Test. Based on all available information concerning the airman’s performance, determine if a reexamination test is necessary. If a reexamination test is not necessary and airman counseling would suffice, see FAA Order 2150.3, Chapter 5, paragraph 9, Remedial Training.

B. Prepare Reexamination Letter. If a reexamination test is required, prepare and transmit the letter of notification to the airman (Figure 5-140).

C. PTRS. Open the PTRS file.

D. Preappointment Procedures. These procedures are to be used by a FSDO other than the FSDO that issued the notification letter.

1) When an airman calls in to schedule a reexamination test, request the following information from the airman:

• The name of the office and the person who issued the reexamination letter, and the reasons for the reexamination;

• The certificate and/or ratings being reexamined; • The kind of aircraft specified; • The areas of special emphasis (if indicated); and • The time limit (date) for completing the reexamination.

2) Schedule the date, time, and location for the reexamination test.

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3) Advise the airman to bring the letter of notification to the reexamination.

4) Request a copy of the original letter from the issuing FSDO.

E. Schedule Appointment. Schedule a date, time, and location for the reexamination test.

1) Refer to the letter of notification to determine if the date the airman wishes to schedule falls within the time limit stated.

2) If the requested date is beyond the time limit in the letter and the delay is excessive or unjustified:

a) Suggest that the airman make the appointment within the time limit; or

b) Recommend that the airman place the certificate on temporary deposit. If the airman elects for temporary deposit, issue FAA Form 8060-4 (Figure 5-141) with appropriate limitations.

3) If the airman refuses to comply with either option, advise the airman that emergency, legal enforcement action will be initiated to suspend the certificate or rating.

a) Refer to FAA Order 2150.3 for emergency suspension procedures.

b) If another FSDO issued the reexamination letter, advise that FSDO of the situation. If another FSDO is handling the enforcement investigation, forward any evidence needed for the enforcement report.

4) When a date, time, and location have been agreed upon, advise the airman to bring the following to the appointment:

• The copy of the letter of notification; • The airman and medical certificates; • FAA Form 8710-1; • The aircraft maintenance records, aircraft certificates, and aircraft manuals, if

the reexamination test is to be conducted in an aircraft; and • Any other documents necessary to establish qualification (logbooks, charts,

etc.).

5) If another FSDO issued the letter of notification, inform that FSDO of the date, time, and location of the reexamination. If not already accomplished, request a copy of the original letter of notification.

F. Plan the Reexamination Test. Examine the letter of notification and determine which PTS and related chapters of this order apply. Prepare an agenda for the reexamination appointment. Bring extra blank copies of FAA Form 8710-1 in case the airman does not have a copy or has filled it out incorrectly.

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G. Application. At the appointment, collect the airman’s documents.

1) Compare the airman’s copy of the letter of notification to the FSDO copy to determine if they are the same.

2) Review FAA Form 8710-1 for accuracy. (See sample, Figure 5-143, FAA Form 8710-1.)

a) In section I, the “Reexamination” box must be marked. Powered-aircraft, glider, and balloon pilots must complete blocks “A” through “V,” where appropriate. Glider and balloon pilots do not need to complete blocks “Q” through “T.”

b) Section II is left blank.

c) Section III is optional.

d) Sections IV and V must be completed.

H. Aircraft Documents. The inspector conducting the practical test, or an Airworthiness inspector, should review the aircraft maintenance records, aircraft logbook, airworthiness certificate, and aircraft registration to determine if the aircraft is Airworthy and suitable for the reexamination test. After review, the documents are returned to the airman.

I. Verify Airman’s Identity. Inspect acceptable forms of identification to establish the airman’s identity. (See Volume 5, Chapter 1, Section 3, Phases of Certification, paragraph 5-53.)

1) If the applicant’s identity cannot be verified because of insufficient or inadequate documentation, request that the applicant return with appropriate identification.

2) If the applicant’s identity appears to be falsified, do not conduct the reexamination test. (See Volume 7, Chapter 6, Conduct an Investigation of FAA Flight Operations to Determine Compliance.)

J. Discrepancies. If a discrepancy that cannot be immediately corrected exists in any of the documents, return all submitted documents to the airman. Inform the airman of the reasons why the reexamination test cannot take place, and explain how the airman may correct the discrepancy.

K. Conduct of the Test.

1) Review the areas to be covered in the reexamination with the airman. Resolve any questions or concerns the airman may have.

2) Conduct the reexamination test in accordance with the agenda, using the appropriate PTS and guidance related to the conduct of the appropriate grade of certificate and/or ratings involved in other related chapters of this order.

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3) Upon completion of the test, debrief the airman immediately concerning the results and the options available to the airman.

L. Satisfactory Reexamination. If the airman’s performance was satisfactory, issue the airman a letter of results indicating satisfactory performance (see Figure 5-142).

1) If the airman’s certificate was suspended pending the results of the reexamination, send a copy of the letter of results to the Regional Assistant Chief Counsel who issued the suspension order.

2) If another FSDO issued the letter of notification, inform that office of the results and forward a copy of the letter of results.

3) If the airman’s certificate was suspended pending the results of the reexamination and the airman needs to exercise the privileges of the suspended certificate, issue FAA Form 8060-4 with all the ratings and privileges of the original certificate.

M. Unsatisfactory Reexamination. If the airman’s performance was unsatisfactory, consider the following two options.

1) If the airman would be able to complete a reexamination test satisfactorily after additional instruction or practice:

• Have the airman place his or her certificate on temporary deposit with the FSDO;

• Issue FAA Form 8060-4 with the appropriate limitations and a 30-day expiration date; and

• Schedule another reexamination test. • If the airman does not wish to schedule another reexamination test, suggest

that the airman voluntarily downgrade the certificate or rating, or surrender the certificate or rating for cancellation. (See Volume 5, Chapter 2, Section 5.)

2) If another reexamination is not in order, suggest that the airman voluntarily downgrade or voluntarily surrender the certificate or rating.

a) If the airman chooses to downgrade or surrender the certificate or rating, issue FAA Form 8060-4 at the next lower grade of certificate or without the rating, as applicable. Have the airman sign the appropriate affidavit as outlined in Volume 5, Chapter 2, Section 5.

b) If the airman chooses to surrender the certificate or rating for cancellation, inform the airman that it can be reissued only upon passing all knowledge and practical tests.

3) If the airman refuses to comply with either option, advise the airman that emergency legal enforcement action will be taken to revoke the certificate or rating.

4) If another FSDO requested the reexamination, forward a copy of the results to that FSDO. If enforcement action is required, inform the FSDO manager so that appropriate office coordination can ensue.

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N. Inspector’s Report. Complete the inspector’s report section on the reverse side of FAA Form 8710-1 (Figure 5-143).

1) Mark either “Approved” or “Disapproved” as appropriate to the reexamination results. If appropriate, cross out “Temporary Certificate Issued” or “Disapproval Notice Issued.”

2) Complete the block marked “Certificate or Rating for Which Tested.”

3) Complete the block marked “Types of Aircraft Used.”

4) Fill in the registration number of the aircraft.

5) Indicate the date of the test, sign the report, and enter the FSDO’s acronym.

6) Mark any attachments that are appropriate.

7) Attach all required documents, and forward the completed file to the Airmen Certification Branch, AFS-760.

O. PTRS. Close the PTRS file. If another reexamination is planned or enforcement action is appropriate, open the appropriate PTRS file.

1) If the reexamination is conducted by the requesting FSDO, that office will close the PTRS file.

2) If the reexamination is conducted by a FSDO other than the requesting office, that FSDO will forward a copy of the results to the requesting FSDO and log the conduct of the 49 U.S.C. (formerly section 609) reexamination under PTRS activity code 1534. The requesting FSDO will close the PTRS file upon receipt of the test results from the office conducting the test.

3) In either above case, if another reexamination is planned or enforcement action is appropriate, the FSDO responsible for taking the action will open the appropriate PTRS file for the action planned.

5-1428 TASK OUTCOMES. Completion of this task results in one of the following:

• Issuance of a letter of results to the airman; • Possible issuance of a Temporary Airman Certificate; or • Possible downgrade of the airman’s certificate.

5-1429 FUTURE ACTIVITIES.

• Airman may return for another reexamination. • Possible enforcement investigation in connection with the reexamination.

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Figure 5–140. Letter of Notification of Reexamination

CERTIFIED MAIL—RETURN RECEIPT REQUESTED

FAA Letterhead

[Date]

[Airman’s name and address]

Dear [airman’s name]:

Investigation of the [indicate accident, incident, occurrence, or other event that led to the reexamination], that occurred on [indicate date and time] at [indicate location], involving you as a [describe airman’s role], gives reason to believe that a reexamination of your airman competency is necessary under Title 49 of the United States Code (49 U.S.C.) section 44709.

Therefore, we request that you visit or telephone this office no later than 10 days from receipt of this letter to arrange for that reexamination. The reexamination will consist of appropriate [indicate grade of certificate or rating] practical test maneuvers with emphasis on [include any special emphasis items].

If you elect to take the reexamination at another Flight Standards District Office (FSDO), please advise us by completing and returning the enclosed notification form in the self-addressed envelope, which is enclosed for your convenience.

If you do not accept this opportunity for reexamination by the date indicated above, it will be necessary for us to start proceedings to suspend your pilot certificate unless other arrangements are made. A reasonable later date may be arranged when required by circumstances beyond your control.

Please note that the incident that occurred on [date] is still under investigation to determine whether enforcement action is appropriate. If enforcement action is to be taken, you will be advised in a separate letter.

Inspector [indicate inspector’s name] is available to discuss this matter and provide any information to assist you.

Sincerely,

[Signed by the inspector making the report]

Flight Standards District Office Address

Dear Inspector [indicate name]:

I have made an appointment with __________ Flight Standards District Office for reexamination at [indicate time] on [indicate date].

[Signed by the airman]

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Figure 5–141. FAA Form 8060-4

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Figure 5–142. Letter of Results

FAA Letterhead

[Date]

[Airman’s name and address]

Dear [airman’s name]:

This letter is to inform you that reexamination of your ability to exercise the privileges of [indicate type of certificate or rating] conducted on [indicate date] at [indicate location] was satisfactory.

If enforcement action was pending or the airman certificate was suspended pending reexamination, inform the airman that a copy of this letter is being forwarded to the Regional Assistant Chief Counsel.

The results of this reexamination are a matter of record and will be forwarded to the Airman Records Office in Oklahoma City, OK.

Sincerely,

[Signed by the inspector conducting the test]

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Figure 5–143. FAA Form 8710-1

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VOLUME 6 SURVEILLANCE

CHAPTER 2 PART 121, 135, AND 91 SUBPART K INSPECTIONS

Section 39 Surveillance of Part 121/135 Operators Participating in “Coordinating Agency for Supplier Evaluation” (C.A.S.E.)

6-1071 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES.

A. Maintenance: 3611.

B. Avionics: 5611.

6-1072 OBJECTIVE. This section provides guidance to be used in inspecting a Title 14 of the Code of Federal Regulations (14 CFR) part 121/135 operator participating in the Coordinating Agency for Supplier Evaluation (C.A.S.E.).

6-1073 GENERAL. The purpose of C.A.S.E. is to conduct audits of various suppliers and vendors through a cooperative effort of the member airlines. These audits are a method for the analysis, control, and acceptability of those vendors supplying parts and maintenance services to member airlines. These C.A.S.E. audits are found to satisfy the requirements of part 121, § 121.373 and part 135, § 135.431 with certain limitations noted in Volume 3, Chapter 49, Section 1, paragraph 3-4035C.

6-1074 C.A.S.E. PROGRAM STANDARDS.

A. Auditor Consistency. To ensure that C.A.S.E. auditors maintain a consistency in qualifications, the association has a strict training and certification program. Since the aviation safety inspector’s (ASI) inspection responsibilities do not include surveillance of the C.A.S.E. program itself, but how the operator is performing to C.A.S.E. guidelines, the ASI should concentrate on operator auditor training programs and recordkeeping.

B. Auditor Training.

1) The C.A.S.E. program provides specific minimum requirements in terms of auditor background and experience required for the auditor to be recognized by the membership. In addition, each auditor trainee must pass a written test, oral examination, and a practical demonstration of their skills and capabilities as an auditor.

2) Only auditors authorized through the C.A.S.E. Air Carrier Auditor Authorization Program are allowed to submit supplier/vendor change information to the database.

C. Operator Recordkeeping.

1) The C.A.S.E. organization publishes a policy and procedures manual that outlines the program in its entirety, including methods for selecting and training auditors, and evaluation standards for evaluating the vendor/supplier.

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2) Members voluntarily exchange the names of vendors/suppliers whose quality control systems comply with C.A.S.E. program standards as determined by an onsite technical audit. Those vendors and suppliers are listed in a register, which is published and updated periodically.

3) C.A.S.E. members will provide Federal Aviation Administration (FAA) representatives access to their C.A.S.E. register of vendors and suppliers.

6-1075 COORDINATION REQUIREMENTS. This task requires coordination with the operator.


A. References (current editions).

• Title 14 CFR parts 43, 91, and 145; • Operator’s Policy and Procedures Manual (PPM); • C.A.S.E. Air Carrier Section PPM; • Volume 3, Chapter 49, Evaluate and Authorize a Part 119 Certificate Holder to

Use a Coordinating Agency for Supplier Evaluation Audit; and • Volume 6, Chapter 2, Section 36, Inspect Parts 91 Subpart K and 121/135

(10 or More) Operator’s Maintenance Records.

B. Forms. None.

C. Job Aids. None.

6-1077 PROCEDURES.

A. Review the Operator’s PPM. Ensure that the operator’s manual reflects the requirements as outlined in the C.A.S.E. Air Carrier Section PPM.

B. Review the Operator’s Personnel/Training Records. Ensure that the operator’s C.A.S.E. auditors are qualified and meet the requirements to maintain their authorization as outlined in the C.A.S.E. Air Carrier Section PPM.

C. Review the Operator’s Recordkeeping System. Ensure that the operator’s recordkeeping system meets the reporting requirements for the C.A.S.E. program.

D. Review the Operator’s Maintenance Program. Ensure that the operator’s participation in C.A.S.E. conforms to the operator’s approved maintenance program.


A. PTRS. Complete the PTRS Record.

B. Complete the Task. Successful completion of this task will result in the operator’s continued participation in C.A.S.E.

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C. Document the Task. File all supporting paperwork in the operator’s office file.

6-1079 FUTURE ACTIVITIES. Normal surveillance.


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CHAPTER 9 PART 145 INSPECTIONS

Section 15 Inspect a Part 145 Repair Station’s Section 145.205 Maintenance/Alterations Requirements


A. Maintenance. 3618.

B. Avionics. 5618.

6-1977 OBJECTIVE. This section provides guidance for inspecting the repair station’s compliance with Title 14 of the Code of Federal Regulations (14 CFR) part 145, § 145.205, regarding maintenance, preventive maintenance, and alterations performed for certificate holders under 14 CFR parts 121, 125, and 135, as well as 14 CFR part 129 operators with U.S.-registered aircraft.

NOTE: This section does not apply to repair stations providing maintenance for part 135, § 135.411(a)(1) operators.

6-1978 GENERAL. The repair station may perform maintenance, preventive maintenance, or alterations for air carriers/air operators conducting operations under parts 121, 125, 129, and § 135.411(a)(2). In these cases, the Repair Station Manual (RSM)/Quality Control Manual (QCM) must describe the procedures to ensure that maintenance is performed in accordance with the air carrier’s Continuous Airworthiness Maintenance Program (CAMP).

A. Each repair station providing maintenance, preventive maintenance, and alterations for air carriers/air operators must follow the air carrier’s/air operator’s CAMP. This requirement will vary depending on the scope of maintenance contracted. A repair station that provides maintenance on the complete aircraft during heavy checks would have to address more of the air carrier’s requirements than a repair station that only provides maintenance for component parts. Each repair station must have a clear understanding of those requirements.

B. For example, a repair station may have been contracted to overhaul an engine gearbox. Air carrier “A” may request the repair station to use the manufacturer’s maintenance manual but air carrier “B” may have additional maintenance requirements that the repair station must follow. Carrier “A” may request the repair station to complete all Airworthiness Directives (AD), but carrier “B” may have an alternative method of compliance (AMOC) to the AD that must be followed. Carrier “B” must then provide the additional maintenance information to the repair station. Carrier “C” not only has an AMOC for the gearbox AD but the gearbox is listed as a Required Inspection Item (RII). Now carrier “C” must provide the additional maintenance information and it must train, qualify, and authorize the repair station inspection personnel on the air carrier’s RII procedures.

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C. Each repair station must make sure that it understands all of an air carrier’s requirements before providing maintenance on any air carrier product. The procedure for contracting work must be in the air carrier’s manual (refer to part 121, § 121.363(a)(2)). A purchase order from the air carrier does not relieve the contractor (repair station) from verifying that the data referenced on the purchase order is current and correct. Each air carrier is required by regulation to ensure that any person performing maintenance, preventive maintenance, or alterations does so in accordance with that air carrier’s manual (refer to § 121.367(a)). The appropriate parts (and the changes and additions thereto) of the air carrier’s manual must be provided to the contracted person (refer to § 121.137(a), (b), and (c)). If the repair station does not have the appropriate parts of the air carrier’s manual, it may not be able to determine whether it is complying with § 145.205(a).

6-1979 COORDINATION REQUIREMENTS. If deficiencies are found during this inspection, then coordination with the appropriate air carrier inspector is required.



• Operations specifications (OpSpecs) A101, B050, and D107. • Title 14 CFR parts 43, 121, 125, 129, 135, and 145. • Volume 2, Chapter 11, Section 1, Introduction. • Volume 3, Chapter 42, Section 1, Initial and Continual Oversight and Evaluation

of Essential Maintenance and other Contract Maintenance Provider Programs and Contractual Agreements.

B. Forms. None.

C. Job Aids. None.

6-1981 PROCEDURES.

A. Review Applicable Information. Before starting the inspection, the principal inspector (PI) should review the following:

1) Parts 43 and 145.

2) The RSM/QCM.

3) If applicable, OpSpecs A101, B050, and D107.

4) The Safety Performance Analysis System (SPAS).

a) The SPAS is Flight Standard’s primary source of comprehensive integrated safety information used by inspectors, analysts, and managers to develop and adjust field surveillance, investigation, and other oversight programs.

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b) The SPAS interfaces with key Flight Standard’s data repositories such as the Air Transportation Oversight System (ATOS), Flight Standards Automation System (FSAS) (which includes the PTRS), and the National Program Guidelines (NPG), as well as other government and industry sources. The SPAS collects raw performance and operational data, analyzes and summarizes it, and then provides critical information in the form of graphs, tables, and reports. The SPAS program is used to:

• Identify safety hazard and risk areas; • Target inspection efforts for repair stations to areas of greatest risk; and • Monitor the effectiveness of targeted oversight actions.

c) The SPAS repair station profile and repair station analytical model (RSAM) are available for use. This data provides additional information on performance and risk associated with individual repair station facilities.

5) Vital Information Subsystem (VIS).

6) Air Carrier’s approved programs.

NOTE: The repair station may be performing maintenance for multiple air carriers and aircraft types. The PI should be aware of the variations in each of the air carrier’s approved programs to more effectively plan and schedule surveillance

NOTE: Any maintenance performed under § 145.205, whether by the repair station or any facility listed on the air carrier’s contract maintenance list, is required to be performed in accordance with the air carrier’s approved procedures. This requirement applies to any and all levels of subcontracted maintenance.

B. Review the Air Carrier/Repair Station Contractual Agreements. Confirm that the repair station has been provided with the necessary information to verify compliance with the air carrier’s approved program and maintenance manual.

NOTE: This information may be identified on the purchase order or other contractual documents from the air carrier. The documents must clearly state how the repair station will perform the requested maintenance along with any other requirements of its program or maintenance manual. If the repair station has applicable sections of an air carrier’s maintenance program(s) or manual(s), verify that they are controlled and current for the maintenance to be performed.

1) Verify that the repair station has procedures for:

a) Performing routine and non-routine maintenance, preventive maintenance, and alterations.

NOTE: The air carrier/air operator may have special maintenance requirements that the repair station is obligated to follow when performing maintenance under § 145.205.

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b) Meeting the air carrier/air operator requirements for periodic inspection and calibration of precision tools, measuring devices, and test equipment.

c) Preventing an inspector’s decision regarding any required inspection from being countermanded. Only supervisory personnel of the inspection unit or an administrative person with overall responsibility for both the required inspection and other maintenance and alteration functions can override an inspector’s decision. This override can only come from the air carrier.

d) Ensuring that required inspections, maintenance, and alterations that are not completed because of a work interruption are properly completed before the aircraft is returned to service (RTS).

e) Completing the work forms, job cards, and detailed procedures for performing inspections and other maintenance.

f) Following the air carrier’s/air operator’s system for recordkeeping and retention or the repair station system if so authorized.

g) Meeting the training requirements of the air carrier.

2) In addition, if RIIs are required, verify:

a) Whether the repair station has been provided with a list of designated inspection items.

b) How the repair station will perform required inspections.

c) How the air carrier will designate and authorize the repair station personnel performing required inspections by name and occupational title.

d) If the repair station has procedures, standards, and limits necessary for required inspections, including identifying RIIs within work forms or job cards, if required.

NOTE: The repair station may use all or some of its own procedures for the above items if authorized by the air carrier.

C. Review Air Carrier Requirements. Review a representative sample of maintenance records and or work orders/purchase orders by the repair station. Verify if the repair station is following the air carrier’s/air operator’s approved program, which may include, but is not limited to:

• Requirements for airworthiness release; • Continuity of inspection program; • Service difficulty reporting requirements; • Continuing Analysis and Surveillance (CAS) Program; • RII requirements (i.e., authorizations, training); • Duty time limitations;

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• Maintenance recording requirements; • Any additional personnel training the air carrier may require; • Continuity of inspections; • Approved data; and • Deviations.

D. Review OpSpec A449. If the repair station’s Antidrug and Alcohol Misuse Prevention Program OpSpec A449 is current and identical to the certificate-holding district office’s (CHDO) copy, repair stations located outside the United States are not issued OpSpec A449.

E. Line Maintenance (Repair Station Within the United States). If the repair station performs line maintenance for air carriers, verify that:

1) The repair station’s OpSpec D107 includes the types of maintenance authorized; it should list the types of aircraft by make and model for each air carrier with which it has a contract.

2) The repair station has a contract for each air carrier listed on the OpSpecs. The type of line maintenance must also be listed on the OpSpecs.

3) The repair station is only providing maintenance at the location on its OpSpecs.

4) The repair station performed the line maintenance in accordance with the air carrier’s/air operator’s manual and approved program.

5) The repair station has the necessary equipment, trained personnel, and technical data to perform the line maintenance.

NOTE: The authorization to perform line station maintenance for an air carrier is not a rating. A certificated repair station must have established housing and facilities. However, only the requirement to provide suitable housing to enclose the largest type and model aircraft for airframe-rated repair stations has been waived by § 145.205(d).

F. Review Geographic Authorization (Repair Station Outside the United States). If the repair station performs maintenance under geographic authorization for air carriers, verify that:

• The repair station’s OpSpec B050 includes an authorization to perform maintenance/alterations and that the repair station is working within the authorization.

• The repair station exercised the geographic authorization in accordance with the operator’s manual and approved program.

• The repair station has the necessary equipment, trained personnel, and technical data to support the geographic authorization.

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G. Analyze Findings. Upon completion of the inspection, record all deficiencies; determine the appropriate corrective action(s). Any areas of noncompliance noted with the repair station’s management of the air carrier’s programs should be forwarded to the air carrier’s CHDO.

H. Conduct Debriefing. Brief the certificate holder on the inspection results. Discuss any deficiencies and possible corrective actions.



1) Section IV of the PTRS Record. Enter an “E” in the “Primary Area” block. List all deficiencies, findings, and irregularities noted during the inspection, using the appropriate keywords that are allowed in the drop-down menu of the “Keyword” block. For each keyword used, write a brief description of the concern in the “Comment” block.

2) PTRS Activity Code 3618/5618 (Overall Subsystem Evaluation). In Section I, the “Assessment” block, select the appropriate word picture number 1–10 in the drop-down menu that best describes the condition of the repair station for the completed inspection.

B. Complete the Task.

1) Completion of this task will result in one of the following:

• Sending a letter to the operator documenting all deficiencies and initiating an Enforcement Investigation Report (EIR), if necessary; or

• A satisfactory inspection with no deficiencies.

2) Discuss areas of noncompliance with the repair station management. Document findings in PTRS. Notify the air carrier’s CHDO of the findings.

3) If it is determined that the repair station does not perform maintenance or alterations for air carriers, after completing the 3618/5618 surveillance close the record in the following manner:

a) Enter “C” (closed) in the “Status” block and “I” (information) in the “Results” block.

b) In Section IV, Comments, enter “E” in the “Primary Area” block, enter “973” in the “Keyword” block, and enter “I” in the “Opinion Code” block with the following statement: “After completing the surveillance it was determined this repair station does not perform maintenance or alterations for air carriers.”

c) Correct the VIS information.

d) Close the “Section I” assessment block with a number 10 from the drop-down menu.

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C. Document Task. File all supporting paperwork in the certificate holder’s office file.

6-1983 FUTURE ACTIVITIES. Schedule and conduct followup inspections as applicable.


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Section 17 Inspect Part 145 Repair Stations Outside the United States


A. Maintenance. 3650.

B. Avionics. 5650.

6-2027 OBJECTIVE. This section provides guidance on inspecting Title 14 of the Code of Federal Regulations (14 CFR) part 145 repair stations outside the United States for Flight Standards personnel involved in certificate management.

6-2028 GENERAL.

A. Inspection Initiation. The comprehensive, in-depth inspection encompasses all of the repair station areas of responsibilities conducted as a result of a work program requirement. While conducting the inspection, the principal inspector (PI) should verify that the facility and personnel are qualified to perform the maintenance functions as listed in the operations specifications (OpSpecs) and capability list. Based on the size and complexity of the repair station, the International Field Office (IFO) may need to form an inspection team capable of effectively evaluating all aspects of the operation.

B. Work Away From a Fixed Location. The district office where the work is being performed may inspect repair stations working away from a fixed location. The PI from the geographical office performing the inspection should maintain good communication with the parent facility’s certificate-holding district office (CHDO) regarding procedures, manuals, equipment, personnel, etc.

C. Inspector Conduct. Each aviation safety inspector (ASI) assigned to an IFO must be conscious of the sensitive issues associated with working in the international environment and must conduct himself or herself with the highest degree of professionalism while assigned outside the United States. An ASI must be courteous and respectful when dealing with foreign nationals and the various officials of the foreign National Aviation Authorities (NAA). In addition, each ASI should understand that while working for the Federal Aviation Administration (FAA), his or her every action is representative of the U.S. Government. The FAA expects IFO employees to be fully aware that they are guests in a foreign country and to recognize national culture within their working environment.

D. Joint Participation. As a professional courtesy and/or to further the Bilateral Aviation Safety Agreement (BASA) and maintenance implementation procedures (MIP) process, coordination with the NAA representatives to participate in the inspection may be required. NAA representatives may desire to participate as observers during FAA repair station surveillance.

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6-2029 COORDINATION REQUIREMENTS. If the repair station has an assigned principal maintenance inspector (PMI) and principal avionics inspector (PAI), the inspection should be coordinated between both inspectors.



• Advisory Circular (AC) 43-15, Recommended Guidelines for Instrument Shops. • AC 43-207, Correlation, Operation, Design, and Modification of Turbofan/Jet

Engine Test Cells. • AC 65-31, Training, Qualification, and Certification of Nondestructive Inspection

(NDI) Personnel. • AC 145-5, Repair Station Internal Evaluation Programs. • AC 145-9, Guide for Developing and Evaluating Repair Station and Quality

Control Manuals. • Special Federal Aviation Regulation (SFAR) 36. • Title 14 CFR parts 43, 65, 121, 125, 135, and 145. • Volume 2, Chapter 11, Section 1, Introduction. • Volume 2, Chapter 11, Section 2, Procedures for Certificating Part 145 Repair

Stations/Satellites located Within the United States and its Territories. • Volume 2, Chapter 11, Section 4, Evaluate a Part 145 Repair Station Manual and

Quality Control Manual or Revision. • Volume 2, Chapter 11, Section 5, Evaluate Part 145 Repair Station Facilities and

Equipment. • Volume 3, Chapter 15, General. • Volume 3, Chapter 42, Evaluate Part 121/135 (10 or More) Contract Maintenance

Program, Contract Agreements, and Contracted Work. • Volume 6, Chapter 11, Section 17, Inspect Avionics Test Equipment. • Volume 12, Chapter 7, International Field Office Responsibilities for

Renewal/Amendment Procedures of Repair Stations Under the Maintenance Implementation Procedures of a Bilateral Aviation Safety Agreement.

B. Forms. None.

C. Job Aids. Job Task Analysis (JTA): 2.4.18.

6-2031 PROCEDURES.

A. Review Applicable Information. Before inspecting, the PI should carefully review:


2) Repair Station Manual (RSM)/Quality Control Manual (QCM).

3) OpSpecs.

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a) SPAS is the organization’s primary source of comprehensive, integrated safety information that is used by inspectors, analysts, and managers in developing and adjusting field surveillance, investigation, and other oversight programs.

b) SPAS interfaces with key-fielded oversight programs such as the Air Transportation Oversight System (ATOS), Surveillance and Evaluation Program (SEP), and the National Program Guidelines (NPG), as well as other government and industry sources, collecting raw performance and operational data, analyzing and summarizing the data, and providing critical information in the form of graphs, tables, and reports. These SPAS outputs are then used to:

• Identify safety hazard and risk areas, • Target inspection efforts for repair stations and to areas of greatest risk,

and • Monitor the effectiveness of targeted oversight actions.


5) Vital Information Subsystem (VIS).

6) CHDO file.

B. Conduct the Inspection. Repair station oversight is accomplished using an enhanced facility line surveillance, whereby PTRS 3650 and 5650 are divided into 15 individual PTRS codes. This will provide a more Comprehensive Surveillance Plan (CSP) for repair stations, and ensure that all aspects of part 145 repair station operations are considered. The facility line surveillance is initiated by opening PTRS activity code 3650/5650 and generating the 15 required activity codes.

• Section 1, (3604/5604) Certificate Requirements. • Section 3, (3605/5605) Records Systems. • Section 4, (3660/5660) Manuals. • Section 5, (3657/5657) Housing and Facilities. • Section 6, (3658/5658) Tools and Equipment. • Section 7, (3656/5656) Technical Data. • Section 8, (3608/5608) Quality Control. • Section 9, (3601/5601) Parts and Materials. • Section 10, (3659/5659) Personnel Record. • Section 11, (3661/5661) Training. • Section 12, (3654/5654) Maintenance Process. • Section 13, (3606/5606) Work Away from Station. • Section 14, (3663/5663) Contract Maintenance Certificated.

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• Section 14, (3607/5607) Contract Maintenance Noncertificated. • Section 15, (3618/5618) Air Carrier and Air Operator Requirements.

1) These 15 sections constitute a complete repair station inspection.

2) All generated activity codes that are applicable to the repair station must be completed and closed before 3650/5650 may be closed. PTRS Code 3650/5650 would be the required “R” item from the inspector’s work program.

3) The PI should verify that the VIS is correct. One or more of the following functions may be inadvertently generated in 3650/5650 if the VIS is not updated and correct:

• Work away from station (3606/5606). • Contract maintenance certificated (3663/5663). • Contract maintenance noncertificated (3607/5607). • Air carrier and air operator requirements (3618/5618).

4) Using a system safety facility approach, the PI can plan additional focused inspections according to the risk level identified in each element.

NOTE: When completing a focused inspection on one of the 15 elements, use the PTRS code for that element, not 3650/5650.

C. Analyze Findings. Evaluate all deficiencies to determine if corrective actions are required.

D. Conduct Debriefing. Brief the certificate holder on the inspection results. Discuss any deficiencies and possible corrective actions.



1) Section IV of PTRS Activity Code 3650/5650 (Overall Repair Station Evaluation). In Section I, the “Assessment” block, select the appropriate word picture number 1–10 in the drop-down menu that best describes the overall condition of the repair station. You may add comments to support the overall evaluation in Section IV.

2) Due to the complexity of this new PTRS requirement, the PI can transfer one or more of the mandatory 15 items to another Flight Standards District Office (FSDO)/certificate management office (CMO). However, if this has been done, the transferring PI is responsible for contacting the transferee’s office to verify that the transferred PTRS has been closed.

3) Close the PTRS record with the following statement “All required elements generated by the RSAT have been completed and closed.”

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

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• Sending a letter to the operator documenting all deficiencies and initiating an Enforcement Investigation Report (EIR), if necessary; or

• A satisfactory inspection with no deficiencies.

C. Document Task. File all supporting paperwork in the certificate holder’s office file. Update the VIS as required.

6-2033 FUTURE ACTIVITIES. Schedule and conduct followup inspections as applicable.


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Section 18 Monitoring Part 145 Repair Stations That Are Essential Maintenance Providers Before, During, and After Labor Dispute, Strike, or Bankruptcy


A. Maintenance: 3644.

B. Avionics: 5644.

6-2052 OBJECTIVE. This section provides information and guidance for inspectors to use when conducting surveillance of a domestic repair station and repair stations located outside the United States (air agency) before, during, and after a labor dispute, strike, or bankruptcy to ensure continued regulatory compliance. A repair station in distress experiencing labor issues may be unable to meet financial obligations, and filing for bankruptcy protection may affect necessary maintenance and operational activities, thereby adversely impacting safety. During these periods, Flight Standards Services (AFS) may require an increased and focused surveillance plan. In any case, the Federal Aviation Administration (FAA) should ensure that public safety is not jeopardized.

6-2053 GENERAL. Safety is a concern when any of the above events causes disruption in air carrier contract maintenance provider’s (repair station) operation. The air agency/repair station is responsible for recognizing current or potential labor or financial problems that could adversely affect safe operations. Repair station management should take a proactive role in these matters and not just react to events as they happen. The repair station should communicate with its certificate-holding district office (CHDO) and keep them apprised of operational impacts. Agency management should present a comprehensive brief to the principal inspector (PI) on how they will continue to operate and meet requirements using management personnel. In some repair stations, certificated repairmen are considered management and should not normally go out on strike. In other repair stations, the repairmen might be considered part of the bargaining unit and may be affected by the strike. In this case, the PI should verify that there are enough certificated personnel available to adequately supervise or perform maintenance as required by the workload. Using the self-disclosure program, the repair station management should inform the CHDO of any significant safety-related findings that were identified through its monitoring and oversight programs. The CHDO may learn of events leading to a labor dispute, strike, or bankruptcy from news media, normal surveillance, the public, other government entities, or other means. Regardless of the source of information, the affected FAA office should initiate immediate action. Since these problems may raise questions about an air agency’s ability to safely conduct operations, the CHDO and PIs should be alert to indicators of financial problems and be prepared to take immediate action if required.

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A. Indicators. One or more of the following indicators may show that a repair station operator is experiencing financial problems:

• Requests for changes in training programs; • Changes in the upkeep of equipment; • Unrest among the work force; • Trouble maintaining parts inventories, excessive back orders, and Cash On

Demand-only basis with suppliers; • Parts being purchased from non-accredited parts brokers data not current; • Increasing number of personnel furloughs and layoffs, especially of

non-production personnel; • Changes in maintenance contracts with air carriers; • Increased use of noncertificated agencies; • Increasing number of personnel layoffs; • Changes in maintenance contracts; • Increase in repeat/warrantee work; • Increase turnover rate among employees/management personnel; • Delays in meeting payroll; • Increased frequency of complaints against the repair station; • High-risk credit rating in the Safety Performance Analysis System (SPAS)

(See Figure 6-95, Risk Indicators); • Labor problems reported in the media that appear to indicate financial distress; • Voluntary or involuntary salary cuts; • The PI must continually evaluate the operators outsourcing program; and • The PI must be kept informed of changing situations at any certified repair station

throughout the world, and the best tools for this data gathering may be found in the SPAS. SPAS repair station analytical model (RSAM) and repair station profile are designed to keep the PI well informed.

B. Bankruptcy/Potential Bankruptcy. Financial difficulties may occasionally lead a repair station operator to file for bankruptcy protection. In these cases, early FAA notification is often not practical. Therefore, it is essential that contract maintenance providers (repair stations) intending to operate during bankruptcy proceedings develop, in partnership with the FAA, an operating plan. Since judgments and decisions of the bankruptcy court should be taken into account, it may be impractical for the operator to project a completion date for all operational changes. The operator should continue to operate at all times in accordance with Title 14 of the Code of Federal Regulations (14 CFR).

NOTE: The regulations do not specifically require repair stations to notify the FAA of impending bankruptcies. However, 14 CFR part 145, § 145.109, requires a repair station to have the equipment, material, and data required by its operations specifications (OpSpecs). Section 145.151 provides the minimum requirements for personnel.

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C. Surveillance. When an air agency experiences a labor dispute, strike, or potential bankruptcy, the CHDO may need to modify the existing surveillance plan to assess the repair station’s ability to conduct safe operations. The surveillance program should be modified to meet any unique circumstances and operational changes proposed by the operator. The surveillance program should be based upon risk assessment. It should focus on high-risk areas (i.e., those with failure consequences resulting in the highest severity level and have high likelihood of accruing).

D. Communications.

1) Operator Communications. The CHDO should initiate and maintain an open line of communication with the repair station/air agency. The CHDO and repair station/air agency should continually discuss the repair station’s operational status and projected changes, including FAA surveillance adjustments. Such collaborative communication is intended to maintain a proactive oversight of the operation.

2) Internal FAA Communications. Labor disputes, strikes, and potential bankruptcy actions generate many inquiries, complaints, and opinions from other government agencies, labor unions, the public, and other sources. Therefore, the CHDO should inform the regional Flight Standards division (RFSD) office.

NOTE: In the course of conducting surveillance, an inspector inevitably acquires proprietary knowledge about the operator and forms personal opinions. Inspectors and managers should not express personal opinions or discuss any findings with the media or public. FAA employees should refer all public inquiries regarding the status of FAA activities to the appropriate public affairs office.

E. Resumption of Operations After Labor Dispute, Strike, or Bankruptcy. After the labor dispute, strike, or bankruptcy has been resolved, normal operations might not be resumed immediately. Upon resumption of normal operations, the FAA may need to revise its level and focus of surveillance. It is important to maintain internal FAA coordination for agreement on the appropriate levels of surveillance.

6-2054 COORDINATION REQUIREMENTS. This task requires coordination between the CHDO and the RFSD office.


A. References. Part 145.

B. Forms. None.

C. Job Aids. None.

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6-2056 CHDO RESPONSIBILITIES AND PROCEDURES.

A. Regional Coordination.

1) Before a Labor Dispute, Strike, or Bankruptcy. When a determination is made that a labor dispute, strike, or bankruptcy is expected, the CHDO should:

• Immediately inform the RFSD office. • Report the extent of any possible work stoppage or interruption in operations. • Report any tentative modifications to the surveillance plan during the labor

dispute, strike, or bankruptcy. • Report any operational safety concern.

2) During a Labor Dispute, Strike, or Bankruptcy. When the labor dispute, strike, or bankruptcy occurs, the CHDO should:

• Immediately inform the RFSD office. • Coordinate with the operator regarding its business plan

(refer to subparagraph 6-2056B). • Modify and coordinate the surveillance plan with the RFSD office

(refer to subparagraph 6-2056C). • Assess any resource needs and communicate these needs to the Regional

Office (RO). • Continually advise the RO of any newsworthy events or significant

developments. • Assess what safety elements may be compromised.

NOTE: Once the labor dispute, strike, or bankruptcy occurs, both the operator and the CHDO should work proactively and in partnership to implement and execute the business and surveillance plans. The operator and CHDO should discuss any significant safety-related findings either generated through the repair station’s own internal tracking and oversight programs or the FAA surveillance activities.

B. Repair Stations Plan. When an operator faces financial difficulties (e.g., pending bankruptcy), the operator should develop and submit a business plan that outlines operational impacts and management initiatives.

1) Meet with the repair station’s accountable management. The CHDO should schedule a meeting to brief the repair station’s key management personnel to discuss the need for a business plan.

a) At the initial meeting, the CHDO will inform the repair station accountable management that they should develop and submit a business plan that should include the following elements:

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• Address any changes the air agency/repair station will make during the transition period that will require FAA approval or acceptance, including possible reduction in ratings and changes to OpSpecs.

• Address possible operational impacts and reduced capabilities (staff reduction, contracting out, etc.).

• Address the decisions of the bankruptcy court (if applicable). • Address initiatives for continued compliance with regulatory requirements

and safe operating practices during the transition. • Indicate interim operating methods and procedures with provisions for

additions or modifications to the plan when necessary. • Include the repair station’s estimated schedule of when changes will be

implemented.

b) The CHDO should advise the repair station accountable management that the FAA is prepared to respond to business plan modifications in a timely manner. However, the repair station should provide timely notification to the FAA of these changes.

2) Review the Business Plan. The CHDO should review the repair station business plan to ensure that it covers the requirements listed in subparagraph 6-2056B1)a). If the PIs find deficiencies or potential problem areas in the business plan, they should meet with the repair station to work through the subject areas.

3) Develop a Surveillance Plan, if Necessary. The repair station may decline to develop a business plan or share the contents of such a plan with the CHDO. In such cases, the CHDO should develop a surveillance plan with increased emphasis placed in areas of suspected moderate and high risk.

C. Surveillance Program.

1) The CHDO will continually review its surveillance program and adjust it to meet the repair station changing needs. In addition, the CHDO should complete a Monthly Surveillance Report Checklist (see Figure 6-94).

2) All FAA surveillance should be recorded using the appropriate PTRS activity codes listed in this chapter. Geographic units may be assigned to perform additional surveillance activities, as required. The RFSD office will ensure that geographic workforce resources are available to accomplish the activities.

3) Assessment and Coordination of Surveillance Data.

a) Information obtained from surveillance reports, the PI, and CHDO management should evaluate other related sources with special emphasis on the following areas:

• Noncompliance with regulations or safe operating practices. • Negative trends. • Isolated deficiencies or incidents. • Causes of noncompliance trends or isolated deficiencies.

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b) The results of any assessment of surveillance data should be provided to the principal maintenance inspector (PMI) and/or principal avionics inspector (PAI). The PIs will communicate the necessary information to the repair station’s accountable management.

c) The PI will debrief the repair stations accountable management team.

• Discuss negative trends or findings discovered by the surveillance. • Discuss possible corrective action(s). • Inform the repair station accountable management team that the PIs will

forward an official written notification of findings. • Inform the repair station accountable management team to submit a

corrective action plan (CAP).

NOTE: The PIs and the repair station accountable management should agree on time limits for the CAP during the debriefing. Negotiations over time limits can be done later if mitigating circumstances arise.

4) Followup Surveillance. Once a corrective action has been completed, the CHDO will schedule periodic followup surveillance (completed within 6 months) in the areas of the deficiency to determine the effectiveness of the repair station’s corrective action.

D. Resumption of Normal Operations After a Labor Dispute, Strike, or Bankruptcy. In some cases, after a repair station emerges from a labor dispute, strike, or bankruptcy, the reduction in operations is followed by rapid expansion. The CHDO should develop a followup surveillance plan. When monitoring repair stations during periods of growth or major change, the surveillance plan will confirm whether the operator is able to continue operating in compliance with the regulations.

6-2057 REGIONAL RESPONSIBILITIES AND PROCEDURES.

A. Before a Labor Dispute, Strike, or Potential Bankruptcy. When the CHDO informs the RO that a labor dispute, strike, or potential bankruptcy is expected, the RFSD office should:

• Review any tentative modifications to the surveillance plan from the CHDO and work with the CHDO to improve the plan, if necessary;

• Determine if the CHDO will need additional resources for the surveillance plan; and

• Review any safety concerns.

B. During a Labor Dispute, Strike, or Bankruptcy. When the CHDO informs the RO that a labor dispute, strike, or bankruptcy is actually occurring, the RFSD office should:

• Review the CHDO’s modified surveillance plan; • Allocate any additional resources to the CHDO, as needed; • Coordinate with other RFSD office;

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• Provide any of the data, assessment, or information that may be useful to the CHDO, as needed;

• Review any safety concerns; and • Contact Flight Standards Analytical Information Center (FSAIC) for financial

information. (Currently, SPAS does not offer financial information.)

6-2058 FUTURE ACTIVITIES. The CHDO should:

• Schedule and accomplish followup surveillance(s) (completed within 6 months) specific to the areas in which the repair station accountable management has taken corrective action to correct deficiencies found during the labor dispute, strike, or bankruptcy. (Task outcomes may vary.)

• Schedule and accomplish followup post-labor dispute, strike, or bankruptcy surveillance activities.

• Keep all supporting documentation.

Figure 6-94. Monthly Surveillance Report Checklist

The CHDO’s monthly surveillance report should address the following:

1. External stress issues that the repair station is experiencing, such as:

a. Labor disputes (pre-contract)/slow downs/work disruptions/maintenance personnel refusal to work overtime.

b. Management issues (lockouts/refusal to negotiate).

c. Lighting strike (labor strikes that are sparked by insignificant instances and are short).

d. A bankruptcy or potential bankruptcy.

e. Changes in the repair station’s accountable management.

f. Significant changes in repair station personnel.

g. Significant changes in equipment (office type, ground support, aircraft, shops, etc.).

2. A review of significant surveillance findings.

3. The repair station’s SPAS performance measures (negative trends), if appropriate.

4. Any changes to the operator’s business plan.

5. Corrective actions (discrepancies that the repair station corrected during this reporting period).

6. Changes in management personnel.

7. Changes in technical support personnel.

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8. Recent pending enforcement cases.

9. Other areas reflecting changes determined by the CHDO/RFSD office.

10. Any safety concerns.

11. Changes in ratings and OpSpecs.

Figure 6-95. Risk Indicators

1. SPAS Economic Indicators. Periodically, PIs should review the SPAS Experian Credit Rating Database for economic and/or financial changes, such as changes in the air agency’s external credit rating.

2. Changes in Management. During surveillance activities, inspectors should:

a. Review the OpSpecs and Vital Information Subsystem (VIS) regularly to determine changes or vacancies in the part 145 key management personnel.

b. Inquire about changes in repair station middle management that are responsible for critical departments in the organization.

c. Inquire about reorganizations that can reduce the amount of safety oversight within the repair station.

d. Determine if there is a good working relationship between the repair station and FAA personnel.

e. Determine whether the repair station management is willing to share data and disclose findings to the FAA.

3. Turnover in Personnel. During surveillance activities, inspectors should:

a. Inquire about changes in personnel/departments (streamlining) that may reduce the amount of safety oversight within the repair station.

b. Inquire about turnover in personnel to determine the potential impact on the repair station’s system and operational stability.

c. Find out whether new or remaining staff is being retrained or cross-trained to perform new or expanded maintenance and/or operations functions.

4. Reduction in Force. During surveillance activities, inspectors should:

a. Find out if downsizing has reduced the amount of internal safety oversight within the repair station.

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b. Good communications and people skills are a necessity; the PI should keep an open dialog with the repair station management. The PI should discuss the impact of recent events and keep informed as to the ability of the repair station to continue its operations. Has the internal repair station system and operational stability been weakened? Ensure that its management has assessed what a reduction in force, layoff, or buyouts will have on its ability to meet its certificate responsibilities.

c. Inquire about the speed or rate of any reduction, layoff, or buyout.

d. Inquire about the issue of training as it relates to workforce reductions or layoffs. Whether the remaining staff is being retrained or cross-trained to perform the new functions is a factor.

5. Mergers or Takeover. During surveillance or certification activities, inspectors should:

a. Inquire about whether the buyer has an aviation background.

b. Inquire about whether key personnel will be retained or replaced.

6. Labor Management Relations. During surveillance activities, inspectors should:

a. Inquire about threatened or actual shutdown in operations, which may have a disastrous economic impact on a repair station.

b. Inquire about the status of the bargaining agreement between repair station labor and management, if applicable.

c. Look for signs that indicate a lack of trust between parties, if applicable.

d. Look for dissatisfaction among groups within the owner/operator base, which indicates instability. For example, long hours and low pay, even for an owner/operator, can present problems and have an impact on a repair station’s system and operational stability.

7. Changes to Program/Outsourcing. During certification or surveillance activities, inspectors should:

a. Consider the impact of new or major program changes on personnel. For example: Do the repair station’s staff size and capabilities meet the requirements of these program changes?

b. Consider how the repair station’s outsourcing policies affect its internal surveillance requirements.

c. Consider the qualifications of the outsourcing contractors. For example, the PI should determine if the contract maintenance providers were approved by the contracting repair station (air agency).

8. Relocation/Closing of Facilities. During surveillance activities, inspectors should:

a. Consider the impacts of adding, closing, or relocating a facility. For example, new facilities may require more surveillance than older, established facilities.

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b. Consider the background and experience of the personnel assigned to the new facility added by a repair station.

c. Consider the impact that a change in facility has on the personnel requirements and determine whether the repair station has adequate resources and training.

d. Consider the rate and pace at which the repair station adds, relocates, and/or closes facilities. For example, a change that is major, abrupt, haphazard, and/or occurs over a short timeframe may be a sign of trouble.

e. Do the new facilities have the required tools and equipment to do the work?


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Section 20 Inspect a Part 145 Repair Station’s Contract Maintenance Program


A. Maintenance:

• Certificated Contract Maintenance Provider: 3663; and • Noncertificated Contract Maintenance Provider: 3607.

B. Avionics:

• Certificated Contract Maintenance Provider: 5663; and • Noncertificated Contract Maintenance Provider: 5607.

6-2102 OBJECTIVE. This section provides guidance for inspecting a Title 14 of the Code of Federal Regulations (14 CFR) part 145 repair station’s contract maintenance program.

6-2103 GENERAL.

A. Type of Inspection. Conduct this inspection because either a work program requirement, a previous surveillance effort, allegations of improper maintenance, or component failure trends call for it. The inspection may be comprehensive and in-depth, or focused and cover a specific area or job function.

B. Policy Review. The principal inspector (PI) or aviation safety inspector (ASI) should carefully review the regulations and applicable Federal Aviation Administration (FAA) policy prior to the visit. The FAA advises that the inspector place special emphasis on the facility maintenance and inspection personnel’s training records. The inspector must accomplish a verification of training. The contractors must receive training and have the qualifications to perform the contracting repair station’s job tasks.

C. Part 145 Requirements. When providing services to a contracting repair station, the contract maintenance provider must meet all requirements of part 145, § 145.217.

NOTE: The regulations allow a repair station to contract any maintenance, preventive maintenance, or alteration for which it holds a rating (§ 145.201(a)(2)). For the purpose of this section, contracting is defined as work performed by FAA certificated or noncertificated entities when the originating repair station assumes responsibility for the work performed by issuing an approval for return to service (RTS). A contract maintenance provider for a maintenance function must not provide a complete repair of a type-certificated (TC) product. The FAA must approve all contract maintenance functions, whether to a certificated or noncertificated provider.

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D. Maintenance Procedures. All repair stations that contract maintenance must have procedures in their Repair Station Manual (RSM) that explain how to accomplish this maintenance. There should be procedures for both sending the product out to the contract maintenance provider and receiving the product back into the repair station. Make sure each procedure includes details explaining who, what, when, where, and how. There should be procedures on how to carry out specific repair instructions and the steps that the contractors should follow to ensure they accomplish the instructions. There should be detailed procedures on how the receiving repair station should inspect the work to assure that the contractors accomplish the work in accordance with repair station work scope, manufacturers specifications, and if applicable, FAA-approved data.

E. Contract Maintenance Functions. The PI/ASI will verify that the repair station has provided the certificate-holding district office (CHDO) a copy of all contract maintenance functions for approval, and a list of the contractor maintenance providers that will provide those services for the repair station. Only the functions list must be approved.

F. Air Carrier Maintenance Instructions. Each repair station that sends maintenance to a contract provider must assure that if the product is from an air carrier that the contract maintenance provider receives and follows all air carrier maintenance instructions for that product.


A. Prerequisites:

• Knowledge of the regulatory requirements of part 145. • Knowledge of the RSM. • Previous experience with part 145 operations.

B. Coordination. This task may require coordination with other specialties or district offices and the certificate holder.



• Title 14 CFR parts 43, 65, 121, 125, 135, and 145. • Volume 2, Chapter 11, Section 1, Introduction. • Advisory Circular (AC) 145-9, Guide for Developing and Evaluating Repair

Station and Quality Control Manuals.

B. Forms. None.

C. Job Aids. None.

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6-2106 PROCEDURES.

A. Review Applicable Information. Before inspecting, the PI should carefully review the following:


2) Operations specifications (OpSpecs).


a) The SPAS is the organization’s primary source of comprehensive, integrated safety information that inspectors, analysts, and managers use for developing and adjusting field surveillance, investigation, and other oversight programs.

b) The SPAS interfaces with key fielded oversight programs (such as Air Transportation Oversight System (ATOS), Surveillance and Evaluation Program (SEP), and the National Program Guidelines (NPG)), as well as other government and industry sources, collecting raw performance and operational data, analyzing and summarizing the data, and providing critical information in the form of graphs, tables, and reports. PIs should use these SPAS outputs to:

• Identify safety hazard and risk areas; • Target inspection efforts for repair stations and areas of greatest risk; and • Monitor the effectiveness of targeted oversight actions.


4) CHDO files.

B. Review the RSM/Quality Control Manual (QCM). Review the RSM/QCM procedures for maintaining and revising the contract maintenance function information required by § 145.217. The information required includes the approved maintenance functions the repair station will contract and the name of each certificated and noncertificated contract facility. The list of contractors is not FAA-approved but the list must be in a format acceptable to the FAA.

NOTE: The FAA approves all maintenance functions contracted to both certificated and noncertificated facilities that are within the scope of the repair station’s ratings.

C. Review the Maintenance Functions Facilities List. Review a representative sample of the maintenance records to verify the repair station is only contracting to the facilities identified on the repair station’s contract maintenance list.

D. Check Records for Certificated Facility. If the repair station contracts a maintenance function to a certificated facility, verify whether:

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1) All maintenance functions sent to certificated contractors are on the approved list.

2) There is a list of each outside facility (with function identified) to whom the repair station contracts maintenance. The list must include the name of the facility and the type of certificate and ratings.

3) All certificated facility items are returned to the repair station through the receiving inspection in accordance with the procedures in the quality system manual.

E. Review Records for a Noncertificated Facility. If the repair station contracts a maintenance function to a noncertificated facility, verify whether:

1) All maintenance functions sent to noncertificated contractors are on the approved list.

2) The repair station ensures that all noncertificated persons performing contract maintenance functions follow a quality control (QC) system equivalent to the system followed by the repair station.

3) The repair station verified, through testing and/or inspection, all work performed by noncertificated persons is satisfactory and airworthy in accordance with the RSM/QCM.

4) The repair station approves for RTS articles that have been maintained by noncertificated contract maintenance providers in accordance with the RSM/QCM.

5) The certificated repair station remains directly in charge of the noncertificated facility work.

6) The repair station is qualifying the noncertificated facility in accordance with the RSM/QCM.

7) The repair station has provisions that will allow the FAA to inspect and observe the noncertificated facility’s work on that article.

8) The inspectors have the appropriate technical data to determine airworthiness.

9) The inspectors are properly trained and qualified to determine airworthiness.

NOTE: The repair station rule already prohibits a repair station from maintaining any article for which it is not rated.

F. Review the Repair Station’s QC System. For certificated and noncertificated contractors, the PI should consider:

1) The procedures the repair station uses to obtain approval for the maintenance function.

2) The repair station’s procedures to qualify the contractor.

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3) The repair station’s procedures for accomplishing contract surveillance if it is a noncertificated repair station.

4) The procedures to properly maintain the contractor list.

5) The technical training on contracted functions for the repair station’s receiving inspection personnel.

6) Whether the repair station’s procedures for receiving inspections provide enough technical detail to determine the airworthiness of an article.

7) The currency of the list of maintenance functions for which the repair station has the housing, facilities, equipment, and materials “in-house” but may need to contract to another facility because of workload or emergency situations.

8) Whether the method by which a maintenance function is added to the FAA-approved list on an emergency basis is in accordance with the repair station’s RSM/QCM.

9) Whether the repair station personnel, that inspect contract maintenance sources, are trained.

10) Whether the maintenance is performed in accordance with §§ 43.13, 43.15, and 43.16.

NOTE: The repair station can not just give a copy of its QCM to the noncertificated contractor and assume the proper procedures will be followed. The certificated repair station must provide adequate surveillance to ensure its QC procedures are followed.

NOTE: Contracting out maintenance functions should not replace the need for adequately staffed and trained maintenance personnel. PIs should pay careful attention to repair stations that constantly revise the maintenance function list on an emergency basis to complete work in a timely manner. PIs should verify that repair stations have the necessary trained personnel for the scope and complexity of the ratings they hold.

G. Inspecting Certificated Contractor. When reviewing work that was sent to a contractor, the PI/ASI should verify the procedures in the RSM will ensure the contractor is rated for the work to be performed and the article is listed on the OpSpecs or capability list of the contracted facility. The PI/ASI should also accomplish the following:

1) The work should be spot-checked to ensure the contracted repair station is not providing a complete repair for a TC’d product. The contracting repair station must complete additional maintenance (refer to § 145.217(c)).

2) Verify the return of all required documents with the article and the filing of the complete records retained by the repair station.

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3) Verify the inclusion of all repair records in the records sent to the end user of the article.

4) Review the incoming receiving inspection procedures to ensure that each article returning after maintenance has the required documents and receives proper inspection.

H. Inspecting Noncertificated Contractor. The PI/ASI should review the RSM procedures that explain how to use noncertificated repair facilities. The procedures should address the contractors’ QC system, which must be equal to that of the repair stations. The PI/ASI should inspect the documents used to verify the noncertificated contractors’ quality system. The PI/ASI should:

1) Verify that the repair station provides the noncertificated facility with all of the procedures to properly complete the requested maintenance. This could include: plating procedures, blueprints, and all data necessary to do the work.

2) Verify with training records that each inspector who will inspect the article when it returns has the training or qualifications required to properly inspect the article to assure it meets all Airworthiness requirements and that the noncertificated contractor completed the work per the instructions and data provided to the noncertificated facility.

3) Ensure that the repair station has on file a letter authorizing the FAA to inspect each noncertificated facility the repair station contracts with. Refer to § 145.223(b) when that facility is performing work for the repair station.

4) Coordinate with the accountable manager to arrange an inspection if the PI/ASI determines the need to inspect the noncertificated facility. The onsite inspection of a noncertificated facility is not a complete base inspection of that facility. This inspection determines if that facility has the housing and facilities, tools and equipment, adequate personnel, knowledge, and appropriate technical data to complete the work for which it was contracted. The inspector should verify that the facility has a QC system in place and is following the procedures the repair station provides. Address all discrepancies noted to the repair station for correction.

I. Analyze Findings. Upon completion of the inspection, record all deficiencies and determine the appropriate corrective action(s).

J. Conduct Debriefing. Brief the certificate holder on the inspection results. Discuss any deficiencies and possible corrective actions.

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1) Keywords Applicable to Surveillance Activity Code 3669/5669:

• Adequate personnel: 121; • Quarterly Utilization Report (QUR): 321; • Housing and Facilities: 543; • Adequate Tools and Equipment: 545; • Functions Facilities List: 648; • Approved Maintenance Functions: 661; • Procedures/Methods/Systems: 801; • QC System: 802; • Maintenance Technical Data: 887; • Terminated NPG Surveillance: 971; and • Cancelled NPG Surveillance: 972.

NOTE: ASIs must ensure that they document the repair station findings properly with the appropriate keywords and comments. Followup or unsatisfactory findings require an inspector to track the corrective actions using the appropriate certification PTRS codes. Identified potential problems not corrected on the spot must have corrective actions directed and a followup activity triggered or planned to verify the corrections to the deficiencies, findings, and irregularities.

2) Section IV of the PTRS Record. Enter an “E” in the “Primary Area” block. List all deficiencies, findings, and irregularities noted during the inspection, using the appropriate keywords in the drop-down menu of the “Keyword” block. For each keyword used, write a brief description of the concern in the “Comment” block.

3) PTRS Activity Code 3607/5607 or 3663/5663 (Overall Subsystem Evaluation). In Section I, the “Assessment block,” select the appropriate word picture “number 1–10” in the drop-down menu that best describes the condition of the repair station for the completed inspection.

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

• Sending a letter to the operator documenting all deficiencies, requesting corrective action.

• Initiating an Enforcement Investigation Report (EIR), if necessary, or a satisfactory inspection with no deficiencies.

C. Document the Task. File all supporting paperwork in the certificate holder’s office file.

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6-2108 FUTURE ACTIVITIES.

• Followup or unsatisfactory findings require an inspector to track the corrective actions using the appropriate certification PTRS codes.

• A 1 or 2 assessment rating on the PTRS Record may require the initiation of a risk management process record.

• Schedule and conduct a followup inspection, as applicable.


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CHAPTER 11 OTHER SURVEILLANCE

Section 24 Evaluate/Inspect Parts 121 and 129 Operators’ Electrical Wiring Interconnection Systems Maintenance Program

6-2723 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES. The Federal Aviation Administration (FAA) has developed the following PTRS activity codes to track and document the initial incorporation, revisions, and ongoing surveillance activities of the FAA-approved type certificate (TC) and Supplemental Type Certificate (STC) electrical wiring interconnection system (EWIS) instructions for continued airworthiness (ICA) into an operator’s maintenance program.

A. Maintenance: 4319, 4320.

B. Avionics: 6319, 6320.

C. Operations Specifications (OpSpecs): 3316, 5316.

6-2724 AIR TRANSPORTATION OVERSIGHT SYSTEM (ATOS) FOR TITLE 14 OF THE CODE OF FEDERAL REGULATIONS (14 CFR) PART 121 AIR CARRIERS. As stated in paragraph 6-2723, track and record initial incorporation using the PTRS codes provided. Accomplish ongoing surveillance activities of the air carrier’s EWIS program using Design Assessment (DA) and Performance Assessment (PA) 1.3.1.

6-2725 COORDINATION REQUIREMENTS. This task requires coordination between the aviation safety inspector (ASI), certificate-holding district office (CHDO)/certificate management office (CMO), International Field Office (IFO)/International Field Unit (IFU), and the operator/geographic unit. It may also include coordination with the Aircraft Certification Office (ACO) for initial/revision approval of EWIS ICA. Additional coordination may be necessary between the principal inspector (PI) of 14 CFR part 145 certificated repair stations and the CMO of an operator with which the operator has a maintenance agreement.

6-2726 OBJECTIVE. This section provides specific guidance to principal maintenance inspectors (PMI)/principal avionics inspectors (PAI) for determining an operator’s compliance with the Enhanced Airworthiness Program for Airplane Systems/Fuel Tank Safety (EAPAS/FTS) operation rules.

NOTE: This section only addresses the EAPAS requirements in the EAPAS/FTS rule. Volume 6, Chapter 11, Section 23, Evaluate/Inspect 14 CFR Part 91 Subpart K/121/125 and § 129.14 Operators Fuel Tank System Instructions for Continued Airworthiness/Revisions, addresses the fuel tank safety (FTS) requirements. The current edition of Advisory Circular (AC) 120-97, Incorporation of Fuel Tank System Instructions for Continued Airworthiness into Operator Maintenance or Inspection Programs, is available on the Regulatory and Guidance Library (RGL) at http://rgl.faa.gov.

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6-2727 GENERAL. On November 8, 2007, the FAA published the EAPAS/FTS rule (Federal Register (FR), Volume 72, Number 216, November 8, 2007). Part 121 certificate holders and 14 CFR part 129 operators of U.S.-registered airplanes (hereafter referred to as “operators”) are required to incorporate FAA Oversight Office-approved EWIS ICA (inspections and procedures) into their maintenance programs by March 10, 2011. These EWIS ICA consist of inspection and restoration tasks, task intervals, procedures to accomplish these tasks, and “protection and caution” instructions/information for the EWIS. The design approval holder (DAH) develops these ICA. The current edition of AC 25-27, Development of Transport Category Airplane Electrical Wiring Interconnection Systems Instructions for Continued Airworthiness Using and Enhanced Zonal Analysis Procedure, is a means of compliance for DAHs to develop EWIS ICA. For the purposes of this chapter, TC and STC holders are referred to as “DAH” when used in context.

NOTE: As stated in part 121, § 121.1101(b) and part 129, § 129.101(b), “…the ‘FAA Oversight Office’ is the aircraft certification office or office of the Transport Airplane Directorate with oversight office responsibility for the relevant type certificate or supplemental type certificate, as determined by the Administrator.”

NOTE: Title 14 CFR part 25, § 25.1701, states “…electrical wiring interconnection system (EWIS) means any wire, wiring device, or combination of these, including termination devices, installed in any area of the airplane for the purpose of transmitting electrical energy, including data and signals, between two or more intended termination points.” Section 25.1701(a)(1) through (14) spell out the included items.

6-2728 APPLICABILITY.

A. Affected Aircraft. The EAPAS/FTS rule applies to operators of transport category turbine-powered airplanes with a TC issued after January 1, 1958, that, as a result of original type certification or later increase in capacity, have a maximum TC’d passenger capacity of 30 or more or a maximum payload capacity of 7,500 pounds or more.

B. “Original Type Certification or Later Increase in Capacity.” The phrase “original type certification or later increase in capacity” addresses two situations. In the past, some DAHs and operators avoided applying requirements mandated only for airplanes over a specific capacity by receiving a design change approval for a slightly lower capacity. By referencing the capacity resulting from original certification, the rule removes this means of avoiding compliance. Also, the FAA could have originally certificated an airplane design with a capacity slightly lower than the minimum specified in the rule, but through later design changes, the capacity could be increased above this minimum. The reference to later increase in capacity in the rule ensures that, if this occurs, the design would have to meet the requirements of the rule.

6-2729 DESCRIPTION OF EWIS ICA.

A. Inspection or Restoration Tasks. EWIS ICA are either inspection or restoration tasks which include intervals, methods, processes, and procedures to keep the EWIS airworthy

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throughout its operational life. The inspection can be a zonal General Visual Inspection (GVI), stand-alone GVI, Detailed Inspection (DI), or a combination of these. A restoration task is usually a cleaning task, but it can also be a task such as replacing an air filter in order to reduce the likelihood of contamination buildup within a zone. The type-certificate holders (TCH) or applicant typically develop these EWIS ICA using the Air Transport Association of America (ATA) Maintenance Review Board (MRB) process and AC 25-27. The STC holders can use AC 25-27 to develop their EWIS ICA.

B. Multiple Components. EWIS ICA can be, and almost always are, comprised of several different components. All of these components together define a particular EWIS ICA. The components of EWIS ICA are located in multiple TC/STC holder-produced documents.

1) As an example, EWIS ICA components can be located in a:

a) Document required by part 25 appendix H, § 25.5(b), commonly referred to as “source document;”

b) Maintenance Review Board Report (MRBR);

c) Maintenance Planning Document (MPD);

d) Maintenance Implementation Document (MID);

e) Aircraft Maintenance Manual (AMM);

f) Standard wiring practice manual (SWPM);

g) Electrical standard practices manual (ESPM) (a term used by some TC/STC holders); or

h) Stand-alone ICA document produced by an STC applicant.

2) These components are items such as:

a) Task reference number(s);

b) Type of task (e.g., DET, stand-alone GVI);

c) Task interval;

d) Applicability (i.e., model, engine type);

e) Airplane zone identification;

f) Task description (e.g., perform a DET of the power feeders);

g) Special or unique tooling requirements, such as borescope for isolated locations;

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h) Task procedures (i.e., instructions on how to perform the actual task);

i) Access instructions; and

j) Task supporting procedures as necessary, such as EWIS cleaning procedures and instructions for protection and caution information that will minimize contamination and accidental damage to EWIS during performance of maintenance, alterations, or repairs.

C. Source Document. Section H25.5(b) states that the EWIS ICA developed in accordance with the requirements of § H25.5(a)(1) must be in the form of a document appropriate for the information to be provided and must be easily recognizable as EWIS ICA. This document must either contain the required EWIS ICA or specifically reference other portions of the EWIS ICA that contain this information. This document is referred to as the source document. Section H25.5(b) does not prescribe a specific data form. The form is at the discretion of the TC/STC holder, as long as it meets the requirements of § H25.5(b). The entire EWIS ICA can be in the source document, or the source document can point to a series of other documents, such as the MRBR, MPD, MID, AMM, or SWPM/ESPM, which contain the EWIS ICA. Those sections and only those sections of the other documents (i.e., MRBR, MPD, MID, AMM, or SWPM/ESPM) that contain parts of the EWIS ICA are FAA-approved. The FAA Oversight Office will approve the source document, which the operators can use as a method of compliance. Operators should use the source document to identify and locate the initial EWIS ICA and incorporate them in their maintenance program by March 10, 2011.

1) The TC/STC holder will revise the source document as new or revised EWIS ICA are developed. They will then provide the revised source document to operators after the document has been approved by the FAA Oversight Office.

2) Sections 121.1111(e) and 129.111(e) require that any EWIS maintenance program changes identified in subparagraphs (c) and (d) of those sections and any later revisions be submitted to the responsible PI for review and approval. The responsible PI will approve the incorporation of the EWIS ICA into the operator’s maintenance program using OpSpec D097. The operator should have procedures in its General Maintenance Manual (GMM) to notify the PI when EWIS ICA are revised by the TC/STC holder or the operator.

D. Controlling Reference Numbers. Controlling reference numbers for the individual EWIS ICA tasks are listed in the MRBR, MPD, MID, or other maintenance documents. An example of a controlling reference number in an MRBR is “MM/MPD ref. 20-60-04.” This number correlates to the same number in the AMM, which is the actual maintenance task with all associated instructions to accomplish it. The TCH may refer to these reference numbers as MRB reference, AMM/MPD reference, Maintenance Significant Items (MSI) reference, task number, etc. It can vary from one TCH to another TCH. The TCH should consider and identify all numbers that are necessary to fully identify and track the EWIS ICA as part of the ICA and must identify them.

E. Specific Items. The example controlling reference number identified in subparagraph 6-2729D (20-60-04) has five specific items that directly correlate to it. Those items

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are listed below. PIs should be mindful that while this example has five items that are part of the EWIS ICA, other controlling reference numbers may have fewer or more.

1) The type of task (restoration/cleaning, stand-alone GVI, and/or DET) as identified in the MRBR, MPD, and MID.

2) The airplane zone identification for airplanes with a zonal program (e.g., Zone 201). Task description as described in the MRBR and MID (e.g., “Inspect (General Visual) all exposed EWIS in the wheel well. NOTE: (Gear extended with handle down and locked position and doors in open position.)”)

3) The task procedure(s), as described in the referenced AMM or other documents that contain the procedure(s). This is the actual instruction on how to perform the GVI, DET, and/or restoration/cleaning tasks that support the task description listed in the MRBR, MPD, and MID.

4) The supporting task procedure(s), if any, necessary to perform the task procedure in any other document referenced by the task procedure.

5) The instructions for protections and caution information that will minimize contamination and accidental damage to EWIS (these can appear in different places, such as in the AMM or in the SWPM/ESPM). This information, if contained in the SWPM/ESPM (or other similar documents), will be in its chapter 20. Sometimes this information is repeated in the standard practices chapter 20 of the AMM. In any case, it is general protection and caution information and it is not expected that unique procedures will be developed for individual EWIS ICA for a particular airplane model or even models produced by the same manufacturer. The AMM or SWPM/ESPM will reference any protection and caution information specific to EWIS ICA.

F. PI Action.

1) PIs must review and familiarize themselves with the source document and all maintenance documents identified in paragraph 6-2729 that pertain to the specific airplane model(s) in the operator’s fleet.

2) The PI must also ensure that the operator has properly identified and accounted for all of the components of each EWIS ICA identified in the source document and that all components are included in the operator’s maintenance program, including maintenance manuals, job/task cards, and engineering order/authorizations where appropriate.

6-2730 WHY EWIS ICA APPROVAL IS NECESSARY. While the FAA accepts most ICA, the FAA determined that EWIS ICA must be approved by the cognizant FAA Oversight Office. The development of EWIS maintenance and inspection requirements can be complex, requiring qualitative engineering and maintenance assumptions. Approval will help ensure standardized application of these assumptions (e.g., zone density, zone size, potential effects of fire, environmental effects, etc.). FAA approval also ensures that operators can use the data/documents to comply with the operational requirements in the EAPAS/FTS rule, and that the data delivered to the operators will be standardized.

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6-2731 TC AND STC HOLDER EWIS ICA. The TC and STC holders are required to develop ICA for the “representative airplanes” (refer to the current edition of AC 120-102, Incorporation of Electrical Wiring Interconnection Systems Instructions for Continued Airworthiness into an Operator’s Maintenance Program, appendix 2, Definitions) EWIS according to 14 CFR part 26, § 26.11 as follows:

A. TCHs. The TCHs develop EWIS ICA in accordance with § H25.5(a)(1) and (b), in effect on December 10, 2007, for each affected type design. The TCH must submit these ICA for review and approval by the FAA Oversight Office.

B. STC Holders. STC holders are only required to develop FAA-approved ICA if the application date for the STC, or any change to existing STCs, was before December 10, 2007, and the certificate was issued on or after December 10, 2007. New STC or amended applications filed after the effective date of the rule (December 10, 2007) are also required to develop FAA Oversight Office-approved EWIS ICA in accordance with the provisions of § 26.11, or in compliance with § 25.1729.

6-2732 OPERATOR INCORPORATION OF EWIS ICA INTO THE MAINTENANCE PROGRAM. Sections 121.1111 and 129.111 require the operator’s PI to review and approve incorporation of the TC/STC holder EWIS ICA or other applicable EWIS ICA approved by the FAA Oversight Office into the operator’s maintenance program using OpSpec D097 by March 10, 2011. This includes revisions to the EWIS ICA.

A. PI Action for Inspection Tasks/Intervals.

1) PIs must ensure that the operator incorporates these TC/STC holder inspection tasks and task intervals into its maintenance program (i.e., time limitations manual, AMM, SWPM/ESPM, job/task cards, and any other documents the operator may use in administering its maintenance program, such as engineering orders/authorizations) by March 10, 2011.

2) If the operator proposes changes to the initial TC/STC holder inspection tasks and task intervals, the operator must submit its proposed changes along with supporting technical justification/data to the PI, who may add comments and forward them to the FAA Oversight Office for approval.

3) The FAA Oversight Office will respond to the operator and copy the PI on the approval/disapproval letter.

4) PIs should ensure that the operator has procedures in its manual to notify the PI of any revisions to the TC/STC holder inspection tasks and intervals.

NOTE: The information in subparagraphs 6-2732A(2) through (4) apply to all PI action items as appropriate.

B. Instructions and Procedures. The FAA Oversight Office-approved instructions/procedures to perform the EWIS tasks will be contained in the TC/STC holder source document, AMM, SWPM/ESPM, and in their applicable job/task cards. Operators must

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incorporate these instructions/procedures into their appropriate manuals and job/task cards by March 10, 2011.

C. PI Action for Instructions and Procedures. PIs must ensure that the operator incorporates the TC/STC holder instructions and procedures to perform the EWIS task into its AMM, SWPM/ESPM, and job/task cards and any other documents the operator may use in administering their maintenance program, such as engineering orders/authorizations as applicable by March 10, 2011.

D. Protection and Caution Instructions/Information. The EWIS ICA also include protection and caution instructions/information that will minimize contamination and accidental damage to EWIS during the performance of maintenance, alterations, or repairs. The TC/STC holders have developed these protection and caution instructions/information to support the EWIS maintenance program for the airplane. STC holders may develop their own protection and caution instructions/information, or they may choose to use the TCHs’.

1) These protection and caution instructions/information will be in the source document, AMM, or SWPM/ESPM. They are FAA Oversight Office-approved.

2) It is important that the operator apply these protections and cautions to minimize contamination and accidental damage to EWIS when performing maintenance, alteration, or repairs. It is also important to clean the EWIS and surrounding area after completion.

3) These protection and caution instructions/information must be incorporated into the operator’s maintenance program by March 10, 2011.

E. PI Action Protection and Caution Instructions/Information.

1) The PI must ensure that the operator incorporates the TC/STC holder protection and caution instructions/information into its AMM, SWPM/ESPM, job/task cards, and any other documents the operator may use in administering their maintenance program, such as engineering orders/authorizations, as applicable.

2) If the operator develops its own protection and caution instructions/information that are different from that identified in the TC/STC holder documents, then the operator must request that those new/different protection and caution instructions/information be approved by the FAA Oversight Office.

a) For example, the TC/STC holder might call out a specific cleaning procedure, cleaning solution, or cleaning materials for the area to be inspected. The operator decides that it wants to use something different from what is provided by the TC/STC holder. In this case, the operator must request approval from the FAA Oversight Office.

b) Operator-developed job/task cards that include EWIS should have the protection and caution information and instructions included on the job/task card or should reference the location in the AMM or SWPM/ESPM so that the person performing the task can locate them.

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6-2733 STC HOLDER-DEVELOPED EWIS ICA.

A. Applicability. The part 26 requirement in the EAPAS/FTS rule applies to new STC applicants and STC or amended STC applications before December 10, 2007, and the certificate was issued on or after December 10, 2007. The rule also applies to new STC or amended STC applications filed after the effective date of the rule. It does not retroactively apply to any STCs installed prior to December 10, 2007.

B. New or Amended STC Applications. Section 26.11 requires new or amended STC applications filed after the effective date of the rule to be evaluated and, if necessary, develop and submit the necessary revisions for review and approval to the FAA Oversight Office. If an operator develops its own STC, which creates new EWIS ICA, the FAA Oversight Office must approve them.

C. PI Action.

1) The operator must submit its STC EWIS ICA to the FAA Oversight Office for approval. This includes providing supporting technical justification/data through the PI. The PI adds comments (if any) and forwards the STC EWIS ICA to the FAA Oversight Office for approval.

2) The PI must ensure that the operator has included any FAA Oversight Office-approved STC EWIS ICA changes into its maintenance program by March 10, 2011.

6-2734 STC LIMITATION.

A. Regulation. Part 26 did not prohibit issuing an STC even if the STC applicant had not yet met the requirements of that section. In this case, the FAA added a limitation to the STC. FAA engineering policy memo PS-AIR-100 2007-12-27B, Enhanced Airworthiness Program for Airplane Systems (EAPAS) Supplemental Type Certificate (STC) Limitation, dated July 7, 2008, describes how, why, and when the FAA did this. You can download an electronic copy at http://rgl.faa.gov.

B. STC Limitation. It is important that the PI understand that this is a limitation on the installation of the STC, not on the operation of airplanes on which the STC was installed previously. The following statement was added to the “Limitation” section of the STC:

NOTE: “This modification may not be installed after August 30, 2010, unless (1) previously approved electrical wiring interconnection system (EWIS) instructions for continued airworthiness (ICA) have been evaluated and determined to be adequate for this installation by the FAA, or (2) revised EWIS ICA have been approved by the FAA Oversight Office. (Refer to § 26.11.)”

C. Installation after August 30, 2010.

1) In order for the operator to install the STC after August 30, 2010, the PI must ensure that the operator has one of the following:

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a) A letter from the FAA Oversight Office stating that the previously approved EWIS ICA have been evaluated and shown to be adequate for the modification. The operator should request this letter from the FAA Oversight Office to ensure that the STC has been evaluated in accordance with § 26.11(c)(1) and (2) prior to installation.

b) Revised EWIS ICA that the FAA Oversight Office has approved for the STC modification. The revised EWIS ICA should be provided to the operator by the STC holder.

2) In both cases the PI should request verification from the operator that the EWIS ICA installed after August 30, 2010, are FAA Oversight Office-approved.

D. Existing STCs after August 30, 2010. As stated in subparagraph 6-2734B, this is a limitation on installation, not operation. Operators can continue to operate their airplanes with the existing STC after August 30, 2010. The operator has no obligation under the operation rules (§§ 121.1111 and 129.111) to develop EWIS ICA for the existing STC. If the STC holder provides EWIS ICA for the previously incorporated STC (STC installed after the effective date of the rule), the operator must incorporate the EWIS ICA into its maintenance program prior to March 10, 2011.

6-2735 REQUIREMENT TO ENSURE COMPATIBILITY BETWEEN FTS AND EWIS ICA.

A. Purpose. The EAPAS/FTS rule requires the TC/STC holders to review any fuel tank system ICA developed to comply with Special Federal Aviation Regulation (SFAR) 88, Fuel Tank System Fault Tolerance Evaluation Requirements. This ensures compatibility with the enhanced zonal analysis procedure (EZAP)-generated EWIS ICA and minimizes duplication of requirements between them (refer to AC 120-102, appendix 2 for more information on EZAP). Fuel tank wiring is part of the EWIS. The fuel tank system maintenance and inspection requirements might be more specific than those for wiring in general, and might contain additional requirements.

B. TC and STC Holder Review. The TC/STC holders will review the two ICA to ensure that any maintenance tasks for EWIS do not compromise fuel tank system wire requirements, such as separation or configuration specifications. The TCH will list these EWIS and fuel tank system tasks and intervals in its maintenance program documents, such as the source document, MRBR, MID, and the MPD for the airplane. The TCH will identify them as EWIS ICA or EWIS/SFAR 88 ICA. The STC holder will list its ICA in the STC source document it provides.

C. PI Action.

1) The PI must be aware that the separation and configuration of EWIS, especially when performing a repair or alteration to the EWIS or fuel tank system wiring, may be critical. Further, the FAA Oversight Office must approve any operator changes to separation and configuration of EWIS or fuel tank system wiring.

2) The PI must also be aware that critical design configuration control limitations (CDCCL), which have been mandated by an Airworthiness Directive (AD), affect fuel tank

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system wiring. For further information on FTS CDCCLs, refer to AC 120-97 and Volume 6, Chapter 11, Section 23.

3) The PI must ensure that the operator has procedures in its manual that ensure separation and configuration control when performing repairs or alterations to EWIS and FTS wiring.

6-2736 OPERATOR INCORPORATION OF FAA-APPROVED EWIS ICA INTO THE MAINTENANCE PROGRAM.

A. Operational Rule Requirements. The operational rules require part 121 certificate holders and part 129 operators to incorporate FAA Oversight Office-approved EWIS ICA (inspections and procedures), which include inspection tasks, task intervals, instructions/procedures to accomplish those tasks, and protection and caution instructions/information for the EWIS, into their maintenance program by March 10, 2011.

B. Operator’s Tracking System. The operator’s tracking system must track the initial incorporation as well as revisions within its maintenance program so that the ICA will not lose their identity as FAA Oversight Office-approved ICA. This includes:

1) Tasks and intervals;

2) Instructions/procedures in the AMM and SWPM/ESPM; and

3) Protection and caution instructions/procedures in the AMM and SWPM/ESPM.

C. PI Review. The PI must ensure that the operator has a means to assess the tracking of EWIS ICA to ensure the incorporation of revisions to them in the maintenance program.

D. Controlling Reference Numbers. The TCH’s controlling reference numbers uniquely identify the EWIS ICA for identification and traceability purposes throughout the operational life of the airplane. During the initial operator incorporation of these EWIS ICA into its maintenance program, the operator should use these controlling reference numbers or an operator-developed system that correlates to these numbers for the purposes of traceability. This will help prevent inadvertent deletion, changes to the type of task, or escalation of EWIS ICA without proper consideration of the reason for the task and its interval.

NOTE: The tracking system should correlate to the controlling reference number for the EWIS ICA and be acceptable to the PI.

6-2737 CHANGES TO OPERATOR’S EWIS TASK OR INTERVALS.

A. Types of Changes. There are two types of changes to the operator’s EWIS ICA:

1) Deletion of or changes to an EWIS task; or

2) Escalation of an airplane check interval, such as “C check” containing EWIS tasks and intervals.

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B. FAA Oversight Office Approval. If the operator proposes to delete or change an EWIS task, it must request approval from the FAA Oversight Office.

C. PI Action.

1) If the operator proposes to delete or change an EWIS task, it must submit any proposed changes along with technical justification/data through the PI. The PI adds comments, if any, and forwards the proposed changes and data to the FAA Oversight Office for approval.

2) The PI must review the operator’s submittal and ensure that the technical justification/data is fundamentally sound before providing comments for the FAA Oversight Office to review. For example:

a) Is the proposed deletion because the task is already part of an existing task within the operator’s maintenance program, thereby being duplicative?

b) Is the proposed change because the operator has a different or more efficient way of accomplishing the task? If so, the operator needs to explain in its proposal how the change is different or more efficient without compromising the intent of the original task or safety.

D. Escalation of an Airplane Check Interval. If the operator proposes an escalation of an airplane check interval such as the “C check” that contains EWIS tasks and intervals, the FAA Oversight Office does not have to approve the change. This change is within the authority of the PI and the procedures in the operator’s GMM.

6-2738 EWIS TRAINING PROGRAM.

A. Operator Maintenance Training Programs. The EAPAS/FTS rule introduced new requirements that affect TC and STC holders and operators. To realize fully the objectives of EAPAS/FTS requirements, the FAA encourages operators to rethink their current philosophical approach to maintaining, inspecting, and altering aircraft wiring and systems in the aircraft. The FAA has also adopted the “Protect and Clean as You Go” philosophy. This philosophy stresses:

1) The importance of protective measures when working on or around wire bundles and connectors; and

2) The importance of protecting EWIS during structural repairs, STC installations, or other alterations by making sure that metal shavings, debris, and contamination resulting from such work are removed during work in progress and after completion.

B. Application. The operator can apply this philosophy to aircraft wiring through the inclusion of protection and caution instructions/information in the AMM, the SWPM/ESPM, and AC 25-27. This philosophical approach begins at the airplane manufacturer with maintenance program enhancements, maintenance manual changes, and maintenance training programs. In addition, there will be new maintenance manual and job card procedures, inspection devices, graphical information showing required tasks, or changes in tasks such as wiring splicing. Operators should provide training to maintenance, inspection, and engineering personnel,

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including persons who write and edit job cards and engineering orders. They should ensure that their contract maintenance providers are included. The FAA published the current edition of AC 120-94, Aircraft Electrical Wiring Interconnection Systems Training Program, to assist operators in development of EWIS training programs.

C. Fuel Tank System Wiring. Operator maintenance training programs should emphasize the EWIS as a system on the aircraft that includes fuel tank system wiring. In this case, the requirements for fuel tank system maintenance and inspection might be more specific than those for wiring in general, and might contain additional requirements that protect the fuel tank system ignition prevention features. The operator must maintain, inspect, and repair all EWIS in accordance with the AMM, the SWPM/ESPM, or other FAA-accepted methods, techniques, and practices.

D. PI Action. Although there are no new training requirements in the EAPAS/FTS rule, the PI will monitor the operator’s maintenance training program to determine if the operator’s training curriculum conforms to the guidance in this section and AC 120-94. The PI should encourage the operator to incorporate appropriate parts of both documents into its training program.

6-2739 OPERATOR COMPLIANCE PLAN.

A. Purpose. To meet the requirements of §§ 121.1111 and 129.111, the FAA is encouraging operators to develop a compliance plan that is consistent with the guidance in AC 120-102. The rule does not require an operator-developed compliance plan. The plan is simply a written document/matrix that details specific objectives and milestones for ensuring timely compliance with the EAPAS/FTS rule. It becomes part of the operator’s maintenance program and is the controlling and source document for the operator’s EWIS program, including revisions.

B. Elements of a Compliance Plan. The plan should include all the items discussed in AC 120-102 that apply to the operator. Where processes and procedures already exist within the operator’s maintenance program and GMM that are consistent with AC 120-102, the compliance plan can reference the pertinent portions of the GMM containing them. The operator should incorporate new processes and procedures developed in the compliance plan into the relevant area of the maintenance program and GMM. The compliance plan should be revised when administrative and GMM policy changes are made that affect the operator’s EWIS maintenance program and when revisions to the EWIS ICA are made. AC 120-102, appendix 4 provides a sample operator compliance plan.

C. PI Action.

1) PIs should encourage their operators to develop a compliance plan that suits their needs and is consistent with the sample compliance plan given in AC 120-102.

2) The PI will approve the operator’s EWIS maintenance program changes by issuing OpSpec D097 from the automated Operations Safety System (OPSS) database.

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3) The PI should use the original date of approval on OpSpec D097, Repairs Assessment for Pressurized Fuselages, and OpSpec D070, Fuel Tank System Maintenance Program, when transferring and approving these requirements on new OpSpec D097, Aging Aircraft Programs.

4) Revisions to the operator’s compliance plan should be consistent with the policy in subparagraph 6-2739B and AC 120-102.

6-2740 TASK OUTCOMES. If not already accomplished, document that the operator has successfully incorporated the TC/STC holder’s EWIS ICA into its maintenance program by approving the incorporation on OpSpec D097 from the OPSS database by March 10, 2011.

A. Complete the PTRS Record for Part 121 Air Carriers and Part 129 Operators. Open a new PTRS record using the PTRS codes listed in paragraph 6-2723. Enter “EWIS” in the “National Use” block of section I. In section IV, the “Comment” block, annotate the following:

1) Document that the operator has incorporated the applicable EWIS ICA into its maintenance program.

2) Record the signature date of the EWIS OpSpec.

B. Ongoing Surveillance of Part 121 Air Carriers. To ensure that the air carrier continues to comply with its EWIS requirements, accomplish surveillance activities as scheduled using the EWIS DA and PA questions incorporated into ATOS Safety Attribute Inspection (SAI)/Element Performance Inspection (EPI) 1.3.1. This will enable CMOs to evaluate EWIS during normal risk-based evaluations of the air carrier’s maintenance program in accordance with ATOS policy and guidance.

C. Ongoing Surveillance of Part 129 Operators. To ensure the operator continues to comply with its EWIS requirements, accomplish and record surveillance activities using the PTRS codes listed in paragraph 6-2723, using “EWIS” in the “National Use” block. Enter the findings in the PTRS database in accordance with existing procedures.


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CHAPTER 13 ENHANCED REPAIR STATION AND AIR CARRIER CONTRACT OVERSIGHT SYSTEM

Section 1 Introduction

6-2871 INTRODUCTION.

A. The goals and objectives of the enhanced oversight system are based on system safety processes providing a documented risk-based oversight system. This comprehensive standardized approach is applicable to both the air carrier contract maintenance and repair stations workforces. The process allows for a continuous assessment focusing on the highest risk.

B. One of the primary initiatives of this project is to have a clear understanding that when a Title 14 of the Code of Federal Regulations (14 CFR) part 121 air carrier’s aircraft with a Continuous Airworthiness Maintenance Program (CAMP) enters a certificated 14 CFR part 145 repair station, §§ 121.363 and 145.205 establish that all part 121 maintenance rules take precedence and the repair station effectively becomes an extension of the air carrier’s maintenance program.

C. The system provides a closed loop process for inspectors to gain assurance that regulatory standards are being met by both the air carriers and repair stations, and that the air carrier’s contract and repair station maintenance process produces the intended results.

D. The following are primary components of the enhanced oversight system:

• Repair Station Assessment Tool (RSAT), • Contract Oversight Prioritization Tool (OPT), • Risk management process (RMP), • Principal inspector (PI) interface, • Safety Performance Analysis System (SPAS), • Surveillance including foreign maintenance providers, • A part 145 repair station focused team approach made up of repair station aviation

safety inspectors (ASI), and • A part 121 air carrier focused contract maintenance task oriented teamed

approach made up of air carrier ASIs.

E. PI interface and information sharing are one of the keys to the effective application of the enhanced oversight system. Information generated from both part 121 and 145 surveillance can be shared to identify risk levels in your area of responsibility. It will provide value to all the processes of risk management (RM). For the part 121 Certificate Management Teams (CMT), the Continuing Analysis and Surveillance System (CASS) is a direct interface with the oversight process providing an effective control for air carrier maintenance contracting and is a great resource of information.

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F. The SPAS database provides information for the first four processes, from hazard identification to the decision making process. The risk assessment process for parts 121 and 145 CMTs will provide inspectors the capability to identify how likely an issue could happen, and how severe it will be if it does occur. With this information, you will be able to make decisions, relating to the effectiveness of an air carrier to properly contract a maintenance function or a repair station’s performance of the carrier’s maintenance program. By combining the information in SPAS with a risk assessment, you can determine the effectiveness of the repair station in following the air carrier’s contract maintenance program, and recognize the proper corrective actions needed and determine the root cause.

6-2872 RSAT.

A. Prior to 2006, each repair station PI was tasked to perform one required inspection (R-item) per repair station in accordance with Flight Standards National Work Program Guidelines (NPG) (Program Tracking and Reporting Subsystem (PTRS) activity code 3650/5650). In 2006, the scope and detail of 3650/5650 was divided into 14 elements or subsystems with new activity codes. The surveillance data collected for these elements created a baseline for each repair station. For fiscal year (FY) 07, the subsystem of 3607/5607 Contract Maintenance is divided into two separate subsystems: Contract Maintenance to noncertificated repair facilities and 3663/5663 Contract Maintenance to certificated repair facilities for a total of 15 elements/subsystems.

B. Today the enhanced repair station and air carrier contract oversight system is based on system safety and RM principles. We are going to look at the basic elements of this system and some of the tools and resources that are available to you for managing and planning (RSAT) your surveillance program.

C. This section provides detailed procedures for the RSAT.

D. The RSAT is used for both surveillance planning and evaluation assessment. This tool helps the PI, other assigned inspectors, supervisors, and managers identify areas of concern or criticality about a specific repair station, and target resources for use in the areas of highest risk.

6-2873 REPAIR STATION OVERSIGHT PROCESS DESCRIPTION.

A. The enhanced oversight system provides a comprehensive, standardized, system safety-based approach to repair station surveillance. The system consists of a baseline surveillance program, a repair station data package, an RSAT, and an RM tool.

B. The overall oversight process involves the following steps, as depicted in Figure 6-115, Repair Station Oversight System Flowchart, and explained in later paragraphs.

1) A comprehensive baseline repair station surveillance program.

2) A data package generated via SPAS using current sources. The PI reviews this data before completing the RSAT.

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3) An RSAT is completed taking into consideration subparagraphs 6-2873B1) and 2), PI expertise, and system design, including operating environment, configuration, and design of repair station.

4) The surveillance program is modified to reflect the risk level in each subsystem.

5) The completed RSAT enables an assessment of the repair station.

6) An RMP is used for issues of high concern.

7) During the next 12 months, the updated surveillance program and RMPs are completed and this data is fed back into the system.

8) At the beginning of the FY, the process is repeated (beginning with subparagraph 6-2873B1) to get an overall assessment of the operator and plan surveillance for the upcoming year, enabling the Federal Aviation Administration (FAA) to target resources to areas of highest risk.

Figure 6-115. Repair Station Oversight System Flowchart

6-2874 BASELINE REPAIR STATION SURVEILLANCE PROGRAM.

A. The baseline surveillance program ensures that all aspects of part 145 repair station operations are considered. The new surveillance program divides the current PTRS activity codes 3650/5650 into 15 subsystems with new 36XX/56XX activity codes. This partition better defines the intent of the FAA guidance and provides a more comprehensive surveillance structure.

3. Repair Station Assessment Tool.

6. Risk Management Process to be Initiated for

Issues of Concern.

7. New

Surveillance Program D

ata, R

MP, and O

ther Information. 4. Modified

Surveillance Program. 5. Overall

Assessment of Repair Station.

1. Baseline Repair Station Surveillance Program.

2. Repair Station Data Package.

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B. The baseline surveillance program is accomplished by PTRS activity codes 3650/5650 triggering up to 8 required activity codes. Four subsystems are required to be completed every year for each certificated repair station: 3608/5608 Quality Control, 3654/5654 Maintenance Process, 3656/5656 Technical Data, and 3661/5661 Training. The following subsystems must also be completed annually if applicable: 3606/5606 Work Away from Station, 3607/5607 Contract Maintenance—Noncertificated Repair Facilities, 3618/5618 Air Carrier Requirements, and 3663/5663 Contract Maintenance—Certificated Repair Facilities. As a review of the status, if any of these last four subsystems are not applicable, they must be completed once every 3 years. The remaining subsystem activities must be completed at least once every 3 years.

C. All applicable required activity codes must be completed and closed before the 3650/5650 records are closed. Table 6-8, Elements of a Well-Designed Maintenance Organization, shows the 14 subsystems, the chapters in this order that address each subsystem, and the corresponding PTRS activity code.

Table 1 – 3, Elements of a Well-Designed Maintenance Organization.

Volume 6, Chapter 9, Section 9 (3601/5601) Parts and Materials

Volume 6, Chapter 9, Section 7 (3656/5656) Technical Data

Volume 6, Chapter 9, Section 1 (3604/5604) Certificate Requirements.

Volume 6, Chapter 9, Section 5 (3657/5657) Housing and Facilities

Volume 6, Chapter 9, Section 3 (3605/5605) Records Systems

Volume 6, Chapter 9, Section 6 (3658/5658) Tools and Equipment

Volume 6, Chapter 9, Section 13 (3606/5606) Work away from station.

Volume 6, Chapter 9, Section 10 (3659/5659) Personnel Records

Volume 6, Chapter 9, Section 14 (3607/5607) Contract Maintenance—Noncertificated Repair Facility.

Volume 6, Chapter 9, Section 4 (3660 /5660) Manuals

Volume 6, Chapter 9, Section 8 (3608/5608) Quality Control.

Volume 6, Chapter 9, Section 11 (3661/5661) Training

Volume 6, Chapter 9, Section 12 (3654/5654) Maintenance Process.

Volume 6, Chapter 9, Section 14 (3663/5663) Contract Maintenance—Certificated Repair Facility.

6-2875 REPAIR STATION DATA PACKAGE.

A. This package is accessible to all inspectors via SPAS and provides an analytical review of a repair station. This report contains data available through FAA information resources including, but not limited to, surveillance and enforcement data. Inspectors will use:

• This data package; • Their knowledge of the repair station system design, including operating

environment, configuration, and design of repair station; and • Personal expertise to complete the RSAT.

B. This enhanced data package will be available for future fielding. Meanwhile, inspectors should use the Repair Station Profile currently available in SPAS and any other

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sources, including data available through the certificate holder. It should be noted that currently the data, available to the FAA regarding repair stations is very limited.

6-2876 RSAT. The RSAT is used for both surveillance planning and evaluation assessment. This tool helps the PI, other assigned inspectors, supervisors, and managers to identify areas of concern or criticality about a specific repair station. As a result of this assessment, the PI may modify the baseline surveillance program, begin an RMP for issues of concern, or both. Also, the RSAT will provide an overall assessment of the repair station that can be used for prioritization among repair stations.

6-2877 MODIFIED SURVEILLANCE PROGRAM. As mentioned previously, the baseline surveillance program consists of one required PTRS activity code 3650/5650 for each repair station. This generates up to eight “R” items as listed in paragraph 6-2874. Also, the PI may modify the baseline surveillance program to reflect the potential risks. In such cases, the PI may modify the upcoming FY surveillance plan by assigning “R” and additional “P” items as necessary.

6-2878 OVERALL ASSESSMENT OF REPAIR STATION. After completing the subsystem assessments in the RSAT, the PI provides an overall assessment of the repair station. This overall assessment will allow for prioritization among repair stations.

6-2879 RMP. After completing the RSAT, the PI may use an RMP for issues of high concern. This process is designed to provide CMTs an effective means to oversee the certificate holder’s management of identified hazards. The PI may use the RMP to address any hazard that he or she decides is significant enough to justify intensive analysis and tracking. Systemic hazards are often good candidates for this process. The PI determines when it is appropriate to use the RMP to address an identified hazard. The RMP Automation Guide provides further detail.

6-2880 WHEN TO USE THE RSAT. The RSAT will be used in September after the Regional Automated Management Planning Subsystem (RAMPS) has been incorporated to develop the initial work program for the next FY. An RSAT shall be completed for each repair station every 12 months.

6-2881 RSAT PROCESS DETAILS. This paragraph provides step-by-step details on how to complete the RSAT. The following work instructions are designed to help PIs or a Designated Person (DP) complete the RSAT.

A. Step 1: Repair Station Data Package. Using SPAS, obtain a repair station data package for the repair station in question.

NOTE: Since the repair station data package will not be available until a later phase; use the SPAS repair station profile in the meantime.

B. Step 2: Identify Trends or Concerns. Perform a comprehensive review of the above data package to determine the status of previous risks and to identify new potential issues of concern. Identify trends and concerns, taking into consideration your knowledge of the repair station and system design, which includes operating environment, configuration, and design of

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the repair station. The PI may also contact the certificate holder to obtain any additional pertinent information.

C. Step 3: Complete the RSAT. Complete a new RSAT while taking subparagraph 6-2881B into consideration.

1) The RSAT is accessed through the Assessment and Planning Module (APM).

2) Once the APM is accessed, an RSAT is selected.

Figure 6-116. Assessment and Planning Module

3) After an RSAT has been selected, the repair station designator and inspector specialty may be entered.

NOTE: For each repair station certificate, only one RSAT exists for maintenance and one for avionics. Additionally, an ASI can display all the RSATs for all his or her responsible repair station certificates on one sheet by inputting their inspector identification.

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Figure 6-117. Repair Station Assessment Tool Main Page

4) The RSAT consists of 15 subsystems designed to ensure that all aspects of part 145 repair station operations are considered.

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Figure 6-118. Repair Station Assessment Tool

5) Column Descriptions.

a) The first column designates those activities that are either NPG-required (3608/5608 Quality Control, 3654/5654 Maintenance Process, 3656/5656 Technical Data, and 3661/5661 Training) or Vital Information Subsystem (VIS)-based potential R-items (3606/5606 Work Away from Station, 3607/5607 Contract Maintenance–Noncertificated Repair Facilities, 3618/5618 Air Carrier Requirements, and 3663/5663 Contract Maintenance—Certificated Repair Facilities).

b) Desg: This column lists the designator of the repair station.

c) Act: The PTRS activity code for each of these 15 subsystems.

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d) Subsystem Description: Provides a short description of each of the 15 subsystems.

e) Insp: The next column shows the inspector initials.

f) CallUp: The next columns provide the results of the prior FY’s oversight.

g) SSA: Prior FY RSAT subsystem assessment.

h) Plan: Total number of surveillance planned (prior FY).

i) Com: Total number of surveillance completed (prior FY).

j) The next five columns (1-2, 3-5, 6-7, 8-9, and 10) show the results of surveillance completed (prior FY).

k) RMP: Number of RMP completed (prior FY).

l) NPG: The R column shows the number of inspections required for the upcoming FY and are generated automatically once RAMPS has been incorporated. An R-item is required for subsystems due to inactivity during the past 2 years and R-items for subsystems 3608/5608 Quality Control, 3654/5654 Maintenance Process, 3656/5656 Technical Data, and 3661/5661 Training are required annually. Additionally, the following subsystems must also be completed annually, if applicable: 3606/5606 Work Away from Station; 3607/5607 Contract Maintenance—Noncertificated Repair Facilities; 3618/5618 Air Carrier Requirements; and 3663/5663 Contract Maintenance—Certificated Repair Facilities. As a review of the status, if these subsystems are not applicable, they must be completed once every 3 years.

m) In the next column, “SSA”, assess each of the subsystems. When assessing each subsystem, consider:

• The repair station data package (refer to subparagraph 6-2881A) and issues identified as a result of that review;

• The PI knowledge of the repair station and system design, which includes operating environment; and

• Configuration and design of the repair station.

n) The next column shows the RSAT assessment R-items. R-items are generated automatically if the subsystem assessment score is between 1 and 2; however, an R-item is not added in this column if it is already required due to inactivity during the past 2 years or if it is an annually required subsystem.

o) The next column shows the RSAT assessment P-items. P-items are generated automatically if the subsystem assessment score is 3 to 5. However, a P-item is not added in this column if it is already required due to inactivity during the past 2 years or if it is an annually required subsystem. Additional P-items can be added by the PI as needed, but the number of P-items cannot be decreased by the PI.

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p) The number for “Total Surveillance for Each Subsystem” is automatically calculated by adding the “Number of Inspections Required” (refer to subparagraph 6-2881C5)f)), “Assessment R-Item” (refer to subparagraph 6-2881C5)h)), and “Assessment P-Item” (refer to subparagraph 6-2881C5)i) above). This represents the total number of surveillance for each of the subsystems.

NOTE: A higher number of total inspections should be planned for subsystems of concern.

6) For issues of high concern, an RMP can be created. If an RMP is to be created, the PI will choose “Yes” in this column and the RMP is automatically generated. Follow the RMP Automation Guide for further detailed instruction on the completion of RMP.

NOTE: The RMP created via the RSAT will have “RSAT” indicated in the status box. Also, once the PI opens an RMP, the RMP must be processed and should not be ignored or dismissed without following the RMP to completion.

7) The final step involves the PI assigning an overall assessment of the repair station by using the “Overall Assessment.” When assessing the repair station, consider the repair station data package (refer to subparagraph 6-2881A), the individual subsystem assessments and system design which includes operating environment and configuration and design of the repair station.

NOTE: The results of the subsystem and overall assessments will be valuable during the next iteration of RSAT and for prioritization among repair stations.

D. Step 4: Modified Surveillance Plan. As a result of completing the RSAT, the baseline surveillance program is modified to reflect the risk level at this particular repair station.

E. Step 5: Completion of the Surveillance Plan. During the next 12 months, the CMTs will complete the surveillance program as determined by the RSAT. It should be noted that the baseline surveillance program consists of a 3650/5650 “Required” R-item generated for each repair station. This in turn will generate additional “Required” R-items as listed in paragraph 6-2874 and the 3650/5650 can’t be closed until all these subsystems are completed and closed.

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Figure 6-119. Glossary of Terms

Term Definition Baseline Surveillance Plan

The baseline surveillance program is accomplished by Program Tracking and Reporting Subsystem (PTRS) activity code 3650/5650 triggering the 15 subsystem activity codes, ensuring that all aspects of Title 14 of the Code of Federal Regulations (14 CFR) part 145 repair station operations are considered.

Controls The certificate holder has checks and restraints in place to ensure a desired result. Documentation Includes certificate holder documents such as manuals, policies, and procedures. Subsystem Assessment

Word pictures that allow for the assessment of each of the 15 subsystems.

Overall Assessment Word pictures that allow for the an overall assessment of the repair station as a result of the RSAT.

Repair Station Data Package

This is a data package accessible to all inspectors via the Safety Performance Analysis System (SPAS) available at a later date. Use the repair station profile currently available in SPAS until then.

RSAT Repair Station Assessment Tool. RMP Risk management process. System Design Includes operating environment, configuration (number of employees, facilities,

etc.), and design ( type of maintenance performed, ratings, etc.) of the repair station.


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Section 2 Risk Management Process


A. This document provides detailed procedures for the risk management process (RMP). This process is part of the Enhanced Repair Station and Air Carrier Contract Oversight System.

B. The RMP is to provide certificate-holding district offices (CHDO) with an effective means to oversee the certificate holder’s management of identified hazards and the risk posed by those hazards. This process has five major steps, as illustrated in Figure 6-120, Risk Management Process Flowchart, and is briefly described below.

6-2898 WHEN TO USE THE RMP. The RMP may be used to address any hazard that the principal inspector (PI) decides is significant enough to justify intensive analysis and tracking. Systemic hazards are often good candidates for this process. The PI determines when it is appropriate to use the RMP to address an identified hazard.

6-2899 RMP DESCRIPTION. The paragraphs below briefly describe each of the five steps and how those steps support the RMP. The remainder of this document describes in detail how to carry out each step.

A. Step 1: Hazard Identification. Hazard identification describes what is wrong with the certificate holder’s operation. The PI describes the conditions or circumstances in the certificate holder’s operating environment or in its operating systems that could lead to an unplanned or undesired event.

B. Step 2: Risk Analysis and Assessment.

1) Risk analysis determines what could happen and why. The PI identifies the potential consequences that could result if the hazard was not addressed. The PI also identifies the factors that are causing or contributing to the hazard’s occurrence. The risk factors identify what must be fixed or controlled in order to reduce the level of risk.

2) Risk assessment determines how likely is it to happen and how bad it would be if it did happen (the level of risk). The PI uses the information from the risk analysis to determine the severity of the potential consequence, the likelihood of that consequence occurring if the hazard is left alone, and the overall level of risk. The overall level of risk is one consideration in determining what priority should be placed on ensuring the certificate holder addresses the hazard and its risk factors.

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C. Step 3: Decisionmaking. Decisionmaking determines what is to be done about identified risks. The PI decides:

• If action needs to be taken to eliminate the hazard, • To reduce the level of risk, • If the certificate just needs to be monitored, or • If the responsibility for getting the hazard mitigated should be transferred to some

other Flight Standards Service (AFS) or Federal Aviation Administration (FAA) organization.

D. Step 4: Implementation. The PI identifies actions that he or she will need to take to effectively oversee the certificate holder’s mitigation of the hazard. He or she will then carry out these oversight actions.

E. Step 5: Validation. Validation answers the question “Did it work?” To complete the validation step, the PI reviews the current status of the hazard and verifies that the certificate holder has addressed the risk factors that contributed to or caused the hazard to occur and/or be encountered. The PI also verifies that the level of risk posed by the hazard was reduced. Using this evaluation of the current level of risk, the PI decides whether to close the RMP for this risk hazard, or whether more actions are required.

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Figure 6-120. Risk Management Process Flowchart

6-2900 RMP DETAILS. This paragraph provides step-by-step details on how to complete the RMP for any certificate holder. The following instructions are designed to guide the completion of the RMP by PIs or a Designated Person (DP).

A. The RMP is accessed through the Assessment and Planning Module (APM) or through the Repair Station Assessment Tool (RSAT) when applicable.

B. Once the APM is accessed, the RMP is selected.

1. Hazard Identification. What’s Wrong?

2. Risk Analysis. What could happen and why? Risk Assessment. How likely is it to happen and how bad would it be?

3. Decision Making. What’s to be done about it?

4. Implementation. Who will do what, when, and how?

5. Validation. Did it Work? Update Risk Analysis. Were the causes addressed? Update Risk Assessment. Now, how likely is it to happen and how bad would it

be? Update Decision.

What’s to be done now?

If level of risk is not at desired level

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C. An RMP can be created by highlighting the desired repair station by either using the tasks pull-down menu or right-clicking the mouse.

NOTE: Multiple RMPs can exist for each repair station certificate.

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Figure 6-122. Risk Management Process Selection

D. Step 1: Hazard Identification.

1) Any member of the Certificate Management Team (CMT) can identify hazards. The emphasis should be on identifying systemic hazards versus isolated findings. Hazards can be identified by reviewing the repair station data package, the RSAT, PI observations, the performance history, and/or other historical data.

2) Once a hazard has been identified, an RMP is opened and the process begins.

NOTE: Before opening a new RMP, check to see if the hazard can be incorporated into another hazard already being addressed.

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Figure 6-123. Open Risk Management Process

3) A hazard identification number is automatically generated by the system.

4) A hazard is defined as a condition or circumstance that could lead to or contribute to an unplanned or undesired event. Write a description of the hazard in a narrative format that includes the relevant facts such as who, what, how often, and where. The descriptive information will be used later to evaluate the effectiveness of action taken to mitigate the risk associated with the hazard.

NOTE: There have been numerous letters of concern identifying tools that were not calibrated or stored in accordance with the repair station’s maintenance program procedures. The tools were either being used or were lying around the

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facilities in various locations instead of being stored with the other tools. This problem has been noted over the past 2 years.

E. Step 2. Risk Analysis and Assessment.

1) Risk analysis determines why things are going wrong with the certificate holder’s operation, especially its systems. The CMT must identify the potential consequences that could result if the hazard were not addressed and the factors that are causing or contributing to the hazard’s occurrence. The risk factors identify what must later be fixed or controlled in order to reduce the level of risk.

2) Risk assessment determines how bad it might get—the level of risk. CMTs use the information from the risk analysis to determine the overall level of risk. The overall level of risk is one consideration in determining how much of a priority should be placed on ensuring the certificate holder addresses the hazard and its risk factors.

3) A potential consequence is defined as an equipment failure, process breakdown, human error, injury/death to persons, damage to equipment, noncompliance with regulations, or nonconformance with procedures. Describe the maximum credible potential consequence (i.e., the most believable worst-case scenario that could occur as a direct result of the hazard).

NOTE: If the tool calibration and storage issue is not corrected, this could result in many unwanted consequences such as equipment failure, damage to equipment, and injury to persons.

4) Risk factors are what cause or contribute to the occurrence of the hazard and make the hazard more likely to result in the selected consequence(s). They will be used to help determine the likelihood value in the Risk Analysis and Assessment step. In the Implementation step, the CMT will want to create action items to ensure that the certificate holder has addressed the risk factors.

NOTE: Training seems to be the factor that is contributing the most to the occurrence of this hazard. The employees do not seem to be completely aware of the maintenance program procedures regarding tool calibration and storage.

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Figure 6-124. Potential Consequence and Risk Factors Description

5) The likelihood value answers the question about how likely it is that the hazard will result in the consequences you identified; it is used with a severity value to provide an overall risk assessment value.

• Frequent: Continuously experienced. • Probable: Will occur often. • Occasional: Will occur several times. • Remote: Unlikely, but can reasonably be expected to occur.

6) The severity value reflects how serious the consequence(s) of the risk occurring would be. It is used with likelihood to provide an overall risk assessment value. Use the consequence description you developed to estimate the severity of the risk associated with the hazard.

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• High: Loss (or breakdown) of an entire system or subsystem, accident, or serious incident.

• Medium: Partial breakdown of a repair stations system; violation of regulations or company rules.

• Low: Poor repair station performance or disruption to the repair station.

7) The system automatically generates the overall risk value based on the likelihood and severity values chosen in the previous section. The overall risk assessment will be used to guide determinations about the timeframe for beginning the action plan. Generally, lower overall risks will be addressed after higher-level risks.

Figure 6-125. Risk Assessment Matrix

SEVERITY High Medium Low

Frequent Red Red Yellow Probable Red Yellow Yellow Occasional Yellow Yellow Blue

LIK

EL

IHO

OD

Remote Yellow Blue Blue

F. Step 3: Decisionmaking. Certificate management members must decide:

• If action needs to be taken to mitigate the hazard to reduce the level of risk, • If the certificate just needs to be monitored, or • If the responsibility for getting the hazard mitigated should be transferred to some

other AFS or FAA organization.

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Figure 6-126. Decisionmaking

1) Determining When to Take Action on a Risk. While this activity in the decisionmaking step does not appear on the worksheet, the PI must decide on how soon each risk must be addressed. A fundamental goal of system safety and risk management (RM) is to focus FAA efforts on the critical issues before working the less important issues. This process provides the information needed to do that more effectively. Whether you are creating a new RMP or continue to process an existing RMP, the more important issues must be addressed by the certificate management office (CMO) before those of lesser importance. Sequencing of the

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issues should be based on several factors such as overall risk assessment, the timeliness of required actions, and local, regional, or headquarters (HQ) priorities.

2) Select the Approach for Addressing the Risk. Place a check mark in the blocks that correspond to the approach that the CHDO will use to deal with this risk. The choices are as follows:

• Mitigate: Additional action is needed to reduce or eliminate the level of risk. • Monitor: The risk level is within normally expected limits and no surveillance

is required beyond that normally conducted. • Transfer: It is now appropriate to allocate authority, responsibility, and

accountability for taking action to another AFS or FAA organization.

Figure 6-127. Approaches and How to Choose

Approach When to Use Mitigate Use mitigation as an approach when actions are needed to reduce or eliminate the level of

risk. Mitigation is usually carried out by the certificate holder with CHDO oversight. Sometimes, the CHDO may use mitigation strategies that do not involve the certificate holder, such as reevaluating certificate holder programs approvals, authorizations, deviations and exemptions; amending or revoking the certificate holder’s authority to conduct all or part of an operation; or initiating an enforcement action.

Monitor Use monitoring as an approach when the risk level is within normally expected limits, and no surveillance is required beyond that normally conducted under the National Program Guidelines (NPG).

Transfer Use transfering as an approach when corrective action for the hazard is beyond the CHDO’s authority. In transfer, the CHDO allocates authority, responsibility, and accountability for taking action to another AFS or FAA organization.

3) Describe the reasons that the approach identified above was selected.

4) Normally, unless the approach is to monitor the level of risk associated with the risk, the decision will be to proceed to implementation (i.e., planning action items and implementing them). However, under certain circumstances it may be appropriate to close the RMP.

5) Closing the RMP is appropriate when resources beyond normal surveillance are unnecessary (e.g., the approach chosen for this risk is “Monitor” (i.e., the risk has acceptable low risk values), or the responsibility for action on this risk has been totally transferred to another organization, and no additional actions need be taken by the CHDO beyond normal surveillance). This may occur after the initial analysis with no action taken, or it may occur after completing an action plan.

NOTE: If it is appropriate to close this RMP at this point, the PI will document that fact by entering the closure rationale and date of the decision in this block. Then the status is changed to final.

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G. Step 4: Implementation. Certificate management members must identify the actions they need to take to effectively oversee the certificate holder’s mitigation of the hazard. They then must carry out these oversight actions.

Figure 6-128. Implementation

1) Utilize the add button to add as many action items as desired.

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Figure 6-129. Editing Log Items

2) Periodically update the status of each action item once the plan is approved by selecting from the following list:

• Requested: The action item has been identified but not yet begun. • In process: The action item has begun and can continue, but it is not yet

complete. • Completed: The action item is completed.

3) Based on the approach chosen above, identify and enter the action items necessary to address the risk factors. The action items should describe what activities the CMO will take, or get the repair station to take, to accomplish the desired results, and if desired, the expected completion date for the action.

4) The assigned CHDO member completing an action item will enter the ongoing status of the action in the log. These entries should include:

• Name of the person making the entry. • Date of the entry. • Activity update that describes the activity and/or results (e.g., meeting held to

inform repair station of the risk, and the repair station agreed to update the manual).

• When the action item is complete (this should also be entered in the log).

5) The PI or DP will periodically review the action item log to manage the progress, and determine when all the actions have been complete.

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Figure 6-130. Examples of Action Items

Type of Action Item Comment Ensuring the repair station is aware of the hazard.

Follow local procedures to notify the certificate holder. Methods might include letters, meetings, etc. In your notification, include whatever information you think is appropriate and will help the certificate holder determine what action to take.

Followingup to verify that the certificate holder has addressed the risk factors associated with the hazard.

You may want to wait until the certificate holder responds to your notification before you create the CHDO’s followup action items.

Assessing whether the certificate holder’s actions have had the intended affect on the hazard and reduced the level of risk.

Collect data to assess how the certificate holder’s actions affected the hazard.

H. Step 5: Validation. Certificate management members evaluate the current status of the hazard and verify that the certificate holder addressed the risk factors that contributed to or caused the hazard to occur. CHDO members also verify that the level of risk posed by the hazard was reduced. Using this assessment of the current level of risk, certificate management members decide whether to close the RMP for this risk hazard, or whether more implementation actions are required. Update the RMP.

1) Enter the date validation was completed.

2) Determine if the actions taken have addressed the risk factors identified in subparagraph 6-2900E.

3) Determine if additional risk factors need to be addressed. If so, list the new risk factors in this block.

4) Select the current likelihood value.

• Frequent: Continuously experienced. • Probable: Will occur often. • Occasional: Will occur several times. • Remote: Unlikely, but can reasonably be expected to occur.

5) Select the current severity value.

• High: Loss (or breakdown) of an entire system or subsystem, accident, or serious incident.

• Medium: Partial breakdown of a repair stations system; violation of regulations or company rules.

• Low: Poor repair station performance or disruption to the repair station.

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Figure 6-131. Validation

6) The system automatically selects the overall risk value based on the current likelihood and severity values chosen. This enables the PI to determine if the actions taken earlier have lowered the overall risk value.

Figure 6-132. Risk Assessment Matrix

SEVERITY High Medium Low

Frequent Red Red Yellow

Probable Red Yellow Yellow

Occasional Yellow Yellow Blue

LIK

EL

IHO

OD

Remote Yellow Blue Blue

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7) Update the approach for addressing the risk based on the new risk assessment. The choices are as follows:

• Mitigate: Additional action is needed to reduce the level of risk or address additional risk factors. Hence, another RMP needs to be opened to continue mitigating this risk.

• Monitor: The risk level is within normally expected limits and no surveillance is required beyond that normally conducted.

• Transfer: It is now appropriate to allocate authority, responsibility, and accountability for taking action to another AFS or FAA organization.

8) If the actions taken result in the risk level being within normally expected limits and no surveillance is required beyond that normally conducted, the RMP can be closed. Also, if it is discovered during this process that it is now appropriate to allocate authority, responsibility, and accountability for taking action to another AFS or FAA organization then the RMP can also be closed.

9) If the actions taken have not lowered the level of risk to an acceptable level or additional risk factors are identified, then it may be necessary to continue mitigation until the risk is lowered to a desired level and the new risk factors are addressed. In such cases, mitigation is the selected approach; in the “RMP Closure Rationale” block clearly describe the reasons for additional mitigation, then close this RMP. Open a new RMP and in the hazard description section identify that this is a continuation of another RMP and provide the previous RMP’s hazard identification number.

10) Close the RMP when it is appropriate not to expend any additional resources beyond normal surveillance. The PI or DP will document that fact by entering the closure rationale and date of the decision in this block. The status in the upper right hand corner is then changed to “final.”

NOTE: The validation reveals that now the manuals are clearly written, the training is adequate, and the tool calibration is being conducted appropriately. This risk now has a “remote” likelihood (4) and a “low” severity (3).

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Figure 6-133. Glossary of Terms

Term Definition Consequence, Maximum Credible

The most believable, worst-case that could occur as a direct result of the hazard.

Consequence, Potential

Potential equipment failure, process breakdown, human error, injury/death to persons, damage to equipment, noncompliance with regulations, or nonconformance with procedures.

Hazard Condition, event, or circumstance that could lead to or contribute to an unplanned or undesired event.

Mitigate Approach Additional action is needed to reduce or eliminate the level of risk. Monitor Approach The risk level is within normally expected limits and no surveillance is required

beyond that normally conducted under the National Program Guidelines (NPG).

Risk Expression of the impact of an undesired event in terms of event likelihood and event severity.

Risk Analysis Identification or evaluation of the two components of risk (i.e., undesired event likelihood and severity of occurrence).

Risk Assessment The process by which the results of risk analysis is used to make decisions. Risk Factors Factors are responsible for higher levels of risk, either in terms of likelihood or

severity. These factors then become specific targets for risk control, either by eliminating them or reducing their effects.

Risk Likelihood Values

Frequent: Continuously experienced. Probable: Will occur often. Occasional: Will occur several times. Remote: Unlikely, but can reasonably be expected to occur.

Risk Severity Values High: Loss (or breakdown) of an entire system or subsystem; accident or serious incident. Medium: Partial breakdown of a repair station’s system; violation of regulations or company rules. Low: Poor repair station performance or disruption to the repair station.

RMP Risk management process. Transfer Approach To allocate authority, responsibility, and accountability for taking action to another

AFS or FAA organization


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Section 3 Contract Oversight Prioritization Tool


A. Purpose of this Document. The purpose of this document is to provide detailed procedures for the contract Oversight Prioritization Tool (OPT). This tool is part of the enhanced repair station and Air Carrier Oversight System.

B. The OPT. The OPT is used for air carrier contract surveillance planning. It allows for prioritization among contract maintenance providers and is recommended to be utilized during the surveillance planning cycle. This tool will assist the principal inspector (PI), other assigned inspectors, supervisors, and managers in identifying areas of concern or criticality about contract providers and target resources towards the highest priority contract maintenance providers.

6-2917 CONTRACTING OVERSIGHT SURVEILLANCE PROCESS DESCRIPTION.

A. System Safety-Based Approach. This system safety-based approach identifies specific procedures that enhance air carrier contract oversight. This system is comprised of the current tools available to the air carrier certificate management offices (CMO) and a new OPT.

B. The Air Carrier Contract Prioritization Process. The overall air carrier contract prioritization process involves the following steps, which is also depicted in Figure 6-134, Contract Oversight System:

1) Data packages will be generated utilizing current sources for the desired maintenance providers. This includes the results of the Repair Station Assessment Tool (RSAT) and Program Tracking and Reporting Subsystem (PTRS) activity codes 3650/5650 for each of the desired vendors. The PI reviews the data before completing the OPT.

2) The OPT is completed for all desired maintenance providers, taking into consideration step 1, expertise of PI, and system design, which includes operating environment, configuration, and design of the air carrier and repair station.

3) The completed OPT will enable CMOs to prioritize contract surveillance, enabling the FAA to target resources to providers of highest priority.

4) During the next 12 months, the surveillance programs are completed and the data are fed back into the system.

C. Additional Details. The following paragraphs provide further detail for subparagraphs 6-2917A1) through 3).

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Figure 6-134. Contract Oversight System

6-2918 REPAIR STATION DATA PACKAGE.

A. Accessibility and Utilization. This package is accessible to all inspectors via the Safety Performance Analysis System (SPAS). This data package provides an analytical review of a repair station. This report contains data available through Federal Aviation Administration (FAA) information resources including, but not limited to, surveillance and enforcement data. Inspectors will utilize this data package in conjunction with their knowledge of the repair station; system design, which includes operating environment, configuration and design of repair station; and personal expertise to complete the OPT.

B. Availability. This enhanced data package will be available for fielding in the future. Meanwhile, inspectors should use the repair station profile currently available in SPAS and any other sources, including data available through the certificate holder. It should be noted that currently the data available to the FAA regarding repair stations is very limited.

6-2919 CONTRACT OVERSIGHT ASSESSMENT TOOL. The OPT is to be used for surveillance planning. This tool will assist the Title 14 of the Code of Federal Regulations (14 CFR) part 121, 121/135, and 135 (10 or more) PI; other assigned inspectors; supervisors; and managers in prioritizing maintenance provider oversight. As a result of this assessment, the PI will determine the priority of contract maintenance surveillance for the coming year.

6-2920 PRIORITIZED CONTRACT OVERSIGHT. After completing the OPT, the PI will be able to prioritize maintenance providers and target surveillance resources to contract providers with highest risk.

6-2921 ADDITIONAL CONTRACT ENHANCEMENTS. This workgroup recommends using the following:

• Part 145 PIs and the stake holding part 121 Certificate Management Team (CMT) utilize a team approach to accomplish repair station inspections (refer to Volume 6, Chapter 13, Section 1, Introduction);

• Air Transportation Oversight System (ATOS) Elements 1.3.7 (Maintenance Providers) and 1.3.11 (CASS) be used for all part 121 CMTs and interface with other chapters of this order, including Volume 3, Chapter 42, Section 1, Initial and

2. Contract Oversight Prioritization Tool

4. New

Surveillance Program

Data and O

ther Inform

ation 3. Prioritized Contract Oversight

1. Repair Station Data Package

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Continual Oversight and Evaluation of Essential Maintenance and other Contract Maintenance Provider Programs and Contractual Agreements; and Volume 3, Chapter 43, Section 1, Evaluate a Part 121 and Part 135 Continuous Airworthiness Maintenance Program; and

• Enhanced repair station oversight training for 14 CFR parts 121, 135 and 145 inspectors.

NOTE: Per part 121, § 121.363(b), an air carrier may arrange with another person the performance of any maintenance, preventive maintenance, or alterations. However, this does not relieve the air carrier of its primary responsibility for all maintenance, preventive maintenance, or alterations that it or another person performs.


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Section 4 Contract Oversight Prioritization Tool—Process Detail

6-2937 CONTRACT OVERSIGHT PRIORITIZATION TOOL (OPT)—PROCESS DETAIL. This section provides step-by-step details on how to complete the OPT. The following work instructions are designed to guide the completion of the OPT by principal inspectors (PI) or a Designated Person (DP).

A. Step 1: Repair Station Data Package. Using the Safety Performance Analysis System (SPAS), obtain a repair station data package for the desired maintenance providers.

NOTE: Since the repair station data package will not be available until a later phase, use the SPAS repair station profile in the meantime.

B. Step 2: Identify Trends or Concerns. Perform a comprehensive review of the data package to determine the status of previous risks and to identify new potential issues of concern. Identify trends and concerns, taking into consideration your knowledge of the repair station and system design, which includes the operating environment, and the configuration and design of the air carrier and repair station. It should be noted that the PI may also contact the certificate holders to obtain any additional pertinent information.

C. Step 3: Complete the OPT. Complete a new OPT taking subparagraph 6-2937B into consideration step 2.

1) The OPT is accessed through the Assessment and Planning Module (APM).

2) Once the APM is accessed, the OPT is selected.

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3) The desired air carrier is highlighted and an OPT is created by utilizing either the task pull-down menu or right clicking on the mouse.

NOTE: For each certificate, only one OPT exists for maintenance and one for avionics. Additionally only PIs can create OPTs for their assigned certificates and only within their specialty.

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Figure 6-136. Oversight Prioritization Tool Main Page

4) Use the “Add Provider” button to create the same number of columns as the number of maintenance providers that you want to review.

NOTE: A provider that has been added to a pull-down menu can be used to select the desired provider.

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Figure 6-137. Contract Prioritization Tool

5) Using “Assessment” word pictures on the next page, assess each of the questions. When assessing each question, consider the repair station data package and issues identified as a result of that review; PI knowledge of the repair station and the air carrier; and system design, which includes operating environment, configuration, and design of the air carrier and repair station. It is highly recommended that the inspector attempt to answer all the questions; however, questions 3, 4, 6, 8, 11, 14, 15, 16 and 18 must be assessed.

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Figure 6-138. Oversight Prioritization Tool Assessment

6) Once the required questions and any other applicable questions are answered, the “Calc Priority” button is selected.

a) The system will automatically add all the scores for questions 1 through 18 for each column to obtain the overall score for each maintenance provider listed.

b) The system also automatically calculates the total number of questions answered in each column.

c) The system calculates the average score, which is calculated by dividing the overall score (subparagraph 6-2937C6)a)) by the total number of questions answered (subparagraph 6-2937C6)b)).

7) The system automatically prioritizes surveillance by giving the highest priority to the vendor with the lowest average score.

8) After completing the process, a comment is added for the OPT, whereas the PI may provide additional justification and/or rationale for his assessments.

9) As a final step, the status is changed from draft to final.

NOTE: Once finalized, the OPT cannot be modified.

NOTE: Title 14 of the Code of Federal Regulations (14 CFR) part 121 certificate management offices (CMO) can utilize the current risk management process (RMP) available through the Air Transportation Oversight System (ATOS) and the Surveillance and Evaluation Program (SEP) for issues of high concern.

D. Step 4: Modify the Surveillance Plan. As a result of completing the OPT, the PI prioritizes the contracting surveillance program.

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E. Step 5: Completion of the Surveillance Plan. During the next 12 months, the certificate management members will complete the surveillance program.


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VOLUME 12 INTERNATIONAL AVIATION

CHAPTER 7 INTERNATIONAL FIELD OFFICE RESPONSIBILITIES FOR RENEWAL/AMENDMENT PROCEDURES OF REPAIR STATIONS UNDER THE

MAINTENANCE IMPLEMENTATION PROCEDURES OF A BILATERAL AVIATION SAFETY AGREEMENT

Section 1 Renew or Amend a Federal Aviation Administration Repair Station Certificate for Stations Located Outside the Territory of the United States


A. Maintenance: 3045, 3240, 3376, 3653.

B. Avionics: 5045, 5240, 5376, 5653.

12-498 OBJECTIVE. This section must be used in conjunction with the Interim Bilateral Aviation Safety Agreement (BASA)/Maintenance Implementation Procedures (MIP) Guidance (IBMG). It describes the process to renew or amend a Federal Aviation Administration (FAA) repair station certificate for stations located outside the territory of the United States in accordance with the MIP of a BASA. At the time of publication, this section applies to Germany, Ireland, and France because each of these countries has signed a BASA/MIP with the United States.

NOTE: A new agreement with the European Community (EC) is currently in the final development stage. The FAA, with the concurrence of the European Aviation Safety Agency (EASA) and the National Aviation Authorities (NAA) of Germany, France, and Ireland, has agreed to continue to comply with the IBMG until a new agreement is reached. The IBMG is located at http://fsims.faa.gov/WDocs/Other/Interim-BASA_MIP-Guidance.htm.

12-499 GENERAL.

A. Certification. FAA-certificated repair stations located outside the United States fall under the provisions of Title 14 of the Code of Federal Regulations (14 CFR) part 145. The certification of repair stations outside the United States is a response to the need to perform maintenance on or an alteration or modification of aeronautical products subject to U.S. Airworthiness regulations in foreign countries (refer to Volume 2, Chapter 11, Section 7, paragraph 2-1383 for additional general information and for definitions and acronyms).

B. EASA Form 6. Regarding the pre-MIP assessments and evaluation program, the FAA made a determination that the NAAs’ processes and procedures met or exceeded FAA requirements. FAA aviation safety inspectors (ASI) should note that this guidance would apply to many different countries; therefore, the surveillance report documents are referred to by a variety of different names, titles, and/or numerical identifications. This document will reference EASA Form 6, Surveillance/Inspection Report, as the surveillance document. As part of the assessment, the FAA and EASA agreed upon an FAA Annex to EASA Form 6. In some cases,

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the NAA inspector must submit the forms and associated documents to the NAA regional or headquarters (HQ) offices for review and conversion into the English language. The FAA agrees that the timeframe for such translations is at the NAA’s discretion, but the NAA should complete them in a timely manner in order to facilitate renewal of the repair station certificate before the repair station’s current certificate expires.

C. Unique Policies for Foreign Repair Stations. The FAA has developed some unique policies that pertain specifically to foreign repair stations and are applicable under a BASA/MIP. The FAA has determined that the affected policies will be located in the IBMG.

12-500 RENEWAL AND AMENDMENT PROCESS.

A. General. The applicant Approved Maintenance Organization (AMO) may request renewal or amendment to an existing part 145 certification when the AMO is located in a country that has signed a BASA/MIP with the United States using the procedures located in the IBMG. The BASA/MIP allows the FAA to accept the certification system of the BASA/MIP country. The guidance provided in this chapter allows the FAA inspector to accept the surveillance and recommendations required for renewal or amendments to a part 145 certificate by recognizing the process and procedures of the NAA when following the terms and conditions of the MIP.

NOTE: A preapplication phase is not required for renewal or amendment to a part 145 certificate.

B. Formal Application Phase. The FAA has no responsibility in this phase. The applicant will follow the procedures of the NAA and must meet the requirements of the IBMG.

C. Document Compliance Phase. The FAA has no responsibility in this phase. The applicant must comply with the requirements in the IBMG. The NAA will review all documents submitted for compliance with the IBMG using NAA procedures.

NOTE: At the time of application, the NAA will notify the repair station applicant that the repair station must address the hazardous materials (hazmat) training requirement, as applicable. If the repair station has previously submitted a letter to the FAA certifying that it has trained its employees, contractors, and subcontractors to the International Civil Aviation Organization (ICAO) standards for the transportation of dangerous goods by air, there is no need to submit a new letter.

D. Demonstration and Inspection Phase. The FAA has no responsibility in this phase. The NAA will perform facility inspections for compliance with the IBMG.

E. Certification Phase. The FAA is responsible for issuing the certificate and FAA operations specifications (OpSpecs) when it receives the appropriate documents and NAA recommendation.

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12-501 TRANSITION PLAN FOR MULTIPLE FACILITIES UNDER ONE FAA CERTIFICATE.

A. Requirements. The AMO must hold a valid NAA certification issued under EASA part 145 and be in compliance with the most current EASA part 145. The FAA may issue an AMO one certificate that covers multiple locations within the MIP country, provided that the additional locations are listed in, and utilizing, that AMO’s maintenance organization exposition (MOE), and the additional locations are part of the EASA part 145 certificate. The additional facilities must also be listed in the FAA supplement.

NOTE: Due to the administrative burden on the NAA and FAA, the FAA cannot support applications for multiple facilities that are not part of a certificate renewal package.

B. AMO Manual Supplement. If applicable, the applicant must provide, as part of the renewal application package, a copy of the AMO manual supplement section that identifies the multiple facility location where the AMO intends on utilizing its FAA certificate privileges. The list should include the address of each location, telephone and fax number, and e-mail address if available, and should identify the NAA office with oversight responsibility.

C. FAA Annex to EASA Form 6. The NAA must provide the FAA Annex to EASA Form 6 for each additional location.


A. Prerequisites:

• Previous experience with certification or surveillance of 14 CFR part 145 repair stations.

• Completion of FAA Course 21058, Certification and Surveillance of Part 145 Repair Stations.

• Knowledge of the IBMG.

B. Coordination. This task requires coordination with:

• The applicant AMO; and • The NAA of the country in which the applicant AMO is located.



• 14 CFR parts 43 and 145. • Volume 2, Chapter 11, Certification of a Title 14 CFR Part 145 Repair Station. • Volume 12, Chapter 9, Section 1, International Field Office (IFO) Process for

Turnover of FAA-Certificated Foreign Repair Stations to a National Aviation Authority under a BASA/MIP.

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• The IBMG, located at http://fsims.faa.gov/WDocs/Other/Interim-BASA_MIP-Guidance.htm.

B. Forms:

• FAA Form 8000-4, Air Agency Certificate. • Automated repair station OpSpecs. • FAA Form 8310-3, Application for Repair Station Certification and/or Rating. • NAA approval certificate and OpSpecs document defining the AMO’s limitations

(in the case of EASA, use EASA Form 3, Approval Certificate and Approval Schedule).

• FAA Annex to EASA Form 6 (located in the IBMG). • NAA surveillance/inspection report (or FAA Annex to EASA Form 6), NAA

surveillance report and recommendation for FAA certification/renewal/amendment.

• NAA internal evaluation report (or EASA Form 7, Maintenance Airworthiness Standardization Team, Maintenance Aviation Standardization Team (MAST) Visit Report), if applicable.

NOTE: In some cases, the NAA has approved procedures for the AMO to make changes to its limitations or approved the use of a capabilities list (CL) (refer to Volume 2, Chapter 11, Section 7, International Field Office Initial Certification of Repair Stations Under the Maintenance Implementation Procedures of a Bilateral Aviation Safety Agreement, or the IBMG for a description of a CL). In these cases, the applicant must submit the NAA-approved revision procedures if it has made any changes since its last renewal.

C. Job Aids. To be determined.

12-504 PROCEDURES FOR RENEWAL APPLICATION: NAA RESPONSIBILITIES.

A. Preapplication Phase. This is not applicable under a BASA/MIP. No FAA actions are required.

B. Formal Application Phase.

1) To renew its FAA repair station certification, an AMO will submit the documents below to its NAA in accordance with NAA procedures. Title 14 CFR part 145 requires the AMO to submit the documents to the FAA via the NAA no later than 30 days before the expiration of the current 14 CFR part 145 certificate. However, the FAA recommends submission at least 60 days before the expiration date to allow the NAA and FAA sufficient time to process the application and collect the appropriate fees.

a) If the AMO has revised its list of maintenance functions another maintenance organization will perform under contract for the AMO since its last renewal, it must include the revision on FAA Form 8310-3.

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b) The applicant should include a statement of continuing need to maintain or alter U.S.-registered aircraft and/or aeronautical products being installed on U.S.-registered aircraft since the AMO’s last renewal (refer to the IBMG for the criteria of need requirement). If the AMO is unable to establish the continuing need requirement, the FAA will renew the AMO’s certificate based on its previous year’s continuing need statement. However, the FAA will advise the AMO and its NAA that, if at the time of its next renewal the AMO is still unable to show a continuing need, the FAA may require the repair station to adjust their CL or may not renew its certificate (14 CFR part 145 does not require an activity report/list.)

NOTE: The Assistant Chief Counsel for Regulations (AGC-200) recently provided a legal interpretation of part 145, §§ 145.51(c) and 145.55(b) concerning the statement of need by a foreign repair station. Refer to Volume 2, Chapter 11, Section 3, International Field Office Procedures for Certificating/Renewing/Amending a Part 145 Repair Station Located Outside the United States and Its Territories, subparagraph 2-1261A2) for more information. The full text of the memorandum, dated December 9, 2008, is available at http://www.faa.gov/about/office_org/headquarters_offices/agc/pol_adjudication/agc200/interpretations/data/interps/2008/San%20Francisco.pdf.

2) FAA guidance.

a) If the AMO does not apply for a renewal of its FAA repair station certification before the certificate expiration date, it must follow the procedures for applying for an initial certification.

b) During this phase, the FAA inspector is not required to take any actions other than to answer questions posed by the NAA.

NOTE: The FAA recognizes that during the renewal process, there may be some confusion and misunderstanding. Therefore, on request and recommendation from the NAA, the FAA will extend additional time needed for renewal. The FAA also recognizes that the multiple languages involved in the renewal process may require additional allowances at the NAA’s request. The FAA may issue a short-term certificate not to exceed 90 days based on a request from the NAA. This may incur an additional fee.

C. Document Compliance Phase. Normally, no FAA action is required. Under the BASA/MIP process, it is the NAA’s responsibility to review all documents submitted before forwarding them to the FAA.

1) The NAA will review the AMO’s renewal application and the results of previous audits/inspections.

2) Any deficiencies noted during the NAA review of the documents are handled in accordance with NAA procedures. If the AMO’s 14 CFR part 145 repair station certificate expires during the recommended 60-day renewal application period, or in the event of unusual circumstances as discussed in the above note, the NAA will advise the FAA. The FAA inspector may either issue a short-term certificate or, depending on the nature of the deficiencies, amend

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the repair station’s ratings, provided the AMO demonstrates an ability and willingness to correct the noted deficiencies. The short-term certificate typically is issued for 1–3 months, depending on circumstances. This process will require close coordination with the NAA. The FAA will only use this process at the NAA’s request.

D. Demonstration and Inspection Phase. No FAA action is required. Under the BASA/MIP, this is the NAA’s responsibility.

1) If the information the AMO submits is acceptable, the NAA will conduct surveillance using the appropriate NAA surveillance form (or EASA Form 6, including the FAA annex), an oversight audit of the AMO for compliance with NAA requirements (or EASA part 145), and FAA special conditions. A series of partial NAA audits using the appropriate surveillance forms (or EASA Form 6) may collectively fulfill the requirement to perform a complete EASA Form 6 audit, including the FAA Annex to EASA Form 6. Note that the NAA must complete the appropriate surveillance form for each line station and/or multiple facility covered under the FAA certificate. The NAA must ensure that it has attached the surveillance form for each location to the renewal package to the FAA.

NOTE: Adding line stations requires changing OpSpecs A004 and D107. Multiple facility locations need only be listed in the FAA supplement.

2) Any deficiencies the NAA notes during the oversight audit are handled as specified in paragraph 12-505C1). The FAA inspector will only become involved in this phase in the event of unusual circumstances or upon the NAA’s request.

12-505 PROCEDURES FOR CERTIFICATION PHASE: FAA RESPONSIBILITIES.

A. Completed Renewal Application. If the NAA oversight audit indicates that the AMO is in continued compliance with NAA requirements (or EASA part 145) and FAA special conditions, the NAA will complete the appropriate NAA surveillance form (FAA Annex to EASA Form 6) or FAA/NAA-accepted equivalent documentation for each line station and/or multiple facility covered under the FAA certificate, along with the NAA recommendation. The NAA will forward the complete renewal application to the appropriate FAA International Field Office (IFO) no later than 30 days before the expiration date of the AMO’s 14 CFR part 145 repair station certificate. The applicant and NAA are encouraged to forward the renewal package as soon as possible to the FAA to facilitate prompt certificate renewal.

B. Required Documents. The FAA inspector must receive the following documents from the NAA:

• FAA Form 8310-3, including a list of maintenance functions another maintenance organization will perform under contract for the AMO, if the AMO has revised the list since its last renewal;

• If applicable, a letter certifying that hazmat employees have been trained to ICAO hazmat standards, as described in subparagraph 12-507C4);

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• A copy of the appropriate NAA surveillance form (FAA Annex to EASA Form 6) or FAA/NAA-accepted equivalent documentation, with the NAA recommendation;

• A copy of the list of multiple facilities, if revised since its last renewal; • A copy of the list of line stations operating under its FAA certificate located

within the MIP country, if revised since its last renewal; • Copy of the NAA approval certificate and limitations (or EASA Form 3) and the

approval schedule; and • A copy of the List of Effective Pages (LEP) or a letter of approval for the training

program showing NAA approval on behalf of the FAA, if any revisions have taken place since its last renewal (see the IBMG).

NOTE: The NAA will provide a completed copy of the appropriate surveillance form for each line station and/or multiple facility approval that operates under the single FAA repair station certificate located within the MIP country.

NOTE: The evidence of need document will remain with the NAA in the AMO’s file. The NAA will make it available to the FAA during sampling inspections.

C. Corrective Action. The FAA inspector must review all the documents in the renewal application package to verify they are complete and acceptable. The FAA inspector will also verify that there are no outstanding issues involving corrective action by reviewing the NAA’s findings in the recommendations section of the surveillance form (or FAA Annex to EASA Form 6). The FAA will follow the corrective action policy identified as follows:

1) The MIP allows the FAA to recognize the corrective action of the NAA without additional FAA action. The NAA inspector must provide the FAA with a recommendation on the appropriate surveillance form indicating any of the findings/discrepancies listed below. When the applicant has corrected the findings/discrepancies or the NAA has accepted a plan for corrective action, any enforcement action taken by the NAA as a result of the findings/discrepancies will not affect the recommendation. The NAA must attach the plan for corrective action to the appropriate surveillance form when submitted to the FAA. The following are reportable issues that the NAA should describe on its surveillance form:

• Serious failure to comply with national regulations and requirements (or EASA part 145);

• Overall failure to comply with FAA special conditions identified in the MIP and the IBMG;

• Failure to use FAA-approved data for major repairs, alterations, or modifications; and

• Failure of the repair station to maintain a working quality control (QC) system (or EASA-approved Quality Management System (QMS)) or internal self-audit system.

2) When the NAA finds significant safety issues using the criteria above, it should provide the FAA with a nonrecommendation if the applicant has taken no corrective action and the NAA has not accepted any plan for corrective action. The FAA may decline to renew the

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repair station certificate until the applicant has taken corrective action or has submitted an NAA-approved plan for corrections with the appropriate surveillance form. There may be occasions when a short-term certificate is issued while corrective action is taking place. In those cases, the short-term certificate should be issued for no more than 90 days and only with the agreement of the NAA. As a second option, the FAA may reduce the rating of the repair station pending corrective action. Once all corrective actions have been completed to both the FAA’s and the NAA’s satisfaction, the certificate should be renewed for the balance of the remaining 24 months from its original renewal date in order to keep the renewal schedule.

3) If the FAA inspector finds the documentation supporting an AMO’s renewal application is unsatisfactory, the inspector will prepare a memorandum or e-mail to the NAA indicating any deficiencies noted. The NAA, in turn, will notify the AMO of the FAA’s findings. The FAA will continue the renewal process once all deficiencies are resolved.

NOTE: The NAA inspector should complete the findings section of the FAA annex to the surveillance form. The NAA should place special emphasis on ensuring the findings and, if necessary, a corrective action plan (CAP) is included as an attachment to this form. The findings are an essential part of determining how well the MIP is working and where improvements in the process need consideration. The findings do not reflect any deficiencies in the NAA’s abilities; however, they will provide the FAA and the NAA with data to identify areas that may need to be improved or information on areas that should be considered for removal from the MIP.

4) The FAA inspector should review the renewal package to verify that it includes the appropriate surveillance forms. Verify that the package includes the appropriate surveillance forms for each line station and/or multiple facility covered under the FAA certificate. Review the office file to verify that each line station and/or multiple facility is listed as part of the certificate. If the applicant has added or deleted a location from the listing, the inspector should make the appropriate change to the OpSpecs.

5) The FAA inspector should review the repair station training program’s LEP or letter of approval to verify that the NAA has approved the training program on behalf of the FAA. Note that if the repair station revised its training program, the NAA is obligated under its requirements to approve each revision. (EASA part 145 training requirements exceed 14 CFR part 145 requirements.)

D. Total Fee Due. The FAA will advise the AMO of the total fee due. Calculate the fee using the current edition of Advisory Circular (AC) 187-1, Flight Standards Service Schedule of Charges Outside of the United States. Restrict the fee to administrative cost.

E. Payment of Fee. The FAA determines that the applicant has paid the fee in accordance with office procedures. The FAA will not issue an FAA certificate or OpSpecs until it receives payment of the prescribed fee. The certificate-holding district office (CHDO) may make exceptions based on delays that may occur in the transaction, possible internal AMO corporate procedures, and internal CHDO procedures.

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F. Determine Correctness and Completion. The FAA inspector determines that the application package is correct and complete, that the AMO has received a positive recommendation from the NAA, and that the AMO meets all the requirements for certificate renewal.

G. Complete FAA Form 8310-3. Once the FAA inspector has determined the applicant AMO’s application package is acceptable, the inspector will complete FAA Form 8310-3, parts 6 through 10, paying particular attention to the following items:

1) Include the following statement in part 6: “The Repair Station Certificate Operations Specifications were issued under the Terms and Conditions of the BASA/MIP between the United States and [insert name of country].”

2) Complete part 7 to indicate the NAA’s findings and recommendation.

3) Complete part 8 to indicate the date the NAA oversight audit was completed.

4) The FAA inspector will complete and sign part 10. When it is signed, he or she is signing for receiving the required information in accordance with the BASA/MIP process, not the inspection of the facility.

H. Documents to Issue. The inspector will issue:

1) FAA Form 8000-4. The certificate must contain the appropriate FAA rating (i.e., limited airframe). The NAA certificate number will be listed in the limitations section of the OpSpecs.

2) Automated Repair Station OpSpecs. See office files for examples. The OpSpecs must include paragraph A060.

NOTE: The OpSpecs must include the appropriate NAA certificate number and rating. The number and NAA rating will be listed in the limitations section of the OpSpecs. In the case of the EASA, the inspector must use the EASA certificate number and rating listed on EASA Form 3 and the approval schedule.

I. FAA Form 8000-4. The FAA inspector will complete FAA Form 8000-4 in accordance with the guidance in Volume 2, Chapter 11, Sections 1 and 2, paying particular attention to the following:

1) Indicate the applicant AMO’s FAA ratings on FAA Form 8000-4. The FAA inspector should ensure that the appropriate FAA rating is applied to the certificate (limited airframe, limited powerplant, etc.) using the cross-reference chart located in the appendix to the IBMG.

2) The FAA inspector must adjust the 14 CFR part 145 certificate’s renewal expiration date to coincide with the AMO’s NAA recommended surveillance schedule as indicated on the FAA Annex to EASA Form 6. If conflicts arise between the NAA recommendation for renewal and FAA allowable timeframes, the NAA and the FAA inspector

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should communicate in order to facilitate an agreed-upon date that meets 14 CFR part 145 requirements. However, the date after “shall continue in effect” should not be more than 24 months from the original certificate renewal date and must align with the NAA surveillance schedule, unless there is a need to issue short-term certificates.

3) Cross out the language at the bottom of FAA Form 8000-4 stating “Any alteration of this … or both,” in accordance with Volume 2, Chapter 11, Section 1.

4) Where a geographic authorization was issued to an applicant AMO to support a U.S. air carrier or 14 CFR part 129 operators, indicate such authorization on the Air Agency Certificate and repair station OpSpecs. (See the IBMG for geographic policy.)

5) The privileges of the 14 CFR part 145 certification should not exceed the AMO’s NAA rating (EASA approval, ratings, and limitations). Therefore, FAA certification will be limited by the EASA approval schedule (EASA Form 3, issued to the AMO).

J. Automated Repair Station OpSpecs. The FAA inspector will complete the automated repair station OpSpecs in accordance with the guidance in Volume 2, Chapter 11, Section 2, paying particular attention to the following:

1) Include the following statements on the OpSpecs:

a) “The repair station specified on these OpSpecs is performing maintenance on and/or alteration of aircraft and/or aeronautical products to be installed on aircraft under the terms and conditions of BASA and the associated MIP between the U.S. Government and the Government of [insert name of country].”

b) “The privileges of a line station located outside the geographic boundaries of the MIP country, as set forth by any NAA line station rating, are not authorized.”

2) The line stations and/or multiple facilities located within the MIP country, as authorized by the NAA, will be listed in the FAA supplement to the Repair Station Manual (RSM) (in the case of EASA, in the MOE FAA supplement). Line station authorizations will be listed in the FAA automated OpSpecs (OpSpecs A004 and D107) geographic authorizations located outside the MIP country (OpSpec B050). Authorized locations and their limitations will be identified on the repair station OpSpecs under “Ratings” as “Limited Geographic Authorization,” and will be under the surveillance of the FAA. See the IBMG for FAA policy on geographic authorization and Volume 2, Chapter 11, Section 2 for the procedures for issuing geographic authorization.

3) For OpSpecs that reference a CL, include the following statement (or one similarly worded) under the appropriate rating: “Maintenance or alteration functions limited to those make and model components shown on [AMO’s] approved Capabilities Document number [XX], dated [XX/XX/XX], as revised.”

K. Certification Report. The FAA inspector will create a repair station certification office file. This file will contain the certification report that includes the following:

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• A completed FAA Form 8310-3 (including a list of functions that the applicant intends on contracting out to another organization; these functions are normally identified on the application form);

• If applicable, a letter certifying that hazmat employees have been trained to ICAO hazmat standards as described in subparagraph 12-507C4);

• A copy of FAA Form 8000-4 and a signed copy of the automated OpSpecs when received from the AMO;

• The appropriate NAA surveillance form (or FAA Annex to EASA Form 6), including any plan for corrective action (refer to subparagraph 12-505C above);

• A copy of the NAA approval certificate and ratings (or EASA Form 3 and approval schedule);

• Copies of all appropriate communications with the NAA to ensure a proper document trail;

• A copy of the list of multiple facilities located within the MIP country that are covered under one FAA certificate (if revised during this renewal cycle);

• A copy of the list of line stations operating under the FAA certificate within the MIP country (if revised during this renewal cycle);

• Training program LEP or letter of approval showing NAA approval on behalf of the FAA (if revised during this renewal cycle); and

• Receipt for fees collected.

NOTE: Multiple facility locations need only be listed in the FAA supplement.

NOTE: The NAA office retains the evidence of need document in the AMO file and makes it available to the FAA during sampling inspections and/or independent FAA inspections.

L. Documents to Send to the NAA.

1) The FAA inspector will send the AMO’s NAA:

• A copy of FAA Form 8310-3; and • The originals of FAA Form 8000-4 and FAA automated OpSpecs.

2) The FAA inspector will forward the original certificate and two original OpSpecs to the AMO through the NAA. The AMO will sign and return one original of the OpSpec to the FAA.

12-506 CERTIFICATION PHASE TASK OUTCOMES.

A. Complete the PTRS Record. The FAA inspector will complete the appropriate PTRS file by:

1) Using PTRS codes 3653/5653 when the NAA has performed the surveillance on behalf of the FAA. The FAA inspector should use the comment codes for any significant comments when appropriate.

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2) Using PTRS codes 3045/5045 for review of documentation and processing. The FAA inspector should use the comment codes for any significant comments when appropriate.

3) Documenting the renewal inspection by the NAA in the PTRS.

a) The NAA accomplishes its repair station renewal inspection using the enhanced repair station baseline surveillance program that is located in Volume 6, Chapter 9, Section 16, Inspect Part 145 Repair Stations Within the United States.

b) PTRS activity codes 3653 and 5653 are now divided into the same 14 individual PTRS activities that make up the baseline inspection for a 3650/5650 surveillance. This section has provided guidance for accomplishment of the surveillance of the MIP special conditions by the NAA. It also provides a means to follow when documenting surveillance. This ensures the surveillance is tracked in the same manner as that of any other facility located inside or outside of the United States.

c) Initiate the baseline surveillance by opening the PTRS activity code 3653/5653. Therefore, enter the PTRS activity codes that correspond to the subject area covered on the FAA Annex to EASA Form 6; you only need to address the inspection items identified on the FAA annex. When the NAA provides finding information that is not part of the FAA special conditions, record that information under the appropriate PTRS code. Enter all comments, notes, and discrepancies; accomplish this using existing PTRS procedures identified below.

NOTE: The incorporation of the enhanced air carrier and repair station contract oversight system into the Flight Service Automation System (FSAS) program and into the National Program Guidelines (NPG) system is undergoing reprogramming. In the future, the process will be automated.

4) Entering each applicable PTRS code as individual entries:

• Parts and Materials (3601/5601), • Certificate Requirements (3604/5604), • Records Systems (3605/5605), • Work Away from Station (3606/5606), • Quality Control (3608/5608), • Air Carrier and Air Operator Requirements (3618/5618), • Maintenance Process (3654/5654), • Housing and Facilities (3657/5657), • Tools and Equipment (3601/5601), • Personnel Record (3659/5659), • Manuals (3660/5660), • Training (3661/5661), • Contract Maintenance (3663/5363), and • Technical Data (3656/5656).

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NOTE: This is an interim procedure. The computer program is presently undergoing revision and modification.

NOTE: You may use PTRS codes 3650/5650 when the FAA performs the surveillance as part of the sampling audit or FAA independent inspection, as appropriate, required by the MIP (refer to Volume 12, Chapter 10, Section 1, Background). The inspector should use the appropriate comment codes for any significant comments. Record the NAA report’s findings under the correct code to capture repair station analytical model (RSAM) (risk-based analysis model) data for the repair station within the Safety Performance Analysis System (SPAS) repair station database.

B. Update the Vital Information Subsystem (VIS). Update the VIS data file, as appropriate, from information gathered during the certification phase.

12-507 APPLICATION FOR AMENDING A REPAIR STATION CERTIFICATE OR OPSPEC (AMENDMENT APPLICATION): AMENDMENT PROCEDURES.

A. Preapplication Phase. There are no FAA actions required under this phase.

B. Formal Application Phase.

1) Each of the following actions requires a part 145 certificate holder to apply for a change in a repair station certificate:

• A change in the location, housing, or facilities of the repair station (refer to the IBMG for details);

• A request to add, revise, or amend a rating; or • A change in ownership or name change.

NOTE: If the holder of a repair station certificate sells or transfers its assets, the new owner or the new certificate holder who has made the name change must apply for an amended certificate (refer to Volume 2, Chapter 11, Section 2 for additional information).

2) The extent of FAA approval is in the AMO’s part 145 Air Agency Certificate and repair station OpSpecs. If an AMO seeks to perform work outside the scope of its part 145 repair station certification and its NAA requirements (or EASA part 145 certification), it must first obtain an amendment of its NAA approval certificate and limitations (or its EASA part 145 certificate and approval schedule) to permit the performance of the intended work before amending its 14 CFR part 145 repair station certificate.

C. NAA Responsibilities.

1) The AMO will submit any revisions to the FAA supplement to its manual that reflect changed procedures, but do not change the nature of the AMO’s part 145 certificate or ratings, to the NAA for review before implementation. Under the BASA/MIP process, it is the

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NAA’s responsibility to review any revision and ensure that it meets the requirements of the IBMG. The NAA is not required to forward these revisions to the FAA.

2) Title 14 CFR part 145 requires a new application when the holder of a repair station certificate sells or transfers its assets. The FAA inspector must recommend a new certificate number because of the possibility of the release of information under the Freedom of Information Act (FOIA). However, should the new owner stipulate in writing that there is a clear understanding of the potential for release of information under the FOIA when retaining the old certificate number, the new owner may retain the old number.

3) The AMO will submit any requests for revisions to its NAA certificate and/or limitations document (or EASA Form 3 and limitation schedule) to its NAA. The NAA will forward a copy to the FAA for review to ensure no change in ratings is required. If changes are required, the FAA will notify the AMO, via the NAA, to submit FAA Form 8310-3.

4) From November 7, 2005, on, if the repair station and/or its contractors and subcontractors are performing a job function concerning transportation of dangerous goods (i.e., hazmat), the repair station must train its employees to the hazmat standards. The repair station must also provide the FAA with a letter certifying that it has trained the appropriate employees in accordance with the ICAO Technical Instructions for the Safe Transport of Dangerous Goods by Air. The FAA will retain the certifying letter with the certification report and file. This letter is only required at the time of initial certification, or anytime the repair station applies for a change to its certificate as defined in 14 CFR part 145, § 145.57, unless the letter is already in the repair station certification file.

5) An AMO requesting to amend its 14 CFR part 145 certificate should submit the following documents to its NAA:

• FAA Form 8310-3 and any supporting documentation required by the change; • Updated letter certifying its employees, contractors, and subcontractors have

been trained in the transportation of dangerous goods in accordance with ICAO standards;

• Documentation demonstrating the requirement to show a need, identified in the IBMG, for initial certification (when requesting added ratings);

• Information for adding a new location within the MIP country; and • Information for adding a new line station within the MIP country.

NOTE: The FAA may not accept the addition of new line stations or new locations that would be listed under multiple facilities between renewal cycles. It is not practical for the FAA and the NAA to add new locations to the repair station certificate when not considered part of a renewal. The administrative burden is beyond the scope of the BASA/MIP.

6) During the formal amendment application phase, the FAA inspector is not required to take any action other than to answer questions the NAA poses regarding compliance with FAA procedures or requirements.

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D. Document Compliance Phase. The FAA has no responsibilities in this phase. This is the responsibility of the NAA, per the BASA/MIP.

1) The NAA will review the AMO’s amendment application package for continued compliance with FAA special conditions in the MIP. The amendment package should contain:

• FAA Form 8310-3 and supporting documents required by the change; • If applicable, an updated AMO letter certifying that it has trained its

employees, contractors, and subcontractors in the transportation of dangerous goods in accordance with ICAO standards;

• Documentation demonstrating the requirement to show a need, identified in the IBMG, when applying for an added rating;

• Information on the application identifying a new line station, if the AMO is requesting to add it to the certificate and OpSpecs;

• Information on the application identifying an additional location, if the AMO is requesting to add it to the certificate and OpSpecs; and

• Updated LEP of the training program, if impacted by the amendment.

2) The NAA will immediately inform the FAA inspector of all proposed changes to the location, housing, or facilities of the repair station that would affect the conditions of the AMO’s current certificate (see the IBMG for criteria). After discussions with the FAA inspector, the NAA may recommend that the FAA allow the AMO to continue operating as a 14 CFR part 145 repair station while implementing the proposed changes. The NAA will inform the AMO of any conditions and immediately notify the FAA when the AMO has implemented the permitted changes.

E. Demonstration and Inspection Phase. The FAA has no responsibilities in this phase. This is the responsibility of the NAA, per the BASA/MIP.

1) For all requests involving a change in the AMO’s rating or facilities, if the information submitted by the AMO is acceptable, the NAA will conduct an onsite audit of the AMO’s change using the appropriate NAA surveillance form, including FAA special conditions (or FAA Annex to EASA Form 6) or FAA/NAA-accepted equivalent documentation. An audit conducted within the previous 90 days is acceptable if it covers the requested change.

2) If the NAA determines the AMO is in compliance with NAA requirements (or EASA part 145) and FAA special conditions, the NAA will complete the appropriate surveillance form (or FAA Annex to EASA Form 6) or FAA/EASA-accepted equivalent documentation, and forward the complete amendment package to the appropriate FAA IFO.

F. Certification Phase.

1) The FAA inspector must receive the following documents from the NAA:

• FAA Form 8310-3, if the amendment affects the list of maintenance functions that another maintenance organization will perform under contract for the AMO (if revised, must be included);

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• AMO’s letter certifying that it has trained its employees, contractors, and subcontractors in the transport of dangerous goods in accordance with ICAO standards;

• A copy of the appropriate NAA surveillance form (or FAA Annex to EASA Form 6) or FAA/EASA-accepted equivalent documentation, with the NAA recommendation;

• A copy of the NAA AMO’s amended certificate and limitations (or the amended EASA Form 3 and approval schedule);

• Information for adding a new location within the MIP country (if revised); • Information for adding a new line station within the MIP country (if revised);

and • Training program LEP or letter showing NAA approval on behalf of the FAA

(if impacted by the amendment).

NOTE: The FAA certification project manager (CPM) should review the letter of hazmat training compliance to ensure that the applicant has addressed the requirements of part 145, §§ 145.53 and 145.57. The FAA is required to have the certifying letter on file; however, the burden of surveillance and qualifications of hazmat requirements falls on other organizations within and outside the FAA, such as the FAA Office of Security and Hazardous Materials (ASH), and/or U.S. Department of Transportation (DOT). All Flight Standards District Offices (FSDO) and IFOs will accept, without further showing, the letter certifying that the appropriate employees have been trained.

NOTE: The FAA cannot accept the addition of new line stations or new locations that would be listed under multiple facilities between renewal cycles. It is not practical for the FAA and the NAA to add new locations to the repair station certificate/OpSpec when not considered part of a renewal. The administrative burden for both the FAA and NAA is beyond the scope of the BASA/MIP (refer to the IBMG).

2) The FAA inspector will review the amendment application package and supporting documentation and ensure that the NAA surveillance form (or FAA Annex to EASA Form 6) is complete and contains the NAA recommendation.

3) If the FAA finds that the documentation supporting an AMO’s application for amendment is unsatisfactory, the FAA inspector will prepare a memorandum or e-mail to the NAA indicating the deficiencies noted. The NAA, in turn, will notify the AMO of the FAA’s findings. For the application process to continue, the applicant should correct all deficiencies the FAA noted within 60 days of FAA’s notification to the NAA, or within the time period specified in an NAA-approved CAP.

4) Handle any findings or discrepancies noted by the NAA on the surveillance form in the manner described in subparagraph 12-505C.

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G. Certification: FAA Responsibilities.

1) Based on the NAA recommendation, once the FAA inspector determines that the AMO meets all the requirements for the amendment, the inspector will complete FAA Form 8310-3 and issue a revised 14 CFR part 145 Air Agency Certificate and a revised repair station OpSpec to the AMO, as specified in subparagraphs 12-507G2) and 3) below.

NOTE: On FAA Form 8000-4, include the date any new ratings are added in parentheses after the ratings.

2) The FAA inspector will retain the following for inclusion in the AMO’s certification file:

• A completed FAA Form 8310-3; • Updated letter certifying that it has trained its employees, contractors, and

subcontractors in the transport of dangerous goods in accordance with ICAO standards;

• A copy of FAA Form 8000-4; • A copy of the automated repair station OpSpecs (must include OpSpec A060); • The appropriate NAA surveillance form, including FAA special conditions

(or FAA Annex to EASA Form 6) or FAA/NAA-accepted equivalent documentation, with NAA recommendation;

• A copy of the AMO’s amended certificate and limitations document (or EASA Form 3 and amended approval schedule);

• The IBMG; and • Receipt of fees paid.

NOTE: Note that the evidence of need document is retained at the NAA office in the AMO file. The NAA will make it available to the FAA during sampling inspections and/or independent FAA inspections.

3) The FAA inspector will send the AMO’s NAA:

• A copy of FAA Form 8310-3, and • The originals of FAA Form 8000-4 and FAA automated OpSpecs.

NOTE: The FAA inspector will forward the original certificate and two original OpSpecs to the AMO through their NAA. The AMO will sign and return one original of the OpSpec to the FAA.

12-508 AMENDMENT PROCEDURES TASK OUTCOMES.

A. Complete the PTRS Record. Complete the appropriate PTRS file using:

• PTRS codes 3653/5653 when the NAA has performed the surveillance on behalf of the FAA (before closing the 3653/5653, review FAA Annex to EASA Form 6

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for additional comments that may be applicable to the amendment and recorded in the appropriate PTRS code), or

• PTRS codes 3045/5045 for review of documentation and processing (use the comment codes for any significant comments, when appropriate).

1) Document the NAA’s certification amendment inspection in the PTRS. The NAA accomplishes repair station amendment inspection using the enhanced repair station baseline surveillance program that is located in Volume 6, Chapter 9, Section 16, Inspect Part 145 Repair Stations Within the United States.

a) PTRS activity codes 3653 and 5653 are now divided into the same 14 individual PTRS activities that make up the baseline inspection for a 3653/5653 surveillance. This section has provided guidance for accomplishment of the surveillance of the MIP special conditions by the NAA. It also provides a means to follow when documenting surveillance. This ensures the surveillance is tracked in the same manner as that of any other facility located inside or outside of the United States.

b) Initiate the baseline surveillance by opening the PTRS activity code 3653/5653. Therefore, enter the PTRS activity codes that correspond to the subject area covered on the FAA Annex to EASA Form 6; you only need to address the inspection items identified on the FAA annex. When the NAA provides information that is not part of the FAA special conditions, record that information under the appropriate PTRS code. Enter all comments, notes, and discrepancies using existing PTRS procedures identified below.

2) The incorporation of the enhanced air carrier and repair station contract oversight system into the FSAS program and into the NPG system is undergoing reprogramming. In the future, the process will be automated.

• Parts and Materials (3601/5601), • Certificate Requirements (3604/5604), • Records Systems (3605/5605), • Work Away from Station (3606/5606), • Quality Control (3608/5608), • Air Carrier and Air Operator Requirements (3618/5618), • Maintenance Process (3654/5654), • Housing and Facilities (3657/5657 ), • Tools and Equipment (3601/5601), • Personnel Record (3659/5659), • Manuals (3660/5660), • Training (3661/5661), • Contract Maintenance (3663/5363), and • Technical Data (3656/5656).

NOTE: Enter each applicable PTRS code as an individual entry. This is an interim procedure. The computer program is presently undergoing revision and modification.

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NOTE: Only use PTRS codes 3655/5655 when the FAA performs the surveillance as part of the sampling inspections required by the MIP. FAA sampling inspection requirements are contained in Volume 12, Chapter 10, Section 1.

B. Update the VIS. Update the VIS data file as appropriate.


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VOLUME 13 FLIGHT STANDARDS DESIGNEES

CHAPTER 1 AIR TRANSPORTATION DESIGNATED EXAMINERS

Section 2 Managing Programs

13-24 PROGRAM TRACKING AND REPORTING SUBSYSTEM (PTRS) ACTIVITY CODES. Operations: 1551, 1552, 1553, 1554, 1555, 1559, 1561, 1562, 1563, 1564, 1595, 1664, 1665, 1666, 1668, 1669, 1670, 1671, 1672, and 1673.

13-25 OBJECTIVE. This section provides specific inspector guidance on the selection, appointment, oversight, training, renewal, and termination of designees in the Aircrew Designated Examiner (ADE) program, including aircrew program designees (APD), as well as inspector guidance on certain aspects of the Training Center Evaluator (TCE) program and the Designated Aircraft Dispatch Examiner (DADE) program.

13-26 GENERAL.

A. Selection of Examiners.

1) This paragraph applies to the selection of examiners in the ADE program. Preferred sources for examiner candidates are:

• Airmen who are actively engaged in the activity for which examinations are to be conducted, and

• Retired or former inspectors.

2) Prior experience as a designated examiner or aviation safety inspector (ASI) may be considered to meet the examiner requirement for check airman experience.

NOTE: Selection criteria for TCEs are located in Volume 3, Chapter 54, Section 2. Selection criteria for DADEs are located in Volume 13, Chapter 3.

B. Qualifications of APDs. Candidates must have the following qualifications:

1) A recommendation from the operator that includes a résumé of training and professional experience;

2) A good record as a pilot and flight instructor and a good record of compliance with Title 14 of the Code of Federal Regulations (14 CFR) (isolated and unrelated violations or incidents are not disqualifying);

3) Approval as a check airman for the operator in its 14 CFR part 121 or 135 training program;

4) A reputation for integrity and dependability in the industry and the community;

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5) An Airline Transport Pilot Certificate (ATPC) and applicable type rating for pilot examiners, or the appropriate airman certificate for a Flight Engineer (F/E). Examiners authorized to conduct evaluations in aircraft must possess at least a third class medical certificate. A medical certificate is not required for simulator evaluators;

6) Successful completion of the operator’s approved training program in which the candidate will be authorized to conduct evaluations for the issuance of certificates; and

7) Satisfactory completion of a formal ground school conducted by the Federal Aviation Administration (FAA) that includes the subjects contained in paragraph 13-33.

NOTE: See Volume 13, Chapter 2, Section 3 for more detail regarding APD qualifications. See Volume 3, Chapter 54, Section 2 for more detail regarding TCE qualifications.

C. Qualifications of Candidates Other Than Pilots. Examiner candidates who are not pilots must have the following qualifications:

1) Designated flight engineer examiner (DFEE) candidates must have successfully completed the operator’s approved training program in which the candidate will be authorized to conduct evaluations for the issuance of certificates, or the training program conducted by the training center and the appropriate training in the differences between the operator’s approved training program and that of the training center;

2) DFEE and aircraft dispatcher examiner candidates must have satisfactorily completed a formal ground school conducted by the FAA that includes the subjects contained in paragraph 13-33;

3) Hold the appropriate airman certificate and rating(s), if applicable;

4) Status as an F/E check airman or dispatcher supervisor, as appropriate, in the operator’s training program;

5) A recommendation from the operator that includes a résumé of training and professional experience; and

6) A good record of compliance with 14 CFR (isolated and unrelated violations or incidents are not disqualifying).

D. Oversight. Effective oversight of designated examiners is founded on a strategy of risk management (RM) in which oversight by a certificate holder, as well as 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. The FAA must allocate sufficient resources, including manpower and funds, to ensure effective management and efficient oversight of any designee. Flight Standards District Office (FSDO) and certificate management office (CMO) managers continually evaluate the effectiveness of their respective designee processes, and are responsible for prompt response and feedback to designees. Each region is responsible for the performance of its respective FSDOs and CMOs in managing the designees

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authorized. Evaluations should be data-driven and based upon objective evidence, and any decisions must be documented.

13-27 DESIGNATED EXAMINERS ABROAD. An examiner may be designated to serve at locations outside of the United States, provided the designated examiner will examine only U.S. citizens or applicants trained under a training center’s approved program, or individuals employed as flightcrew members of a part 121 or 135 air carrier and trained under that operator’s approved training program. An FAA inspector must adequately supervise the designated examiner’s activities. Principal operations inspectors (POI) may depend upon inspectors provided by International Field Offices (IFO) or by another domestic field office for this supervision. A person who is not a U.S. citizen may be designated as an examiner 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. Additionally, approval must be obtained from the applicable regional Flight Standards division (RFSD) manager.


A. Prerequisites. This task requires knowledge of 14 CFR part 61, 63, 65, 91, 121, 135, and/or 142 regulations and FAA policies, and qualification as an ASI (Operations) with designee oversight responsibilities.

B. Coordination. This task may require coordination between the managing FAA office, the RFSD, and/or the Air Transportation Division (AFS-200).



• Title 14 CFR parts 1, 61, 63, 91, 121, 135, 142, and 183. • Title 49 of the United States Code (49 U.S.C.). • PTRS Procedures Manual (PPM).

B. Forms:

• FAA Form 8000-5, Certificate of Designation. • FAA Form 8000-36, PTRS Data Sheet. • FAA Form 8060-4, Temporary Airman Certificate. • FAA Form 8060-5, Notice of Disapproval of Application. • FAA Form 8430-9, Certificate of Authority. • FAA Form 8710-6, Examiner Designation and Qualification Records.

C. Job Aids. None.

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13-30 DESIGNEE APPLICATION. Examiner candidates must submit the following before designation:

A. Qualifications. A completed statement of professional qualifications on FAA Form 8710-6 (see Figure 13-1, FAA Form 8710-6 Examiner Designation and Qualification Record). The specialist will review the candidate’s qualifications to ensure that the candidate meets the requirements and standards for an examiner designation;

B. Certificate of Authority (COA). A copy of a completed and current FAA Form 8430-9 (see Figure 13-2, FAA Form 8430-9, Certificate of Authority), if the candidate currently holds an examiner designation(s) and examiner letters of authority (LOA) issued to the candidate; and

C. Letters of Approval. Copies of any current check airman letters of approval issued to the candidate.

13-31 PROCESSING INITIAL EXAMINER DESIGNATIONS. Specialists will ensure that all the requirements for an examiner designation have been met and will prepare the necessary paperwork as follows:

A. PTRS Codes (Part 183):

• 1551—Pilot Examiner—Large/Turbine (Airline Transport Pilot Examiner (ATPE)/Designated Pilot Examiner (DPE)).

• 1552—Pilot Examiner—Other (DPE). • 1553—Pilot Proficiency Examiner (PPE). • 1555—Aircraft Dispatcher. • 1559—TCE. • 1561—Flight Engineer Examiner (FEE). • 1562—APD.

B. FAA Form 8710-6. After the examiner applicant has completed and signed the front of FAA Form 8710-6, the specialist will complete the form as follows:

1) On the back of the form under the block labeled “Additional Qualifications,” enter the certificates, ratings, and aircraft type, as applicable, for which the designated examiner is authorized to conduct certification tests.

2) In the action block at the bottom on the reverse side of the form, cross out the word “regional” and enter the word “district” or “certificate management,” as applicable.

3) Check both sides of the form for accuracy and completeness.

4) Enter the type of designation, “APD/DFEE” or “TCE,” followed by the certificate and airplane type in the space labeled, “Type of Designation,” below the district/certificate management office action block (i.e., ATP/AMEL B-727).

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5) Enter the designated examiner’s airman certificate number and designation identification in the space labeled, “Certificate of Authority Issued” in the space titled “No.” If the examiner candidate is to be an APD for an air carrier, use the designator for that air carrier. If the candidate is to be a TCE, use the designator for the training center.

6) Enter the expiration date, which is normally the last day of the month in the following year corresponding to the month of designation. Special circumstances may call for an earlier expiration date.

7) Enter the applicable FSDO in the “DO to Serve Under” block.

8) Sign the “Inspector’s Signature” block.

C. Examiner Designation Numbers. For APDs and TCEs, the airman’s certificate number, coupled with the applicable four-character air carrier or training center designator, may be used in all instances when an examiner designation number may be called for. If the examiner candidate is to be an APD for an air carrier, use the designator for that air carrier. If the candidate is to be a TCE, use the designator for the training center (i.e., an APD for Delta Airlines, Inc. (DALA) would be 123456789DALA).

D. Other Forms. Specialists will prepare FAA Form 8000-5 (see Figure 13-3, FAA Form 8000-5, Certificate of Designation), and FAA Form 8430-9 (see Figure 13-2). The originals of these forms will be issued to the designated examiner. Copies will be retained in the appropriate designee file.

E. Approval Authority. The office manager, POI, Training Center Program Manager (TCPM), or an inspector authorized to act for these individuals will indicate approval of each examiner candidate by completing the first line of the district/certificate management office action block on FAA Form 8710-6, and by signing in the appropriate spaces on FAA Forms 8710-6, 8430-9, and 8000-5.

F. LOA. The inspector approving the candidate’s designation as an examiner will prepare the LOA. The LOA serves two purposes:

• It specifies the exact authority conveyed to the examiner by the designation, which may not be possible to include on FAA Form 8430-9 due to space limitations; and

• It provides a record of approval and a basis for subsequent amendment and dissemination of information to affected FAA offices, which may be transmitted via email.

13-32 DESIGNEE FILE. Examiner records should be used to collect and analyze information to oversee the performance of designees. The designating FSDO or CMO will maintain a designee file for each designated examiner. This file provides risk-based information to determine the continued designation of the examiner and the quality of the certification work done by the examiner. It will contain the following:

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NOTE: If any of these items are unavailable, the FAA office should include a written notation to that effect in the designee file.

• FAA Form 8710-6 for each original designation and renewal; • FAA Form 8430-9 for each original designation of authority and renewal; • FAA Form 8000-5; • Violations history, if any, available from the Enforcement Information System (EIS);

NOTE: This information may be obtained through the Safety Performance Analysis System (SPAS) database. It will provide the specialist with a complete record of the candidate’s qualifications; accident, incident, and enforcement history; and PTRS activity, as selected during the query process.

• Records of surveillance/inspection of the designee (e.g., copy of PTRS record); • Records of discussion or counseling; and • General correspondence.

NOTE: ASIs should be aware that the PTRS does not retain records to meet this requirement in full.

13-33 EXAMINER CANDIDATE TRAINING AND OBSERVATION. The specialist will ensure that examiner candidates are trained and observed in their functions prior to designation. TCEs must complete the employing center’s approved instructor and TCE training as well as the training described in this section.

A. Candidate Training. Examiner candidates must be trained in certification policies, procedures, and standards. The specialist must ensure that the candidate is trained in the following specific areas:

1) The knowledge, abilities, and skill requirements for the original issuance of the certificate and added ratings, as applicable;

2) The procedures, methods, and techniques associated with administering the required certification tests;

3) Examiner responsibilities, authority, and limitations under 14 CFR and applicable FAA orders;

4) The use of FAA forms and job aids associated with the particular examiner function; and

5) Administrative procedures and relationships with supervisory inspectors.

NOTE: See Volume 13, Chapter 3 for DADE training requirements. See Volume 3, Chapter 54 for TCE training requirements.

B. Representing the FAA. Inspectors will stress to examiner candidates that in performing the functions of an examiner, they are representatives of the Administrator.

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Candidates must understand that matters such as company loyalties, economic conditions, union affiliations, and seniority are not relevant to the certification of airmen.

C. FAA Observation of the Candidate. After the examiner candidate has been trained, a qualified inspector will observe the examiner candidate conducting a complete certification test consisting of oral, simulator, and aircraft portions (or practical evaluation), as applicable. The following methods of observation may be used, in descending order of preference:

1) Actual Certification Evaluation. The preferred method is that the inspector observes an examiner conducting all portions of an actual certification test.

2) Simulated Certification Evaluation. When circumstances make the observation of an actual certification test impractical, inspectors may observe the examiner candidate conducting a competency or proficiency check as if the check were being conducted for certification.

3) Other Methods. Other methods, such as the inspector acting as the applicant, may be used when the preferred methods are not practical.

NOTE: The requirements for valid TCE observations are clarified and explained further in Volume 3, Chapter 54, Section 2.

D. Recording Examiner Training. Specialists who conduct training for an examiner candidate will complete FAA Form 8000-36, using activity code 1595 for each examiner candidate trained. The inspector will use FAA Form 8000-36, Section IV and J799, to identify the type of training activities that are conducted.

13-34 OVERSIGHT AND SUPPORT OF DESIGNATED EXAMINERS. Specialists are responsible for the oversight and support of designated examiners. However, any FAA employee working with the designee has the responsibility to provide input to the specialist on the performance of the designee. The following guidance applies:

A. Meeting with Examiners. Specialists will ensure competent performance by each designated examiner in respect to handling of applicants, maintenance of desired test standards, and accurate completion and processing of certification paperwork. Designated examiners should be encouraged to contact their specialists to resolve questions or difficulties. Sufficient contact is essential and will include regular and special meetings and annual briefings, as follows:

1) Regular Safety Standardization Meetings. Specialists will conduct regularly scheduled meetings, at least annually, with designated examiners for the purpose of maintaining desirable standards and effective working relationships. These meetings will be recorded in the PTRS.

2) Special Safety Standardization Meetings. Specialists will call special meetings whenever a significant change affects the process of FAA airman certification in respect to air transportation examiners.

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3) Annual FAA Briefing of Examiner. Each designated examiner must attend an annual briefing, conducted by a specialist, that specifically addresses the functions of a designated examiner. This briefing may be accomplished in conjunction with a safety standardization meeting, but must be accomplished as a condition of renewal.

B. Examiner Supplies and Materials. Specialists will ensure that each designated examiner has access to the materials necessary for the examiner’s tasks. The following materials will be made available before designation of any candidate, and revisions to the materials will be made readily accessible to the designee thereafter:

1) Volume 3, Chapter 20;

2) Volume 5;

3) Appropriate Job Aids;

4) FAA Form 8060-4;

5) FAA Form 8060-5; and

6) FAA Form 8000-36.

13-35 SHARED OVERSIGHT OF EXAMINERS. A check airman may be designated as more than one type of designated examiner or as a designated examiner for more than one operator. In such a case, more than one inspector may supervise a designated examiner. The following guidance applies:

A. Supervisory Responsibilities. POIs and managers should delegate responsibility for supervising all of a designated examiner’s activities to a single inspector when practical. It may be necessary, however, for the supervisory responsibility to be divided in accordance with the activities the designated examiner is authorized to perform. For example, a check airman might be approved as an APD by authority of an FSDO in Florida; under that authority the examiner might conduct B-747 type ratings for an operator whose certificate is held in that State. The same person might also be DPE for General Aviation (GA) by authority in Colorado. In such a case, the examiner would be supervised by an aircrew program manager (APM) in Florida for B-747 activities and by an appropriately rated inspector in Colorado for GA activities.

B. Responsibility for Maintaining Designee Files. An inspector must be assigned the responsibility for maintaining a particular designated examiner’s file. When more than one FSDO is involved, the file should normally be maintained by the office for which the designated examiner performs air transportation functions. When the examiner conducts certifications for more than one part 121 or 135 operator, the file should be maintained in the office of original designation. Other arrangements are permissible and may be negotiated to the satisfaction of the applicable FSDOs and CMOs.

C. Procedure for Granting Additional Examination Authority. The training and observations required for an examiner’s second designation must be completed before the

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designated inspector can amend the examiner’s FAA Form 8710-6, FAA Form 8000-5, FAA Form 8430-9, and LOA.

1) When the authority is requested for an examiner to be designated for a second operator, the examiner candidate must complete qualification as a check airman for the second operator as a precondition of designation.

2) The inspector tasked with performing any required observations of the designated examiner is responsible for notifying the inspector who maintains the designated examiner’s file once the observations have been completed and the check airman designation has been made for the second operator.

D. Expiration Date. All designations expire on the expiration date on FAA Form 8710-6, FAA Form 8430-9, and the LOA, which is normally the last day of the month in the following year corresponding to the month of designation. Title 14 CFR part 183 calls for a 1-year term to expiration. Special circumstances may call for an earlier expiration date, but not a later one.

1) When an examiner performs multiple certification services under authority granted by a single FSDO, the specialist should normally change the expiration date to the last day of the month in the following year corresponding to the month of the most recent designation.

2) When an examiner performs multiple certifications under authority granted by more than one FAA office (as in subparagraph 13-35A), the expiration date is not normally changed.

E. Records. When the oversight of a designated examiner is shared by more than one FAA office, the FSDO or CMO manager with responsibility for maintaining the designated examiner’s records file will coordinate with the other office(s), as appropriate, before approving the designation. When the designation has been completed, a copy of the LOA will be sent to those other office(s).

13-36 AMENDMENT OF DESIGNATED EXAMINER DESIGNATIONS.

A. Authority. The manager responsible for maintaining a designated examiner’s records file may amend an examiner’s FAA Forms 8000-5, 8710-6, and 8430-9 and LOA at any appropriate time. An amendment is appropriate when any of the following elements of a designated examiner’s certification authority is changed:

• Designation, • Certificate, • Aircraft type, • Operator, or • Training center.

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B. Amendment Procedure. When an FAA Form 8000-5 is amended, the inspector must cancel any previously issued form by marking the words “CANCELED” across the face of the certificate and issue a new one. When FAA Form 8000-5 is amended to include more than one designation, FAA Form 8710-6 must also be amended. The specialist will enter an adequate description of each designation in the “Additional Qualifications Limitations” block. FAA Form 8430-9 will be changed as well to reflect the additional authorizations. When more than one FSDO or CMO is involved, the office supervising each activity must be listed on this certificate. The specialist will show the additional authorities and limitations on the LOA and forward copies to the affected offices.

C. Administrative Steps. The administrative steps for the issuance of an amended certificate of designation are the same as those outlined for initial designation. (See paragraph 13-31.)

13-37 RENEWAL OF DESIGNATIONS.

A. PTRS Codes (Part 183):

• 1551—Pilot Examiner—Large/Turbine (ATPE/DPE). • 1552—Pilot Examiner—Other (DPE). • 1553—PPE. • 1555—Aircraft Dispatcher. • 1560—TCE. • 1561—FEE. • 1562—APD.

B. Need for Renewal. Before renewal, each local office must determine that there is an ongoing need to renew the designation and that the office has the ability to continue managing the designee.

C. Expiration. An examiner designation expires no later than the last day of the month in the following year corresponding to the month of original issue or most recent renewal. The renewal process will normally be accomplished during the 2 months preceding or in the month that the designation will expire.

EXAMPLE: An examiner designation issued on January 15, 2009, would expire on January 31, 2010. The renewal process would normally be conducted in the period from November through January, completing the process no later than the end of January.

D. Renewal Process. The examiner will not conduct any evaluations after the expiration date if he or she has not been renewed and issued a new FAA Form 8430-9. If the renewal process is not completed within 30 days following the expiration date, the examiner may be reinstated using the same process used for initial designation. At expiration, a designation does not continue in force. The inspector should ensure that the need for a designated examiner continues to exist before considering renewal. If conditions necessitating an examiner continue

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to exist, the examiner’s designation is normally renewed in the month corresponding to the month of original issue or most recent renewal. Inspectors should use the following procedures:

1) Required Forms. The inspector assigned to the designated examiner will renew the designation after satisfactory completion of the required annual observation and required annual briefing. The following forms will be updated:

• FAA Form 8710-6, • FAA Form 8430-9, • LOA, and • A new FAA Form 8000-36. Initiate this form to record the renewal action

after all actions have been completed.

2) Annual FAA Observation of Check.

a) PTRS codes (part 183):

• 1664—Pilot Examiner—Large/Turbine (ATPE/DPE). • 1665—Pilot Examiner—Other (DPE). • 1666—PPE. • 1668—FEE. • 1669—Aircraft Dispatcher. • 1672—APD. • 1673—TCE.

b) Within the 3 calendar-months before expiration, the examiner will be observed conducting a complete check. In the case of pilot examiners (e.g., APD, TCE), this evaluation will include observation of oral, simulator, and aircraft evaluation activities, as applicable. The observation will be conducted by the specialist, or by another appropriately rated inspector appointed by the specialist.

c) For renewal purposes, inspectors may observe designated examiners conducting the following activities, in descending order of preference:

• A certification check, • A proficiency check, or • A competency check.

NOTE: In rare cases, the inspector may observe the examiner’s own proficiency or competency check. To complement this observation, the inspector may perform maneuvers or procedures for the designated examiner to evaluate.

NOTE: If the necessary observations cannot be accomplished within the required timeframe, the inspector should evaluate the continued need for an evaluator.

d) When the designated examiner has authorizations for certification services that are closely related (DPE/PPE/TCE), only one observation by an inspector may be required.

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EXAMPLE: A TCE with examination authority for more than one operator under the same training program needs to be observed annually performing the applicable activities for only one operator if the operators’ curricula are essentially the same and the POI/TCPM concurs.

e) Similarly, participation in a line observation program and demonstration of instructional proficiency need to be accomplished on only one of the operators. When an individual is authorized to evaluate personnel of more than one operator, the observations should be rotated among the operators’ programs. On the other hand, an APD for the B-747 who is concurrently a DPE for gliders needs at least two annual FAA observations, one in each activity.

f) The designated examiner is responsible for scheduling each required annual FAA observation and each annual briefing far enough in advance to ensure that they may be accomplished before expiration. A designated examiner who is beyond expiration may not conduct any certification activity on behalf of the Administrator until all annual requirements are met and the renewal has been completed.

g) Each designated examiner must attend an annual meeting or a briefing, conducted by an inspector, that specifically addresses the functions of a designated examiner. This briefing may be accomplished in conjunction with a safety or standardization meeting. The meeting or briefing should cover the following:

• Designee’s roles and responsibilities, • Paperwork discrepancies, • Applicable changes to 14 CFR, • New FAA policy and procedures, • Conduct of the practical test, • Review and updating test scenarios, • Feedback on approved training courses, • Foreign student applicants, and • Regional and national issues (trends, best practices, etc.).

13-38 PROCESSING DESIGNATED EXAMINER CERTIFICATION PAPERWORK. Part 183, § 183.17 requires that designated examiners make reports as prescribed by the Administrator. Designated examiners will forward airman certification paperwork to the designated FSDO for review, processing, and transmittal to the Airman Certification Branch (AFS-760). When a multiple designation with more than one supervising office is involved, certification paperwork will be sent to the supervising office for each designation. This paperwork will only be submitted to, and processed by, the specified office; it may not be accepted by other offices.

A. Designated Examiner Responsibilities. Designated examiners must complete the airman certification paperwork in accordance with the requirements of Volume 13. The paperwork must be accurate, complete, and timely. Designated examiners must complete the PTRS datasheets for each test conducted. Satisfactory fulfillment of this responsibility is a requirement for renewed designation as an examiner.

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B. Specialist Responsibilities. Specialists are responsible for training designated examiners on correct documentation. Specialists should provide the designated examiners with ample PTRS datasheets and should ensure that as much information as possible is overprinted on these forms. Inspectors may overprint forms or job aids in any convenient manner, such as by pen, pencil, or copy machine.

13-39 REVIEW OF DESIGNATED EXAMINER DECISIONS. If an airman is dissatisfied with a designated examiner’s decision, the airman may appeal to the specialist for a retest. The airman must submit the appeal in writing and indicate the reasons for protesting the designated examiner’s decision. The responsible inspector will review the matter and decide if retesting is appropriate. If the inspector grants a retest, a new application must be completed by the airman, and the entire test must be accomplished again with an FAA inspector.

13-40 TERMINATION. Termination is the action by the FAA to not renew or to rescind a designee’s authority at any time for any reason the Administrator considers appropriate.

NOTE: ASIs should keep in mind that a termination of designation may be appealed by the designee. Therefore, documentation relating to designee deficiencies or termination should be included in the designee’s file.

A. Types of Termination. There are two types of designee termination:

1) Termination for cause is a negative finding based on a designee’s performance. (See Figure 13-4, Sample Letter of Termination (For Cause).)

2) Termination not-for-cause can be for any reason not specific to a designee’s performance (e.g., lack of need for the designee by the FAA office or voluntary surrender). (See Figure 13-5, Sample Letter of Termination (Not-for-Cause).)

B. Examples of Deficiencies. The following are examples of deficiencies in a designee’s performance of duties:

1) Unsatisfactory performance in any phase of designee duties or responsibilities, including the inability to accept or carry out the managing FAA office’s instructions;

2) 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;

3) The inability of the designee to work constructively with the FAA office personnel or the public;

4) Evidence that the designee’s general and/or professional qualifications and requirements were not met at the time of the original designation or at any time thereafter;

5) A designee’s inability to demonstrate satisfactory performance during a knowledge and skill evaluation or during an initial or recurrent training seminar; or

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6) A designee’s failure to maintain, or inability to demonstrate, qualifications for any certificate, rating, or examiner designation held.

C. Documentation. The managing FAA office will document deficiencies in performance in the designee file. Any correspondence relating to the designee’s deficiencies, including but not limited to corrective action taken or a record of additional training, should be included as well.

13-41 TERMINATION AND APPEAL PROCEDURES.

A. Decision to Terminate. Designations are terminated under the general conditions contained in 49 U.S.C. § 44702. The appointing FAA office manager makes the decision to terminate a designee. (See the examples of deficiencies cited in subparagraph 13-40B.)

B. Notification. The FAA office manager’s decision regarding the termination of a designation will be provided to the designee in writing, and the reasons cited will be as specific as possible. Upon notification of termination, the designee must immediately cease the exercise of his or her designee privileges.

C. Documentation. If the managing FAA office terminates a designation, the following actions must also take place:

1) The ASI will ensure that the Enhanced Vital Information Database (eVID) and/or the Designee Information Network (DIN) is updated and should notify any other FAA offices with jurisdictional oversight of other designations held by the individual; and

2) The designee file will be updated to reflect the appropriate designation status (e.g., termination, appeal pending, reinstatement).

D. Appeal of Termination.

1) The following types of terminations cannot be appealed:

• Termination based on lack of need or the inability of the FAA office to manage the designee,

• Termination based on the loss of a prerequisite certification, • Termination based on the designee’s failure to meet training requirements, • Termination based on the fact that a designee is no longer employed by the air

carrier/training center, or • Termination based on the employing air carrier’s/training center’s decision to

no longer use an employee as an APD/TCE.

2) If the designee wishes to appeal his or her termination, the designee must make the request in writing within 14 calendar-days of receipt of the written notification of the FAA office manager’s decision by sending a letter to the FAA office manager to request an appeal.

3) The FAA office manager will forward the request to his or her regional division manager, who will ask another region not involved in the decision to oversee the appeal.

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4) The regional division manager overseeing the appeal will convene a regional appeal panel composed of three members (including the regional focal point when practical) to review the termination decision and make a final decision within 45 calendar-days of the appeal.

5) The designee will be notified in writing of the appeal panel’s decision within 15 calendar-days of appeal panel’s decision.

NOTE: The regional appeal panel’s decision is final.

6) All documentation (e.g., outcome, members of the appeal panel, communication with the designee or the field office) associated with the appeal must be forwarded to the managing FAA office for inclusion in the designee’s file.

E. PTRS. The inspector closes the PTRS record. In addition to the standard PTRS code for termination (1565), one of the following key words should be entered in the “Comment” section to describe the reason for termination:

• 786-Voluntary [Not-for-Cause]. • 787-Involuntary-Need [Not-for-Cause]. • 788-Involuntary-Performance [For Cause]. • 789-Involuntary-Other [For Cause].

F. Update Designee File. After completion of this task, the specialist must update the designee file to include:

• A copy of the designee’s documentation evidencing the voluntary surrender of the designation;

• Documentation of the termination of designee’s authority, including supporting documentation; or

• Documentation of the outcome of the designee’s appeal to the regional appeal panel, including reinstatement, if applicable.

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Figure 13-1. FAA Form 8710-6, Examiner Designation and Qualification Record

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Figure 13-1. FAA Form 8710-6, Examiner Designation and Qualification Record (Continued)

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Figure 13-2. FAA Form 8430-9, Certificate of Authority

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Figure 13-3. FAA Form 8000-5, Certificate of Designation

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Figure 13-4. Sample Letter of Termination (For Cause)

FAA Letterhead

CERTIFIED MAIL

[Date] Designee Number: [designee’s number] [Designee’s name and address]

Dear [Designee’s Name]:

This letter is to inform you that your Federal Aviation Administration (FAA) designation as a [type of designee, for example DPE or TPE] is terminated pursuant to [14 CFR § 183.15(b)(4)/14 CFR § 183.15(b)(6)/49 U.S.C. § 44702(d)(2).] [You must immediately cease exercising the privileges of your designation.] OR [Pursuant to our (telephone conference/meeting) on (date), you were to cease exercising the privileges of your designation on (date).]

Your designation is being terminated [for not performing your duties under your designation] OR [because you no longer meet the eligibility requirements for the designation]. [Cite the reference to the regulation(s)/policy that was violated/noncompliant.]

You may submit a request for appeal in writing to this office no later than 14 calendar-days from the date of receipt of this letter. At that time, you should include any evidence or statement concerning this matter with your written request for appeal. You will be notified of the outcome of the appeal within 60 calendar-days after our receipt of your written request for appeal.

Sincerely,

[Field Office Manager/National Program Office Manager signature]

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Figure 13-5. Sample Letter of Termination (Not-for-Cause)

FAA Letterhead

CERTIFIED MAIL

[Date] Designee Number: [designee’s number] [Designee’s name and address]

Dear [Designee’s Name]:

This letter is to inform you that your Federal Aviation Administration (FAA) designation as a [type of designee, for example DPE or TPE] is terminated pursuant to [14 CFR § 183.15(b)(1)/14 CFR § 183.15(b)(5)/49 U.S.C. § 44702(d)(2).] [You must immediately cease exercising the privileges of your designation.] OR [Pursuant to our (telephone conference/meeting) on (date), you were to cease exercising the privileges of your designation on (date).]

Your designation is being terminated because [you voluntarily surrendered your designation authority on (date)] OR [this office is no longer in need of your assistance].

This termination is not for cause and may not be appealed. We appreciate your service to the FAA.

Sincerely,

[Field Office Manager/National Program Office Manager signature]
